Business Continuity Plan Disclosure

Laidlaw & Company (UK) Ltd., Business Continuity Plan
Disclosure Statement

Laidlaw & Company (UK) Ltd. 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 is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us- If after a significant business disruption you cannot contact us as you usually do at (212) 697-5200 you should call our alternative numbers (877) 700 4004 or (866) 376-7119 or go to our web site Our clearing firm is: Sterne Agee and Leach 800 Shades Creek Parkway, Suite 700, Birmingham, Alabama 35209; If after a significant business disruption you cannot contact us through any of the means listed above, you should contact Sterne Agee and Leach which will provide prompt access to funds, securities, entering orders and processing trade-related cash and security transfer transactions at the numbers listed below.

Sterne Agee and Leach
Visit the website at or call
Operations (888) 678-3763
Clearing Liason (800) 778-6257
Corporate Administration (800) 240-1438

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, give 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, regulatory reporting, and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, Sterne Agee and Leach, backs up our important records in a geographically separate area. 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 our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and payments as soon as practical. Your orders and requests for funds and securities could be delayed during this period.

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 our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption affecting our business district, city or region, we will transfer operations to our clearing firm if necessary, and notify you through our web site or to our customer emergency numbers, (877) 700-4004 or (866) 376-7119 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information- if you have questions about our business continuity planning, you can contact us at (212) 697-5200 or