Summary of ISI Group LLC's Business Continuity Plan
International Strategy & Investment Group LLC, a registered broker-dealer, is providing the following notice regarding its Business Continuity Plan. It is mandatory that all FINRA member firms develop business continuity procedures and a summary of such procedures disclosed to their customers.
FINRA Rule 3510 requires that all member firms create a business continuity plan in the event of a significant business disruption. ISI Group LLC has procedures in place in case a disruption keeps us from our main offices, and ISI Group LLC intends to continue doing business as soon as possible after any disruption. The time it takes to continue business will depend on the type of disruption. If an event affects only our main New York offices (such as a fire), ISI Group LLC will continue its business at an alternate nearby location until we can return to our offices. If an event is district-wide, city-wide or region-wide (such as a city-wide flood, a regional blackout, or a terrorist attack), ISI Group LLC intends to continue its business as soon as reasonably possible after assuring the safety of our employees. We have a back-up location and expect to continue business there within 5 business days. If appropriate, ISI Group LLC will e-mail you with our new location and contact information at that time, as well as post the information on our website.
Please note that this is a summary of ISI Group LLC's Business Continuity Plan, which is subject to modification. As modifications are made to this plan, they will be posted on our website, or you may obtain an updated summary from us upon request.
Customer Privacy Notice
International Strategy & Investment Group LLC, a registered broker-dealer, is providing the following notice regarding its privacy policies covering individuals for whom we effect transactions at the direction of money managers, investment advisers and other clients of ours. This notice is required by a regulation of the Securities and Exchange Commission, which was adopted to implement the privacy provisions of the Cramm-Leach-Billey Act of 1999.
As a result of our operations, we collect nonpublic personal information about you, our customer, from the account applications and other forms you submit to us and your transactions with us. We do not disclose any nonpublic personal informaion about our customers or former customers to anyone, except as permitted or required by law.
We restrict access to nonpublic personal information about you to those employees who need to know that information to service your account. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
Availability of Order-Routing Information
International Strategy & Investment Group LLC makes available on the website of Thomson Transaction Analytics (www.tta.thomson.com), an information services provider, certain order routing information required by SEC Rule 606.