Business Continuity Plan
We are a member of the FINRA and are required to create and maintain a
business continuity plan pursuant to FINRA Rule 3510. In accordance with
this rule, Camelot Investment Advisers, LTD. ("Camelot") has developed
a plan to ensure that we can continue to run our business during periods
of business emergencies.
Our plan addresses the following areas of concern:
- Books and records recovery
- All mission critical systems
- Financial and operational assessments
- Alternate communications between Camelot and its customers
- Alternate communications between Camelot and its employees
- Alternate physical location of employees
- Critical business constituents, banks and counter-party impact
- Regulatory reporting
- Communications with regulators
- How Camelot will assure customers' prompt access to their funds and securities in the event that Camelot determines it is unable to continue its business
Events creating a disruption of business may vary in nature. They could affect only Camelot, affect the building where Camelot is located, affect the entire business district where Camelot is located, or result in a regional disruption. Camelot fully intends to continue to conduct a securities business during these periods of disruption.
To address disruptions affecting only Camelot, Camelot's building, or the business district where Camelot is located, Camelot has arranged to conduct its business out of an alternate location that can accomodate its employees and critical information technology systems. To address regional disruptions, Camelot has prepared a plan to obtain alternate facilities from which it can conduct its business.
Please be advised that business continuity plans are subject to change and modification. Camelot intends to update and test its business continuity plans at least annually, and as business conditions and technology change.
Camelot's disclosure of order routing practices.