top of page

 

Privacy and Disclosures

​

​

 

Privacy & Security

 
Customer Privacy Policies and Practices

 

Included below are the documents that describe the policies and practices of Moors & Cabot's Customer Privacy.

Download a summary of the Moors & Cabot Customer Privacy Policy and Practices.

​

​

 
Protection in an Emergency

 

Moors & Cabot has developed a comprehensive business continuity plan that is designed to protect your interests in the event of an internal disruption—such as a fire in our building—or an external disruption—such as a terrorist attack or a flood—that affects many brokerage firms and/or U.S. securities market operations.

​

This carefully crafted, highly detailed plan allows us to recover critical systems and business functions as quickly as possible, minimizing any impact on our ability to communicate with you and meet your investment needs. The plan is managed by senior personnel at our firm and is updated annually to capitalize on technological enhancements and human resource changes.

​

Customer records, funds and securities are held by our clearing firm, RBC. The firm's primary computer facilities are located in geographically diverse parts of the country for added protection. RBC submits its contingency plan to Moors & Cabot for review on a regular basis, and we are satisfied that the plan adequately protects your interests, including your ability to access your records and assets in the event of an internal or external disruption.

​

Download a summary of the Moors & Cabot Business Continuity Plan.

​

​

​

 

Information & Disclosures

 
USA PATRIOT Act Information

 

Below is important information about our procedures for opening an account mandated by the USA PATRIOT Act.

​

To help the government fight the funding of terrorism and money laundering activities, the USA PATRIOT Act, a federal law, requires all financial institutions to obtain, verify and record information that identifies each person who opens an account, including business accounts.

​

What this means for you:

​

When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents. If you are opening an account on behalf of a business entity, documents relating to the business may also be requested.

​

​

Important Terms and Conditions Regarding Text Messaging

SMS Terms & Conditions

The Terms of Service related to SMS communication must either be included in the privacy policy or be a stand-alone document. 

SMS Terms & Conditions

 

1. SMS Consent Communication:

The information (Phone Numbers) obtained as part of the SMS consent process will not be shared with third parties for marketing purposes.

 

2. Types of SMS Communications:

If you have consented to receive text messages from Moors and Cabot, you may receive messages related to the following:

  • Conversational Purposes (Internal and External)

Example: "Hello, Do you have availability for a call tomorrow?"

 

3. Message Frequency:

Message frequency may vary depending on the type of communication. For example, you may receive up to 10 SMS messages per week related to Conversational messages (Internal and External).

Example: "Message frequency may vary. You may receive up to 2 SMS messages per week regarding your appointments or account status."

 

4. Potential Fees for SMS Messaging:

Please note that standard message and data rates may apply, depending on your carrier’s pricing plan. These fees may vary if the message is sent domestically or internationally.

 

5. Opt-In Method:

You may opt-in to receive SMS messages from Moors and Cabot in the following ways:

  • Verbally, during a conversation

 

6. Opt-Out Method:

You can opt out of receiving SMS messages at any time. To do so, simply reply "STOP" to any SMS message you receive. Alternatively, you can contact us directly to request removal from our messaging list.

 

7. Help:

If you are experiencing any issues, you can reply with the keyword HELP. Or, you can get help directly from us at https://www.moorscabot.com/

 

8. Standard Messaging Disclosures:

bottom of page