Terms of Use
Effective: January 24th, 2024
Please read these Terms of Use carefully before using this Site and the materials accessible through this Site. By using this Site, you are agreeing to abide by the following terms. We reserve the right to amend these terms, without notice. Your continued use of this Site constitutes your agreement to such changes.
Limited License
TAG Financial Institutions Group, LLC (“we” or “TAG Financial”) provides this website, www.tagfingroup.com (together with its contents and all sub-websites, this “Site”) for your informational purposes only.
Subject to these terms, TAG Financial grants you a non-exclusive, non-transferable, limited right to read this Site and download the material displayed on this Site (the “Materials”) solely to view general information regarding TAG Financial’s businesses.
You agree to treat the information you obtain from this Site that requires a password or similar identification procedure as confidential.
Your right to access this Site does not include the right to reproduce, modify, make collections or compilations of, distribute, or publicly display this Site or the Materials. You may not transfer the Materials to any other person or entity. You must retain, on all copies of the Materials downloaded, all copyright and other proprietary notices contained in the Materials. You agree to abide by all additional restrictions displayed on this Site from time to time. Except as may be expressly provided herein, TAG Financial does not grant you any express or implied license or permission under any patents, trademarks, copyrights or trade secret information.
You agree not to use this Site to distribute, email or post any advertising, promotion, solicitation or other information without our prior approval. You agree not to use this Site to upload, display or distribute any materials without our approval and such approval, if granted, does not relate to any materials that are defamatory, threatening, obscene, harassing, or otherwise unlawful, or that incorporate the copyrighted, confidential or proprietary material of any other person or entity.
You agree to access the Materials and this Site manually, by request, and not automatically, through the use of a “bot” or similar program, or by other means. You agree not to take any action, alone or with others, that would interfere with the operation of this Site, to alter this Site or interrupt the operations of this Site, in any way, or to impede others’ access to and freedom to enjoy and use this Site as made available by TAG Financial.
These Terms of Use are governed by the laws of the State of New York and of the United States, without giving effect to any conflict of laws provisions.
Data Protection and Privacy
General - We take our obligations under the Data Protection Act 1998 and all related regulations (the “Act”) very seriously.
When you use this Site, we may ask you to provide certain data, such as your contact details and demographic information. The principal purposes for which we process and store your personal data are or may in the future become:
TAG Financial will not share, copy or distribute any personal or business contact details with any third party without the prior consent of the person or business in question.
To enable us to provide the services available on this Site and to monitor and improve this Site, we may gather certain information about you, including details of your operating system, browser version, domain name and IP address and the details of the website you linked from to this Site.
We may use cookies to store information such as your User name and your session identifiers to enable us to identify whether you are registered on to this Site and, if so, to shortcut your access to this Site. We will only read cookies from your cookie file placed there through your web browser’s interaction with this Site.
We endeavor to take all reasonable steps to protect your personal data including the use of encryption technology, but cannot guarantee the security of any personal data you disclose online.
We have certain responsibilities under the Money Laundering Regulations 2007 and the FSA Rules to verify the identity of clients and may need to make certain inquiries and obtain certain information from you for that purpose. You confirm that all information you supply will be accurate and that we may disclose such information as we consider necessary to comply with any reporting or legal and regulatory requirements.
You agree that we may disclose to the FSA and to any other regulatory authority to which we are subject, or to any person empowered to require such information by or under any law, any information they may request or require relating to you or, if relevant, any of your clients.
In the event that you wish to see a copy of your personal data held by us, please write to our Data Protection Officer at [email protected].
We may amend or delete any personal data relating to you which is found to be incorrect or not relevant in accordance with the Act.
Privacy Policy - This policy describes the types of personal information we may collect about you, the purposes for which we use the information, the circumstances in which we may share the information and the steps that we take to safeguard the information to protect your privacy. The following privacy policy is intended to apply only to personally identifiable information that you provide to TAG Financial from time to time via this Site.
How We Collect Information about You - In general, you can visit this Site without revealing any information about yourself. Our web servers collect the domain names, not the e-mail addresses, of visitors. Our web servers may seek to place a “cookie” (a small data file) on your computer’s hard drive, which allows the server to determine your computer when it visits again. This cookie is not used to obtain your name or any personal data, and the information that we track is only for internal purposes. If you prefer not to accept cookies, you should set your browser to reject them or to alert you before one is placed.
