Lampost Capital Business Continuity Plan

This plan is subject to modification.

Our plan anticipates two kinds of Significant Business Disruptions (“SBDs”): internal and external.  Internal SBD’s affect only our firm’s ability to communicate and do business, such as a fire in our building, power outage, or hurricane.  External SBD prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption.  Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our clearing firm.

If our clearing firm, ICBC Financial Services, LLC ("ICBC"), experiences an SBD, Lampost Capital, L.C. will operate as usual and work with its crisis management team to reestablish essential business operations and follow their business continuity plan.

Our clearing firm backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised that their objectives are to restore their own operations and be able to complete existing transactions and accept new transactions and payments within the same business day.  Your orders and requests for funds and securities could be delayed during this period. 

Lampost Capital, L.C. has local back-up procedures in place to ensure that we will be able to continue operations if the main office is unavailable. All phone calls will be forwarded to any back-up location from which we are operating.

Our firm is an introducing firm and does not perform any type of clearing function for itself or others.  Furthermore, we do not hold customer funds or securities.

In the event of a disruption in our business district or a region-wide business disruption which renders Lampost Capital L.C. unreachable, please contact the following individual at our clearing firm:

Clearing Firm - ICBC Financial Services, LLC:
Rick Russo
Vice President
1633 Broadway, 28th Floor
New York, NY 10019
    (T) (212) 300-8526
    (F) 212-993-7345
    (C) 917-453-9510
    Alternate contact:
    Correspondent Services
    (T) 212-300-8530