Business Continuity Plan

REMINDER OF OUR BUSINESS CONTINUITY PLAN DURING HURRICANE SEASON

FBT Investments Inc. is required, under regulation, to have in place a Business Continuity Plan in the event of a Significant Business Disruption (SBD) occurrence.  Examples of an internal disruptive event would be a fire in the building where our offices are located. An example of an external event would be a citywide flood, power outage or a terrorist attack causing a regional disruption to the financial markets.

Should a disruptive event occur that would preclude us from entering our office, customers would dial our main number, which would be forwarded to an alternate number at a location staffed by our Operations Manager and/or a registered representative of the firm.  The employees would be assigned to a Principal of the Firm for a particular job function. If alternative office space were not available, employees would work out of a designated Principal’s home to meet client needs. Personal computers would be used to process client requests. Phones, wireless cell phones and Internet access would serve as the main communication devices. Our communications with our clearing firm and banks would also use these communication means.

If a disruptive event created a situation where no one from the firm is accessible, clients may call the contact number at Pershing LLC (201) 413-3635. This line will have a recorded instruction as to how clients can access their funds and securities.

All back office mission critical systems are provided by Pershing LLC, which has a Business Continuity Plan that protects client information and will allow us to continue to service client requests. All financial information is backed up daily and can be processed by software installed on alternate computers.

It would be our intent to be fully operational within 24 hours should a SBD occur.

Please note that this Plan is reviewed and updated on a regular basis. You can obtain an updated BCP by   writing:  

Compliance
FBT INVESTMENTS INC.
909 Poydras Street, Suite 2250
New Orleans, LA  70112
or calling:

504-584-5888 or Toll Free – 877-809-8400