Continuity
Due Diligence
We plan to quickly recover and resume business operations after a significant business disruption and to respond by safeguarding our employees and property,
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 backup and recovery
remote/alternative office locations for employees
all critical systems
financial and operational risk assessments
alternative communications with customers, employees, regulators and key contractors
instructions for succession, death, incapacitation of key personnel
regulatory reporting
How often is this plan tested? Once a year
Security
Google Cloud Platform Security
Backups and Server held with secure vendors
Controlled Access Rights of data
Cybersecurity Monitoring/Advisor Armor
Vendor Experience
FIN Compliance has twelve Years in operation
No reportable cybersecurity incidents in our history
Our senior consultants have more than 15 years of experience
Key Vendors
Principal
Name: Cory Roberson
Company: FIN Compliance
Email: cory@fincompliance.io
Phone Number: 650-305-2688
Address: 2950 Buskirk Avenue, Suite #300, Walnut Creek, CA 94597
Software Developers/Accessing data
Name: RedWhale, Inc
Email: development@redwhale.com
Phone Number: 650.312.1500
Address: 19925 Stevens Creek Blvd., Suite 100, Walnut Creek, CA 94597
Compliance Manager Cloud Data:
In the event of an emergency or unable to contact the principal, firms may download all stored data on our compliance management system
with appropriate credentials or contact our developers. All compliance software data is stored on Google’s secure cloud console and a backup is held at CrashPlan
Data/Cloud Vendors
Powered by Google Cloud Console
Data/Servers
Name: Database Mart
Email: support@databasemart.com
Address: 257 Westwood Dr. League City, TX 77573
Data/Cloud Backup
Name: CrashPlan/Code 42 (SaaS backup servers)
Phone Number: 612-333-4242
Address: 100 Washington Ave S., Suite 2000, Minneapolis, MN 55401
Cybersecurity/Monitoring
Name: Advisor Armor
Email: mbrown@advisorarmor.com
Address: 4555 N Scottsdale Rd, Scottsdale, AZ 85254
Compliance Consulting/Emergency
Company: Practus, LLP
Name: Robert Moreiro
Email: Robert.Moreiro@practus.com
Phone: 202.464.5603
Address: Virtual
Compliance/Operations
Name: Cameo Roberson
Company: Atlas Park
Email: cameo.roberson@atlasparkco.com
Phone Number: 415-895-2502
Address: Virtual
Compliance Review Date: 3/01/2023
Attestation
Signed: Cory Roberson
Title: Founder
