DISCLAIMER: This Web site and its links (together the "Web site") are presented for informational purposes only. The Web site is neither offering nor soliciting to buy particular securities of any kind, nor is it intended to provide any type of investment advice. Rutberg & Company, LLC is a member of the National Association of Securities Dealers and the Security Investor Protection Corporation (NASD/SIPC) CRD #113392.
The securities referenced herein may not be registered with the Securities and Exchange Commission and there may be no secondary and/or liquid market for such securities. The potential exists for the loss of principal. There may be less available issuer information compared to registered securities whose issuers have registration statements on file with the SEC.
The U.S. Patriot Act and federal law require broker-dealers to conduct anti-money laundering due diligence to verify that no client, no principal of a client nor any individual investor participating in purchase or sale of private securities (either as a private placement or a merger or acquisition) is identified by the U. S. Treasury's Office of Foreign Asset Control ("OFAC") as a "terrorist", "specially designated national" or other "blocked person", Consequently, Rutberg will conduct such necessary due diligence to verify that no client, no principal of a client nor any individual investor participating in purchase or sale of private securities has been so identified by OFAC.
Rutberg & Company, LLC ("Rutberg & Co.") has developed business continuity policies and procedures that address how we will respond to events that may significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we have created procedures that are designed to respond to events as they actually 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 (415) 371-1186, you should call our emergency number (415) 254-0914. In addition, you may go to our web site at www.rutbergco.com.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and to respond to such an event by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our clients to conduct their businesses. 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.
Our business continuity plan addresses: data backup and recovery; all primary firm functions; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our clients prompt access to their records if we are unable to continue our business.
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 a week. 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 a week. In either situation, we plan to continue in business, transfer operations to a temporary location if necessary and notify you through our website or our emergency number how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our clients prompt access to their records.
For more information – If you have questions about our business continuity planning, you can contact Bryan Rutberg, Business Continuity Coordinator, at 415-371-1186.