BCP DISCLOSURE STATEMENT
Four Points Capital (“the Firm”) is a fully disclosed broker-dealer and member of FINRA and SIPC. FINRA Rule 3510 requires each member firm to create and maintain a business continuity plan. In accordance with the rule the Firm has developed a plan to ensure the continuity of operations during business emergencies and disruptions.
The plan is designed to address key areas of concern including but not limited to the following:
- Books and records recovery;
- All mission critical systems;
- Financial and operational assessments;
- Alternate means of communication between the Firm and its clients;
- Alternate means of communication between the Firm and its personnel;
- Alternate physical locations of personnel;
- Critical business constituent, bank and counter-party impact;
- Regulatory reporting;
- Communications with regulators; and
- How the firm will ensure that all clients have access to their funds and securities in the event the Firm determines it is unable to continue its business.
Events creating a sudden business disruption (SBD) may vary in nature. They can affect only the Firm, the building where the Firm is located, the entire business district where the Firm is located, or a wider disruption, such as the entire regional where the Firm is located. The Firm fully intends to continue to conduct its securities business during periods of disruption of any and every type.
In the event an SBD prevents clients from contacting the Firm and/or their Financial Consultants by using the primary phone number, fax number, or email address of the location where the client’s accounts are serviced, clients may contact the Firm and/or their Financial Consultants by using the secondary contact information provided below:
For clients whose accounts are serviced at Four Points Capital Partners 232 Madison Ave, Suite -405, New York, NY 10016 . Telephone No. (914) 610-0705, Fax No. (212) -658-9094.
Your Privacy Is Important To Us.
In the course of servicing your account Four Points Capital will obtain personal information about you. Some of the information we obtain is required by law. Obtaining personal information about you also enables us to provide you with the best possible service. We are committed to maintaining the confidentiality of your personal information. Below we describe what personal information we obtain about you, with whom we may share it and what steps we take in order to safeguard your privacy.
Information We Obtain About You.
Upon opening an account you will be asked to provide us with personal information which includes, but is not necessarily limited to, the following:
- Name and address.
- Age, occupation, marital status, and dependents.
- Driver’s license.
- Contact information, such as home, business, cellular telephone numbers, facsimile numbers, and email address(es).
- Social Security Number and/or Taxpayer Identification Number.
- Detailed financial information including your assets, annual income, and net worth (liquid and total), and investment objectives and experience.
- Investment objectives and experience, and risk tolerance.
- Thereafter, we may obtain additional information in the course of servicing your account through written and verbal communications, such as:
- Securities transactions placed with us.
- When providing you with information about our products and services.
- Through our affiliates, other broker-dealers, product sponsors, issuers, and others with whom we have agreements or other arrangements for the provision of services to you or whose products you own.
Disclosure Of Your Personal Information Within Four Points Capital.
Your personal information may be shared by personnel within Four Points Capital or with its affiliates to the extent needed in servicing your account. Four Points Capital is a registered Broker Dealer and as such must release your personal information to various regulatory bodies under whose jurisdiction it operates at their request in connection with audits, examinations and for other compliance purposes. We must also release your personal information in order to comply with federal, state or local laws, including service of process such as subpoenas.
Protection Of Your Personal Information.
Only personnel employed by or associated with Four Points Capital who may need to do so have the ability to access to your personal information. When your information is accessed it is done either through password protected computer systems or retrieving your documentation from a locked area accessible only by authorized personnel.
Four Points Capital Compliance Office
232 Madison Ave, Suite -405
New York, NY 10016