Privacy & Security

Business Continuity Disclosure

Business Continuity Plans and Emergency Contact Information

Rule 4370 (e) Business Continuity Plan

Capital One Investing, LLC, maintains a business continuity plan according to FINRA Rule 4370. The plan describes how Capital One Investing, LLC would respond to any significant business disruptions.

Capital One Investing, LLC believes it has taken reasonable measures to minimize interruption of customer access to accounts during significant business disruptions. The business continuity plan provides detailed and tested procedures for dealing with major business disruption events such as natural disasters, power outages, severe weather, and pandemics. The plan is designed to maintain critical business functions such as processing client orders and providing access to account information.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do via our web site (http://www.capitaloneinvesting.com) you should call us at 1-800-747-2537.

Our Business Continuity Plan

Our yearly enterprise-wide analysis and testing of financial and operational risks focuses primarily on the following :

  • Backup and recovery technologies for all business critical systems
  • Procedures for preemptive and reactive action to a major business disruption
  • Employee business continuity awareness training on stated procedures
  • Alternate customer communication allowing for timely updates of the outage event, how to contact us, and account support information
  • Remote access for mission critical staff to conduct business

The Capital One Investing infrastructure is hosted from secure and redundant data centers. The data centers provide redundant power, Internet connectivity, environmental controls, primary and standby data and application servers and robust physical and network security.

Our contingency and recovery plans are reviewed, exercised, and reported on quarterly to allow for changes in technology, procedures, regulations, and physical facilities. This notice will be updated as needed.

For More Information

If you have questions about our business continuity planning, you can contact us at 1-800-747-2537