Business Continuity Plan (FINRA Rule 4370)
MPS maintains a business continuity plan (“Plan”). Consistent with regulatory requirements, MPS provides this disclosure statement which summarizes the Plan to our clients. The Plan is reviewed annually and may be updated at any time.
The Plan is designed to be activated in the event of a significant business disruption. The Plan attempts to continue critical operations if an event were to occur that would impact MPS’ business location or systems. The Plan anticipates a variety of significant business disruptions and the actions MPS would take in the event of a building, city-wide or regional incident. The Plan provides that, upon the occurrence of a significant disruption, MPS will immediately perform an initial assessment of the severity of the event. 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 MPS’ books and records, and to transact business. In short, our business continuity plan is designed to permit MPS to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
If, in the event of significant business disruption, you cannot contact us as you usually do, please contact us by email at firstname.lastname@example.org.
MPS understands your Privacy is important and the firm has always been committed to maintaining your confidentiality. This notice will help you understand what types of nonpublic personal information – information about you that is not publicly available – we may collect, how we use it and how we protect your privacy. We recognize that you expect your personal information to be handled in a professional, confidential manner and we have adopted policies to safeguard your privacy and to explain the circumstances, under which we may collect, maintain and use any non-public personally identifiable information that you may provide us.
Please view or download our Privacy Notice.