Disclosures

Business Continuity Plan

Herald Investment Marketing has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disaster and disruptions are 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.

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, and protecting the firm’s books and records. 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 backup and recovery; all mission critical systems; alternative communications with customers, employees, and regulators; and alternate physical location of employees.

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is 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 a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one to two business days.

If you have questions about our business continuity plan, you can contact us at 1-877-420-5588