Business Continuity Plan

Macro Risk Advisors, LLC (MRA) has established a Business Continuity Plan that details how we will respond to significant business disruptions. MRA is an Introducing Broker/Dealer and does not hold custody of customers’ funds or securities. We have developed a Business Continuity Plan (BCP) to ensure the needs of our clients are met in the event of a major disruption. Since the timing and impact of disasters and disruptions are unpredictable, we must be adaptable in responding to actual events as they unfold. Therefore, we provide you with this information regarding our business continuity plan.

In the event of a significant business disruption:

We aim to promptly recover and resume business operations after a significant disruption, with a focus on safeguarding our employees and property, assessing our financial and operational status, protecting the firm’s records, and ensuring customers can continue transactions. Our BCP is designed to enable us to resume operations swiftly, considering the disruption’s extent and severity.

Our plan covers data backup and recovery, all critical systems, financial and operational assessments, alternative communication methods with customers, employees, and regulators, alternate physical work locations for employees, and the impact on key suppliers and partners, including
regulatory reporting.

Our clearing firms, Axos Clearing, back up crucial records in geographically separate areas. While every emergency situation presents unique challenges depending on factors like timing and the disruption’s severity, our clearing firms have assured us that their goal is to restore operations and handle transactions within one business day. During this period, your orders and requests for funds and securities could face delays.

Varying Disruptions:

Significant disruptions vary in scope, ranging from affecting only our firm to impacting our entire building, business district, city, or region. Each area’s disruption can vary in severity. If only our firm or building is affected, we will relocate to a local site if needed, aiming to resume operations within one business day. For wider disruptions impacting our business district, city, or region, we will relocate to a site outside the affected area, targeting to resume operations within one business day. In either case, we plan to continue operations and will keep you informed via our website www.macroriskadvisors.com.

Contacting Us:

After a significant disruption, if you can’t reach us at 212-287-2640, please check for updates at http://www.finra.org or our website: www.macroriskadvisors.com. If unable to reach us through these methods, contact our clearing firms, with whom MRA has introduced your account, for access to your funds and securities, order processing, and other transactions. You can reach  Axos Clearing at (402) 384-6100.

For more information about our Privacy Policy, BCP, or AML Program, please email us at [email protected].