Broker Check
 

Business Continuity Plan

Gregory J. Schwartz & Co., Inc. (“Schwartz & Co.”), which provides a platform for investors to purchase and sell investment vehicles, maintains important disaster recovery and business continuity plans that may be activated in the event of a significant business disruption. The firm realizes the critical nature of being able to continue material operations if an incident occurs that could affect critical business units and systems. These plans are key components in maintaining emergency procedures, and are required by securities industry regulations.

The firm, Gregory J. Schwartz & Co., Inc., has instituted plans that are intended to permit the continuation of key business operations during most types of disruptions by resuming critical operations, within at least two business days from the date of disruption. To assist this business continuity, the firm maintains technology capabilities in an alternate location from its main office. These steps have been implemented to allow clients prompt access to their funds and securities.

However, clients should be aware that because the firm’s plans contain details of a confidential and proprietary nature, they cannot be distributed to the public. Clients should also note, that Gregory J. Schwartz & Co., Inc.’s business continuity plan is subject to modification, and that updated plans will be available, as permitted by law.