Business Continuity Plan Disclosure Statement
Rincon Pacific Management has in place a Business Continuity Plan to assure the continuation of our operations, the protection of client records, and the safety of our employees in the event of a significant business disruption. In the event of an internal or external business disruption, our Business Continuity Plan addresses managerial and administrative back-up procedures to resume a timely recovery of our operations.
Contacting Us: If, after a significant business disruption, you cannot contact us at (949) 369-0393 or (800) 727-8878, please go to our website, www.rinconpacific.com, for further contact options.
Continuity Planning Guidelines
Continual review is given to the following:
Identification of all mission critical systems and respective back-up and recovery procedures.
Employee communications and safety strategies.
Key employee managerial back-up and replacement.
Systems and telecommunications accessibility.
Alternate physical site location and preparedness.
Contingency Planning and Business Recovery
Access to Your Funds: Because Rincon Pacific Management is not the custodian of any client assets, a site outage would not impact your ability to access your account. Client custodial statements list account numbers and phone numbers for direct access. Many custodians also provide on-line access, and clients are encouraged to avail themselves of this feature. In the event of a market closing due to an external event, Rincon Pacific and its managers will act to resume our operations as soon as possible. Clients can contact us with any concerns via phone, fax, or through their referring advisors.
Notification: Should Rincon Pacific experience a Significant Business Disruption, our soliciting Financial Advisors will be notified via phone, fax or email and apprised of our situation and recovery plan.
Rincon Pacific Management reviews our Business Continuity Plan as needed and, at a minimum, on an annual basis.
BCR Disclosure 08/2008