Vistia Capital, LLC
Business Continuity Plan

Vistia Capital, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is 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 720-738-1740, you should contact us on our alternative number, 801-709-8251, email [email protected], or go to www.vistia.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 backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical suppliers, contractors, bank and counter-party 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, the business district where our firm is located, the city where we are located, or the whole region. 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 within 24 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area and recover and resume business within 48 hours. In either situation, we plan to continue in business, and notify you through our web site www.vistia.com or our customer emergency number, 720-738-1742.

Response to a Pandemic – To the extent that a Company office is in an area where a Pandemic has been declared, if travel restrictions have not been imposed, the Designated Principal shall consider temporarily moving key personnel to an alternative location or implement the Firm’s Remote Working procedures.

Remote Working Policy – Vistia allows registered representatives to work remotely. As a result, additional policies and procedures tailored to such circumstances have been implemented to assist registered representatives and other personnel in continuing business during an SBD and ensuring compliance with updating circumstances, rules, and regulations.

For more information – If you have questions about our business continuity planning, you can contact us at 720-738-1742.

This plan is subject to modification, an updated summary will be promptly posted on our Web site and customers may alternatively obtain updated summaries by requesting a written copy by mail.

 

Last Updated: August 2023