Sword Securities LLC (“Sword Securities”) is committed to protecting the privacy of its client and business relationships. Proper record keeping is an integral part of our business practice and information is maintained in compliance with applicable regulations of the SEC and FINRA. The types of information Sword Securities may collect in connection with providing services includes, but is not limited to, the following: name and address; tax identification number; investment experience; financial background; and bank or brokerage account information.
Sword Securities does not share any non-public information related to client or other business relationships to third parties without the consent of the relevant party, except in certain circumstances. These include situations where the disclosure of non-public information is: i) necessary to provide the agreed upon service; ii) made to affiliates or other firms that assist in providing services to a particular relationship, such as an advisor, fund manager, administrator, custodian, broker or dealer; iii) provided to financial institutions or service providers with whom Sword Securities has entered into an agreement; or iv) disclosed to auditors, attorneys, regulators or to other authorities as required by law or regulation. To the extent that information is disclosed to any of these entities, each will be required to maintain the information as confidential and/or in accordance with applicable law.
Business Continuity Place Disclosure Statement
Sword Securities LLC (“Sword Securities”) has in place a business continuity plan that outlines how Sword Securities will respond to significant business disruptions. In the event of a significant business disruption, whether internal or external, Sword Securities will follow the procedures outlined in the business continuity plan to resume business operations as quickly as possible.
While we do not foresee any significant consequences flowing from a business disruption, the procedures we have in place do insure that all critical information is safe and that we maintain access to that information and maintain continuous communication with regulatory authorities, clients, and employees.
The business continuity plan we have in place addresses the following aspects of dealing with a business disruption: 1) data back-up and recovery; 2) financial and operational risk and alternate communications between the firm and clients, employees, and regulators; 3) critical business constituents, banks, and counter-parties; and 4) regulatory reporting.
Sword Securities’ business continuity plan is reviewed and updated on a regular basis to maintain accuracy with current business operations. If you have any questions about the business continuity plan, you can contact us at 609-924-6710.
Sword Securities LLC is a registered broker-dealer and member of FINRA, located at 90 Nassau St., 5th Fl., Princeton, NJ 08542.