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Disclosures

Relationship

Client Security

Risk

Business Continuity Summary

 

Introduction: This disclosure statement outlines the terms and conditions of the collaboration between Tethys Technology, Inc. (Tethys) and Oceanus Securities LLC. (Oceanus) This arrangement aims to provide services to clients and customers, leveraging the expertise and resources of both entities in the financial services industry.


Tethys and Oceanus have entered into a strategic agreement to offer integrated financial services and algorithms to our clients. This collaboration aims to combine the innovative technological solutions of Tethys with the regulatory and brokerage capabilities of Oceanus.


Nature of the Relationship:  Tethys and Oceanus work together as follows:

  • Technology Integration: Tethys has integrated its financial technology solutions with the systems and platforms of Oceanus to streamline processes and enhance the client experience.

  • Product Offerings: Oceanus will offer financial products and services through the platforms provided by Tethys ensuring accessibility and convenience for clients.

  • Regulatory Compliance: We are committed to adhering to regulatory requirements and maintaining compliance with relevant laws and regulations governing the financial services industry.

As part of our commitment to transparency and client protection, Tethys and Oceanus will ensure the following:

 

  • Privacy and Data Security: Both parties will uphold strict standards of data security and privacy, ensuring the confidentiality and integrity of client information in accordance with applicable laws and regulations.

  • Client Communication: Clients will receive timely and accurate communication regarding any changes or updates to the products, services, or terms of the partnership.

Investing in financial products involves inherent risks, including but not limited to market volatility, loss of principal, and potential regulatory changes. Clients should carefully consider their investment objectives, risk tolerance, and financial situation before making any investment decisions.


The arrangement between Tethys Technology, Inc. and Oceanus Securities LLC represents a commitment to innovation, collaboration, and client service excellence in the financial services industry. We are dedicated to delivering value-added solutions while upholding the highest standards of integrity and regulatory compliance.


Significant Business Disruptions
Our firm is committed to responding to Significant Business Disruptions (SBDs) by prioritizing the safety of our employees and firm property while promptly assessing financial and operational impacts. Our comprehensive plan aims to swiftly recover and resume operations while safeguarding all of the firm's books and records. We anticipate two types of SBDs: internal and external.
Internal SBDs are those that solely affect our firm's ability to communicate and conduct business, such as a fire in our building. In contrast, external SBDs hinder the operation of securities markets or multiple firms, including events such as terrorist attacks, city floods, or wide-scale regional disruptions. By recognizing and preparing for these potential disruptions, we aim to mitigate their impact and ensure the continuity of our operations even in challenging circumstances.  We regularly review and update our BCP in response to changes in business environment, technology, regulations, and emerging threats.  We ask critical vendors and to ensure they have their own BCPs in place.


Mission Critical Systems:
Our firm prioritizes the resilience and reliability of our mission-critical systems across various aspects. Network connections are maintained through multiple vendors with redundant connections, ensuring uninterrupted access to essential services. Data centers and servers are distributed across different states and countries, with backup servers for both our critical processes and customers who opt for this service. Additionally, we have numerous providers available as failovers for added redundancy.  Market data is sourced through multiple connections from at least two separate data centers, guaranteeing continuous access to vital information. Our phone systems are internet-based, supplemented by mobile applications for backup, and we utilize various communication channels such as email, Bloomberg, and Slack. Electrical power is secured with backup systems in data centers and desktops equipped with backup batteries for uninterrupted operation. Tethys software is self-managed, ensuring control and reliability in its usage. We also maintain internet connectivity through multiple providers spanning different countries and have protocols in place to manage third-party FIX connections and mitigate exchange outages by disabling routing when necessary.

For further information please contact: info@oceanussec.com

 

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