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Business Continuity Plan


FalconBridge Capital Markets, LLC ("FalconBridge") is committed to protecting the interests of its clients in the event of a business disruption. This Business Continuity Plan (“the BCP”) summary details how the firm will respond to events that significantly disrupt its business.


The firm’s BCP addresses all areas affected by a business disruption of any type: data backup and recovery, financial and operational systems and assessments, alternative communications with clients, employees and regulators, as well as critical suppliers and banks, and alternate physical location of employees if necessary. The BCP is designed to enable the FalconBridge to recover and restore business operations as quickly as possible, safeguard employees and property, protect its books and records, and assure clients prompt service through alternative offices if it is unable to continue its normal business operations.


In the event of a significant business disruption, we will immediately identify what means will permit us to communicate with our customers, employees, critical business constituents, critical banks, and regulators.  Although the effects of a significant business disruption will determine the means of alternative communication, the communications options we will employ will include telephone, voice mail, and secure e-mail.  In addition, we will retrieve our key activity records and electronic media.


We will disclose in writing a summary of our BCP to customers upon request.  Our summary addresses the possibility of a future significant business disruption and how we plan to respond to events of varying scope.   In addressing the events of varying scope, our summary (1) provides specific scenarios of varying severity (e.g., a firm-only business disruption, a disruption to a single building, a disruption to a business district, a city-wide business disruption, and a regional disruption); (2) states whether we plan to continue business during that scenario and, if so, our planned recovery time; and (3) provides general information on our intended response.  Our summary discloses the existence of back-up facilities and arrangements. The BCP may be obtained by calling FalconBridge at (704) 302-1612.

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