Business Continuity and Disaster Recovery Plan (BCDR)
Purpose
In the rare event that ProFuturesTraders' phone systems, internet, and critical functions shut down, you can call directly to StoneX at 1-800-920-5808 or IronBeam at 312-765-7200. However, we do have a backup office in Elizabethtown, KY.
1. Essential Components (per NFA Interpretive Notice 9052)
Backup Facilities & Systems
Primary location: Wilmington, NC. Alternate: Elizabethtown, KY.
Data & Document Backup
Periodic backups of essential records (client data, trade logs) are stored in the Google Cloud via Vault and a separate hard drive.
Third-Party Impact Mitigation
Assess vendor risks; maintain SLAs and alternative providers (e.g., clearing firms, data feeds).
Communication Plan
Procedures to contact: APs, clients, carrying brokers/FCMs, vendors, regulators (NFA/CFTC), and disaster recovery specialists. Use email, secure portal, phone tree.
2. Plan Activation & Incident Response
Activation: By Incident Commander (e.g., CEO) or delegate upon major disruption.
Incident Management Contact (IMC):
Drew Rathgeber, President 949-996-4611
Steps: Detect → Assess → Activate → Recover → Test/Stand down.
3. Regulatory Notifications
- Update NFA with current key management/disaster recovery contacts (via Member Questionnaire/WinJammer™).
- Notify NFA/CFTC promptly in emergencies (per Rule 2-38(b) for applicable members).
4. Testing & Training
Annual testing
5. Appendices (Maintained Separately)
Contact lists (employees, vendors, regulators).
6. Futures Clearing Merchants (FCMs)
This streamlined BCDR is a living document tailored to ProFuturesTrader's size, operations, and risks (e.g., hurricane exposure in Wilmington, NC). For questions, contact ProFuturesTrader at 949-996-4611 or email Drew Rathgeber at drathgeber@profuturestrader.com.