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CNL Securities' Business Continuity Planning

CNL Securities has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us

After a significant business disruption you should be able to continue to contact us at 866-650-0650.  Additionally, investors in products distributed by CNL Securities and their financial advisors (“customers”) should be able to directly contact DST Systems, Inc. the transfer agent at 866-563-0650.  If you are unable to contact us at the above numbers, you can also attempt to contact us at 800-522-3863 or go to our web site at cnlsecurities.com.  A special message with instructions on how to contact us or the CNL Securities distributed issuers’ transfer agent, DST Systems, Inc. may be available by calling any of the above numbers or by visiting our website.  

CNL Securities' Business Continuity Plan

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our associates and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business.  In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. 

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, associates, and regulators; alternate physical location of associates; critical suppliers, contractors, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to information on CNL Securities distributed investments if we are unable to continue our business.

Varying Disruptions

Significant business disruptions can vary in their scope, such as disrupting only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region.  Within each of these areas, the severity of the disruption can also vary from minimal to severe.  In a disruption to only our firm or a building housing our firm, we will transfer our operations to the closest branch office location when needed and expect to recover and resume business within 2 weeks.  In a disruption affecting our business district, city, or region, we will transfer our operations to the closest branch office location, and recover and resume business within 3 weeks.  In either situation, we plan to continue in business and notify you through our web site (cnlsecurities.com) how to contact us.  If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to information on CNL Securities distributed investments. 

For More Information

If you have questions about our business continuity planning, you can contact us at 866 -650-0650 or cnlsecurities.com

 

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