RP&C International (Securities), Inc. is a member of the Financial Industry Regulatory Authority ("FINRA") ( www.finra.org ) and a broker dealer registered with the U.S. Securities and Exchange Commission.

RP&C International Limited is authorised and regulated by the Financial Services Authority of 25 The North Colonnade, Canary Wharf, London E14 5HS, United Kingdom.

St. James Investment Management Limited, a subsidiary of RP&C International Limited is regulated by the Financial Services Commission in Mauritius.

RP&C International Limited is registered in England and Wales with registered number 2722984. Its registered office is 31a St. James's Square, London, SW1Y 4JR. RP&C International Limited is registered for VAT with registration number 606 0428 72.

This financial promotion is issued by RP&C International Limited. The value of investments and income therefrom may fluctuate and your capital may be at risk. The services offered hereunder may not be suitable for all persons. Past performance is not necessarily a guide to future performance. Separate taxation advice should always be taken. RP&C International Limited will only typically act for professional clients and eligible counter-parties. If you have any questions concerning this website please contact your independent financial adviser for advice. If you are a professional client or eligible counterparty, you may also contact RP&C International Limited for advice. The RP&C Group does not hold client money or assets. The RP&C Group may pay part of any fees received to third party agents on terms agreed from time to time. The SEC, FINRA and FSA have not approved or endorsed the contents of this website or any member of the RP&C Group. All services provided which are regulated in the US are provided by RP&C International (Securities) Inc. All services provided which are regulated in the UK are provided by RP&C International Limited. The Financial Services Authority of the United Kingdom only regulates business undertaken by RP&C International Limited. A copy of the Business Continuity Plan of the RP&C Group is set out below. Membership of the FINRA does not mean that the FINRA has endorsed or approved of RP&C International (Securities) Inc.

RP&C International (Securities) Inc. is a member of the Securities Investor Protection Corporation ("SIPC"). Information on SIPC, including the SIPC brochure, may be obtained from their website www.sipc.org or by telephoning SIPC on (202) 371-8300.

RP&C International (Securities) Inc and RP&C International Limited are wholly owned subsidiaries of RP&C International Inc. St. James Investment Management Limited is a wholly owned subsidiary of RP&C International Limited.

All communication with clients is undertaken in English and by way of post, fax, email and telephone.

BUSINESS CONTINUITY PLAN SUMMARY STATEMENT FOR
RP&C INTERNATIONAL (SECURITIES) INC.
630 Fifth Avenue, 20th Floor
New York, NY 10111
BUSINESS CONTINUITY PLAN SUMMARY

RP&C International (Securities), Inc. 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 phone number (212) 332-7801 or by e-mail at: “rborg@rpcint.co.uk, or our alternative number (212) 332-7802, you may also access us through our sister company web site at www.rpcint.co.uk. If you cannot access us through these means, you should contact our sister company RP&C International Limited at (011-44-20-7766-7000) or at www.rpcint.co.uk for instructions on how it may assist.

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 back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, 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.

Our sister company, RR&C International Limited, backs up our important records in a geographically separate area.

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 eight hours of the business disruption. 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 twenty-four hours. In either situation, we plan to continue in business, transfer operations to our executing firm if necessary, and notify you through our customer emergency number, (212) 332-7801 or 011-44-020-7766-7000, explaining how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at (212) 332-7801 or by e-mail at: rborg@rpcint.co.uk.

CONFLICTS OF INTEREST

POLICY SUMMARY

The RP&C Group is required to manage conflicts of interest fairly and is required to disclose clearly any areas of conflicts that may impact its investment activities and services.

This policy below sets out the systems, controls and procedures that the RP&C Group has in place to manage potential conflicts of interest.

As a result of the range of investment activities carried out within the RP&C Group, there are a number of instances which may give rise to potential conflicts of interest within the organisation. Any potential conflicts of interest, and the methods by which such conflicts will be mitigated, are outlined in the engagement letter the RP&C Group executes with its clients.

The RP&C Group has a policy to restrict personal account dealing by staff in line with regulatory requirements. Typically, staff will not be able to deal in securities issued by past or present clients without the prior written approval of the compliance officer. All staff dealing is monitored for adherence to this policy.

The RP&C Group has a policy designed to prevent all staff from accepting gifts or entertainments worth more than £200 without prior approval from both the compliance officer and the chief executive officer.

Further details on this policy are available on written request by email at rborg@rpcint.co.uk.