DISCLOSURES

PENSERRA DISCLOSURE STATEMENT

Penserra Securities 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 1-800-456-8850, you should call our alternative number, 925-594-5001 for George Madrigal or 646-459-0581 for Anthony Castelli, you can also go to our web site at www.penserra.com.  If you cannot access us through either of those means, you should contact our clearing firm Merrill Lynch Broadcort, at http://gmi.ml.com/Broadcort/ or 201-557-0700 for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for your customers.

Disclosure of Routing Practices

SEC Rule 606 (formerly Rule 11Ac1-6) states that broker-dealers who route customer orders in equity securities must make publicly available quarterly reports that identify the venues to which customer orders are routed for execution. These statistics provide an overview on which venues receive customers’ orders in New York Stock Exchange listed stocks, NASDAQ stocks, and AMEX stocks. The report provides this information for market, limit, and other orders.

Please note that the information you are about to view is hosted on the Market Systems, Inc. Web site. Penserra Securities believes the information on the Market Systems, Inc. Web site to be reliable, but cannot guarantee its accuracy. Furthermore, Market Systems, Inc. may have privacy and security practices different from those of Penserra Securities. (This link will launch a separate Web browser window. You will need to close the new window to return to the Penserra Securities’ Web site.)

View Penserra Securities Rule 606 Data for current quarter Investor Protection Principles 

  • there is no link between compensation for analysts and investment banking;
  • there exists a prohibition against any investment banking personnel having input into analyst compensation;
  • upon discontinuation of research coverage of a specific company, the firm will disclose the coverage termination and the rationale for such termination;
  • the firm will disclose in research reports whether it has received or is entitled to receive any compensation from a covered company over the past 12 months; and
  • the firm has established a monitoring process to ensure compliance with these principles

For more information

If you have questions about our business continuity planning, you can contact us at 1-800-456-8850.

Further information may also be found directly at http://brokercheck.finra.org/.

Our yearly financials are available here.