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Updates and Annual Review
Our firm will update this plan whenever we have a material change to our operations, structure, business or
location or to those of our brokerage firm. In addition, our firm will review this BCP annually, to modify it for any
changes in our operations, structure, business, or location or those of our brokerage firm.
Approval & Signature
Supervisor Approval
Approve the firm’s Business Continuity Plan (BCP) program by signing below.
I have approved this Business Continuity Plan as reasonably designed to enable our firm to meet its obligations to
clients in the event of a Significant Business Disruption.
Signed:
Officer Name and Title: John Riley CCO, Operating Manager
Supervisor Signature Date 10-10-2020
