BUSINESS CONTINUITY PLAN DISCLOSURE STATEMENT

Anchin Capital Advisors LLC has developed a Business Continuity Plan describing how we will respond to events that significantly disrupt our business.  Since the timing and impact of disasters and disruptions are 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) 536-6816, you should go to our web site at www.anchin.com. 

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:  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 assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Varying Disruptions
Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, our neighborhood, the city of New York, or the entire state of New York.  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 quickly. 
In a disruption affecting our neighborhood or city, we will transfer our operations to a site outside of the affected area, and recover and resume business as soon as possible.  In either situation, we plan to continue in business and notify you through our web site, www.anchin.com or our main telephone number:  212-840-3456, how to contact us.  If the significant business disruption is so severe that it prevents us from remaining in business, we will attempt to assure our customer’s prompt access to their funds and securities.

Updates
Our business continuity plan is subject to modification.  Descriptions of our updated plans will be promptly posted to our website.  You may alternatively obtain a description of our current plan by requesting a written copy by mail.

For More Information
If you have questions about our business continuity planning or would like additional information, please contact our President: Upen Saraiya, President or his Executive Assistant, Kim Burns.  They can be reached at (212) 536-6816 or via e-mail at: upen.saraiya@anchin.com or kim.burns@anchin.com.