Allen C. Ewing & Co. plans to quickly
recover and resume business operations after a significant
business disruption (SBD) and respond by safeguarding our employees
and property, making a financial and operational assessment,
protecting the firm’s books and records, and allowing
our customers to transact business. In short, our company’s business
continuity plan (BCP) is designed to permit us to resume operations
as quickly as possible, given the scope and severity of the SBD.
The BCP addresses: data back up and recovery;
all 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.
In addition, product sponsors or issuers of some
security products may maintain records related to your
investments and account holdings and backs up important
records in accordance with their business continuity plan.
For more information on their contingency plan, please contact t
he sponsor or issuer directly at the telephone number provided on
your statements or offering documents or through their website.
Significant Business Disruptions: The Company's plan
takes into account two kinds Significant Business Disruptions,
internal and external. Internal SBDs affect only the Company's
ability to communicate and do business, such as a fire or loss
electrical power in the office or building.
External SBDs prevent the operation
of the securities markets or a number of firms,
such as a terrorist attack, a natural disaster,
or another event that causes a wide-scale, regional
disruption in essential services.
Internal SBDs: In the event of a disruption in the
Company's business operations due an internal SBD,
the Company will attempt to continue to conduct business
as usual by utilizing alternative communication methods
(if available), such as the Internet, cell phones, etc.,
or by moving its operations to an alternative location.
If personnel or operations must be moved to an alternate location,
the Company anticipates that it will resume regular operations with 4 hours.
External SBDs: In the event of a disruption in the Company's business operations due to an external SBD,
the Company will attempt to continue to conduct business as usual by moving its operations
to an alternative location outside the effected area, if possible, or by providing customers
with alternative communication arrangements, as indicated below, to conduct business or to
access their funds and securities.
The Company will attempt to resume business within
24-48 hours and to keep its customers informed regarding
relevant events to the best of its ability based on the circumstances.
In all cases, the Company will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.
If the significant business disruption is so severe that
it prevents us from remaining in business, we will assure
our customer's prompt access to their funds and securities.
Communications: In the event you
are unable to reach the Company at
our main number, please proceed as follows:
Contact information: Any questions
regarding the Company's Business Continuity Plans
should be addressed to: Benjamin C. Bishop, Jr., Chairman,
7807 Baymeadows Road East Suite 200 Jacksonville, FL 32256 904.354.5573
- Contact the Company at the following alternate telephone numbers:
904-354-5573 or 704-332-2032
- Access the Company's website at www.allenewing.com.
- Contact the clearing firm:
Charles Schwab & Co., Inc.
P.O. Box 628290
Orlando, FL 32862-8290
Fax: 877-807-0903, 888-232-8167
- Contact the product sponsor directly at the number listed on your most recent statement.
- Contact the private placement issuer directly at the number listed on applicable offering documents.
- Access the clearing firm, product sponsor or issuer website for more information on contacting this entity and their business continuity
plans. The website address can generally
be found on your statement or offering documents.
- Contact the FINRA's District office at the following telephone
number for more information on the company's
status and additional instructions: 561-443-8000.