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 Greenbrae, as well as access to our website at www.qllc.com. 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) 996-3003.
We may change this Policy from time to time so please check this page occasionally to ensure that our latest version is still acceptable to you. By using our website or our services, you’re agreeing to be bound by this Policy.
Any questions regarding this Policy and our privacy practices should be sent by email to: firstname.lastname@example.org
The rules on processing of personal data of residents of the European Union are set out in the EU General Data Protection Regulation (the “GDPR”).
How do we collect information from you?
Q Advisors 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. 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 from our engagement. We also create internal lists of such data. We may also obtain information about you in direct sales engagement activities or when you complete our online forms. We do not use “cookies” on our website.
Links to other websites
Use of our Website by Children Under 13
We discourage use of our website by children under the age of 13. We do not collect age related information on the Q Advisors website so we have no information on the age of persons accessing our website.
Your rights and your Personal Data
When exercising any of the rights listed below, in order to process your request, we may need to verify your identity for your security. In such cases we will need you to respond with proof of your identity before you can exercise these rights.
• The right to access Personal Data we hold on you
• The right to correct and update the Personal Data we hold on you. If the data we hold on you is out of date, incomplete or incorrect, you may inform us and your data will be updated subject to our verification.
• The right to have your Personal Data erased
• You may request that we erase the Personal Data we hold about you. When we receive your request, we will delete your Personal Data or inform you of the reason why it cannot be deleted (for example, because we need it for to comply with a legal obligation).
• If you are a resident of Switzerland or the European Economic Area (“EEA”), you may have additional rights under data protection law. For example, you have the right to lodge a complaint with the Information Commissioner’s Office.
To exercise all relevant rights, queries or complaints, please in the first instance, contact Q Advisors via email at: email@example.com. If this does not resolve your complaint to your satisfaction, you may contact the Information Commissioners Office on 0303 123 1113 or via email https://ico.org.uk/global/cont... or at the Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF.
Transfers to the U.S. If you reside in Switzerland or the EEA, you acknowledge and agree that the information provided to Q Advisors will be transferred to the United States. Upon our client’s explicit written request, Q Advisors may execute Standard Contractual Clauses approved by the European Commission for the benefit of the client in order to ensure adequate protection for the Personal Data in accordance with the requirements of the EU General Data Protection Regulation.
By submitting your Personal Data or allowing the Q Advisors’ client whom you represent to submit your Personal Data to us, you’re agreeing to this transfer, storing or processing. We will take steps to ensure that appropriate security measures are taken with the aim of ensuring that your privacy rights continue to be protected as outlined in this Policy.Each of client’s Representatives have the following rights with respect to their Personal Data.
Review of this Policy
What type of information is collected from you?
Clients who engage us generally provide us with financial information and information about their business (“Client Data”) as well as names, addresses, email addresses and phone numbers (“Personal Data”) of their employees; they may also provide us with Personal Data of their investors, stockholders, advisors, and other persons with whom we interact during the course of our engagement (collectively “Representatives”). Persons who fill out “contact us” forms on our website generally provide us with their name, address, email address and phone number. We generally don’t collect “sensitive” Personal Data from our clients or their Representatives, such as social security numbers, individuals’ bank account information, birth dates, credit card information or medical information as this information is not required for our engagements and we discourage our clients and their Representatives from providing any sensitive Personal Data to us during the course of our engagements.
How is Client Data and Personal Data used?
Interact with your Representatives to provide you services under our engagement agreement;
Develop a strategic plan for our engagement;
Share the information with select third parties, such as bankers, investors and potential strategic partners, in connection with our specific engagement;
Send you communications which you have requested and that may be of interest to you. These may include newsletters, product updates, activities & promotions of our group companies’ goods and services;
Seek your views or comments on the services we provide;
Notify you of changes to our services;
Post out and/or email copies of news of interest to investors (including press releases) to your address;
Comply with federal, state or local laws, rules and other applicable legal and regulatory reporting requirements;
Resolve clients disputes or inquiries;
Protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability; and
Comply with your written instructions.We may use your information to:
How long do we keep your Personal Data and Client Data?
We review our retention periods for Personal Data and Client Data on a regular basis. Currently this information is retained during the term of our engagement and for a period of seven years following termination of our engagement, in accordance with our records retention policies and to satisfy regulatory requirements.
Who has access to your information?
Q Advisors’ employees assigned to work on your engagement will have access to Client Data and Personal Data as necessary to perform our investment banking services. We may also share your Client Data and Personal Data with third parties as directed by you or as we deem necessary for us to execute on our investment banking services, such as bankers and investors in connection with a financing transaction and potential target companies in connection with a merger or acquisition. We may also share information with persons assessing our compliance with industry standards, or to the attorneys, accountants and auditors of Q Advisors. Representatives’ Personal Data as well as Client Data will never be sold or made available to other parties for any other purposes unless required by law, other legal processes or professional standards.
We may, however, transfer your Client Data and Personal Data to a third party as part of a sale of some or all of our business and assets or as part of any business restructuring or reorganization. We may also disclose or share your Client Data or Personal Data in order to comply with any legal obligation or to protect the rights, property or safety of our employees, investors and client. However, we will take reasonable steps to protect the privacy of your information.
You may not opt out of providing Client Data or Personal Data in connection with our engagement as that information is required for us to perform our services. You have a choice about whether or not you wish to receive marketing information, newsletters or press releases (collectively “Marketing Materials”) from us. Individuals residing in the EEA, must opt-in to receive Marketing Materials. Individuals residing outside of the EEA may receive Marketing Materials but can elect to opt-out by selecting the “unsubscribe” button contained in the Marketing Materials if they do not want to receive these communications from us.
You can change your marketing preferences at any time by contacting us by email: firstname.lastname@example.org
Security precautions in place to protect the loss, misuse or alteration of your information.
During regular business hours, access to hard copies of client records is restricted to only those with approval to do so. During hours in which Q Advisors’ offices are closed, hard copies of client records are stored in locked cabinets. Access to electronic copies of Client Data and Personal Information is restricted solely to those Q Advisors’ personnel who require access to perform our services. Q Advisors incorporates technological and operational security policies and procedures to protect Personal Data and Client Data from loss, misuse, alteration or unintentional destruction. Personnel who have access to such information have been trained to maintain the confidentiality of such information.
Q Advisors 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 Advisors will protect the information our clients provide in a manner that is safe, secure and professional. Q Advisors and its employees are committed to protecting our clients’ privacy and to safeguarding that information.
No fee or compensation was paid to any person making a testimonial contained herein. The testimonials included may not be representative of the experience of other clients. Testimonials are not a guarantee of future performance or success.
The tombstone announcements contained in Q Advisors’ website appear as a matter of record only.