Kovitz Investment Group (KIG) is an investment adviser registered under the Investment Advisors Act of 1940. The description of products, services, and performance results of KIG contained on this web site is not an offering or a solicitation of any kind. Past performance is not an indication of, and does not guarantee future results. Securities investments are subject to risk and may lose value. All of the information on this web site is believed to be accurate and correct as of the date set forth. KIG does not have or accept responsibility or an obligation to update such information.
Business Continuity Plan
Kovitz Investment Group Partners, Kovitz Securities, LLC and affiliates(collectively, "KIG") have 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 are 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 on our business continuity plan.
Contacting Us - Even in the event of a significant business disruption, you can contact us as you usually do at 312.334.7300 (the nature of KIG's phone service is such that an alternate number is not necessary) or, email us at firstname.lastname@example.org, or go to our web site, www.kovitz.com. If you cannot access us through those means, and your account is held at Pershing, LLC (via Kovitz Securities, LLC), you should contact Pershing at 201.413.3635 for instructions on how it may assist you in order taking, cash disbursements, securities transfers and trades. Of course, you should always feel free to contact your KIG representative directly.
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, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers 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 back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, Pershing, LLC, backs 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 of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within four hours. Your orders and requests for funds and securities could be delayed during this period. KIG also backs up its hard copy and electronic records, including off-site storage.
Varying Disruptions - Significant business disruptions can vary in their scope, such as those affecting 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. 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 our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we expect to transfer our operations to a site outside of the affected area, and intend to recover and resume business within two business days. In either situation, we plan to continue in business, transfer operations to (or use the assistance of) our clearing firm if necessary, and notify you in the manner closest to the manner of previous communication (i.e., telephone, e-mail, fax, internet) about how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assist our customer's prompt access to their funds and securities.
For more information - If you have questions about our business continuity planning, you can contact us at 312.334.7300 or email@example.com.
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