Business Contingency Planning

1. Business Contingency Planning Overview July 2013

2. Our Business Continuity Plan seeks to minimize the risk of disaster, outline the chain of command, outline the recovery process and include critical information required should a significant business interruption (“SBD”) occur. It is organized in sections that apply to the firm in general and to individual functional areas.  Business Contingency PlanPurpose

3. Business Contingency Plan Components • Top Level Management Commitment • Oversight by BCMC (Business Continuity Management Committee • Central Plan • Oversight and Control – Tied to Parent Company Structure • Employee Safety • Network and Communications Infrastructure (Changes are pending with migration from ViaWest Data Centers to DST Data Centers. The migration should be completed in 2013.) • Relocation and Return • Response Team Plans • Employee Communication • Operational Control

4. Business Contingency PlanFunctional Responsibility

5. Business Contingency Plan Testing • Full test, including relocation to Alternate Facilities • Involves all business units • Assumes worst-case scenario • Includes majority of staff • Concludes with a review of test results and lessons learned • Point test • System restoration • Data Integrity • Call Tree • Table top tests • Discussion of steps required to recovery from disruption

6. Planning and Prevention Work group Recovery Facility • Work group recovery contract with a top-tier vendor • Provides workspace, phone, computer and data resources • Site flexibility (Denver, Scottsdale, Philadelphia) • Contract is reviewed and modified (if necessary) to meet the changing needs of our business and our clients

7. Planning and PreventionData Centers • Primary Data Centers (2) • In the event of failure of one center, the remaining center could be capable of sustaining all operations of the company • Secondary Data Centers (3) • Maintained in remote offices and can be used for recovery of data or applications

8. Planning and PreventionTelecommunications • Separate voice circuits from multiple providers • Traffic can be re-routed between our providers • Re-route client traffic to a remote facility that can be accessed by personnel wherever there is telephone service • Internet connectivity from multiple providers across multiple paths • Dedicated circuits required for data transfer are maintained in multiple locations to insure continued service

9. Planning and Prevention Data Protection • Critical data replicated between data centers • Intra-day snapshots of data are taken for quick file recovery • End-of-day backups of data are saved to a dedicated disk array • Weekly and monthly backups to tape are taken off-site and stored with a secure third party

10. Planning and PreventionData & Work Centers – Current State

11. Planning and PreventionData & Work Centers – Future State

12. Plan in ActionRecovery Process • BCMC Committee • Assesses the situation and discusses alternatives • Begins the recovery process either within the current facilities or at the recovery facility • Integrates with Central BCP Function • Infrastructure Team • Restores necessary technology and facility resources • Emergency Response Teams • Implement individualized recovery procedures that restore normal business operations

13. Plan in Action