Customer Identity Verification Notice
To help the government fight the funding of terrorism and money laundering activities, federal law requires broker-dealer firms to obtain, verify, and record information that identifies each person who opens an account.
What types of information will you need to provide?
For an individual, when you open an account, we are required to collect information such as the following from you: Your name, date of birth, address, identification number: U.S. Citizen: taxpayer identification number (social security number or employer identification number) or Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you. You may also need to show your driver’s license or other identifying documents.
For an entity, when an account is opened, we are required to collect information such as the following from the entity: documents showing the existence of the entity, such as certified articles of incorporation, a government-issued business license, a partnership agreement, or a trust instrument.
We may, under the following circumstances, rely on the performance by another financial institution (including an affiliate) of some or all of the elements of our customer identification program with respect to any customer that is opening an account or has established an account or similar business relationship with the other financial institution to provide or engage in services, dealings, or other financial transactions:
Such reliance is reasonable under the circumstances, when the other financial institution is subject to a rule implementing the anti-money laundering compliance program requirements and is regulated by a Federal functional regulator and when the other financial institution has entered into a contract with us requiring it to certify annually to us that it has implemented its anti-money laundering program, and that it will perform (or its agent will perform) specified requirements of the customer identification program.
BUSINESS CONTINUITY PLAN
NORTHERN EDGE CAPITAL ADVISORS LLC
BUSINESS CONTINUITY PLAN
SUMMARY DISCLOSURE STATEMENT
Northern Edge Capital Advisors LLC (“Northern Edge”), pursuant to Financial Industry Regulatory Authority, Inc. (“FINRA”) rules, has created a Business Continuity Plan, to address and guide our response to and recovery from Significant Business Disruptions (“SBDs”). Copies of this Summary Disclosure Statement are available upon request. Northern Edge’s Business Continuity Plan is subject to modification. Clients may obtain updated summaries by requesting a written copy by email, mail, or fax (212-520-8289).
In all of the following scenarios, Northern Edge plans to continue business and our planned recovery time, depending upon the time of occurrence, should not exceed 24 hours from the time of the declaration of the SBD. Staff, telephone calls, and e-mails will return to their original location upon full restoration of service.
Disruption to a single building or our Firm’s main office
If a disruption occurs at our main office located at Northern Edge, we will work from the nearest suitable, reasonably available office location, or allow staff to work from home offices.
Disruption to a business district
If a disruption occurs in our business district affecting our main office, we will work from the nearest suitable, reasonably available office location, or allow staff to work from home offices. These locations shall be outside the business district.
City-wide business disruption
If a disruption occurs in our city-wide area that affects our main office, we will work from the nearest suitable, reasonably available office location, or allow staff to work from home offices. These locations shall be outside the city-wide area.
If a regional disruption occurs that affects our main office, we will work from the nearest suitable, reasonably available office location, or allow staff to work from home offices.
Northern Edge has also contracted with various entities to ensure that sensitive information is made redundant at back-up facilities. However, due to the nature of such information we do not disclose the specific location of any back-up facilities, any proprietary information contained in our Business Continuity Plan or the parties with whom we have back-up arrangements.
Please call us should you have any questions at (212) 520-8290.
Robert Goldsmith, President