Business Continuity

Global Investor Services, LLC (“GIS”) has developed a Business Continuity Plan (“BCP”) on how we will respond to significant business disruption (“SBD”) events. As the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur.

Contacting Us
During a significant business disruption, you may contact GIS personnel or your registered representative as you normally do by dialing their number at GIS . These lines and other critical GIS telephone numbers will be redirected to alternative numbers in order to be able to service your account. If you cannot access us through this mean, you should contact our Clearing Firms.

For Pershing LLC Platform: Contact Pershing LLC, a wholly owned subsidiary of The Bank of New York Mellon Corp., Instructions for trades, cash Disbursements and securities transfers can be found in the attached document : PERSHING BUSINESS CONTINUITY DISCLOSURE

During a SBD, Third Party wires will not be processed.

Our Business Continuity Plan
We plan to recover and resume business operations quickly after an SBD by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing you to transact business. 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 back-up and recovery; mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. Our clearing firm Pershing, LLC will back up our important records in a separate geographical area. While every emergency situation poses unique problems based on external factors, such as time of day and severity of the disruptions, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within an eight hour period. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions
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 an unexpected disruption to our Firm or the building housing our Firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a four hour period. In an unexpected disruption affecting our business district, city, or whole region, we will transfer our operations to outside the affected area, recover and resume business within an eight hour period. In an expected disruption, such as a major storm or hurricane, our firm will be proactive in relocating personnel to an unaffected area so that you don’t experience any disruption during the storm. After the storm passes and we have assessed the damage, our relocating team will return to the office. In either situation, we plan to continue the normal course of business, transfer operations to our clearing firm if necessary, and notify you through our BCP auto-attendant. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure prompt access to your funds and securities.

For more information or if you have questions about our business continuity plan, please contact your sales or service representative, or email us at Service@gismail.com, Trade@gismail.com or giscompliance@gismail.com