Business Continuity Plan
Disclosure Statement
CARTER CAPITAL CORPORATION

 

Carter Capital Corporation has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information based on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do, please see the
Contact Us section of our website or contact one of our professional staff directly us using the information therein.

Our Business Continuity Plan – We plan 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 the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit the firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

The 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 supplier, contractor, bank and counter-party impact; and regulatory reporting.


Varying Disruptions – Significant business disruptions can vary in their scope, such as only the firm, a single building housing the firm, the business district where the firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only the firm or a building housing the firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one week. In either situation, we plan to continue in business, and notify you through our affiliate’s website (www.cartermorse.com).

 

Our business continuity plan will be reviewed and tested on an annual basis.  Additionally, we will continue to test our critical business systems and services provided by our outside service agents.  A copy of our complete business continuity plan is available to our current and prospective customers upon written request.