CONTINUITY AND BUSINESS CONTINUATION PLAN
Western Equity Group, Inc. ("WEG" or the "Firm") is providing you with this document to inform you of the WEG plan to respond to certain business disruptions at your Registered Representative's local office or at the main office of WEG. Your Registered Representative is associated with WEG and as a result, all transactions that you place through him or her are processed through WEG systems. Our ability to respond to business disruptions is therefore important to your relationship with your Representative.
In general, WEG maintains a business continuity plan and intends to continue business in the event of a significant business disruption. WEG is an "introducing" Broker/Dealer and as such relies on it's correspondent clearing firm (RBC CS) to perform certain functions on WEG's behalf, including the execution of securities transactions and the maintenance of customer funds and securities. Accordingly, the Firm's ability to respond to certain business disruptions is partially dependent on our clearing firm.
In the event of a significant business disruption at either the local or main office, WEG may route calls to an office location in a separate geographical location, and if necessary, transfer operations to a facility maintained by a third-party vendor. Although WEG intends to continue business in the event of a significant business disruption, there are some disruptions that may render the Firm or your Registered Representative unable to continue business. Under such circumstances, WEG will ensure that clients will be able to access their funds and securities within a reasonable time frame.
To provide clients with up-to-date information during a significant business disruption to your Registered Representative's local office or the main office, WEG clients may call our emergency number at
(800) 767-3838 or (615) 746-8810.
To provide clients with up-to-date information during a significant business disruption to your Registered Representative's local office or the main office, WEG clients may call our emergency number (800) 767-3838 or (612) 607-8998.
In the unlikely event that WEG is unable to continue business, clients may directly contact our clearing firm, RBC Correspondent Services to process limited trade-related transactions, cash disbursements and security transfers. Instructions to RBC CS must be in writing and transmitted via a facsimile or postal service as follows:
RBC Correspondent Services
60 South 6th Street
Minneapolis, MN 55402
(612) 607-8903
For additional information about how to request funds and securities when WEG cannot be contacted due to a significant business interruption please call (800) 767-3838 for recorded instructions. In the event that this number is unavailable you may contact RBC CS at (866) 861-3564 for instructions.
In general, WEG maintains a business continuity plan and intends to continue business in the event of a significant business disruption. WEG is an "introducing" Broker/Dealer and as such relies on it's correspondent clearing firm (RBC CS) to perform certain functions on WEG's behalf, including the execution of securities transactions and the maintenance of customer funds and securities. Accordingly, the Firm's ability to respond to certain business disruptions is partially dependent on our clearing firm.
In the event of a significant business disruption at either the local or main office, WEG may route calls to an office location in a separate geographical location, and if necessary, transfer operations to a facility maintained by a third-party vendor. Although WEG intends to continue business in the event of a significant business disruption, there are some disruptions that may render the Firm or your Registered Representative unable to continue business. Under such circumstances, WEG will ensure that clients will be able to access their funds and securities within a reasonable time frame.
To provide clients with up-to-date information during a significant business disruption to your Registered Representative's local office or the main office, WEG clients may call our emergency number at
(800) 767-3838 or (615) 746-8810.
To provide clients with up-to-date information during a significant business disruption to your Registered Representative's local office or the main office, WEG clients may call our emergency number (800) 767-3838 or (612) 607-8998.
In the unlikely event that WEG is unable to continue business, clients may directly contact our clearing firm, RBC Correspondent Services to process limited trade-related transactions, cash disbursements and security transfers. Instructions to RBC CS must be in writing and transmitted via a facsimile or postal service as follows:
RBC Correspondent Services
60 South 6th Street
Minneapolis, MN 55402
(612) 607-8903
For additional information about how to request funds and securities when WEG cannot be contacted due to a significant business interruption please call (800) 767-3838 for recorded instructions. In the event that this number is unavailable you may contact RBC CS at (866) 861-3564 for instructions.