Enclave Capital LLC
Business Continuity Planning 3510(e) Disclosure
Enclave Capital LLC 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 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 at 646-454-8630 or
singlis@enclavecapital.com, you should call our alternative number, 914-548-2634.
If you cannot access us through either of those means, you should contact Global Investor Services, LLC with whom we have a tri-party agreement which enables us to clear through Pershing LLC for instructions on how it may it continue to offer brokerage services to you. Global Investor Services can be reached at 305-373-9000. Global Investor Services does not perform any clearing or custody functions.
If you cannot reach Global Investor Services you may contact Pershing directly at 800-443-4342 Pershing expects it will recover within four hours in the event of a significant business disruption. Pershing expects to promptly offer you access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank 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.
While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption the objective is to restore its operations and be able to complete existing transactions and accept new transactions within one to two days.
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 city where we are located, or the whole region. 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 a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one to two days. In either situation, we plan to continue in business, as quickly as possible and transfer operations to an alternative location.
For More Information
If you have questions about our business continuity planning, you can contact us at:
Enclave Capital LLC
708 Third Avenue, 19th Floor
New York, NY 10017
646-454-8630
If you would like to receive a copy of our plan please send a written request to:
Enclave Capital LLC
Technology Department
708 Third Avenue, 19th Floor
New York, NY 10017
You may also request a copy of Global Investor Services or Pershing’s business continuity plan.
