Cache Securities LLC (“Cache Securities” or “the Firm”) has created and implemented a Business Continuity Plan (“BCP”) in an effort to mitigate the effects related to unforeseen business interruptions. The BCP is designed to enable the Firm to continue or resume trading operations as soon as possible in the event of an emergency or significant business disruption (“SBD”).
In the event of an SBD, Cache Securities will communicate with its employees in several different ways. The Firm will employ an emergency contact list, which would be implemented by management in the event of an SBD. Recovery time for most of the applications is expected to range from immediate to 24 hours.
Cache Securities is currently able to communicate with its customers using the website, telephone, email, and US Mail. In the event of an SBD, Cache Securities will assess which means of communication are still available and use the means closest in speed to the means used in the past. Additionally, if all traditional means of communication are not available, Cache Securities will provide emergency contact information and instructions to its clearing firm, Apex Clearing Corporation, or to a designated third-party vendor regarding access to Cache Securities representatives.
Cache Securities maintains its books and records electronically in a secure drive backed up periodically in accordance with applicable rules and regulations. Hard-copy records, if any, are stored at its main office and back-up books and records at alternate locations. If records are lost as the result of a business disruption or for any other reason, Cache Securities has the means to physically recover data from both electronic and physical back-up locations.
Cache Securities’ BCP may need to rely upon the recovery and restoration of services provided by various critical business constituents at both its primary and alternate business locations. Cache Securities has considered the extent to which the Firm may be able to depend upon these business relationships during an SBD as a part of its decision to do business with the constituent. Where possible the Firm has engaged and/or vetted alternate arrangements in order to avoid business disruptions in the case of a business constituent not being able to provide needed goods or services in an emergency.
Cache Securities’ BCP is designed to address the continued operation of the Firm in the event of an emergency situation or SBD. However, all risks of business interruption cannot be eliminated and Cache Securities cannot guarantee that systems will always be available or recoverable following an SBD. Furthermore, Cache Securities has no control over and must rely upon the disaster recovery plans of its various critical business constituents and vendors. In the event that material changes are made to this BCP, Cache Securities will send an updated copy to all of its customers.
The information contained in this disclosure is provided by Cache Securities for informational purposes only, and 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 you and Cache Securities.
Cache Advisors LLC (“Cache Advisors”) is an investment adviser registered with the Securities and Exchange Commission (“SEC”). Registration does not imply a certain level of skill or training. Cache Advisors is a wholly-owned subsidiary of Cache. Cache Advisors’ investment advisory services are available only to residents of the United States in jurisdictions where Cache is registered. Account holdings and other information provided are for illustrative purposes only and are not to be considered investment recommendations. The content on this website is for informational purposes only and does not constitute a comprehensive description of Cache Advisors’ investment advisory services. Please refer to Cache Advisors’ Form ADV for important additional information. Certain investments are not suitable for all investors. Before investing, you should consider your investment objectives and any fees charged by Cache Advisors.
Cache Securities LLC (“Cache Securities”) is a broker-dealer registered with the SEC, and is a member of the Financial Industry Regulatory Authority Inc. (“FINRA”) and of the Securities Investor Protection Corporation (“SIPC”), which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). For additional information and an explanatory brochure, please see www.sipc.org. Cache Securities provides security trading to self-directed customers. Cache Securities is a wholly-owned subsidiary of Cache. Additional information about Cache Securities can be found on FINRA’s BrokerCheck. Clearing, execution and settlement of securities transactions is provided by Apex Clearing Corporation (“Apex”). For additional information on Cache Securities, please visit BrokerCheck at https://brokercheck.finra.org/
This website contains endorsements from third-parties who are not current clients of Cache Advisors or investors in a private fund managed by Cache Advisors and represent their opinion at the time such statements were given. No compensation was paid in connection with such endorsements. Certain endorsements are by individuals who are investors in Cache, indicated as 'Cache Investor'. Such individuals have an indirect financial incentive to endorse Cache Advisors LLC to increase the value of their investment.
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