Shevlin Investments Continuity and Disaster Recovery Plan

       

 

If the offices of the Company become uninhabitable or destroyed and if the physical files of the Company are destroyed.  All client account opening forms and other documentation (client Information Statements, all types of IRA adoption agreements, margin agreements, powers of attorney, trust documents, account statements, and in the case of direct business, copies of new account applications) are scanned and archived both on the Company's server and off-site at custodian site.

All client information (general information such as name, address, phone, date of birth, social security numbers, and specific account information including account numbers and positions) is stored in the Company’s client database.  Backups are made daily and are archived both on the Company's server and off-site and are password protected.

If the phones of the Company are out for an extended period.  The Company will request that our local phone carrier add a message to our line directing all incoming calls to a series of cell phone, or alternate business numbers, which will be determined at the time.  

In the event of the loss of key personnel.  The firm recognizes that Barry R. Shevlin, CFS is a “key” employee, for whose loss the firm must establish contingencies in an effort to prevent disruption to client service.  Should Mr. Shevlin become unable to fulfill his obligations to the firm and clients, the firm has appointed Cambridge Investment Research. Inc. to serve as an alternate for any investment advisory and non-investments activities.

Allocation of Duties in the Event of Death or Incapacity of Key Personnel

In the event of the death or incapacity of the firm’s key personnel. Cambridge Investment Research Inc. shall take all the following steps necessary to ensure a smooth transition by performing their respective duties. 

1. Provide notification to clients of the investment advisor and to those states in which the advisor is registered of the death or incapacity of key persons;

2.. Continue to monitor client accounts until an orderly liquidation, distribution or transfer of the clients' portfolio to another advisor can be achieved. 

3. Ensure sufficient data backups to allow rapid resumption of the investment advisor's activities.

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