BUSINESS CONTINUITY PLANS OF SPIRE SECURITIES, LLC
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1 BUSINESS CONTINUITY PLANS OF SPIRE SECURITIES, LLC
2 Disaster Recovery and Business Continuity Plan Of Spire Securities, LLC Spire Securities, LLC ( Spire ) has devised the within Disaster Recovery and Business Continuity Plan ( DRBC ) in order to effectively address and state the specific steps which we shall use and employ in order to recover from any disaster or emergency. Our first line of defense is the full compliment of insurance that we carry. This has been tailored to protect us from a loss of resources in the event of a disaster. It is our understanding that acts of war are probably not covered under this or any policy. 1. The Team Emergency Contact Persons The management team of Spire Securities (Sue McKeown, and Phillip Fournier) is ultimately responsible for the implementation and maintenance of the DRBC. Directly responsible for certain actions and implementation of the plan are the following: -Phillip Fournier (Sr.Vice Pres.) is responsible for Technology and Communications - Phone: , Phill.Fournier@SpireIP.com. -Sue McKeown (CCOVice Pres.) is responsible for Operations and Compliance - Phone: , Sue.McKeown@SpireIP.com. These names and contacts will be updated in the event of a material change, and our Executive Representative will review them within 17 business days of the end of each quarter. It will be the responsibility of the Management Team to define the level of the Disaster (i.e. Level 1, Level 2, Level 3). 2. Firm Policy Our firm s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities. 3. Defining the Levels of Disaster
3 Level 1: The least severe; Significant Business Disruptions ( SBDs ) or short term, internal disruptions that cause our building to be unavailable for time frames of less than one month. The following is a list of possible causes: power outages, broken HVAC, or evacuations. To deal with this we would operate at a remote location, possibly out of our homes, a suite in another professional s office, or a suite/ballroom at a local hotel. Employees are to check in with management via their home phone or cell phone to be informed of place of operation. Vital equipment will be transported to site if possible or borrowed or leased at the location of operation. This would be the plan in place when dealing with inclement weather and other temporary, non-life threatening occurrences. Plan A 1. Mission Critical Functions, Systems and Activities Network Alliance, our network and internet access providers have made it possible to access our data server and system from remote locations. 2. Communications at this level may take place via , cell, phone or fax. An emergency contact is requested of all employees. The Management team, having declared this a Level 1 disaster, appoint Phillip Fournier and Sue McKeown to coordinate the notification of our satellite offices and actions necessary. They will also maintain the employee contact list. 3. Employees are notified of the office closing via broadcast to both their Legacy and personal . A notice will also be posted to the Legacy Intranet website. A voice recording will be put on the main phone line ( ) for both employees and clients. Should the closing come mid-day, an announcement will be made via the PA system. During this time it will be necessary to obtain a head-count. This can be done by a specific response to the notification or, if mid-day and we are to evacuate the building, all personnel will congregate at the side of the Hilton where a head-count can take place. 4. Phillip Fournier will be in contact with building management with respect to the facility being accessible. 5. Sue McKeown will be in contact with regulatory agencies and our platform/service providers (ie Schwab, FRIAG, FolioFN, ASG) as well as our clearing firm, NFS. 6. As with this level of disaster we do not anticipate any long term disruption (no more than 2 days) other third party service providers or venders may not necessarily be notified. If closed USPS and overnight delivery firms will simply hold and attempt to redeliver at a later date. 7. Once again, as this should be a temporary situation we do not expect to have to put into place any contingency budgets to maintain operations. A review of our existing insurance coverage may be in order. Level 2: Intermediate-term disruptions that cause our building to be unavailable for a time frame of more than a month and less than a year. The following is a list of possible external causes: fire, contamination, flood damage, or building structural problems. If we do not know the magnitude at the time of the event, we will utilize plan A, above until it is clear that the time frame will exceed one month. We will lease temporary space from a business associate or through a commercial realtor. All equipment and files will
4 be moved or replaced and phone lines will be transferred to the new location. Once our building is back online everything will be moved back. Level 3: Permanent loss of use of building The following is a list of possible external causes: fire, flood, or terrorist attack. At the time of the event, we should know the severity of the damage and would go right to plan B and find new permanent space. Plan B If the city is destroyed or rendered uninhabitable, management will choose two evacuation locations. Depending on the scope of the event, the first evacuation location will be that of the home of David Blisk (Address: 1534 Wellingham Ct., Vienna, VA 22182, Phone: ). An alternative location may be one of our branch offices (see listing below). We have either created procedures or structured our operation to protect our asset management data, financial data and other important documents. However, some less important data would have to be reconstructed. Operational Risk: In the event of an SBD, we will immediately identify what means will permit us to communicate with our customers, employees, critical business constituents, critical banks, critical counter-parties, and regulators. In addition, if necessary, we will retrieve our key activity records as described in the section below, Data Back-Up and Recovery (Hard Copy and Electronic). Financial and Credit Risk: In the event of an SBD, we will determine the value and liquidity of our investments and other assets, to evaluate our ability to continue to fund our operations and remain in capital compliance. We will contact our clearing firm and critical banks, to apprise them of our financial status. If we determine that we may be unable to meet our obligations to those counter-parties or otherwise continue to fund our operations, we will request additional financing from our bank or other credit sources to fulfill our obligations to our customers and clients. If we cannot remedy a capital deficiency, we will file appropriate notices with our regulators and immediately take appropriate steps. 4. Business Description Our firm is an introducing firm and does not perform any type of clearing function for itself or others. Furthermore, we do not hold customer funds or securities. Our firm does not maintain custody of customers funds or securities, which are maintained at our clearing firm, NFS. In the event of an internal or external SBD, if telephone service is available, our registered persons will take customer orders or instructions and contact our clearing firm on their behalf, and if our Web access is available, our firm will post on our Web site that customers may access their funds and securities by contacting the NFS Service Team. The firm will make this information available to customers through our disclosure policy. We accept and enter orders. All transactions are sent to our clearing firm, or other broker-dealers, which executes and clears our orders. Our clearing firm, and the other
5 broker dealers that we use, also maintains our customers accounts, can grant customers access to them, and delivers funds and securities. If SIPC determines that we are unable to meet our obligations to our customers or if our liabilities exceed our assets in violation of Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee to disburse our assets to customers. We will assist SIPC and the trustee by providing our books and records identifying customer accounts subject to SIPC regulation. Our clearing firm is National Financial Services and our contact person at that clearing firm is Fred Zeh (Phone: , Fred.Zeh@FMR.com). 5. Office Locations 370 Virginia Ave., Suite 103, Hagerstown, MD Phone: S. Bedford St., Newry, PA Phone: E. Lancaster Ave., #300B, Wayne, PA Phone: Democracy Blvd., #300, Bethesda, MD Phone: N. Cascade Ave., #10, Col. Spgs., CO Phone: Glenridge Connector, #200, Atlanta, GA Phone: Data, Back-Up and Recovery (Hard Copy and Electronic) As we utilize an offsite 3 rd party network provider (Network Alliance), the safety and security of our stored data is assured, should our facility become unusable or destroyed. Our desktops, scanners, printers, copiers, and fax machines could be moved or replaced without disruption to our stored data. Our phone system is relatively simplistic and could be moved within hours and our phones can be forwarded within a fraction of that time. The rest of our office equipment is generic and can be readily replaced. Our firm maintains its primary hard copy books and records at: 7918 Jones Branch Dr., #750 McLean, VA These items include: Bank reconciliations Accounts Receivable/Accounts Payable Commission/Fee calculations and payouts Account records, account statements, trade tickets/confirmations HR Records Registration files
6 Contracts and its electronic records as follows: Quickbooks files (ie Bank Rec., A/R, A/P, Payroll) are stored with Network Alliance Commission/Fee calculations will be stored by our vendor, EAI Information Systems. HR Records and Registration files are scanned and stored with Network Alliance Regulatory form filings will be maintained electronically with Web CRD and also a scanned copy with Network Alliance. All client account records (ie New account forms, contracts, correspondence) will be scanned into a Laserfiche application (ADI) and the records stored at Network Alliance correspondence is stored with Network Alliance and an additional copy is being sent, scanned and archived by a third party vendor (Amicus) for 5 years. Sue McKeown (CCO, ) is responsible for the maintenance of those books and records that apply to customer documents, HR Records, Registration files, Regulatory Filings (ie FOCUS, Form BD etc.) and commissions and fees. Larry Gaffey (our CFO, ) is responsible for the maintenance of the books and records as they relate to Bank Reconciliations, A/R and A/P and Payroll. Our firm maintains its back-up hard copy of customer statements (in CD format) at Snowberry Ct.,Leesburg, VA. Sue McKeown ( ) is responsible for the maintenance of these back-up books and records. Our vendors (EAI Information Systems, ADI/Laserfiche, Amicus, Network Alliance) back up their electronic records daily. Detail on these processes can be found in their contract files, copies of which are also stored electronically. In the event of an internal or external SBD that causes the loss of our paper records, we will physically recover them from our back-up site. If our primary site is inoperable, we will continue operations from our back-up site or an alternate location. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up site, or, if our primary site is inoperable, continue operations from our back-up site or an alternate location. Mission Critical Systems Our firm s mission critical systems are those that ensure prompt and accurate processing of securities transactions, including order taking, entry, execution, comparison, allocation, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities. Currently all order entry is via the web.
