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Business Continuity Plan

Rothenberg Wealth Management is a member of the Canadian Investment Regulatory Organization (CIRO) and covered under the regulators insurer known as the Canadian Investor protection Fund (CIPF). Each client’s general account is covered up to $ 1 million. The firm we use for our back office administration, National Bank Independent Network (NBIN), is also covered by the same issuer.

The insurance covers our clients in the event of insolvency. It does not protect investors from market fluctuations on individual securities. For more specific details on this coverage, please visit CIPF or request a brochure from one of our offices. Rothenberg Wealth Management is audited regularly by CIRO as well as RSM Richter Chamberland.

Business Continuity Plan

Rothenberg Wealth Management (RWM) recognizes that our clients rely on our systems and services and we protect the investments entrusted to us in several ways.

RWM has developed a Business Continuity Plan (BCP) that will allow key operations to be re-established should a significant business disruption occur at our offices.

The Business Continuity Plan (BCP) is based on a worst-case scenario, thus eliminating the postulation of lesser case disruptions. Key business dependent technology components have been co-located into a “hardened” back-up site. Essential business staff would relocate to the alternate back-up site.

In the event of an outage, clients should experience minimal downtime in their ability to contact RWM. There are pre-established, tested processes for re-routing of our critical telephone numbers. The Recovery Time Objective (RTO) is currently targeted at 48 hours or less for critical systems such as buying, selling, redeeming securities, including delivery of assets.

Rothenberg Wealth Management’s Business Continuity Planning process is fully tested annually.

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Our Offices

Westmount Head Office
Montreal – West Island
Montreal – South Shore
Calgary

Westmount Head Office

Address
4420 St. Catherine Street W
Westmount, Quebec H3Z 1R2 Canada
Telephone
514-934-0586
Telephone
1-800-811-0527

Montreal – West Island

Address
6500 Trans Canada, Suite #140
Pointe-Claire, Quebec H9R 0A5 Canada
Telephone
514-697-0035
Telephone
1-800-811-0527

Montreal – South Shore

Address
Centre Complexe Dix30
1040 Rue du Lux, Suite 410
Brossard, Quebec J4Y 0E3 Canada
Telephone
450-321-0001
Telephone
1-800-811-0527

Calgary

Address
1333 8th Street SW, Suite 302
Calgary, Alberta T2R 1M6 Canada
Telephone
403-228-2378
Telephone
1-800-456-0949
Founded in 1986, Rothenberg Wealth Management is a leading investment firm and trusted wealth management partner for families, individuals, their affiliated business and condominium corporations.
© 2024 Rothenberg Wealth Management Inc. All Rights Reserved.
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