Business Continuity Plan
Q Advisors, in accordance with FINRA rules, has adopted a Business Continuity Plan (the “Plan”) in the event of a significant disruption to our business. Such disruption may occur due to a localized event such as a fire or water damage, or from a national event such as a large natural disaster or a terrorist attack.
In the event of any significant disruption, we will do everything we can to maintain our contact telephone numbers in Denver and San Francisco, as well as access to our website at . We will post messages and important information on our website as quickly as possible.
Our Plan addresses who our responsible personnel will be in the event of a disaster; how to safeguard our employees’ lives and the firm’s property; how to evaluate the situation and initiate appropriate action; processes to recover and resume operations to allow the continuation of our business; the provision of our clients’ access to important documentation and information; and the protection of our books and records. The Plan contains information regarding data back-up and recovery; our mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical vendor and contractor impact and alternatives; and regulatory reporting.
Significant business disruptions can vary widely in their scope, such as only our firm, a single building housing our firm, the business district in which one of our offices is located, one of the cities where our firm has offices, or an entire region. Within each of these areas, the disruption can range from minimal to severe. If a localized disruption occurs, the Plan calls for quickly relocating our employees to alternative sites as needed in order to promptly resume operations, preferably within 24 hours. If a disruption occurs that affects a wider area, such as an entire city, the Plan calls for us to move employees to an unaffected area, and to resume operations, if possible, within several days.
In either situation, please consult our website to obtain further information, including how to contact our employees. If you have additional questions about the Plan, please call us for more information at (303) 996-3002.
Privacy Policy
Q Advisors LLC (“Q LLC”) may require that our
clients provide us with current and accurate financial and/or personal
information, pursuant to the terms of our engagement for investment
banking services. Q LLC will protect the information our clients provide
in a manner that is safe, secure and professional. Q LLC and its employees
are committed to protecting our clients’ privacy and to safeguarding
that information.
Safeguarding Client Documents
We may collect non-public client data via due diligence requests,
forms, checklists, and in documentation provided to us by our clients
for evaluation pursuant to our engagement and any potential transactions
resulting therefrom. We also create internal lists of such data.
During regular business hours access to client records is monitored
so that only those with approval may access the files. During hours
in which Q LLC’s offices are closed, client records will be
locked.
No individual who is not so authorized shall obtain or seek to obtain
financial and personal client information. No individual with authorization
to access financial and/or personal client information shall share
that information in any manner without the specific consent of a firm
principal. Failure to observe Q LLC’s procedures regarding client
privacy policies will result in discipline and may lead to termination.
Sharing Nonpublic Financial and Personal Information
QLLC is committed to the protection and privacy of its clients’
financial and personal information. QLLC will not share such information
with any affiliated or nonaffiliated third party except:
• As authorized in connection with Q LLC’s provision of
investment banking services;
• When necessary to complete a transaction with respect to a
client’s invoices or other account matters;
• To resolve client disputes or inquiries;
• With persons acting in a fiduciary or representative capacity
on behalf of the client;
• With persons assessing compliance with industry standards,
or to the attorneys, accountants and auditors of the firm;
• In connection with a sale or merger of Q LLC’s business;
• To protect against or prevent actual or potential fraud, identity
theft, unauthorized transactions, claims or other liability;
• To comply with federal, state or local laws, rules and other
applicable legal requirements;
• In any circumstances with the client’s written instruction
or consent.
Opt-Out Provisions
It is not a policy of Q LLC to share nonpublic financial and/or personal
information with affiliated or unaffiliated third parties except under
the circumstances noted above. Since sharing under the circumstances
noted above is necessary to provide appropriate services to clients
pursuant to our engagements or is mandated by law, there are no allowances
made for clients to opt out.
|
