Motif Investing Business Continuity Plan

SummarySecurities industry regulations require that financial service providers such as brokerage firms and investment advisors inform their clients of their plans to address the possibility of a business disruption that potentially results from power outages, natural disasters, or other events. Motif Investing, Inc., has a comprehensive business continuity program in place, which is  reviewed, updated and tested on a regular basis. The plan provides for continuation of client services promptly, in most cases.  In the unlikely event that Motif has determined that it cannot resume operations within a reasonable amount of time, Motif will provide as much advance and ongoing notice as possible regarding its ongoing operations.Motif’s website is hosted in multiple data centers. The primary and secondary data centers are in geographically separated locations. Duplicate hardware is available in the secondary data center to take over if access to the primary data center is disrupted for any reason.

Data is continually replicated between the data centers and each center uses a high availability configuration so individual component failures will not disrupt the site. Our clearing vendor also stores critical customer account data and replicates it across multiple data centers.

While no contingency plan can eliminate all risk of service interruption or temporarily impeded account access, we continually assess and update our plans to mitigate all reasonable risk.  Those risks could include:

  • Telephone service center became unavailable for any reason, calls would be routed to other available service locations.
  • Data center becomes unavailable for any reason, duplicate centers would continue to operate.
  • Power outage in a particular region or business district, telephone and electronic communications would be routed to alternate locations for the duration of the outage.
  • Public health crisis or pandemic that causes substantial absenteeism, Motif would focus available personnel on critical business functions that directly support client needs and enforce work contingency plans from remote locations

This Business Continuity Plan is in place to support Motif Investing, Inc., and its wholly-owned subsidiary, Motif Capital Management, Inc.  Motif Investing’s primary audience include self-directed retail investors.  A segment of Motif Investing’s clients have an agreement in full force and effect with a third-party investment advisor, to have their accounts managed through the Motif Advisor Services platform.  Motif Capital Management, is an investment advisor, whose primary audience is institutional investors.  This Business Continuity Plan will appear on the following websites, www.motifinvesting.com, www.motifadvisor.com, and www.motifcapital.com, and applicable mobile channels.