Business Continuity Plan Statement


American Capital Partners, LLC. which is an introducing broker, provides investments services both retail and institutional, maintains important disaster recovery and business continuity plans that may be activated in the event of a significant business disruption. The firm realizes the critical nature of being able to continue material operations if an incident occurs that could affect mission-critical business units and systems. These plans are key components in maintaining emergency procedures, and are required by securities industry regulation.

In planning for potential significant business disruptions, American Capital Partners, LLC has studied a number of outcomes from varying scenarios, including, as examples only, a disruption to a single building, a citywide business disruption and a regional disruption. The firm’s plans are intended to permit the continuation of key business operations during most types of disruptions by resuming mission-critical operations, usually within the same business day as the disruption. To assist this business continuity, American Capital Partners, LLC will rely on our clearing firm RBC Clearing and Custody technology of back-up processing capabilities in alternate locations and its redundancies of file location. In cases of an extreme disruption where the continuation of business may not be practical or in the best interest of the firm or its clients, American Capital Partners, LLC along with RBC C&C has implemented steps necessary to allow clients prompt access to their funds and securities.

However, clients should be aware that because the firm’s plan contains details of a confidential and proprietary nature, they couldn’t be distributed to the public. Clients should also note that American Capital Partners business continuity plan is subject to modification and that update plans will be promptly posted on American Capital Partners website and RBC C&C website as permitted by applicable law.