LOHI SECURITIES BUSINESS CONTINUITY PLAN
LoHi Securities is a FINRA registered broker dealer and member SIPC.
LoHi has developed a business continuity plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.
If after a significant business disruption you cannot contact us as you usually do at 720-465-5305, you should contact Chief Compliance Officer Bobbi Babitz at 303-717-9869 or email@example.com or Principal Brett Story at 720-345-2393 or firstname.lastname@example.org.
We plan to quickly recover and resume business operations after a significant business disruption and will 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 business disruption.
Our business continuity plan addresses: data backup and recovery; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting. We do not have any mission critical systems and we do not hold customer funds or securities, therefore customer access to their funds or securities will not be impacted if we are unable to continue our business.
Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the 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 business day. In a disruption affecting our business district, city, or region, we will attempt to transfer our operations to a site outside of the affected area, and recover and resume business within 5 business days. In either situation, we plan to continue in business, and notify you through our website www.lohibd.com or our customer emergency number, 720-465-5305, how to contact us.
If you have questions about our business continuity planning, you can contact us at 720-465-5305 or our Chief Compliance Officer Bobbi Babitz at email@example.com.