Business Continuity Plan
This document will be amended as those assumptions are addressed and/or as other changes
affecting the firm and its policies are made.
Emergency Contact Persons
The firm’s administrative manager will update the emergency contact information as needed,
but will confirm on a quarterly basis at minimum whether the information currently on file is
Firm’s Policy in Responding to SBDs
The firm’s policy is to respond to any significant business disruption (“SBD”) so as to:
- Safeguard employees’ lives and the firm’s property, including all of the firm’s books and
- Make a financial and operational assessment
- Quickly recover and resume operations
- Make applicable regulatory filings
- Provide the firm’s clients with the ability to communicate with appropriate investment
The firm’s plan anticipates two kinds of SBDs:
- Internal SBDs affect only the firm’s ability to communicate and do business, such as a
fire in one of the buildings where the firm’s personnel are employed.
- External SBDs prevent the operation of a number of firms and/or the securities
markets, such as a terrorist attack, natural disaster, or wide-scale, regional disruption
such as a power outage. The firm’s response to external SBDs relies more heavily on
other organizations and systems’ BCPs because the firm relies on them for business
continuity planning, training, and implementation
Approval and Execution Authority
JonPaul Jonkheer and Greg Taunt have the authority to execute this BCP and are responsible
for initially approving the firm’s BCP and for conducting a required annual plan review.
Plan Location and Access
The firm will maintain copies of its current BCP, the annual reviews, and records of any
changes that have been made to the BCP for inspection. Electronic copies of the firm’s
current BCP are stored within the CCO’s files.
IASG Alternatives, LLC is a broker-dealer firm consisting of placement of private corporate
debt and equity securities. The firm does not conduct a retail securities business and does not
take custody of client cash or securities.