Business Continuity Plan

Western International Securities, Inc. Business Continuity Plan (BCP) Summary

FINRA Rule 4370 requires that firms disclose to their clients how their BCP addresses possible business disruptions in various circumstances in response to specific scenarios. Western International Securities, Inc. (“Western”) has developed BCPs that address: data back-up 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.

Significant business disruptions can vary in their scope, such as natural causes (acts of nature, earthquakes, fires, and floods), technical causes (communication failures, hardware, and software disruptions). If a disruption occurs to the extent applicable, we will transfer our operations to a remote site when needed and expect to recover and resume business within twenty-four hours. In a disruption affecting our business area or city, we will transfer our operations to a site outside of the affected area, and recover and resume business within twenty-four hours. In either situation, we plan to continue to conduct business, transfer operations to our clearing firms, if necessary, and notify you through our website at www.wisdirect.com, e-mail or our customer service number, 626.793.7717. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.

Western’s clearing agents will be notified of any business disruption involving Western. In the event of a disruption, our clearing agent´s contact information will be posted on the Western website. Clients may keep up to date on any Western business disruption by accessing Western’s website.

If you have any questions regarding Western’s Plan you may contact us at:

Western International Securities, Inc. 
70 S. Lake Avenue, Suite 700, Pasadena, CA 91101 
Ph: 626.793.7717