Introduction

The following information applies to Avior Capital Markets US LLC (“AVIOR”) and its affiliated entities.

Anti-Money Laundering Program and Customer Identification

Under the US Patriot Act, we are required to establish and maintain an Anti-Money Laundering Program(“AML”). US Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account with AVIOR. When an account is opened, we will ask for your name, address, date of birth and a copy of a valid form of government issued photo identification. A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government issued business license, partnership agreement or trust agreement.

Privacy Policy

AVIOR is a broker/dealer registered with FINRA. As a customer of AVIOR, we believe that protecting your privacy is extremely important and AVIOR wants to be certain that we maintain the confidence and trust of our customers. We collect non-public information on the new account documents as well as trade records. We may share this information with our affiliates in order to complete all transactions entered with AVIOR. We do not otherwise disclose or share any non-public information about our customers or former customers to anyone, except as required by law. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public information. In the event that you close your account with AVIOR, we will adhere to the privacy policies and practices as described in this notice.

Business Continuity Plan Summary

We have prepared and maintain a current Business Continuity Plan (“BCP”) in compliance with FINRA and other applicable rules. The following information summarizes our plan to continue business and meet our existing obligations to customers in the event of a Significant Business Disruption (“SBD”).

AVIOR’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 customers to transact business. We will make every reasonable effort to meet our obligations to customers at all times. Our plan anticipates two kinds of SBD’s, internal and external. Internal SBD’s affect only our firm’s ability to communicate and do business. External SBD’s prevent the operation of the markets or a number of firms, such as a terrorist attack, a flood or wide-scale disruption. In the event that we determine that we are unable to continue the normal conduct of our business, due to any of the scenarios described above or any other circumstances, we will enact our BCP in order to assure information is accurately communicated to customers. AVIOR does not hold customer funds or securities nor does AVIOR have access to such. Our BCP outlines back-up facilities and arrangements that will be utilized in these circumstances. We will make every effort to continue to conduct business during any SBD employing the use of our BCP. We plan to conduct business during any SBD unless circumstances prohibit us from doing so. If, for any reason, we are forced by circumstances outside of our control to halt business, we will immediately determine our planned recovery time and communicate those plans to all concerned parties.



A copy of Avior US’s Business Continuity Plan is available upon written request. Please complete the Contact Form, accordingly.

Important Contact Information

SIPC – www.sipc.org or (202) 371-8300
FINRA – www.finra.org or (301) 590-6500