Disclosures

This page contains certain additional regulatory and other disclosures applicable to Dean Ryle Asset Management, LLC and its subsidiaries and affiliates.

 

Business Continuity Plan

Dean Ryle Asset Management, LLC maintains a business continuity plan allowing it to meet its responsibilities to its clients in the event of a business disruption. The plan is available here.

Business Continuity Plan Summary

Dean Ryle Asset Management, LLC (“Dean Ryle” or the “Firm”), has developed a business continuity plan outlining how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are 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 you cannot contact us through normal channels after a Significant Business Disruption (“SBD”), you should contact our Chief Compliance Officer, at compliance@deanryle.com. If you cannot access us by this method, call Dean Ryle on + 1-212-292-3721.

Our Business Continuity Plan

Our Firm’s policy is to respond to an SBD by safeguarding employee’s lives and Firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Firm’s books and records, and allowing our clients to invest in the products offered by the Firm.

In the event that we determine we are unable to continue our business, we will ensure that customers have the appropriate information to contact Dean Ryle in order to obtain information regarding their applicable investments.

Our business continuity plan addresses: data backup and recovery for all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; regulatory reporting; and assuring our customers' prompt communication regarding our alternate operations and that of Dean Ryle.

Varying Disruptions

Significant business disruptions can vary in their scope. The severity of the disruption can also vary from minimal to severe. If a disruption impacts our ability to access our office facilities, though all systems may be functioning, remote access to these facilities will be provided over the internet. If a disruption also renders the systems unusable, remote access to a systems recovery location will be provided over the internet. In the former scenario, we expect recovery and resumption of operations within hours; in the latter scenario recovery and resumption is expected within 48 hours. We plan to continue operations and to communicate to you the method by which to contact us.

Securities and Exchange Commission, Other Securities Regulators

As a Registered Investment Adviser, the Securities and Exchange Commission or any other agency has not sponsored, recommended or approved us, based upon our registration (under Section 208 of the Advisers Act).

For More Information

If you have questions about our business continuity plan, you can contact us at + 1-212-292-3721 or our Chief Compliance Officer, at compliance@deanryle.com.