March 31, 2008
J K FINANCIAL SERVICES, INC.
Business Continuity Plan (BCP)
I. Emergency Contact Person
Our Firm’s two emergency contact persons are Joe J. Zheng, Tel: (714) 203-4899, Email:
email@example.com and Alan Tan, Tel: (714) 525-6529, email: firstname.lastname@example.org.
These names will be update in the event of a material change, and our Executive
Representative will review them within 17 business days of the end of each quarter.
Rule: NASD Rule 3520.
Our clearing firm is Southwest Securities. Inc., at (214)859-1080, 1201 Elm
Street, Suite 3500, Dallas, TX 75270. Web site www.swst.com/pdf/bcp/pdf and our
contact person at that clearing firm is Jeff Custer at (214) 859-6866. Our clearing firm
has also given us the following alternative contact in the event it cannot be reached:
II. Customers’ Access to Funds and Securities
Our firm does not maintain custody of customers’ funds or securities, which are
maintained at our clearing firm, Southwest Securities, Inc. In the event of an internal or
external SBD, if telephone service is available, our registered persons will take customer
orders or instructions and contact our clearing firm on their behalf, and if Web access is
available, our customers may access their funds and securities by contacting
www.swst.com/pdf/bcp/pdf. We will make this information available to customers
through its disclosure policy.
III. Alternate Communications Between the Firm and Customers,
Employees, and Regulators
We now communicate with our customers using the telephone, e-mail, fax, U.S. mail,
and in person visits at our firm or at the other’s location. In the event of an SBD, we will
assess which means of communication are still available to us, and use the means closest
in speed and form (written or oral) to the means that we have used in the past to
communicate with the other party. For example, if we have communicated with a party
by e-mail but the Internet is unavailable, we will call them on the telephone and follow
up where a record is needed with paper copy in the U.S. mail.
Rule: NASD Rule 3510(c)(4).
We now communicate with our employees using the telephone, e-mail, and in person. In
the event of an SBD, we will assess which means of communication are still available to
us, and use the means closest in speed and form (written or oral) to the means that we
have used in the past to communicate with the other party. We will also employ a call
tree so that senior management can reach all employees quickly during an SBD. The call
tree includes all staff home and office phone numbers. We have identified persons, noted
below, who live near each other and may reach each other in person:
The person to invoke use of the call tree is:
Caller Call Recipients
Joe J. Zheng Alan Tan, Saurabh Deedwania, Steve Yuen,
Alan Tan Vernon Tiffany, Daniel Lee, Albert Lee
Surabh Deedwania Pradip daya, Ranji Rajwani, Joseph Kolirak
Steven Yuen Christopher Gates, Gordon Pu, Sam Mu
Lawrence Lwin Shawn Ngo, Lily Lam, Dan Li Qing, Julie
Rule: NASD Rule 3510(c)(5).
Joe Zheng: (714)704-1818, (714)203-4899
Alan Tan: (714)525-6529