BUSINESS CONTINUITY PLAN DISCLOSURE
During significant disruptions, business continuity is a high priority for Auctus Wealth Management. Our goal is to minimize the impact of any interruption, sustain an acceptable level of service for an extended period of time, and return to normal business activities as quickly as possible. This will ensure our continued ability to serve our clients and protect their assets.
Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ 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.
There are two types of SBDs that may occur, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, such as the investment and insurance companies with which we conduct business.
We leverage our resources and infrastructure through relocating our business to a designated business recovery site, as well as utilizing a dual backup system for our files through a cloud based service provider. The backups are located in two different geographic locations to further ensure safety and security of our books and records.
As part of our regular maintenance, we periodically test our disaster recovery plan to make sure that all systems are functioning properly. During this process we reassess financial and operational risks including our mission critical systems like access to our data, telephone, and order taking/entry systems.
For more information on our Business Continuity Plan, please contact our office at 215-854-0400.
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