There are parts of this Site where we may need to collect personal information from you for a specific purpose, such as to provide you with certain information you may request. If you voluntarily submit information to this Site (for example, in a request for general information or through the submission of a business proposal), we may record and use any personally identifiable information, such as your name, phone number, fax number and e-mail address, for reasonable business purposes including, but not limited to, fulfilling your request. If you do not provide all the information that we may need, we may not be able to give you the information that you request.
Uses of Collected Information - We do not use domain name information that we collect to identify you personally. We use this information to measure the use of our Site and to improve the content of our Site. When we collect other information from you, such as your name and e-mail address, we generally let you know at the time of collection how we will use the personal information. We use the personal information you provide only to respond to your inquiry or to process your request (such as to receive investor relations materials or inquiry about employment). We will not use your personally identifiable information for any other purpose without your permission.
Disclosures of Your Personal Information within TAG Financial - In order to provide efficient and reliable services and to improve service options available to you, we may share your personal information with our subsidiaries or affiliates. By submitting any information you consent to these transfers. We have taken certain measures outlined below to try to ensure the security of your information.
Disclosures of Your Personal Information to Third Parties - TAG Financial does not disclose your personal information to third parties, except as described in this policy. We may share your personal information with other companies we have hired to provide services for us. These companies—our vendors—are required to maintain the confidentiality of such information to the extent they receive it and to use your personal information only in the course of providing such services and only for the purposes that TAG Financial has hired them. We do not share, sell, or lease personal information about you to any third-parties for their marketing use.
We also may release information about you if you direct us to do so, or if we are required to make disclosures to the government or private parties in connection with a lawsuit, subpoena, investigation or similar proceeding, or to protect against fraud and to otherwise cooperate with law enforcement or regulatory authorities.
Security of Collected Information - We use what we consider to be reasonable efforts to maintain physical, electronic, and administrative safeguards to protect your personal information from unauthorized or inappropriate access, but we note that the Internet is not a secure medium. We restrict access to information about you to those TAG Financial personnel who need to know the information to respond to your inquiry or request.
Access to Collected Information - You may review and update the information that you provide to us through this Site by contacting us as described below.
Contacting Us - If you have any questions about this privacy policy, please contact us at [email protected]. We welcome your questions and suggestions about our privacy policy.
Ownership and Trademarks
Authorization to use this Site is not a transfer of title in this Site, or the Materials or copyrights therein. All content included on this Site, such as graphics, logos, articles and other materials, is the property of TAG Financial or others and is protected by copyright and other laws. All trademarks and logos displayed on this Site are the property of their respective owners, who may or may not be affiliated with our organization.
No Warranty or Reliance
THE MATERIALS MAY CONTAIN INACCURACIES AND ERRORS. TAG FINANCIAL DOES NOT WARRANT THE ACCURACY OR COMPLETENESS OF THE MATERIALS OR THE RELIABILITY OF ANY ADVICE, OPINION, STATEMENT OR OTHER INFORMATION DISPLAYED OR DISTRIBUTED THROUGH THIS SITE. TAG FINANCIAL DISCLAIMS ANY DUTY TO UPDATE THIS SITE.
THIS SITE, THE INFORMATION AND MATERIALS ON THIS SITE, AND, TO THE EXTENT APPLICABLE, ANY SOFTWARE MADE AVAILABLE ON THIS SITE, ARE PROVIDED “AS IS” WITHOUT ANY REPRESENTATION OR WARRANTY, EXPRESS OR IMPLIED, OF ANY KIND, INCLUDING, BUT NOT LIMITED TO, WARRANTIES OF MERCHANTABILITY, NONINFRINGEMENT, OR FITNESS FOR ANY PARTICULAR PURPOSE. SOME JURISDICTIONS DO NOT ALLOW FOR THE EXCLUSION OF IMPLIED WARRANTIES, IN WHICH EVENT THE ABOVE EXCLUSIONS MAY NOT APPLY TO YOU.
Nothing contained on this Site constitutes financial, legal, tax or other advice, nor is any information or Material on this Site to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this Site are included only as representative transactions.
Third-Party Websites
As a convenience to you, TAG Financial may provide, on this Site, links to websites operated by other persons or entities. If you use these websites, you will leave this Site. TAG Financial makes no warranty or representation regarding, and does not endorse, any linked websites or the information appearing thereon or any of the products or services described thereon. Links do not imply that any linked website is authorized to use any of TAG Financial’s trademarks, trade names, logos or copyright symbols.
