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Business Continuity Plan

Securities industry regulations require that brokerage firms provide clients with their plans for contingency in the event of a business disruption due to natural or other forces. Empire Asset Management Company and Empire Financial Management  Company  ("Empire") maintains  an extensive  Business  Continuity Plan on file which considers several circumstances of varying magnitude.   The following sets forth the basic considerations for a few possible situations:

•    If our primary physical location and the local network became unavailable, due to any circumstances such as a power outage, internet disruption or lack of physical  access  to our offices,  we would  restore  our electronic network to operate through the network backup which is stored off-site.
•    In the event that our telephone network was unavailable for an extended period of time but we continued to have use of the internet, the firm would post alternate telephone numbers to its website.
•    During a significant business disruption, if our clients are unable to reach us either by telephone or internet and require access to their accounts, they are advised to contact our clearing firm RBC Correspondent Services a division  of RBC Capital  Markets,  LLC, for access  to their funds  and securities.  Clients  are advised  to refer  to their  Account  Statements  for contact information.

Empire regularly assesses and tests its plan to verify that in the unlikely event it experiences  a  business  disruptions,  the  firm  has  taken  reasonable  steps  to
address risk, service interruption and limited account access.

Brokerage

Brokerage

Plan, track, and execute securities transactions in markets around the world, using a broad array of equity and debt instruments.

Asset Management

Asset Management

Every investment plan is customized based on a thorough assessment of each client’s unique goals, needs and appetite for risk while remaining cognizant of the changing market environment.

Investment Banking

Investment Banking

Reach a wider spectrum of investors through our experience in corporate financing, with particular strength in the medical and biotech industries.