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Rehmann Financial's Business Continuity Policy

Rehmann Financial, in collaboration with Rehmann, has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business.

Contacting Us

If after a significant business disruption, you are unable to reach your advisor's office, you should go to our Web site at www.rehmannfinancial.com for notices and updates. You are also encouraged to contact any Rehmann Financial office listed on the Web site for additional information.

Clearing Firms

Our clearing firms, Pershing, LLC and National Financial Services, back up our important records in geographically separate areas. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firms that their objective is to restore their operations and be able to complete existing transactions and accept new transactions and payments within 4 hours. Orders and requests for funds and securities could be delayed during this period.

If you are unable to access any of our advisors through the means described above and need immediate access to your funds, you should contact the appropriate clearing firm directly.

Pershing's Policy

In the event that your financial organization experiences a significant business interruption, you may contact Pershing directly to process limited trade-related transactions, cash disbursements and security transfers. Instructions to Pershing must be in writing and transmitted via facsimile at 201.413.5368 or by postal service as follows:

Pershing LLC
PO Box 2065
Jersey City, New Jersey 07303-2065

For additional information about how to request funds and securities when your financial organization cannot be contacted due to a significant business interruption, please visit the Customer Support section or call 201.413.3635 for recorded instructions. If you cannot access the instructions from the Web site or the previously noted telephone number, Pershing may be contacted at 213.624.6100, extension 500, as an alternate telephone number for recorded instructions.

Fidelity's (National Financial Service) Policy

In the event that your advisor is forced to cease operations due to a significant business interruption, you may call 1.800.343.3548 for emergency assistance.

Our Goals

Our business continuity plan is designed to resume operations as quickly as possible, given the scope and severity of the disruption. Our goals include:
  • Safeguarding our employees and property
  • Protecting the firm's books and records
  • Transacting client business with minimum disruption

Areas Addressed

Our business continuity plan addresses the following areas:
  • Data back-up and recovery
  • Resumption of mission critical systems
  • Financial and operational assessments
  • Alternative communications with clients, employees and regulators
  • Procedures for notifying clients of a service disruption including information on the anticipated length of the disruption and instructions for contacting us
  • Alternate physical locations for essential employees
  • Employee preparedness training
  • Impact on critical suppliers, contractors and service providers
  • Regulatory reporting
  • Client access to funds and securities

Varying Disruptions

Significant business disruptions can vary in their scope and severity and these factors will dictate our responses:
  • Disruptions to our office building or the building housing our office
  • Disruptions to the area where our office is located
  • Disruptions to the city where the office is located
  • Disruptions to an extended region around an office
If necessary, we will transfer our operations to a designated alternate site with the goal of resuming business within one business day. This recovery objective may be negatively affected by the availability of external resources and/or circumstances beyond our control. In either situation, we plan to continue business by transferring operations to our clearing firm if necessary. We will keep clients updated through our Web site: www.rehmannfinancial.com.

Our Commitment to You

We value your relationship and your confidence in us is extremely important. We want to assure you that in the event of any significant business disruption, access to your advisor and your funds and securities is our top priority.

For more information

If you have questions about our business continuity planning, you may contact our Chief Compliance Officer at either: 517.316.2445 or nwalls@rehmann.com.
 
 
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