Business Continuity Plan


World Trend Financial is committed to safeguarding the interests of our clients and customers in the event of an emergency or significant business disruption. We have developed and maintain on file a Business Continuity Plan (BCP) as part of our ongoing contingency planning efforts to mitigate the risks inherent in unforeseen business interruptions. The BCP provides a course of action for the assessment of a significant disruption to the firm’s business and is designed to enable us to meet our existing obligations to our clients and customers in the event of an emergency or disaster. Given that the timing and impact of disasters and disruptions is unpredictable, the firm’s BCP allows flexibility in responding to actual events as they occur. The BCP is intended to comply with the rules promulgated by the Financial Industry Regulatory Authority (FINRA).This disclosure summarizes our Business Continuity Plan.

Significant Business Disruptions (SBDs)

Significant Business Disruptions can vary in their scope.For example, an SBD can affect 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 any of these cases, our business continuity objectives and our intended response remain the same.


World Trend plans to quickly recover and resume business operations after a Significant Business Disruption and respond by safeguarding employees’ lives and firm property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business.In short, our BCP is designed to permit our firm to resume operations as quickly as possible, depending on the scope and severity of the Significant Business Disruption.

Elements of the Plan

Our Business Continuity Plan addresses the following:alternate physical location of employees; assuring our customers prompt service in regard to their funds and securities if we are unable to continue our business; data backup and recovery; financial and operational assessments; mission critical systems; alternative communications with customers, employees and regulators; critical business constituents, banks and counter-parties; and regulatory reporting.

Client Communication

In the event of an emergency or significant business disruption, clients can obtain up-to-date information regarding the operating status of the firm and contact information from the firm’s website,, or by calling the firm’s main numbers, listed below.In addition, customers can obtain the status of their accounts and access to their funds and securities by contacting their fund companies or account custodians directly.

Redundancy of Mission Critical Information Technology Systems

World Trend uses an information technology management consultancy and systems integrator and an offsite secured location that provide the redundancy required to protect the firm’s books and records, balance sheet and capital, and to provide business continuity and client protection. Recovery times for mission critical systems range between real-time recovery and 12 to 24 hours.


The World Trend BCP is reviewed periodically and subject to modification without notice.Updates to the plan summary will be posted on the firm’s website at A written copy of the summary of our BCP is provided to customers at account opening.Customers may obtain an updated hard copy BCP upon request.


World Trend’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our clients and customers even in the event of an emergency or significant business disruption; however, it is not infallible.The plan is designed to work in many different emergency situations; but these events are, by their nature, unpredictable and it is impossible to anticipate every scenario that could cause a business disruption.Furthermore, although we are confident in our own preparedness, World Trend has no control over the various entities we may need to rely upon in the event of an emergency.Our business continuity plans are tested periodically to ensure readiness; yet such tests may not be able to replicate the actual conditions we may experience in a real emergency.The information contained in this disclosure is provided by World Trend for informational purposes only.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 World Trend.

If you have any questions about World Trend’s business continuity planning, please contact us. Our contact information is below.