The following contains important information of which our clients and parties for whom we have effected securities transactions should be aware.
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 firstname.lastname@example.org.
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. This notice in its most current form will be posted on our website.
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 816-550-2396. You may contact us via email at email@example.com or alternatively at firstname.lastname@example.org. 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 our team, even in the event of a public health crisis that may result in a high rate of employee absences or remote working requirements.
We utilize third-party IT support, cloud based hosting, and various electronic record retention to back up our books and records and electronic communications 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 registered 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 those that solely affect our firm, a building in which our firm operates, the business district where our firm is located, or the whole region, state, country or world. Within each of these areas, the severities of the disruption can also vary from minimal to severe. When applicable, we will transfer our operations to remote locations and expect to recover and resume business without delay. In any event, we plan to continue in business and inform you as to how to contact us alternatively if necessary through our website at http://securities-group.com/ , or via our emergency numbers (816-799-5886 or 816-550-2396), automated forwarding of our business phone lines or automated responses sent from our email addresses with instruction. If the significant business disruption is so severe that it prevents us from remaining in business, we will notify you as quickly as practical.
For more information: If you have questions about our business continuity planning, you can contact us at 816-888-7920 or via email at email@example.com.
Patriot Act & CIP Program; Customer Due Diligence
Under Section 326 of the USA PATRIOT Act, M&A Securities Group, Inc. is required to verify the identity of its clients. M&A Securities Group, Inc. 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
The Customer Due Diligence Requirements for Financial Institutions Rule (the “CDD Rule”) promulgated by the Financial Crimes Enforcement Network (“FinCEN”) requires MAS to identify and verify the identity of beneficial owners of its legal entity clients. Unless an exemption to the CDD Rule applies, MAS is required to obtain from its clients all information and documents required by FinCEN in order to comply with the CDD Rule.
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