CNL Securities Corp. (CSC) 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 and our disaster recovery plan.
After a significant business disruption you should be able to continue to contact us at (866) 650-0650. Additionally, financial firms, financial professionals, investment adviser representatives, advisors and their investors in products distributed by CNL Securities 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 website at cnlsecurities.com. A special message with instructions on how to contact CNL Securities or the distributed issuers’ transfer agent, DST Systems, Inc. may be available by calling any of the above numbers or by visiting our website.
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 distributed investments if we are unable to continue our business.
Significant business disruptions can vary in their geographical scope, such as disrupting only our primary office which is a single building housing our firm, , the city where we are located, the region or even the entire country, as may be the case during a pandemic or other regional or national disasters. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In all cases our plan is to quickly recover and resume business operations. If a disruption impacts only the building housing the primary office of our firm, we will transfer our operations to another safe location when needed and expect to recover and resume business within one day to two weeks. If a disruption affects our business district, city, region, or nation, we will transfer our operations to another safe location, and expect to recover and resume business within one day to three weeks. The operations of our business have been tested to allow certain staff, or all of the staff, to work remotely. If remote operations are successful, based upon the cause and level of the disruption, our operations and service could resume more quickly. In either situation, we plan to continue our business and notify you through our website, cnlsecurities.com, on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers’ prompt access to information on CNL Securities distributed investments. In addition, DST information is available on their following websites:
If you have questions about our business continuity planning, you can contact us at 866 -650-0650 or cnlsecurities.com.
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