Berstein Capital LLC Business Continuity Plan Disclosure Statement

Berstein Capital LLC Business Continuity Plan Disclosure Statement

Berstein Capital LLC (“Berstein Capital”) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business.  Since the 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 this information on our business continuity plan. 

Berstein Capital maintains our home office at 130 West 15th Street, New York, NY 10011 (917-720-8181).  In the event the New York office suffered a catastrophic failure of all telecommunications and market data we would immediately deploy emergency operations at an alternative site at 33 Broad Street, Boston, MA 02109 (617-367-0099).   

Contacting Us – If after a significant business disruption you cannot contact us as you usually do, you should call our alternative number (617-367-0099), or go to our Website at www.berstein.com. 

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 and contractor impact; regulatory reporting. 

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region.  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, we will transfer our operations to a local site when needed and expect to recover and resume business within a few hours time.  In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business in less than a day.  In either situation, we plan to continue in business, transfer operations if necessary, and notify you through our Website www.berstein.com or 917-720-8181.

LLC add text.