Business Continuity Statement

Compass Point Research & Trading, LLC has developed a Business Continuity Plan, which describes how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If, after a significant business disruption, you cannot contact us as you usually do through your account executive, you should call our main office number 202-540-7300 or go to our web site at If you cannot access us through either of those means, you should contact our clearing firm Pershing LLC at (201) 413-2000 or INTL FCStone Financial, Inc. at (800) 240-1438, for instructions on how they can provide prompt access to your funds and securities, other cash and security transfer transactions.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. 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 significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical vendors, contractors, banks, and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firms, Pershing LLC and INTL FCStone Financial, Inc., back up important account and trading records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firms that their objective is to quickly restore their own operations and be able to complete existing transactions and accept new transactions and payments. Your orders and requests for funds and securities could be delayed during the restoration period.

Varying Disruptions – Significant business disruptions can vary in their scope, such as the business district, the city, or the entire region where one or more of our offices are located. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to one or more of our offices we will transfer our operations to an appropriate site when needed, and expect to recover and resume business within twenty-four hours. In a disruption affecting a larger area we will transfer our operations to a site outside of the affected area when needed, and expect to recover and resume business within forty-eight hours. In either situation, we plan to continue in business, transferring operations to our clearing firm if necessary, and notify you through our web site on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers’ prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at:

1055 Thomas Jefferson Street, NW
Suite 303
Washington DC 20007
Phone: (202)-540-7300
Fax (202) 540-7311

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