Business Continuity Plan

Marlin & Associates Holding LLC, together with its affiliates including Marlin & Associates Securities LLC, has developed a Business Continuity Plan (sometimes called a Disaster Recovery Plan) on how we will respond to events that significantly disrupt our business. Since the nature, timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with the following general information on our business continuity plan.

Contacting Us – If, after a significant business disruption you cannot contact us as you usually do at our main telephone numbers +1 (212) 257-6300, you should contact us via email at Contact@MarlinLLC.com  Our email servers are hosted and operated off site by a 3rd party IT services firm. As a result, our email service may be operable, even when our phone service is not. Our telephone system is IP-based and allows us to log in remotely even if our offices are not available. Our telephone system also can push voicemail messages to our emails. We will respond as promptly as possible. You should also check our website (www.MarlinLLC.com) for updated contact telephone numbers (our website also is hosted and maintained off site and thus may be available even when our physical premises are not). 

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Our business continuity plan addresses: 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.

Varying Disruptions – Significant business disruptions can vary in their scope. A disruption could affect only our firm, a single building housing our firm, the business district where our firm is located, the entire city where we are located, or the whole region. It could impact electric power, phone lines even the ability to move about. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, or even to the business district we will usually be able to transfer our operations to a local site when needed and we expect to recover and resume business within 1 – 2 days. In a disruption affecting our city, we will transfer our operations to a site outside of the affected area, and recover and resume business within 7 days. Should the disruption extend across beyond the city, we may not be not able to recover for 30 days or more. However, in virtually any situation, we plan to continue in business, and notify you of our progress through our website at www.marlinllc.com as well as (if feasible) through our main customer phone number, +1 (212) 257-6300.

For more information – If you have questions about our business continuity planning, you can write to us at Marlin & Associates, 600 Lexington Avenue (36th floor) New York, NY 10022; or email  us at contact@MarlinLLC.com, call us at our main number +1 (212) 257-6300, or call our Managing Partner directly at +1 (212) 257-6060.

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