H2C Securities Inc, a wholly-owned subsidiary of Hammond Hanlon Camp LLC and an indirect subsidiary of Fifth Third Bank, National Association, has developed a Business Continuity Plan to describe how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we must be flexible in responding to actual events as they occur. With that in mind, we are providing you with the following information regarding our Business Continuity Plan.

 

Contacting Us – If, after a significant business disruption, you cannot contact us at (858) 242-4800 or by email at info@h2c.com, please call our alternative number (212) 257-4500 or visit our website at www.h2c.com for more information.

 

Our Business Continuity Plan – We plan to quickly recover and resume business operations after any significant business disruption. We plan to 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 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 backup 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.

 

Varying Disruptions – Significant business disruptions can vary in their scope, such as: a disruption affecting only our firm, a single building housing our firm, the business district where our firm is located, a city where we are located, or a whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one or two days. In either situation, we plan to continue business and notify you on how to contact us through our website (www.h2c.com). 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 – If you have questions about our business continuity planning, please contact us at (858) 242-4800 or info@h2c.com.