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Home > Financial Services > Stock Brokers > CP Capital Securities, Inc.
CP Capital Securities, Inc.
CP Capital Securities, Inc. 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.
The Company conducts business in securities, including mutual funds and general securities. CP Capital is committed to protecting its staff and ensuring the continuity of critical business functions in order to mitigate risk, safeguard revenues and sustain customer confidence.
CP Capital has developed a BCP that addresses advance preparations and actions to be taken in response to disruptions of various magnitudes. BCP has been developed to provide an organized approach to managing response and recovery activities following an unplanned incident or business interruptions provide prompt and appropriate responses to any unplanned incident, thereby reducing the effects resulting from short term business interruptions.
The BCP recognizes the potential impact of varying levels of disruptions on CP capital’s employees, equipment, computer and telecommunications systems, and office facilities. While it is impossible to anticipate every type of business disruption that could affect CP Capital’s business, the incidents that the BCP covers include but are not limited to any incident causing physical damage such as terrorist attacks, fire, smoke or water, any incident which indirectly affects employee access to CP Capital’s facility such as closure due to storm, and emergency building evacuation due to a threat, or external threat such as fire to a nearby facility, gas leaks or explosions, power outages, suspicious mail, bomb threats, Impending or unexpected disaster such as hurricane, tornado, rainstorm or wild fires, any external incident, which potentially could cause a business interruption, such as loss of electrical or telecommunication services, IT disruptions, or Cyber threats, and transportation related such as local traffic events or street closures, public transportation accidents or strikes, hazardous material spills, or interruptions in mail services.
In the event that a significant business disruption, where it is not possible to conduct business from CP Capital’s Miami office, the firm will conduct operation from an alternative site with sufficient resources to support critical operations. Telephone services would be rerouted to this, and contact with the Clearing firm would be maintained from this site. The firm will restore critical business functionality at the alternate site no later than48 hours of declaration of an SBD. Other employees have been designated to work from home during periods of major disruptions.
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