Business Continuity Plan
Firm Policy
Disclosure

Waterford Investor Services Inc.’ policy is to respond to a Significant Business Disruption (SBD) either internal or external to the firm, by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities through contact (via telephone or website) with the clearing firm, mutual fund or annuity company. Information as to access is stated on the individual account statement. Additional information concerning the Business Continuity Plan of the entity holding the funds or securities may be obtained by accessing their respective website.

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