Business Continuity Plan

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Summary of Business Continuity Plan

[/vc_column_text][vc_separator type=”small” position=”left” color=”#00588e” transparency=”1″ thickness=”1″ width=”400″ up=”30″ down=”30″][vc_column_text]We are a member of FINRA and are required to create and maintain a business continuity plan pursuant to FINRA Rule 3510. In accordance with this rule, T&T Capital Management has developed a plan to ensure that we can continue to run our business during periods of business emergencies.[/vc_column_text][vc_empty_space height=”24px”][vc_column_text]

Our plan addresses the following areas of concern:

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  • Books and records recovery• All mission critical systems
  • Financial and operational assessments
  • Alternate communications between T&T Capital Management and its customers
  • Alternate communications between T&T Capital Management and its employees
  • Alternate physical location of employees
  • Critical business constituents, banks and counter-party impact;
  • Regulatory reporting
  • Communications with regulators
  • How T&T Capital Management will assure customers’ prompt access to their funds and securities in the event that T&T Capital Management determines it is unable to continue its business.
  • Events creating a disruption of business may vary in nature.

[vc_empty_space height=”24px”][vc_column_text]Events creating a disruption of business may vary in nature. They could affect only T&T Capital Management affect the building where T&T Capital Management is located, affect the entire business district where T&T Capital Management is located, or result in a regional disruption. T&T Capital Management fully intends to continue to conduct a securities business during these periods of disruption.[/vc_column_text][vc_empty_space height=”24px”][vc_column_text]To address disruptions affecting only T&T Capital Management, T&T Capital Management’s building, or the business district where T&T Capital Management is located, T&T Capital Management has arranged to conduct its business out of an alternate location that can accommodate its employees and critical information technology systems.[/vc_column_text][vc_empty_space height=”24px”][vc_column_text]Please be advised that business continuity plans are subject to change and modification. T&T Capital Management intends to update and test its business continuity plans as business conditions and technology change. All changes to its business continuity plan will be communicated to our customers.[/vc_column_text][/vc_column_inner][/vc_row_inner][vc_empty_space height=”60px”][/vc_column][/vc_row]