Pursuant to NASD Rule 3510, Genesis Securities is committed to providing our clients with secure and reliable access to their accounts. Genesis Securities has developed a business continuity plan that will activate in the event of a significant business disruption such as a natural disaster, power outages, terrorism, inadvertent catastrophic mistakes or other events. Genesis Securities has engineered redundancy into most of its critical systems to permit a rapid recovery in the event of a sudden loss of processing ability. Our plan addresses the actions that we will take in the event that the significant disruption affects a single building, a business district, a citywide area or an entire region.

Genesis Securities presently maintains one data center that is mirrored in an alternate location and is connected by dedicated T3 (primary) and Internet VPN (back up). They are capable of duplicating and transferring certain critical records and processes. We have different planned recovery times depending on the severity of the significant business disruption. Most of our plans call for recovery times within minutes to hours from the significant business disruption.

While no business continuity plan can eliminate all risk or delay resulting from an unexpected interruption in service, we continually assess, update and test our plans to ensure that Genesis Securities has taken the steps necessary to protect our clients. Our plan will be reviewed and updated and any modifications to our plan will be reflected in this Business Continuity Plan Statement, which will be posted on our Website at gndt.com.