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Copyright and Trademark Information

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Business Continuity Plan

Important Notices in the case of Business Disruptions

Gruppo, Levey & Co. maintains a business continuity plan (the “Plan”). Consistent with regulatory requirements, Gruppo, Levey & Co. is providing to our clients this disclosure statement which summarizes the Plan. Clients should understand that because the Plan contains confidential details and proprietary information, it cannot be distributed outside of the firm. The Plan is reviewed annually and may be updated at any time.

The Plan is designed to be activated in the event of a significant business disruption. The Plan attempts to continue critical operations if an event were to occur that would impact the firm’s business locations or systems. The Plan anticipates a variety of significant business disruptions and the actions Gruppo, Levey & Co. would take in the event of a building, citywide or regional incident. The Plan recovery provision depends on the severity of the disruption, and involves the possible relocation of personnel to a back up facility as well as the transfer of technological data processing to an alternative location.

To give clients a sense of the recovery time objectives for mission critical business resumption the Plan calls for 24 hours for most disruptions. For more severe incidents, such as a citywide disruption or a Regional disruption, our recovery time goal is to resume some aspects of critical business operations within 48 hours. We stress that these recovery time frames are objectives and may be negatively impacted by circumstances beyond our control.
Rule: NASD Rule 3510(e).