Our Company
 
 
 
 
 
 
 
 
Business Continuity Plan
 
 
In accordance with NASD Rule 3510, Fennebresque & Co., LLC has developed a business continuity plan to address how the firm will respond to events that significantly disrupt its 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. With that in mind, we are providing you with this information concerning our business continuity plan.

Fennebresque & Co., LLC plans to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees’ lives and firm property, making a financial and operational assessment, protecting Fennebresque & Co., LLC’s books and records and allowing our customers to transact business. In short, our business continuity plan is designed to permit Fennebresque & Co., LLC to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients; regulators and employees; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting.

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. The severity of the disruption can vary from minimal to severe within each of these areas. In either situation, we plan to continue in business, and notify you through our website, www.fennebresque.com or our main number 704-295-8900 on how to contact us.

The Fennebresque & Co., LLC business continuity plan is reviewed periodically, and subject to modification with notice. Any updates to the summary business continuity plan will be posted on the Fennebresque & Co., LLC website at www.fennebresque.com.
 
 
 
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