MCL is a full service Broker MCL Financial Group, Inc. has developed a Business Continuity Plan regarding how we will respond to events that would significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will 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 us as you normally do at (800) 860-9880 or at www.mclfinancial.com, you should call our alternative number (303) 794-8686. If you still cannot access anyone here through one of those means, you should contact our clearing firm, Legent Clearing, at (800) 811-3487 or www.legentclearing.com for instructions on how they may provide prompt access to funds and securities; enter orders; and process other trade-related, cash, and security transfer transactions

Our Business Continuity Plan – We plan to quickly recover and resume business operations shortly after a significant business disruption. We will respond by first safeguarding our employees and property, then by making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. 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 disruption.

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; 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.

Our clearing firm, Legent Clearing, backs up our 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, our clearing firm has advised us that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 48 hours. Your orders and requests for funds and securities could be delayed during this period

Varying Disruptions – Significant business disruptions can vary in their scope. Scenarios exist where there is a disruption to only our firm, to a single building housing our firm, to the business district where our firm is located, to the city where we are located, or to the whole region. Within each of these areas, the severity of the disruption can vary, from minimal to severe. In a disruption to only our firm or to a building housing our firm, we will transfer our operations to a local site when needed and we expect to recover and resume business within 24 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and we will recover and resume business within 48 hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site, www.mclfinancial.com, or our customer emergency number, (303) 794-8686, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers’ prompt access to their funds and securities.

For more information – If you have questions about our Business Continuity Planning, you can contact us at (800) 860-9880 or info@mclfinancial.com.