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Broker-Dealer Notifications

The following contains important information of which our clients and parties for whom we have effected securities transactions should be aware.

 

PRIVACY POLICY

M&A Securities Group, Inc. (“MAS”), a registered broker/dealer and member of FINRA/SiPC, considers the protection of your information to be a most important priority. Our privacy policy and practices are designed to support this objective. We want you to understand what information we collect and how we use it.

 

We may collect non-public, sometimes personal, information about our clients and parties who engage our firm to participate in certain securities transactions from the following sources:

  • Information we receive from you on applications and other forms;
  • Information we receive from you in order to provide certain investment banking advisory services;
  • Information concerning your transactions with us, our affiliated persons, or others; and
  • Information from a consumer-reporting agency or vendor providing anti-money laundering or Know Your Customer compliance services.

 

We do not disclose any non-public information about you to anyone, except as permitted or required by law. We restrict access to non-public personal information about you to those employees, affiliated persons and registered representatives who need to have access to such information in order to provide securities-related services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal information.

 

If you have any questions regarding this policy, please contact us via phone at 816-888-7920 or via email at jpastorino@securities-group.com.

 

INFORMATION REGARDING OUR BUSINESS CONTINUITY PLAN

MAS has developed a Business Continuity Plan that details 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.

 

Contacting Us: If after a significant business disruption you cannot contact us via our main number of 816-888-7920, you may contact one of our alternative numbers: 816-799-5886 or 816-309-3844. You may contact us via email at jpastorino@securities-group.com or alternatively at jpastorino@me.com. If you cannot access us through any of these means, you should contact your Registered Representative for instructions on how he or she may assist you.

 

Our Business Continuity Plan: We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our 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 backup 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 representatives, affiliated issuers, and third-party IT and electronic mail services back 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 advised our representatives that their objective is to restore their own operations and be able to assist their clients with any issues or questions. Your requests could be delayed during this period.

 

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, or the whole region. Within each of these areas, the severities of the disruption can also vary from minimal to severe. In a disruption to only our firm or building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one day. In either situation, we plan to continue in business and inform you as to how to contact us through notification through our website at http://securities-group.com/ , or via our emergency numbers (816-799-5886 or 816-309-3844). If the significant business disruption is so severe that it prevents us from remaining in business, we will ensure that we have means to advise you on how you may contact the issuers of your investments, as needed.

 

For more information: If you have questions about our business continuity planning, you can contact us at 816-888-7920 or via email at jpastorino@securities-group.com.

 

PATRIOT ACT & CIP PROGRAM

Under Section 326 of the USA PATRIOT Act, MAS is required to verify the identity of its clients. MAS may utilize the services of outside vendors to assist us with this government-mandated requirement. We appreciate your patience with our compliance efforts.

 

For purposes of Customer Identification Program, Section 326 defines “account” as a formal relationship with a broker/dealer established to effect transactions in securities, including, but not limited to, the purchase or sale of securities, securities loaned and borrowed activity, and the holding of securities or other assets for safekeeping or as collateral. CIP Notice

 

SIPC CONTACT INFORMATION; INVESTOR EDUCATION AND PROTECTION

You may obtain information regarding SIPC, including a copy of the SIPC brochure, by contacting SIPC at (202) 371-8300. SIPC may be found on the web at www.sipc.org. You may contact FINRA’s BrokerCheck Hotline by calling (800)289-9999 and may request an investor brochure that contains information describing FINRA BrokerCheck. FINRA’s website is http://www.finra.org

*Some transactions completed by MAS professionals on prior platforms.