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Business Continuity Plan

This document will be amended as those assumptions are addressed and/or as other changes affecting the firm and its policies are made.

Emergency Contact Persons
The firm’s administrative manager will update the emergency contact information as needed, but will confirm on a quarterly basis at minimum whether the information currently on file is accurate.

Firm’s Policy in Responding to SBDs
The firm’s policy is to respond to any significant business disruption (“SBD”) so as to:

  • Safeguard employees’ lives and the firm’s property, including all of the firm’s books and records
  • Make a financial and operational assessment
  • Quickly recover and resume operations
  • Make applicable regulatory filings
  • Provide the firm’s clients with the ability to communicate with appropriate investment advisory professionals

The firm’s plan anticipates two kinds of SBDs:

  • Internal SBDs affect only the firm’s ability to communicate and do business, such as a fire in one of the buildings where the firm’s personnel are employed.
  • External SBDs prevent the operation of a number of firms and/or the securities markets, such as a terrorist attack, natural disaster, or wide-scale, regional disruption such as a power outage. The firm’s response to external SBDs relies more heavily on other organizations and systems’ BCPs because the firm relies on them for business continuity planning, training, and implementation

Approval and Execution Authority
JonPaul Jonkheer and Greg Taunt have the authority to execute this BCP and are responsible for initially approving the firm’s BCP and for conducting a required annual plan review.

Plan Location and Access
The firm will maintain copies of its current BCP, the annual reviews, and records of any changes that have been made to the BCP for inspection. Electronic copies of the firm’s current BCP are stored within the CCO’s files.

Business Description
IASG Alternatives, LLC is a broker-dealer firm consisting of placement of private corporate debt and equity securities. The firm does not conduct a retail securities business and does not take custody of client cash or securities.