Business Continuity

We plan to continue business in the event of a significant business disruption, with a planned recovery time proportional to the disruption’s severity. Our business continuity plan will let us continue to perform mission-critical services after a building-only, city-wide, or regional business disruption. It includes alternate recov­ery locations for critical employees, backup and recovery of critical technology, and special task forces responsible for effecting the plan. Our management is responsi­ble for testing and implementing this plan, and our executive management team reviews and approves it annually.

Our business continuity program has four major elements:

1.        Business Impact Analysis: Our business impact analysis process ensures that our business continuity plan continues to address all critical business functions and all required technology. Each department periodically reviews and updates its business continuity needs by performing a business impact analysis. We use the results of this process to identify enhancement opportunities and develop appropriate action plans.
2.        Disaster Recovery Testing: Our personnel validate business continuity plans at least annually. These exercises enhance our ability to continue to operate critical busi­ness functions after a disaster. The exercises also identify ways to improve the plans and let key personnel rehearse recovery procedures.
3.        Employee Awareness: We keep employees aware of the critical role that they play in preparing for any potential disruption or incident through disaster recovery exer­cises, annual training, and periodic reminder notices.
4.        Customer Contact: If business is disrupted at one or more of our branches, affected Financial Consultants will continue to service clients by relocating to other Hilliard Lyons facilities. Clients can contact the home office at 1-800-444-1854 if they can­not reach their Financial Consultant due to a significant business disruption at a branch. If the home office is affected by a business disruption, this phone number will be forwarded to a designated recovery location.
We reserve the right to change our business continuity plan and client disclosure as necessary.