Business Disruption

In the event of a business disruption for Noble Capital Markets, our Broker Dealer or Noble Capital Management, our Registered Investment Advisor (hereafter collectively called “NOBLE”), we have plans designed to allow us to continue operations of critical business functions, such as entering client orders, completing securities transactions, and providing clients access to their cash and securities. We accomplish this in part by:

  • Relocating impacted businesses and key personnel to designated recovery locations
  • Using redundant processing capacity at other locations
  • Designing our technology and systems to support the recovery process for critical business functions
  • Using business and technology teams that are responsible for activating and managing the recovery process.
  • Adopting a communication plan to ensure NOBLE employees receive emergency information and instructions via a variety of sources including telephone contact, email and websites.
  • INTL FCStone Financial Inc., our clearing firm, will field all client requests until such time as we are able to reestablish our own communications network. This includes, but is not limited to, security transactions and security and asset movement. To reach INTL FCStone Financial Inc., dial 800-778-6257.

At any time during an emergency situation, clients have the ability to review their accounts via the Noble website. Our local telephone lines will remain active, however they may be forwarded to a remote location until such time as they can be restored locally. Although we have taken significant steps to develop and implement sound business recovery plans, we cannot guarantee that systems will always be available or recoverable after a disaster or significant business disruption. However, we believe that our planning for such events is robust and consistent with many of the best practices established within the industry. Any material changes to the above information will be available on our website or upon request. If you have further questions regarding our business continuity plans, please contact your NOBLE representative.