3iCO Securities LLC Business Continuity Plan Disclosure

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3iCO Securities LLC (“3iCOS”) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business.  Since the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur.  With that as background, we are providing you with this information about our Business Continuity Plan.

Contacting MainLine – If after a significant business disruption you cannot contact your 3iCOS representative as you usually do, you should call us at 610-937-2128.  If there is in fact a significant business disruption, you will be provided with a description of the disruption and a means for contacting us.  We will also endeavor to estimate the length and extent of the disruption, if that is possible. 

Our Business Continuity Plan – We plan to recover as quickly as possible and to resume business operations after a significant business disruption.  Our priorities will be to safeguard our employees, representatives and property, make a financial and operational assessment, protect the firm’s books and records, and allow our customers to transact business.  Our Business Continuity Plan is designed to permit the 3iCOS organization to resume operations as quickly as possible given the scope and severity of the disruption.  In the case of internal significant business disruptions (for example, a fire), we expect to be operational within 48-72 hours.

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 locations of employees; critical vendor and banking impacts; and regulatory reporting.  Since we do not maintain customer funds and since our private placements generally do not involve certificated securities, we do not anticipate that access to customer funds or securities will be an issue. 

Our computer records and systems are backed-up in a geographically separate area.  While every emergency situation poses unique problems based on external factors, such as time of day and severity of the disruption, we anticipate that in most instances we can restore operations, complete existing transactions and accept new transactions and payments within 48-72 hours. 

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the town where we are located, the whole region, the nation, or the world.  Within each of these areas, the severity of the disruption can also vary from minimal to severe.  In a disruption to only our firm or building, we will transfer operations to a local site when needed and expect to recover and resume business within 48 hours.  In a disruption affecting our business district, town, region or the nation, we will attempt to transfer our operations to a site unaffected by the disruption and recover and resume operations within 72-96 hours.  In either situation, we plan to continue in business and to notify you by telephone or through our website of how to contact us.  If the significant business disruption is so severe that it prevents us from remaining in business, we will notify you how to obtain prompt access to any funds of yours held in escrow.

For More Information – If you have questions about our business continuity planning, you can contact us at info@3icosecurities.com.  

Thank you.