Raven Securities Corp. (Raven) has developed a Business Continuity Plan to manage the affects of events that may significantly disrupt our critical business operations. 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, and pursuant to FINRA and NYSE regulations, we are providing you this disclosure statement summarizing our business continuity plan (“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.
The Plan takes into account the varying scope of potential business disruptions, from incidents at a single office building, to city-wide or regional events of disruption. The Plan has been reasonably designed to continue business, transfer operations to our clearing firms if necessary, and safeguard the interests of our customers. 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. If you have questions about our business continuity plan, you can contact us at (212) 952-0634.
40 Wall Street, 17th floor
New York, NY 10005