Business Continuity Plan

Business Continuity Plan (BCP) SUMMARY

DIF Broker is committed to safeguarding the interests of our customers in the event of an emergency or business disruption. This Business Continuity Plan Disclosure (the “BCP”) summarizes DIF Broker effort to mitigate risks inherent with unforeseen business interruptions. The Firm’s business continuity strategy is designed to enable us to meet our existing obligations to our customers in the event of an emergency business disruption. DIF Broker’s policy is to respond to a Significant Business Disruption (SBD) by making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we assure prompt access to customer funds and securities.

Our plan anticipates two kinds of SBDs, internal and external.

Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire.

External SBDs prevent the operation of the securities markets or a number of firms, such a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems.

In the event of an SBD, we will move our operations from affected offices to the closest of our unaffected office locations. We have created and have access to web based email and web based order entry systems/communications.

DIF Broker does not maintain custody of customers’ funds or securities, which are maintained at our depository firms, Saxo Bank and Banco Santander. If telephone service is available, our staff can take customer orders, and if Web access is available, DIF Broker will post on our Web site how customers may access their funds.


DIF Broker business continuity strategy is designed to enable us to meet our existing obligations to customers in the event of a significant business disruption; however it is not infallible. DIF Broker has no control over the various entities that we must rely upon in the event of an emergency. Nothing contained herein shall be construed to amend, supplement or otherwise modify any of the terms and conditions set forth in any customer agreement between customer and DIF Broker.

Emergency Contacts
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