Cuatro Capital Securities, LLC   Business Continuity Plan

 

Cuatro Capital Securities, LLC (“Cuatro” or “Firm”) 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 about our Business Continuity Plan. 

 

Contacting Us

 

If after a significant business disruption ("SBD") you cannot contact us as you usually do, you should call us on our alternative number. If all traditional means of communication are unavailable, the Firm will post (if at all possible) emergency contact information and instructions on our web site: www.cuatromarkets.com regarding access to the Firm’s representatives.

 

Our Business Continuity Plan

 

We plan to quickly recover and resume business operations after an SBD and respond by safeguarding our Associated Persons 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 SBD. 

 

Our Business Continuity Plan addresses: data backup and recovery; financial and 

operational assessments; alternative communications with customers, Associated Persons, and 

regulators; epidemics and pandemics; alternate physical location of Associated Persons; critical supplier, contractor, bank and counterparty impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our 

business. 

 

Varying Disruptions

 

SBDs 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 48 hours. 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 48 hours. In either situation, we plan to continue in business and notify you through the nearest means available on how to contact us.

 

For more information

 

If you have questions about our Business Continuity Plan, you may contact us at legal@cuatromarkets.com.

 

This plan is subject to modification and customers may alternatively obtain updated summaries by requesting a written copy by mail.

 

Dated October 2024