- An alternative place of doing business;
- Customer access to funds and securities, if applicable;
- Data Back-Up and Recovery;
- Recovery of mission critical systems and business constituents;
- Alternate communications between the firm and its customers, employees and regulators; and
- Regulator reporting.
It is the firm’s plan to have all critical business functions recovered within one business day after the occurrence of a SBD. In the event that a SBD affects the whole region or country, then the firm will make all efforts to restore its business functions within the most immediacy as possible.
This policy notice is required by the Financial Industry Regulatory Authority (FINRA). For additional information contact:
Charles A. Bryan
Alternate Telephone Numbers: