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.
After a significant business disruption you should be able to continue to contact us at (866) 650-0650. Additionally, financial firms, 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 scope, such as disrupting only our primary office which is a single building housing our firm, or the business district where both our office building and our data center building are 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 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 the closest branch office location or another safe location when needed and expect to recover and resume business within 1 day to 2 weeks. In a disruption affecting our business district, city, or region, we will transfer our operations to the closest branch office location or another safe location, and expect to recover and resume business within 3 weeks. In either situation, we plan to continue our business and notify you through our website, 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. In addition, DST information is available on their website:
If you have questions about our business continuity planning, you can contact us at 866 -650-0650 or cnlsecurities.com.
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