Information Provided by You
Do not send any confidential or proprietary information to TAG Financial via this Site. No information or materials that you provide to TAG Financial via this Site will be considered or treated as confidential or proprietary. By providing any such information or materials to TAG Financial, you grant to TAG Financial an unrestricted, irrevocable, worldwide, royalty-free, non-exclusive license to use, reproduce, modify, publicly display, publicly perform, transmit and distribute such information and materials, and you further agree that TAG Financial is free to use any ideas, concepts or know-how that you or individuals acting on your behalf provide to TAG Financial.
Limitations of Damages
TAG FINANCIAL AND ITS AFFILIATES AND SUBSIDIARIES ARE NOT LIABLE FOR ANY DIRECT, INDIRECT, SPECIAL, CONSEQUENTIAL OR OTHER DAMAGES (INCLUDING, WITHOUT LIMITATION, ANY LOST PROFITS, BUSINESS INTERRUPTION, LOSS OF INFORMATION OR PROGRAMS OR OTHER DATA ON YOUR INFORMATION HANDLING SYSTEM) THAT ARE RELATED TO THE ACCURACY, INACCURACY, USE OF, OR THE INABILITY TO USE THE CONTENT, MATERIALS, AND FUNCTIONS OF THIS SITE OR ANY LINKED WEBSITE, EVEN IF TAG FINANCIAL IS EXPRESSLY ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.
Changes
TAG Financial reserves the right, at its sole discretion, to change, add or remove any portion of this Site or the Materials.
TAG Financial may change, suspend or terminate any aspect of this Site or the Materials. TAG Financial may also impose limits on certain features and services or restrict your access to part or all of this Site, without notice or liability.
TAG Financial may terminate the authorization, rights and license given in these Terms of Use and, upon such termination, you agree to immediately cease using and destroy all Materials.
International Users and Choice of Law
TAG Financial makes no representation that the Materials on this Site are appropriate or available for use at any location outside of the United States and your access from territories where its contents are illegal is prohibited. You may not use this Site or export the Materials in violation of U.S. export laws and regulations. If you access this Site from a location outside of the United States, you are responsible for compliance with all applicable laws.
These Terms of Use constitute the entire agreement between TAG Financial and you with respect to your use of this Site. Any cause of action you may have with respect to your use of this Site must be commenced within one (1) year after the claim or cause of action arises. If for any reason a court of competent jurisdiction finds any provision of these Terms of Use or portion thereof, to be unenforceable, that provision shall be enforced to the maximum extent permissible so as to affect the intent of the provision, and the remainder of this page shall continue in full force and effect.
By accessing this Site and the Materials, you agree to submit to the exclusive jurisdiction of the courts of the State of New York and the United States District Court located in the State of New York in New York County for the purpose of any proceedings arising therefrom or from any of the Agreements contained in these Terms of Use, and you expressly agree to waive any and all objections that you may have as to venue in any of such courts.
Business Continuity Plan Summary
TAG Financial is committed to protecting the interests of our clients in the event of Significant Business Disruption (“SBD”). The Business Continuity Plan summary below details how we will respond to events that significantly disrupt our business.
Our Firm will respond as immediately as practicable to an SBD, in the following priorities, by:
In the unlikely event that we determine we are unable to continue our business operations, we will notify our clients to that effect and make available to each of them any records and other documents that we then maintain related to the continuation of their business.
In the event of an SBD, we will authorize our employees to remain at each person’s respective home using the contact information provided elsewhere in this document. Each individual has home telephone and/or cellular phone contact information. Actual physical office space is not necessary to the continuity of our operations during a dire emergency and for short periods of time. In the event of a long-term SBD, we will consider moving our staff from affected offices to the closest of our unaffected office locations.
TAG Financial has a comprehensive architecture for the electronic back-up and recovery of its data. The primary data facilities for TAG Financial are at 350 Fifth Avenue, Suite 4200 New York, New York, 10118.
We communicate with our clients using the telephone, email, our website, fax, US mail, delivery services and in-person visits at TAG Financial or at the other’s location. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. For example, if we have communicated with a party by email but the Internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the US mail or rapid delivery service.
If you have questions regarding our Business Continuity Plan, you may contact us at [email protected]. TAG Financial will review this Business Continuity Plan at least annually to modify it for any changes in our operations, structure, business or location.
Please read these Terms of Use carefully before using this Site and the materials accessible through this Site. By using this Site, you are agreeing to abide by the following terms. We reserve the right to amend these terms, without notice. Your continued use of this Site constitutes your agreement to such changes.
