Business Continuity Plan – Executive Summary

As required by securities industry regulations, KLR Group, LLC has developed a Business Continuity Plan addressing how we will respond to events that disrupt our business. Since the timing and impact of disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.

Significant business disruptions can vary from disrupting only our firm to the region in which we are located. Our Plan addresses various disruptions and is intended to mitigate reasonable risk so as to permit the continuation of key business operations. Our Business Continuity Plan addresses data back-up and recovery, mission critical systems, safeguarding our employees and property, financial and operational assessment, alternative communications with customers, employees and regulators, alternate physical location of employees, critical supplier, bank and counterparty impact, regulatory reporting, and allowing our customers to transact business.

KLR Group, LLC maintains redundant offsite archival storage facilities in a geographically separate area. Our clearing firm, Cowen Execution Solutions LLC, also backs up certain of our records. We have designated an alternate site to conduct key business operations until we are able to return to our offices. The firm’s goal is to recover its critical operations within minutes or hours after the disruption.

In the event of a business disruption KLR Group, LLC will provide information to its employees and clients via telephone calls, call-forwarding, e-mail and other telecommunication services. Our contact information is:

KLR Group, LLC
811 Main Street, 18th Floor
Houston, TX 77002
(713) 654-8080

Or

KLR Group, LLC
135 E. 57th Street, 14th Floor
New York, NY 10022
(212) 642-0425

If you are unable to contact us through those means you may contact our clearing firm, Cowen Execution Solutions LLC, for trade related information. Their contact information is:

Cowen Execution Solutions LLC
1633 Broadway, 48th Floor
New York, NY 10019
(800) 828-5454 or (212) 468-7635 or (212) 468-7620

Our Business Continuity Plan is subject to modification. An updated summary will be promptly posted on our website, www.klrgroup.com. Customers may alternatively obtain updated summaries by requesting a written copy by mail.