Trade-PMR has developed a Business Continuity Plan on how we will respond to events
that significantly disrupt our business. Since the timing and impact of disasters
and disruptions is unpredictable, we will have to be flexible in responding to actual
events as they occur. With that in mind, we are providing you with this information
on our business continuity plan. Not all elements of the plan are displayed for
privacy and other security considerations.
Contacting Us – If after a significant business disruption you cannot contact
us as you usually do at 888-723-3767, you should call our alternative number 352-332-8723
or go to our web site at www.tradepmr.com.
If you cannot access us through either of those means, you should contact our clearing
firm, Sterne Agee & Leach, Inc., at 888-678-3763 or www.sterneagee.com for instructions on how it may provide
access to funds and securities, or enter orders.
Our Business Continuity Plan – 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
the firm’s books and records, and allowing our customers to transact business. In
short, our business continuity plan is designed to permit our firm to resume operations
as quickly as possible, given the scope and severity of the significant business
disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical
systems; financial and operational assessments; alternative communications with
customers, employees, and regulators; alternate physical location of employees;
critical supplier, contractor, bank and counter-party impact; regulatory reporting;
and assuring our customers prompt access to their funds and securities if we are
unable to continue our business.
Our clearing firm, Sterne Agee & Leach, backs up our important records in a geographically
separate area. While every emergency situation poses unique problems based on external
factors, such as time of day and the severity of the disruption, we have been advised
by our clearing firm that it has systems and procedures in place to restore its
own operations and be able to complete existing transactions and accept new transactions
and payments virtually immediately. A copy of Sterne Agee & Leach’s BCP policy is
available on their web site, www.sterneagee.com.
Varying Disruptions – Significant business disruptions can vary in their
scope, such as only our firm, a single building housing our firm, the business district
where our firm is located, the city where we are located, or the whole region. Within
each of these areas, the severity of the disruption can also vary from minimal to
severe. In a disruption to only our firm or a building housing our firm, we will
transfer our operations to a local site, or to our clearing firm if necessary, to
recover and resume business. In a disruption affecting our business district, city,
or region, we will transfer our operations to our clearing firm until we can recover
and resume business. We will promptly notify you of any business disruptions through
our web site www.tradepmr.com or our customer
emergency number in how to contact us. If the significant business disruption is
so severe that it prevents us from remaining in business, we will assure our customer’s
prompt access to their funds and securities.
For more information – If you have questions about our business continuity
planning, you can contact us at 888-723-3767 or info@tradepmr.com.