Disclosures

Commitment to Consumer Privacy
From our first day of operation, M Barc Investment Group, Inc. has been committed to protecting investor information responsibly. We recognize and respect the privacy expectations of each of our investors and we believe the confidentiality and protection of investor information is one of our fundamental responsibilities. New technologies have dramatically changed the way information is gathered and used, but our continuing commitment to preserving the security and confidentiality of investor information has remained a core value of M Barc Investment Group, Inc.

How We Protect Confidentiality
M Barc uses procedural, physical and electronic system safeguards to store and secure information about you in compliance with federal standards. Our systems protect your information from unauthorized access, alteration, and destruction. Access is permitted only to those individuals within our organization who need the information to perform their job responsibilities. When we enter into agreements with other companies to provide services to us or to make products and services available to you, we include a confidentiality clause. Under such an agreement, these companies may receive information about you, but they may only use it for the intended purpose - to benefit you.

Persons Covered by the Privacy Policy
M Barc’s policy applies to anyone who is a current or former client. We provide you with a copy of this policy when you open an account, and we send you annual notifications thereafter.

Collection and Disclosure of Shareholder Information
In the normal course of business, we collect, retain and use information about you to serve your financial needs, administer your account(s) and inform you of products and services that may be of interest. This data, known as non-public personal information, may be collected from several sources, including:
Account applications, new account and suitability form, written or electronic correspondence, or telephone contacts with shareholders or consumers inquiring about M Barc Investment Group, Inc.;
Transaction history from a shareholder’s account; or Non-affiliated third parties.
Because we strive to provide you with the best possible service, the accuracy and completeness of your personal information is important to us. We ask that you review your information regularly to ensure that it is correct. Please contact your account representative or M Barc directly if you need to correct or update your personal information.

Security of Customer Information
M Barc does not sell your personal information to anyone. We restrict the types of information we share and the types of entities with whom we share it. The primary reason for sharing information about you is to increase your convenience in transacting business with us and to give you more financial service choices. We do not disclose your personal information to non-affiliated third parties, unless one of the following exceptions applies:
When we believe in good faith that disclosure is required or permitted under law;
We disclose personal information to service providers that assist us in processing your transactions or servicing your account(s); or
We may also disclose personal information to third party service providers in an effort to improve and better market the products and services we offer.
M Barc Investment Group, Inc. will follow the policies below to protect your information, and require service providers to do the same:
Maintain policies and procedures designed to assure only appropriate access to information about customers;
Limit the use of information about customers of M Barc to the purposes for which the information was disclosed, or as otherwise permitted by law;
Maintain physical, electronic and procedural safeguards that comply with federal standards to guard non-public personal information of customers of M Barc. Customer account information will be destroyed after use by shredding any document that contains personal information such as name, address, account number, etc.
Employees will be trained to use strict standards of care in handling the personal, confidential information of customers and remind them on a regular basis of their obligations with regard to the confidentiality and proper disposal of customer information;
New technology used by M Barc, such as new Internet provider or computer program, will be tested and evaluated prior to use to ensure that customer privacy is not breached.

Website Security
We do not acquire non-public personal information from visitors who browse the public area of our websites. Our site creates a temporary data file commonly known as a cookie, which allows you to view some of our disclosure information. It may track the areas of our website that you visit. However, when you close your browser this cookie is automatically deleted from your system.
You can visit the site and remain anonymous by not providing any personal information. However, you may choose to share this information by completing applications online forms or requesting that we contact you. Personal information includes, but is not limited to name, address, phone number and email address. All forms are located in secured areas of our website. When using secure areas of our website, the information is encrypted, making it indecipherable to third parties. Your browser will indicate that you are in a secure area by displaying a locked padlock on the screen. Internet connections cannot be guaranteed to be 100% secure. We have taken all reasonable measure to protect the information entered and accessed on the website. However, we cannot be liable for unintentional disclosure of information. Other sites linked to this site are not covered under this privacy agreement.

Option to Opt Out and Change Notices
If for any reason at any time in the future, we find it necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change and the opportunity to opt out of such disclosure.

 

Business Continuity Plan

M Barc Investment Group, Inc. (“M Barc”) has developed a business continuity plan (the “Plan”) that addresses (i) the possibility of a future significant business disruption, and (ii) how M Barc plans to respond to events of varying scope.  This disclosure is intended to provide certain information regarding the Plan.  M Barc’s policy is to respond to a significant business disruption by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business.  The Plan addresses data backup and recovery, critical systems, financial and operational assessments, alternative communications with customers, employees, and regulators, alternate physical locations of employees, supplier, contractor, bank, and counterparty impacts, as well as regulatory reporting. M Barc’s primary business is in serving as placement agent for entities engaging in the private placement of equity securities; accordingly, M Barc does not hold retail accounts, does not perform any clearing functions for itself or others, and does not hold customer funds or securities.  As such, from a client perspective, a significant business disruption could impact M Barc’s ability to communicate with its clients and obtain access to its financial books and records, as well as those records pertaining to its line of business. If a significant business disruption were to impact M Barc’s ability to operate at its main office location, or through its normal modes of communication, M Barc will temporarily shift business operations to an alternative location, and provide clients with alternative means of communicating with M Barc.

Should you have any questions about the Plan, or should you desire additional information contained therein, you may contact M Barc in writing at M Barc Investment Group, Inc., 8875 Hidden River Parkway, Tampa, Florida 33637, or by telephone at (813) 293-4111.  
 

M Barc Investment Group, Inc.

8383 Greenway Blvd. Suite 600

Middleton, WI 53562, USA

Phone 608.826.7401

Fax 608.826.7201