Marco Polo’s Business Continuity Planning Disclosure Statement
Marco Polo Securities (“MPS”) is required to inform its clients of its business continuity
plans in the event of a business disruption 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 at: 212
220-2670, you should call our alternative number 347-773-4959 or email us at
dibarra@mpsecurities.com.
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 clearing firm, Sterne, Agee & Leach, Inc. backs up our important records in a
separate geographic location. They can be reached at 205-240-1438.
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.
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 when needed and expect to recover and resume business within 24 hours. 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
approximately two to five days.
For more information – If you have questions about our business continuity planning,
you can contact us at 212-220-2700 or write us at 144 East 44th Street, 8th Floor, New
York, NY 10017 Attn: Compliance Department.
Marco Polo Securities (“MPS”) is required to inform its clients of its business continuity
plans in the event of a business disruption 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 at: 212
220-2670, you should call our alternative number 347-773-4959 or email us at
dibarra@mpsecurities.com.
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 clearing firm, Sterne, Agee & Leach, Inc. backs up our important records in a
separate geographic location. They can be reached at 205-240-1438.
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.
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 when needed and expect to recover and resume business within 24 hours. 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
approximately two to five days.
For more information – If you have questions about our business continuity planning,
you can contact us at 212-220-2700 or write us at 144 East 44th Street, 8th Floor, New
York, NY 10017 Attn: Compliance Department.