Reliance Worldwide Investments, LLC has developed a Business Continuity Plan detailing 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 (847) 920-7760, email@example.com , you should call our alternative number (847) 920-7760 or go to our website at www.rwi-securities.com. If you cannot access us through either of those means, you should contact our clearing firm, Hilltop Securities, Inc. (“Hilltop”) at 1201 Elm Street, Suite 3500, Dallas, TX 75270, (214) 859-9002, firstname.lastname@example.org, www.swst.com. Our contact person at Southwest is Chris Cervantes, Relationship Manager, Chris.Cervantes@hilltopsecurities.com. He will provide instructions allowing you prompt access to your funds and securities, enable you to enter orders and process other trade-related cash and security transfer transactions for your account.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption. Our response priorities will be to safeguard our employees and property, conduct a financial and operational assessment, protect the firm’s books and records, and provide a means for our customers to resume transacting 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.
Our business continuity plan addresses: data backup 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.
Our clearing firm, Hilltop Securities, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within four (4) hours the same business day. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions – Significant business disruptions can vary in their scope such as only at our firm, or only for the single building housing our firm, or only for the business district where our firm is located, or only for the city where we are located, or for the entire 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 24 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 24 hours. In all situations we plan to continue in business and only transfer operations to our clearing firm if absolutely necessary. We will and notify you through our website, www.rwi-securities.com, or our customer emergency number, (847) 920-7060, regarding how to best contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information – If you have questions about our business continuity planning, you can contact us at (847) 920-7060 or email@example.com.