7 We have primary responsibility for establishing and maintaining our business relationships with our customers and have sole responsibility for our mission critical functions of order taking and entry. Our clearing firm provides, through contract, the execution, comparison, allocation, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities. Copies of the BCP of our clearing firm will be kept in the CCO s office. Order Taking Currently, our representatives receive orders from customers via telephone or during client visits. During an SBD, either internal or external, we will continue to take orders, and in addition, as communications permit, we will inform our customers when communications become available to tell them what alternatives they have to send their orders to us. Customers will be informed of alternatives by if phone service is not available. If necessary, we will advise our customers to place orders directly with the clearing firm/broker/dealer: NFS: Schwab: FRIAG: Alternate Communications Between the Firm and Customers, Employees, and Regulators A. Customers We now communicate with our customers using telephone, , fax, U.S. mail, and in person visits at our firm or at the other s location. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with our customers. For example, if we have communicated with a party by but the Internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the U.S. mail. B. Employees Our employees are our most valuable resources. We make every effort to protect them from harm at the workplace and to retain them. In the event of a disaster the staff is informed to check in with one of the managers to receive instructions. We would hire carefully screened temps and subcontract out non-confidential work in the event of loss of large number of employees. Any management team member could be replaced by hiring a combination of consultants and other professionals. We now communicate with our employees using the telephone, , our Intranet site and in person. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with our employees and representatives. We will also employ a call tree so that senior management can reach all employees quickly during an SBD. The confidential call tree includes all staff home and office phone numbers.
8 The person to invoke use of the call tree is: Sue McKeown, CCO 7. Regulatory Issues We would make every effort to remain in compliance in the event of a disaster. Spire does not custody any customer funds or securities. This responsibility lies with the qualified custodians, or clearing firms, that we place accounts with. Should it be necessary to trade in any of our client accounts, access to trading desks is made available via web access or by phone. Having client accounts custodied at 3 rd party clearing firms also means that client statements and other documents could be recreated by the custodian. Our paper files are our weakest link, since they consume large amounts of space. They are not easily transported. We are working on the conversion of the important documents to a digital format. This process is time consuming and will be an ongoing project until all communication are done electronically. Until this time, we will make every effort to protect these files from being damaged or stolen. It is encouraging that the large majority of the firm s files could be recreated. 8. Third Party We do not utilize any third party venders that are so unique that they could not be replaced with a competitor. The only quasi third parties that would cause us great disruptions are companies that make up the infrastructure of the country. If the banking system, mail system, communications networks, security markets or federal government were rendered inoperative for any great length of time we would not be able to operate. We do not have the size of resources to provide these services ourselves. 9. The Review and Testing of the Plan A method will be developed to periodically test parts of the plan. This disaster/contingency plan is to be reviewed at least annually by our management team. Changes to be implemented more frequently if needed. 10. Disclosure of Business Continuity Plan We provide in writing a BCP disclosure statement to customers when requested. We also post the disclosure statement on our Web site. Our disclosure statement is attached. Senior Manager Approval
9 I have approved this Business Continuity Plan as reasonably designed to enable our firm to meet its obligations to customers in the event of an SBD. Signed: Title: Date:
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