Kroll Securities, LLC Business Continuity Plan Disclosure Statement
Kroll Securities, LLC 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. With thatin mind, we are providing you with this information on our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually doat 312-697-4600, you should visit our web site for additional information: http://www.kroll.com/
Our Business Continuity Plan – We plan to quickly recover and resume business operations after
a significant business disruption and respond by safeguarding our employees and property bymaking a financial and operational assessment, protecting the firm’s books and records, andallowing our clients 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 significant
business disruption.
Our business continuity plan addresses: data backup and recovery; all mission critical systems;
financial and operational assessments; alternative communications with clients, employees, andregulators; alternate physical location of employees; critical suppliers, contractors, bank andcounter-party impact; regulatory reporting; and assuring our clients prompt access to their funds
and securities if we are unable to continue our business. Please note that Kroll Securities, LLC does
not maintain custody of clients’ funds or securities.
We back up our important records in a geographically separate area. While every emergency
situation poses unique problems based on external factors, such as time of day and the severity ofthe disruption, our objective is to restore operations and be able to complete existing transactions
and accept new transactions and payments as quickly as possible. Your requests could be delayed
during this period.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only ourfirm, a single building housing our firm, the business district where our firm is located, the citywhere 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 ourfirm, we will transfer our operations to a local site when needed and expect to recover and resume
business as soon as possible. In a disruption affecting our business district, city, or region, we willtransfer our operations to a site or sites outside of the affected area and recover and resume businessas soon as possible. In either situation, we plan to continue in business and notify you through ourweb site at http://www.kroll.com/
For more information – If you have questions about our business continuity planning, you cancontact us at 312-697-4600 or http://www.kroll.com. This plan is subject to change without any
notice. If the Business Continuity Plan is changed or modified, the revised document would beavailable through http://www.kroll.com1