|
|
 |
| |
|
Home > Financial Services > Stock Brokers > Heflin & Co., L.L.C.
Heflin & Co., L.L.C.
Heflin & Co., L.L.C. is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Heflin & Company, LLC has developed a Business Continuity Plan on how they will respond to events that significantly disrupt their business. Since the timing and impact of disasters and disruptions is unpredictable, they will have to be flexible in responding to actual events as they occur. With that in mind, they are providing you with this information on their business continuity plan.
The clearing firm, Pershing LLC, backs up their 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, their clearing firm has advised them that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments.
Heflin & Company, LLC’s serves policies regarding the treatment of their customer’s nonpublic personal information. At Heflin, they appreciate the trust that clients place in them and they recognize the importance of protecting the confidentiality of non-public personal information that they have in their possession. The information is used to ensure accuracy in record keeping and to carry out requested transactions.
The firms plan is to quickly recover and resume business operations after a significant business disruption and respond by safeguarding their employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing their customers to transact business. In short, their business continuity plan is designed to permit their firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Financial Services Companies
all are here at FinancialBrowsers.com Permission is granted to reproduce this article as long as the above resource paragraph is left intact with active links.
Back to Stock Brokers
|
|
|
|
|
|
|