Business Continuity Plan

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The Company has implemented a business continuity plan. The plan addresses the following:

  • Identify emergency contact persons;
  • Data back-up and recovery, including maintenance of laptops with appropriate encryption technology;
  • Mission critical systems;
  • Financial and operational assessments;
  • Alternative communications during an emergency;
  • Critical business impact;
  • Regulatory reporting and communications with regulators; and
  • Disclosure requirements

The plan is reviewed annually by senior management to determine if any modifications are necessary in light of changes to operations, structure, business or location, or regulatory developments. In addition, the Chief Compliance Officer is responsible to ensure a review of the plan is performed annually.