Business Continuity Planning

Larkspur Capital Corporation 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 are unpredictable, we will strive to be flexible in responding to actual events as they occur. With that in mind, we are providing the following information on our business continuity plan.

Contacts

If after a significant business disruption we can not be contacted at our usual phone number: 212-376-5790, you should call our alternate number 917-892-2447 or email us at bmayer@larkspur.com. Finally, you may go to our website at http://www.larkspur.com. Where we will attempt to post any information we have that may help contact us.

Our Business Continuity Plan

We plan on quickly recovering and resuming 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 and bank 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 operations to a local site when needed and expect to begin business within 24 hours. In a disruption affecting our business district, city or region, we will transfer our operations to a site outside the affected area, and recover and resume business within 24 hours. In either situation, we plan to continue in business, and will notify customers through our website and customer emergency number 917-892-2447 how to contact us.

If you have any questions about our Business Continuity Planning, you may contact us at 212-376-5790 or at bmayer@larkspur.com.

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  Business Continuity Plan © 2009 Larkspur Capital Corporation All rights reserved.