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Business Continuity Plan

Last Updated: March 2025

Title has voluntarily established a Business Continuity Plan to ensure operational resilience in the event of significant disruption. Although Title is not registered as an investment advisor and is not subject to regulatory requirements under U.S. or Canadian securities laws, we work closely with financial professionals who are. Accordingly, we have designed our Business Continuity Plan to align with the best practices set forth by the U.S. Securities and Exchange Commission (SEC) and the Canadian Investment Regulatory Organization (CIRO), including he SEC’s Investment Advisers Act Rule 206(4)-7 and CIRO Rules 4710–4714.

Contacting Us
If you are unable to reach us through our standard communication channels during a disruption, please use one of the following alternatives:

Overview of Our Continuity Measures
Title’s plan is structured to ensure that we can resume operations as swiftly and securely as possible following a disruption. This includes:

  • Ensuring the safety and availability of our personnel;

  • Conducting rapid assessments of operational and financial impacts;

  • Preserving and recovering essential business data; and

  • Maintaining secure, continuous access to platform functionality for clients and stakeholders.

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Our plan covers the following key areas:

  • Data protection – Full backup and recovery protocols for all client and internal systems;

  • Mission-critical systems – Infrastructure redundancy and cloud-based service architecture;

  • Communication – Alternative communication methods with clients, staff, and key partners;

  • Workforce resilience – Remote work capabilities and alternate worksite arrangements;

  • Third-party dependencies – Contingency plans for critical vendors, contractors, and infrastructure providers;

  • Compliance readiness – Capability to continue essential reporting and audit trail preservation, if needed.

Types of Disruptions
Business disruptions may range from isolated technical incidents to region-wide emergencies. In localized events (e.g., building-specific or service-related), our team will operate remotely or from alternate facilities. In broader disruptions (e.g., citywide or regional), our cloud-native platform ensures continuity of service, and we will communicate updates via our website or email.

Client Data and Continuity
Because Title does not hold client funds or securities, our focus is on ensuring uninterrupted access to your collection management environment and the preservation of your data integrity. We will continue to work with our advisor and collector clients to ensure critical operations resume with minimal disruption.

Plan Updates and Availability
Our Business Continuity Plan is reviewed annually and updated as necessary. Title reserves the right to modify this BCP at any time, without prior notice, to reflect evolving operational, technical, or regulatory considerations.

For additional questions about our business continuity policies, please contact us at: legal@titlecollections.com

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