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

FINRA Rule 4370 requires that firms disclose to their clients how their BCP addresses possible business disruptions in various circumstances its response to the specific scenarios. Western International Securities, Inc. (“Western”) has developed a BCP 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 in business, transfer operations to our clearing firms, if necessary, and notify you through our web site at www.wisdirect.com, e-mail or our customer service number, 310-846-3700. If the significant business disruption is so severe that it prevents us from remaining in business, we will ensure our customer’s 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 agents 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:

Western International Securities, Inc.
70 S. Lake Avenue, 7th Floor, Pasadena, CA 91101
Ph: 310-846-3700