Miller Tabak Asset Management, LLC
Miller Tabak Asset Management HomeOur PhilosophyStrategiesMTAM TeamContact Us
 
Disclaimer

Business Continuity Program

Overview

At MT Asset Management, LLC (MTAM), we build long-term relationships with our clients and strive to serve them with a comprehensive approach to managing their portfolios while providing outstanding client service. Business continuity is essential to achieve that goal. We have dedicated significant resources to business continuity and incorporated it throughout our business practices and strategy. Our Business Continuity Program (BCP) covers operations performed by MTAM.

Our goal is to maintain the ability to serve our clients and to protect our clients' and the company's assets without disruption. Our enterprise-wide BCP commitment includes facilities, technology, applications, data, processes, governance and corporate strategy.

As part of our program, we established the Disaster Recovery Team dedicated professionals and member of Senior Management to oversee all aspects of the firm's business continuity management strategy. The BCP includes these key elements: Crisis Management, Business Continuity Planning, and Data Backup and Recovery.

Crisis Management

We maintain a robust crisis management structure that allows for an efficient and effective response to crisis events. We proactively monitor for events that may affect our facilities, clients, employees and financial solvency. The Firm provides training and education to help prepare employees for possible business disruptions, as well as validates a response for a variety of possible incidents with key employees.

During a crisis event or business disruption, the Recovery Team will coordinate our response to help protect the well-being of employees, safeguard assets and provide continuity of critical processes.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do, you should call our alternative number (800-527-5282) or go to our website at www.millertabakam.com for more instructions.

Business Continuity

We believe our business continuity plans and program controls meet regulatory requirements.

The BCP contains critical processes that are reviewed annually or in the event of a material change. As part of the review process, we conduct a business impact analysis which helps determine critical processes and ensures that appropriate recovery strategies and capabilities are in place.

We have developed recovery solution strategies that enable us to activate the appropriate strategy based upon the event's severity and duration. This flexible approach allows MTAM to respond appropriately and effectively based on the type of event.

Data Backup and Recovery

The backup and recovery of hardcopy and electronic data is of critical importance due to the significance of historical data in business operations, as well as the appropriate regulatory requirements. Electronic data is backed up to allow access to critical data to keep the Firm operational. Testing and validation of backup frequency is based upon the critical nature of the data. Our recovery approach is designed to guard against the loss of critical data.

Changes and Modifications

The BCP is subject to modification. We will post information about updates or modifications to the plan on our Website. If you should have questions, please send an inquiry to:

Miller Tabak Asset Management LLC
Compliance Department
200 Park Avenue
Suite 1700
New York, NY 10166
(212) 850-8103
riacompliance@millertabak.com