Business Continuity by yua18546


									Business Continuity

Hilliard Lyons has established a business continuity plan       Disaster Recovery Testing
that will allow the firm to continue performing its mission-
                                                                Hilliard Lyons’ personnel validate the business continuity
critical services in the event of a building-only, city-wide,
                                                                plans, at a minimum, on an annual basis. These exercises
or regional business disruption. Our plan includes, but
                                                                are designed to enhance our ability to perform necessary
is not limited to, alternate recovery locations for critical
                                                                procedures to continue operations of critical business
employees, backup and recovery of critical technology, and
                                                                functions in the event of a disaster. The exercises also
special task forces responsible for completing the plan.
                                                                identify areas of potential improvement in the plans and
We plan to continue business in the event of a significant
                                                                provide an opportunity for key personnel to rehearse
business disruption, with a planned recovery time that is
                                                                recovery procedures, thus improving their familiarity with
reasonable given the severity of disruption.
                                                                the procedures.
Hilliard Lyons’ business continuity program has several
major elements:
                                                                Employee Awareness
    •	   Business	Impact	Analysis
                                                                Hilliard Lyons uses several methods to keep employees
    •	   Business	Continuity	Planning
                                                                aware of the critical role that they play in preparing for any
    •	   Disaster	Recovery	Testing                              potential	disruption	or	incident.		Primary	methods	include	
                                                                disaster recovery exercises, annual training and periodic
    •	   Employee	Awareness	Training
    •	   Annual	Review	and	Approval	by	
         Senior Management
                                                                Annual Review and Approval by Senior Management
                                                                Hilliard	Lyons’	Executive	Management	team	reviews	and	
Business Impact Analysis
                                                                approves the business continuity plan annually.
Our business impact analysis process is designed to
ensure that the firm’s business continuity plan continues
to address all critical business functions and all required     Customer Contact
technology. On a regular basis, each department reviews
                                                                In	the	event	of	a	business	disruption	at	a	Hilliard	Lyons	
and updates their business continuity needs by performing
                                                                branch, financial consultants will continue to service clients
the business impact analysis. The results of this process are
                                                                by relocating to other Hilliard Lyons facilities. Clients can
used to identify enhancement opportunities and develop
                                                                contact the home office at
appropriate action plans.
                                                                1-800-444-1854 if they are unable to reach their financial
                                                                consultant due to a significant business disruption at a
Business Continuity Planning                                    branch. Should the home office be affected by a business
                                                                disruption, the 1-800-444-1854 phone number will be
Business continuity plans are the administrative and
                                                                forwarded to the designated recovery location.
operational procedures established within an organization
to reasonably assure continuity of operations in the event      Hilliard Lyons reserves the right to change its business
of a business interruption. Hilliard Lyons’ management is       continuity	plan	and	client	disclosure	as	necessary.		A	
responsible for assessing business continuity risks and for     copy of the most current business continuity disclosure
implementing, testing and maintaining business continuity       is available upon request and is posted on our website at
                                                                Securities offered through J.J.B. Hilliard, W.L. Lyons, LLC.
                                                                Member NYSE, FINRA & SIPC

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