DLG Wealth Management, LLC / Etico Partners, LLC (“DLG”) has developed a Business Continuity Plan (“BCP”) outlining the processes that will be implemented in response to an event that significantly disrupts our business. The timing and impact of disasters and disruptions are unpredictable, so we will be flexible in responding to events as they occur.
If, after a significant business disruption, you are not able to contact DLG via telephone as you normally would, please visit DLG’s website at www.dlgwealthmanagement.com for contact information. If you cannot access DLG via either of those means, please contact our clearing firm, RBC Correspondent Services at www.rbcwealthmanagement.com/us/en/get-in-touch.
DLG plans to resume business operations as quickly as possible after a significant business disruption. DLG’s BCP includes, among other procedures, instructions regarding the following: safeguarding DLG employees and DLG property, protecting DLG’s books and records, and allowing DLG clients to transact business.
DLG’s BCP addresses data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
DLG’s clearing firm, RBC Correspondent Services (“RBC CS”), backs up their important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by RBC CS that their objective is to restore operations and be able to complete existing customer transactions and accept new transactions and payments as soon as possible. Customer orders and requests for funds and securities may be delayed during this period.
Significant business disruptions can vary in scope (i.e. only DLG, a single building housing DLG, the business district where DLG is located, etc.) The severity of disruptions can also vary from minimal to severe. The plan developed by DLG addresses all potential disruptions and we are confident that it will help us to resume business as soon as possible following a significant business disruption. If a disruption is so severe that it prevents DLG from remaining in business, we will assure our client’s prompt access to their funds and securities.