Business Continuity Planning




Business Continuity Planning

Regulatory Compliance, LLC (RC) is committed to our clients and maintaining secure systems and communications. RC has developed a Business Continuity Plan describing how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we must be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information so that in the event of emergency or disaster you can reach us.    

Contacting Us: Regulatory Compliance can be reached via telephone at (603) 434-3594; however, should this number be unavailable you can call our alternate number (603) 432-3958 or go to our Web site:  www.RegulatoryCompliance.com. 

Facsimile: Regulatory Compliance can be reached via facsimile at (603) 437-3676; however, should this number be unavailable, you can fax to our e-fax number (603) 218-6356. 

Communication: Regulatory Compliance staff can be reached via email using the following nomenclature: firstinitiallastname@regulatorycompliance.com.

RC staff has ability to check email from any location or device with Internet service. 
You can also reach our entire staff by emailing BCP@regulatorycompliance.com. 

In the event of a failure of our primary email service, email may be sent to:
Regulatorycompliance@yahoo.com

Client Notification: In the event of an emergency, RC will send an email to our entire database notifying that emergency contact and business continuity procedures have been put into action.  This email could possibly come from any RC Staff member listed on “Our Team” page. 

In the event of a disaster, RC plans 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 our customers’ and 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 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 suppliers, contractors, banks; regulatory reporting; and assuring our customers prompt access to their compliance documents if we are unable to continue our business.

Employee Safety: RC places an emphasis on employee safety by conducting regular emergency drills.

Contingencies for Inclement Weather:
 In the event employees are unable to access our primary site due to inclement weather, alternate arrangements have been established including alternate locations and remote access.

Regulatory Reporting & Communication:
 Regardless of the length of a business interruption, RC will strive to meet our clients’ regulatory requirements as mandated by the SEC, FINRA and all SROs. In the event our business is not operational within a reasonable period, our clients will be notified as soon as practicable.

Information Technology:  Our records are backed up in a geographically separate location where our servers and data are securely locked and protected.  We also have a secured locked secondary backup of our data. Our servers are located offsite at a collocation space that has 24x7 physical access. The space has also completed an extensive SSAE16 Type II audit without exceptions. This audit is an assessment of the internal controls with a strong focus on data center security, redundancy, and design. The power includes redundant (primary and secondary) circuits that include electricity usage, UPS/battery and generator backup, and HVAC cooling. The data center’s Internet bandwidth is guaranteed to have 100% up time, and is provided to us by a combination of the top 6 Tier One providers (Including AT&T, Level3, Global Crossing, Savvis, Sprint, and Verizon Business (UUnet)). The center has redundant circuits carrying the bandwidth to its facilities, and it is monitored 24x7.

While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we will attempt to restore business operations as quickly as possible. Your requests for service may be delayed during this period.