Limited License
TAG Financial Institutions Group, LLC (“we” or “TAG Financial”) provides this website, www.tagfingroup.com (together with its contents and all sub-websites, this “Site”) for your informational purposes only.
Subject to these terms, TAG Financial grants you a non-exclusive, non-transferable, limited right to read this Site and download the material displayed on this Site (the “Materials”) solely to view general information regarding TAG Financial’s businesses.
You agree to treat the information you obtain from this Site that requires a password or similar identification procedure as confidential.
Your right to access this Site does not include the right to reproduce, modify, make collections or compilations of, distribute, or publicly display this Site or the Materials. You may not transfer the Materials to any other person or entity. You must retain, on all copies of the Materials downloaded, all copyright and other proprietary notices contained in the Materials. You agree to abide by all additional restrictions displayed on this Site from time to time. Except as may be expressly provided herein, TAG Financial does not grant you any express or implied license or permission under any patents, trademarks, copyrights or trade secret information.
You agree not to use this Site to distribute, email or post any advertising, promotion, solicitation or other information without our prior approval. You agree not to use this Site to upload, display or distribute any materials without our approval and such approval, if granted, does not relate to any materials that are defamatory, threatening, obscene, harassing, or otherwise unlawful, or that incorporate the copyrighted, confidential or proprietary material of any other person or entity.
You agree to access the Materials and this Site manually, by request, and not automatically, through the use of a “bot” or similar program, or by other means. You agree not to take any action, alone or with others, that would interfere with the operation of this Site, to alter this Site or interrupt the operations of this Site, in any way, or to impede others’ access to and freedom to enjoy and use this Site as made available by TAG Financial.
These Terms of Use are governed by the laws of the State of New York and of the United States, without giving effect to any conflict of laws provisions.
Data Protection and Privacy
General - We take our obligations under the Data Protection Act 1998 and all related regulations (the “Act”) very seriously.
When you use this Site, we may ask you to provide certain data, such as your contact details and demographic information. The principal purposes for which we process and store your personal data are or may in the future become:
- to monitor, improve and administer this Site and the services provided on this Site;
- to enable us to conduct surveys and aggregate user profiles;
- to provide you with information on selected products and selected services that we think may be of interest to you (unless you have asked us not to do so); and
- to enable us to comply with our legal and regulatory obligations.
TAG Financial will not share, copy or distribute any personal or business contact details with any third party without the prior consent of the person or business in question.
To enable us to provide the services available on this Site and to monitor and improve this Site, we may gather certain information about you, including details of your operating system, browser version, domain name and IP address and the details of the website you linked from to this Site.
We may use cookies to store information such as your User name and your session identifiers to enable us to identify whether you are registered on to this Site and, if so, to shortcut your access to this Site. We will only read cookies from your cookie file placed there through your web browser’s interaction with this Site.
We endeavor to take all reasonable steps to protect your personal data including the use of encryption technology, but cannot guarantee the security of any personal data you disclose online.
We have certain responsibilities under the Money Laundering Regulations 2007 and the FSA Rules to verify the identity of clients and may need to make certain inquiries and obtain certain information from you for that purpose. You confirm that all information you supply will be accurate and that we may disclose such information as we consider necessary to comply with any reporting or legal and regulatory requirements.
You agree that we may disclose to the FSA and to any other regulatory authority to which we are subject, or to any person empowered to require such information by or under any law, any information they may request or require relating to you or, if relevant, any of your clients.
In the event that you wish to see a copy of your personal data held by us, please write to our Data Protection Officer at [email protected].
We may amend or delete any personal data relating to you which is found to be incorrect or not relevant in accordance with the Act.
Privacy Policy - This policy describes the types of personal information we may collect about you, the purposes for which we use the information, the circumstances in which we may share the information and the steps that we take to safeguard the information to protect your privacy. The following privacy policy is intended to apply only to personally identifiable information that you provide to TAG Financial from time to time via this Site.
How We Collect Information about You - In general, you can visit this Site without revealing any information about yourself. Our web servers collect the domain names, not the e-mail addresses, of visitors. Our web servers may seek to place a “cookie” (a small data file) on your computer’s hard drive, which allows the server to determine your computer when it visits again. This cookie is not used to obtain your name or any personal data, and the information that we track is only for internal purposes. If you prefer not to accept cookies, you should set your browser to reject them or to alert you before one is placed.
