NCA Business Continuity Plan
As part of our ongoing commitment to inform and engage our clients concerning their transactions and accounts, Navigant Capital Advisors (NCA) has devised a Business Continuity Plan. Notification of this plan to our clients is pursuant to FINRA Rule 3510e, and is intended to help inform our clients of Navigant Capital Advisors plan regarding such situations. NCA maintains, reviews and updates this plan on a regular basis so that we may meet our existing obligations to our clients, as well as the regulatory bodies governing these issues.
In the event of a significant disruption to our normal business operations, Navigant Capital Advisors retains and manages plans to allow timely recovery and resumption of normal operations following disruption. However, should a major office disruption occur, or should access to the advisor network be disrupted, Navigant Capital Advisors Support Desk can be reached by dialing:
In the case of a major disruption to normal operations, important information or communications for NCA clients may also be posted at the Navigant Capital Advisors website: http://www.ncacf.com/
NCA Business Continuity Plan (BCP)
The Navigant Capital Advisors BCP is designed to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making financial and operational assessments, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan enables our firm to resume operations as quickly as possible, given the scope and severity of the disruption. The plan addresses: situational assessment, health and life safety, system prioritization, data backup and recovery; financial and operational assessments; alternative communications with clients, employees, and regulators; and assuring our clients prompt access to their funds and securities if we are unable to continue our business.
For more information
For more information or to obtain the NCA Business Continuity Plan, please contact Brian Lenart, Chief Compliance Officer, through email or via phone at 708.624.1982.