ProFutures Investments - Managing Your Money

Disclosure of Business Continuity Plan

 

Firms are required to maintain a business continuity plan that addresses the continuation of key business functions in the event of a major business disruption. Firms must also have available an outline of the business continuity plan for its clients. ProFutures recognizes that, although remote, the possibility of business disruption due to various events does exist. We have had comprehensive business continuity plans in place for many years that are designed to minimize the impact of a major business disruption. This notice summarizes those plans.

ProFutures’ Business Continuity Plan (the “Plan”) identifies the core processes of our business and what actions would need to be taken if an emergency affected one of those core processes. The Plan also details how ProFutures would respond to different disruption scenarios, including relocation of our offices to a temporary facility. In the event of a major business disruption, the Plan is designed to help us:

* protect our employees’ lives and office property,
* evaluate the disruption and determine the appropriate response,
* quickly recover from the disruption and resume operations,
* ensure that you, our client, always has access to your accounts,
* maintain communications between ProFutures and our employees, regulators and you, and,
* protect our business and account records.

If a major business disruption were to occur, you would be able to contact us at our toll free number, (800) 348-3601. We would also keep you updated through our website at www.profutures.com.

The following describe disruption events of varying severity and how ProFutures’ Business Continuity Plan is designed to respond to them. These responses are subject to modification. Any updates to this disclosure will be promptly posted on our website. Alternatively, clients can request that an updated disclosure be sent to them by mail.

A Firm-Only Business Disruption

In the event that ProFutures’ offices could not be used due to physical damage, failure of technology or services, or inability of employees to access the building, replacement office locations are available for key employees to resume critical office functions. Computer systems and duplicate copies of customer account information are kept off-site and available for use in case of a business disruption. We expect that most critical functions would resume within one day, most in just a few hours.

A Business District, City or Regional Disruption

In the event that a significant business disruption affects the business district, city or region where ProFutures’ offices are located, we will transfer our operations to backup facilities. Clients may experience a minor delay in reaching us due to technology delays or other difficulties arising from the transfer of operations. We expect that most core office functions would resume within three days.

We are required to review the Plan at least annually and have an updated disclosure available by request. In the event of a significant business disruption, ProFutures is committed to make every reasonable attempt to restore and maintain normal service levels as soon as practicable.

ProFutures, Inc © 2017

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Toll Free: 800.348.3601 Local: 512.263.3800

Mailing Address:

11719 FM 2244 Suite 200
Austin, Texas 78738