There are parts of this Site where we may need to collect personal information from you for a specific purpose, such as to provide you with certain information you may request. If you voluntarily submit information to this Site (for example, in a request for general information or through the submission of a business proposal), we may record and use any personally identifiable information, such as your name, phone number, fax number and e-mail address, for reasonable business purposes including, but not limited to, fulfilling your request. If you do not provide all the information that we may need, we may not be able to give you the information that you request.
Uses of Collected Information - We do not use domain name information that we collect to identify you personally. We use this information to measure the use of our Site and to improve the content of our Site. When we collect other information from you, such as your name and e-mail address, we generally let you know at the time of collection how we will use the personal information. We use the personal information you provide only to respond to your inquiry or to process your request (such as to receive investor relations materials or inquiry about employment). We will not use your personally identifiable information for any other purpose without your permission.
Disclosures of Your Personal Information within TAG Financial - In order to provide efficient and reliable services and to improve service options available to you, we may share your personal information with our subsidiaries or affiliates. By submitting any information you consent to these transfers. We have taken certain measures outlined below to try to ensure the security of your information.
Disclosures of Your Personal Information to Third Parties - TAG Financial does not disclose your personal information to third parties, except as described in this policy. We may share your personal information with other companies we have hired to provide services for us. These companies—our vendors—are required to maintain the confidentiality of such information to the extent they receive it and to use your personal information only in the course of providing such services and only for the purposes that TAG Financial has hired them. We do not share, sell, or lease personal information about you to any third-parties for their marketing use.
We also may release information about you if you direct us to do so, or if we are required to make disclosures to the government or private parties in connection with a lawsuit, subpoena, investigation or similar proceeding, or to protect against fraud and to otherwise cooperate with law enforcement or regulatory authorities.
Security of Collected Information - We use what we consider to be reasonable efforts to maintain physical, electronic, and administrative safeguards to protect your personal information from unauthorized or inappropriate access, but we note that the Internet is not a secure medium. We restrict access to information about you to those TAG Financial personnel who need to know the information to respond to your inquiry or request.
Access to Collected Information - You may review and update the information that you provide to us through this Site by contacting us as described below.
Contacting Us - If you have any questions about this privacy policy, please contact us at [email protected]. We welcome your questions and suggestions about our privacy policy.
Ownership and Trademarks
Authorization to use this Site is not a transfer of title in this Site, or the Materials or copyrights therein. All content included on this Site, such as graphics, logos, articles and other materials, is the property of TAG Financial or others and is protected by copyright and other laws. All trademarks and logos displayed on this Site are the property of their respective owners, who may or may not be affiliated with our organization.
No Warranty or Reliance
THE MATERIALS MAY CONTAIN INACCURACIES AND ERRORS. TAG FINANCIAL DOES NOT WARRANT THE ACCURACY OR COMPLETENESS OF THE MATERIALS OR THE RELIABILITY OF ANY ADVICE, OPINION, STATEMENT OR OTHER INFORMATION DISPLAYED OR DISTRIBUTED THROUGH THIS SITE. TAG FINANCIAL DISCLAIMS ANY DUTY TO UPDATE THIS SITE.
THIS SITE, THE INFORMATION AND MATERIALS ON THIS SITE, AND, TO THE EXTENT APPLICABLE, ANY SOFTWARE MADE AVAILABLE ON THIS SITE, ARE PROVIDED “AS IS” WITHOUT ANY REPRESENTATION OR WARRANTY, EXPRESS OR IMPLIED, OF ANY KIND, INCLUDING, BUT NOT LIMITED TO, WARRANTIES OF MERCHANTABILITY, NONINFRINGEMENT, OR FITNESS FOR ANY PARTICULAR PURPOSE. SOME JURISDICTIONS DO NOT ALLOW FOR THE EXCLUSION OF IMPLIED WARRANTIES, IN WHICH EVENT THE ABOVE EXCLUSIONS MAY NOT APPLY TO YOU.
Nothing contained on this Site constitutes financial, legal, tax or other advice, nor is any information or Material on this Site to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this Site are included only as representative transactions.
Third-Party Websites
As a convenience to you, TAG Financial may provide, on this Site, links to websites operated by other persons or entities. If you use these websites, you will leave this Site. TAG Financial makes no warranty or representation regarding, and does not endorse, any linked websites or the information appearing thereon or any of the products or services described thereon. Links do not imply that any linked website is authorized to use any of TAG Financial’s trademarks, trade names, logos or copyright symbols.
