BUSINESS CONTINUITY PLAN

C&Co/PrinceRidge LLC has developed a Business Continuity Plan (“BCP”) detailing how we will respond to events that could 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 BCP.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do, for example by telephone and/or by email, you may contact our Clearing Firm, Pershing LLC. Please visit the Customer Support section of Pershing LLC’s website or call (201) 413-3635 for recorded instructions. If you cannot access the instructions from the web site or the previously noted telephone number, Pershing LLC may be contacted at (213) 624-6100, extension 500, as an alternate telephone number for recorded instructions.

Our Business Continuity Plan – We plan to recover and resume business operations as soon as possible after a business disruption, and respond by safeguarding our employees and property, making a financial and operational assessment, protecting our Firm’s books and records, and allowing us to transact business. In short, our BCP is designed to permit our Firm to resume operations as soon as possible, given the scope and severity of the business disruption.
Our BCP addresses: data back up and recovery; mission critical systems; financial and operational assessments; alternative communications with customers, employees and regulators; alternative physical location of employees; critical suppliers, contractors, bank and counter-party impact; regulatory reporting.
We backup our electronic records daily and maintain these records in a separate location.

Every emergency situation poses unique problems based on external factors, such as time of day, location and severity of the disruption. In the event of an emergency situation preventing access to or resulting in the loss or destruction of, our main computer hardware system and/or our servers located in our Main Office, located at 1633 Broadway, 28th Floor, New York, NY, and/or the data housed thereon, we anticipate that, once we have procured the necessary hardware, it may take approximately five business days to rebuild and restore this system and/or servers in order to read the off-site back up devices maintained by our third party technology consultant.

Varying Disruptions – Business disruptions can vary in their scope, such as a disruption only to the building housing our Main Office or one of our Branch Offices, the business district where our Main Office or one of our Branch Offices is located, the city where our Main Office or one of our Branch Office is located, or the whole region in which our Main Office and/or one of our Branch Offices is located. Within each of these areas, the severity of the disruption can also vary from minimal to severe.

Whether a disruption affects our Firm or a building housing one of our Firm offices only or the relevant business district, city or region, we will either work at remote location(s) and/or transfer some or all of our operations to an unaffected alternate available site(s) where we would expect to recover and resume business as soon as possible. In any business disruption, we plan to continue in business and plan to resume normal operating activities as soon as possible. In any business disruption, we will notify you by telephone or other available communication means about how to contact us.

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

Joe McCann
Co-Chief Operating Officer
1633 Broadway
28th Floor
New York, NY 10019
e-mail: jmccann@princeridge.com
T: 646.792.5635