Purpose of this Notice

As a registered broker-dealer and member of the Financial Industry Regulatory Authority (“FINRA”), regulatory rules require us to establish and implement a business continuity plan in order to respond to Significant Business Disruptions (“SBD’s”).  In compliance with FINRA Rule 4370(e), we are providing you, the client, with this document, which notifies you of the business continuity policies and practices of Redbridge Global Markets, LLC. (“Redbridge”)

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Our Business Continuity Policy and Procedures

Our firm’s policy is to respond to a SBD by safeguarding associates’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, and protecting all of the firm’s books and records.  In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the SBD.

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1.    WHAT OUR PLAN CONSIDERS:  

Since the timing and impact of disasters and disruptions is unpredictable, Redbridge has developed a Business Continuity Plan that is flexible enough to respond to actual events as they occur.  

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Our plan anticipates two kinds of SBD’s, internal and external.  Internal SBD’s affect only our firm’s ability to communicate and do business, such as a fire in our building.  External SBD’s prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption.

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Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, associates, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting.

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2.    RECOVERY EXPECTATIONS:  

In the event of an SBD, we will follow the contingency protocol and immediately identify the most appropriate solutions that will permit us to restore phone and email communication within 24-hours.  Back-up office locations and remote system access will be utilized to continue operations and resume business within 24-hours.

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3.    CONTACTING US:  

If, after a significant business disruption you cannot contact us as you usually do by phone, you should call Audrey Lokker at (346) 561-5623.

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4.    CHANGES IN BUSINESS CONTINUITY POLICY:

We may modify our business continuity policy at any time.  We will notify you of such changes at least annually.