Information Provided by You
Do not send any confidential or proprietary information to TAG Financial via this Site. No information or materials that you provide to TAG Financial via this Site will be considered or treated as confidential or proprietary. By providing any such information or materials to TAG Financial, you grant to TAG Financial an unrestricted, irrevocable, worldwide, royalty-free, non-exclusive license to use, reproduce, modify, publicly display, publicly perform, transmit and distribute such information and materials, and you further agree that TAG Financial is free to use any ideas, concepts or know-how that you or individuals acting on your behalf provide to TAG Financial.
Limitations of Damages
TAG FINANCIAL AND ITS AFFILIATES AND SUBSIDIARIES ARE NOT LIABLE FOR ANY DIRECT, INDIRECT, SPECIAL, CONSEQUENTIAL OR OTHER DAMAGES (INCLUDING, WITHOUT LIMITATION, ANY LOST PROFITS, BUSINESS INTERRUPTION, LOSS OF INFORMATION OR PROGRAMS OR OTHER DATA ON YOUR INFORMATION HANDLING SYSTEM) THAT ARE RELATED TO THE ACCURACY, INACCURACY, USE OF, OR THE INABILITY TO USE THE CONTENT, MATERIALS, AND FUNCTIONS OF THIS SITE OR ANY LINKED WEBSITE, EVEN IF TAG FINANCIAL IS EXPRESSLY ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.
Changes
TAG Financial reserves the right, at its sole discretion, to change, add or remove any portion of this Site or the Materials.
TAG Financial may change, suspend or terminate any aspect of this Site or the Materials. TAG Financial may also impose limits on certain features and services or restrict your access to part or all of this Site, without notice or liability.
TAG Financial may terminate the authorization, rights and license given in these Terms of Use and, upon such termination, you agree to immediately cease using and destroy all Materials.
International Users and Choice of Law
TAG Financial makes no representation that the Materials on this Site are appropriate or available for use at any location outside of the United States and your access from territories where its contents are illegal is prohibited. You may not use this Site or export the Materials in violation of U.S. export laws and regulations. If you access this Site from a location outside of the United States, you are responsible for compliance with all applicable laws.
These Terms of Use constitute the entire agreement between TAG Financial and you with respect to your use of this Site. Any cause of action you may have with respect to your use of this Site must be commenced within one (1) year after the claim or cause of action arises. If for any reason a court of competent jurisdiction finds any provision of these Terms of Use or portion thereof, to be unenforceable, that provision shall be enforced to the maximum extent permissible so as to affect the intent of the provision, and the remainder of this page shall continue in full force and effect.
By accessing this Site and the Materials, you agree to submit to the exclusive jurisdiction of the courts of the State of New York and the United States District Court located in the State of New York in New York County for the purpose of any proceedings arising therefrom or from any of the Agreements contained in these Terms of Use, and you expressly agree to waive any and all objections that you may have as to venue in any of such courts.
Business Continuity Plan Summary
TAG Financial is committed to protecting the interests of our clients in the event of Significant Business Disruption (“SBD”). The Business Continuity Plan summary below details how we will respond to events that significantly disrupt our business.
Our Firm will respond as immediately as practicable to an SBD, in the following priorities, by:
- safeguarding employees’ lives and TAG Financial and client property;
- making a financial and operational assessment;
- recovering and resuming operations;
- protecting TAG Financial’s books and records; and
- allowing clients access to our expertise and services to pursue existing engagements.
In the unlikely event that we determine we are unable to continue our business operations, we will notify our clients to that effect and make available to each of them any records and other documents that we then maintain related to the continuation of their business.
In the event of an SBD, we will authorize our employees to remain at each person’s respective home using the contact information provided elsewhere in this document. Each individual has home telephone and/or cellular phone contact information. Actual physical office space is not necessary to the continuity of our operations during a dire emergency and for short periods of time. In the event of a long-term SBD, we will consider moving our staff from affected offices to the closest of our unaffected office locations.
TAG Financial has a comprehensive architecture for the electronic back-up and recovery of its data. The primary data facilities for TAG Financial are at 350 Fifth Avenue, Suite 4200 New York, New York, 10118.
We communicate with our clients using the telephone, email, our website, fax, US mail, delivery services and in-person visits at TAG Financial or at the other’s location. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. For example, if we have communicated with a party by email but the Internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the US mail or rapid delivery service.
If you have questions regarding our Business Continuity Plan, you may contact us at [email protected]. TAG Financial will review this Business Continuity Plan at least annually to modify it for any changes in our operations, structure, business or location.
