Investors
The Business Continuity Plan for Mortgages Ltd. Securities, LLC (the “Firm”), is provided for purposes of creating and maintaining business continuity plans (BCPs) and emergency contact person lists under FINRA Rules 3510 and 3520.
The nature of the Firm's business is such that it does not use a clearing firm as its sole business for the sale of securities on behalf of its affiliated entity, Mortgages Ltd. The business of Mortgages Ltd. is the brokering and making of real estate secured loans in the State of Arizona. The source of the funds for the loans is ultimately third parties. FINRA Rule 3510(c) requires that members relying on another entity for elements of their business continuity plan or mission critical systems must address that relationship in their plan. The BCP is to evidence those items.
To continuing reading the full Business Continuity Plan, you can download the PDF version below.
Download PDF Version