SALLC provides in writing the Business Continuity Plan disclosure statement to all clients at account opening as part of the new account application documents. SALLC also posts the disclosure statement on our web site. Our plan is subject to modifications at any time and updates will be posted to our website or customers may request an updated summary by written request to SALLC. In the event of a business disruption, SALLC clients should always contact their Registered Representative first. All SALLC' Branch Managers have a copy of the full Business Continuity Plan and should be the first point of contact for clients with questions about their accounts. SALLC has taken significant steps to mitigate business disruptions resulting from a variety of events. We have reviewed our activities to assess each process to determine what is critical and how we can continue to do business with minimal disruption.
SALLC takes step to back up all of our information frequently. Additionally, we maintain offsite back-up facilities to storage all of our data in the event of business disruption in our home office.
While our plans attempt to deal with the potential impact of a variety of scenarios, any specific response will be highly dependent upon the nature and extent of the circumstances of the event. Our plan is subject to modifications at any time and updates will be posted to our website or customers may request an updated summary by written request to SALLC.
| Scenario | Response | Recovery Time |
|---|---|---|
| Firm-only | SALLC will continue doing business. Employees will continue operations from their home locations via our VPN. | ASAP |
| Lancaster Outage | SALLC will continue doing business. Employees will continue operations from their home locations via our VPN. | ASAP |
| Regional Outage | SALLC will continue doing business through its branches. Branches will be contacted by whatever means are available to SALLC. The Representative/customers should contact Product sponsors Emergency for further updates. | ASAP |