Octagon Capital Group, LLC is a broker/dealer firm committed to safeguarding the confidential information about its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you in connection with any of the services provided by Octagon Capital Group.
We do not disclose information to non-affiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under the law from doing so without advising you first. You will be offered the opportunity to opt out of the disclosure of your non-public personal information which may be forwarded to non-affiliated third parties.
Our policy with respect to your privacy is summarized below:
We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to non-affiliated parties as required by law. We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
The categories of non-public personal information that we collect from a client depend upon the scope of the client engagement. They may include information about your personal finances, your health to the extent that is needed for the planning process, transactions between you and third parties, and information from consumer reporting agencies.
For unaffiliated third parties requiring access to your personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law.
We do not provide personally identifiable information to mailing list vendors or solicitors for any purpose. Such information about you will be maintained during the time you are a client and for the required time thereafter that such records need to be maintained as mandated by securities industry regulations. After this required period of record retention, all such information will be destroyed.
If you have any questions regarding this policy, please contact us at 212-894-0275.
Business Continuity Plan Disclosure Statement
Octagon Capital Group, LLC has developed a Business Continuity Plan concerning how we would respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind we are providing you with this information on our Business Continuity Plan.
Contacting us: If after a significant business disruption you cannot contact Octagon Capital Group as you usually do at our office number of 212-894-0275; you may contact us via our website at http://octagoncg.com/. If you cannot access us through either one of those means, we will personally contact all of our business constituents via telephone to answer any questions you may have.
Our Business Continuity Plan: We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment and protecting the Firm’s books and records. In short, our Business Continuity Plan is designed to permit our Firm to resume operations as quickly as possible, given the scope and severity of the significant business disruptions.
Our Business Continuity Plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; bank impact; and regulatory reporting if we are unable to continue our business.
Varying Disruptions: Significant business disruptions can vary in their scope, such as only our Firm, a single building housing of our Firm, the business district where our Firm is located, the city where we are located and the whole region. In either situation, we plan to continue in business and notify you via telephone, fax or email on how to contact us.
For more information: If you have questions about our business continuity planning or wish to review our complete Business Continuity Plan, please contact our office and we will respond as soon as possible.