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Business Continuity Plan

FINRA Rule 4370

HTUS policies and procedures seek to assure that business continuity and contingency plans are adequate to respond to an unexpected disruption of our information systems and office facilities. The following business continuity control practices are in place: 1. Recovery plans designed to restore the HTUS environment, which include alternative workspaces and back-up computer systems. 2. The recovery plans are subject to annual assessment. 3. The recovery tests assess off-site copies of data, applications, and system software. 4. Materials identified as necessary to resume operations are stored at off-site locations with security controls.  5. A regular assessment of capacity and resource needs is performed to update processing and storage requirements if needed. In addition, call-forward and other telecommunication services are in place to provide continued communication between HTUS and its clients. Precautionary measures include the back-up and storage of critical data files on a regular basis at two separate sites. HTUS will attempt to continue business on behalf of its clients on that same business day during a disruption, recognizing that service may be impacted for longer periods depending on the nature of the disruption. In the event of a disaster or business disruption, if you are unable to contact your HTUS account representative, please contact the firm at or 212-763-8160. HTUS does not guarantee that for every event or business disruption: (i) such plans will be successfully implemented; or (ii) such plans, if implemented, will be sufficient and appropriate to avoid, deter, or mitigate the event or business disruption. HTUS is dependent upon various infrastructures (e.g., transportation, telecommunications, exchanges, industry utilities, etc.) which may affect HTUS’ ability to implement its plans.