The information provided on this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Abel Noser Holdings LLC to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site constitutes a solicitation or offer by Abel Noser to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or service.
SEC Section 606 Reports
Business Continuity Plan (BCP)
Abel Noser’s policy is to respond to a Significant Business Disruption (“SBD”) whether internal or external, by safeguarding employee’s lives and firm property, making financial and operational assessments, quickly recovering and resuming operations, protecting the firm’s books and records, maintaining the integrity of our clients’ privacy and allowing those clients to transact business.
This organization recognizes the importance of responding quickly and efficiently to unplanned events — whether natural, man-made or technological — by maintaining the safety of our staff and keeping our operations running smoothly as well as providing mission critical systems to our customers, partners, agencies, the media and the public in a timely manner.
Abel Noser’s primary concern is to ensure that the applications and information that drive our critical business processes are available when and where they are needed. To accomplish this, the firm has established an ‘out of area’ trading floor which houses a duplicate infrastructure and communications network that will enable the firm to continue to provide services during an emergency.
In the wake of Hurricane Sandy, which devastated much of the east coast in October 2012, we realized that we need more than one Disaster Recovery Site (“DR”). The firm’s DR Sites are now in two diverse areas and in two states. Our firm is prepared to run the business in the event there is a SBD at our main office site. All general and detailed documentation regarding Disaster Recovery is housed in the firm’s alternative location.
For additional information, please contact our BCP Coordinator Randy New.
Abel Noser management will assess the disaster to determine the appropriate action. Each member of our operating committee has the authority to call a state of emergency and to put in motion our disaster recovery plan. This plan is reviewed on a yearly basis, and updated as needed.
Personal Privacy and Information Sharing
At Abel Noser, we appreciate the trust that our customers place in us and we recognize the importance of protecting the confidentiality of non-public personal information that we collect about them. That is why we take great care to protect your personal information and when and if we use it, we do so with respect for your privacy.
2. We collect non-public personal information about our customers from the following sources:
3. Your non-public personal information is safeguarded in accordance with our internal policies and procedures. These policies permit only those employees who ‘need to know’ the information in order to perform their duties the right to access your information. We maintain physical, electronic and procedural safeguards designed to comply with Federal standards and protect your information.
4. Abel Noser does NOT sell non-public personal information. We may however disclose such information to non-affiliated third parties who have contracted to perform services on our behalf. These non-affiliated third parties are required to protect your confidentiality and to use the information only in accordance with our instructions and for the purposes agreed upon. Responsibilities of the third parties can include identity verification, verification of address, telephone, etc., the production and mailing of confirmations, statements and other records of transactions done with us, as well as the status or value of the financial service or financial products to our customers or their agents and brokers.
5. We may also disclose non-public information about our customers as permitted and/or required by law.
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