Business Continuity

Hampton’s Business Continuity Plan

Hampton Securities (USA), Inc. has developed a business continuity plan detailing how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur. With that in mind, we are providing you with this general overview of our business continuity plan.

Contacting Us – If, after a significant business disruption, you cannot contact us as you usually do, contact our head office at 1-877-225-0229 or go to our affiliated company’s website, www.hamptonsecurities.com for further instructions.

If you are a customer and cannot contact us through either of these means, you should contact our clearing firm, RBC Correspondent Services (RBC CS) at www.rbccorrespondentservices.com. You will have access to your available funds. Any requests for delivery or transfer of assets will be immediately referred to applicable RBC Support Staff. In respect to any trading instructions, your ability to trade your available funds may be impacted by market events outside of RBC’s control.

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 several concerns: 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, bank and counterparty impact; regulatory reporting; and prompt customer access to funds and securities if we are unable to continue our business.

Our carrying broker, RBC Correspondent Services (RBC CS), backs up our important records.

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 by RBC Correspondent Services (RBC CS) that its objective is to restore its own operations and be able to process limited trade-related transactions, cash disbursements, and security transfers within four hours. However, your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions – Significant business disruptions can vary in their scope. Disruptions can occur to 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 one business day. 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 within one business day. In either situation, we plan to continue in business and will be available to address any concerns you may have through our website (www.hamptonsecurities.com) and our head office (1-877-225-0229). If the significant business disruption is so severe that it prevents us from remaining in business, we will ensure our customers have prompt access to their funds and securities.

Firm’s Relationship with RBC CS  (“Our firm” refers to the correspondent) Our firm has a contractual agreement with RBC Correspondent Services (RBC CS) to serve as our clearing firm. This fully disclosed agreement states the responsibilities of each party. Prior to the agreement becoming effective, RBC CS is responsible for making all disclosures to our firm’s designated examining authority as required by NYSE Rule 382.  Each client of our firm is notified of the relationship via a disclosure letter. The disclosure letter details the responsibilities that our firm (the introducing broker-dealer) and RBC CS (the clearing firm) have to the client. Although client assets are held by RBC Capital Markets, LLC, neither RBC Capital Markets, LLC, nor RBC CS has responsibility for the financial condition or performance of our firm or our Financial Advisors.