The Rainmaker Securities, LLC (RMS) firm-wide business continuity plan (BCP) is designed to respond to a Significant Business Disruption (SBD) by securing the firm’s books and records and promptly returning to business operations. Our firm will maintain digital copies of its BCP, its amendments, and the annual reviews in secure online storage. RMS business continuity and disaster recovery plan is reviewed and approved annually by the CCO.

Data Back-Up and Recovery

RMS uses multiple third party providers to back up its electronic records. RMS does not keep paper records. Paper records that are received by RMS and required to be kept are digitized for storage. If our primary third party provider becomes inaccessible, we can immediately continue operations using our backup data storage providers.

Mission Critical Systems

RMS does not custody customer funds or securities and RMS is typically not paid any compensation until we provide an outcome for our clients. Therefore, our firm’s “mission critical systems” are limited to those that ensure prompt and accurate retention of client data and records entrusted to us as well as information required to be maintained by our business needs and regulatory requirements.

Alternate Communications and physical location

RMS is capable of using the telephone, e-mail, web site, fax, U.S. mail, or in-person visits to conduct operations in communicating with other employees, clients, and regulators. In the event of an SBD, we will assess which means of communication are still available to us, and use the most efficient means to communicate with the other party. RMS personnel work remotely and are able to perform the duties required to sustain operations from any location with access to the internet.

Financial and Operational Assessments

In the event of an SBD, we will determine the value and liquidity of our assets to evaluate our ability to continue to fund our operations and remain in capital compliance. We will contact our critical banks and regulators to apprise them of our financial status. If we determine that we may be unable to meet our obligations or otherwise continue to fund our operations, we will request additional financing from our bank or other credit sources to fulfill our obligations. If we cannot remedy a capital deficiency, we will file appropriate notices with our regulators and immediately take appropriate action.

RMS employs operations personnel that possess redundant training and knowledge, such that if any key employee were to become incapacitated or unable to perform their duties, the other employees can immediately substitute without disruption to operations. If a key team member may be unable to perform their duties for an extended period, then RMS may hire additional personnel to perform those duties, as needed.