News

June 5th, 2018

TFS ICAP LLC DISCLOSURES

TFS ICAP, LLC. Business Continuity Plan Summary and Disclosure Statement

TFS ICAP, LLC. intends to offer service to customers as quickly and efficiently as possible after a business disruption event. Summarized below is our intended response to disruptions of various scopes:

1. 1) Disruptions to our office at 32 Old Slip, New York, the New York City Financial District or New York City outside the scope of usual phone / communications    disruptions: The Connecticut back up facility of TFS ICAP, LLC, will be activated. Customers will be contacted either by phone or electronic media such as e-mail or approved Instant Messaging services using back-up contact lists stored individually by the brokers or electronically by the IT Department. Alternatively, customers may contact TFS at (203) 351-9557 or via e-mail at equity@tradition.com. TFS should be able to provide service to customers using telephone and electronic medium, assuming OTC financial markets and / or exchanges and are unaffected by the disruption, between 24 and 48 hours of the disruption.

2. 2) Regional Description TFS ICAP, LLC will attempt to resume business as quickly as practical either at the TFS New York office or at the firm's back up facility in Stamford, CT. TFS will attempt to provide customers with status reports on www.traditionicap.com. TFS should be able to provide service to customers using telephone and electronic medium from either of these sites, assuming OTC financial markets and / or exchanges and are operating, concurrently with the ending of the regional disruption.

3. 3) Summary of TFS Emergency Contact Information: Website www.traditionicap.com Phone #'s: New York 1 (212) 943 8100, Stamford, CT back-up phone # 1 (203) 351 9557. E-mail contact addresses: equity@tradition.com, larry.rosenshein@tradition.com, david.merola@tradition.com.

PRIVACY

• Your privacy is important to TFSICAP

• Privacy Statement

• We are committed to protecting our customers' personal and financial information. In the course of providing you with financial products and services, we need to collect and maintain certain nonpublic personal information about you. This Privacy Statement answers some questions about what nonpublic personal information we collect, what we do with it, and how we protect it.

• We do not sell your personal information to anyone.

• We collect nonpublic information about you from the following sources:

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  • •  Information we receive from you on applications or other forms.

  • •  Information about your transactions with TFS ICAP.

• We do not disclose any nonpublic information about you or former customers to anyone other than affiliates, except as permitted or required by law. For example, this may include providing information to companies that perform support services on our behalf or to providing tax information to regulators or the IRS.

• We restrict access to your nonpublic information to those employees who need to know that information to provide products or services to you.

• We maintain physical, electronic, and procedural safeguards to protect nonpublic personal information.