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Business Continuation Plan

Business Continuation Plan

 

Business Continuation Plan Disclosure Statement

 

As a result of the attack of 9/11/2001, all financial firms are required by law to develop and convey a business continuation plan in the event of various types of business disruptions. This is our disclosure statement that this regulation requires us to provide to you. THIS FILING IS REQUIRED BY LAW AND IS INFORMATION FOR YOU IN THE EVENT OF A BUSINESS DISRUPTION IN THE FUTURE.

The regulations state we must address various degrees of business disruption; state whether we plan to continue business during that particular scenario and, if so, our planed recovery time; and provide general information on our intended response.

Scenario

Continue business/recovery time

Intended general response

Firm only business disruption

We plan to continue business with a recovery time of three (3) business days or less

Through agreements with critical business partners and technology in place we will be available to our clients no later than three (3) business days

 

Single building disruption

We plan to continue business with a recovery time of three (3) business days or less

Through agreements with critical business partners and technology in place we will be available to our clients no later than three (3) business days utilizing the office that is not disrupted

 

Business district or city wide disruption

We plan to continue business with a recovery time of three (3) business days or less

Through agreements with critical business partners and technology in place we will be available to our clients no later than three (3) business days utilizing the office that is not disrupted

 

Regional disruption

We plan to continue business with a recovery time of ten (10) business days or less

Through agreements with critical business partners and technology in place we will be available to our clients no later than three (10) business days utilizing a facility outside the region.

 

In the event of a disruption of phone service in a particular area you are instructed to first call our Cincinnati office at (513) 621-2000. If that call fails you are instructed to call our Columbus office at (614) 849-0084. 

Once again - this disclosure statement is the result of Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 and NASD Rule(s) 3500, 3510 and 3520 approved by the Securities and Exchange Commission on April 7, 2004 . We are not planning on disrupting our business. Please keep this documentation for future reference. If you have any questions concerning this disclosure please call Jim Collins at 513-621-2000.

Rule:  NASD Rule 3510(e).

 

 

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