BCCP Updates & News

CARRIE F. BEKKER

Carrie at GAIM Middle East
November 2007
Jumeirah Beach Hotel
Dubai, UAE

2008 Conference Beat

SEC, Australian Authorities Sign Mutual Recognition Agreement

BEKKER COMPLIANCE CONSULTING PARTNERS, LLC.

Disclosure of Business Continuity Planning

This disclosure provides you, as a customer of Bekker Compliance Consulting Partners,
LLC (“BCCP”), a summary of the plan we have in place to continue operations and serve
your needs should an unexpected disruption of our business occur.
Business Continuity Planning is a process which identifies critical business systems and
processes and enables us to plan how we respond to events which interfere with our
ability to conduct normal business operations. Our Business Continuity Plan (“Plan”)
determines what preparations must be made in advance of a disruption, as well as the
steps to be taken when an event actually occurs. The Plan is developed and maintained by
periodically reviewing our operations to determine which business processes are most
critical and what resources – people, equipment, records, computer systems and office
facilities – they require to operate. We then consider various events which could disrupt
those processes and how we would respond to each type of event. The Plan is reviewed,
updated and tested annually or when significant changes in our operations occur.

The Plan itself has four basic components:

  • Response Plan – Details activities to be executed once an event occurs.
  • Recovery Plan – Defines the actions necessary to recover operations and resume critical business processes at an unaffected site after an event.
  • Restoration Plan – Defines the steps required to restore damaged or destroyed facilities and equipment.
  • Return To Normal – Specifies the steps necessary to return to the restored facility and resume normal operations.

The information below lists the types of events we consider and summarizes our planned response to each.

  1. Critical System or Technology Disruption –We have designed our critical information systems to withstand minor disruptions, such as equipment failure, through the use of redundant equipment, telecommunications facilities and backup electrical power. We store copies of critical records at an off-site location where they can be retrieved in case information is lost or destroyed. If a significant event, such as a fire or tornado, damaged our technology facilities and rendered them inoperable, we have agreements in place which provide alternate computing facilities and equipment where we can resume our operations. Our most critical systems can be recovered within 24 hours while less important systems would be restored over a period of three to five days.
  2. Single Facility Disruption – In the event our offices become unusable, we have an
    agreement in place for space locally with a national worksite recovery company where we can move our operations. This facility is configured with enough furniture and office equipment to support our critical business processes. Telephone service would be rerouted to this alternate facility to restore communications with our customers and business partners. Emergency operations would be established within 24 to 48 hours following an event.
  3. Business District/Metropolitan/Regional District Disruption – If a natural disaster or other widespread business disruption occurs, it may not be possible to resume operations using local facilities. In such a significant event, we plan to provide only our most critical services, such as ensuring you access to your account, by establishing emergency operations at a location outside our geographical area that would be made available to us under the terms of our agreement with a national worksite recovery company. Our goal is to have critical services available within 48 hours of such an event.

While we have been diligent in our efforts to plan for unexpected events, it is impossible
to consider every possible scenario and develop detailed responses to each. We are
confident we have addressed the major threats to our business and can continue operating
with minimum impact to our customers and business partners. It is possible, however,
that in spite of our efforts, our ability to function after a catastrophic event may be
adversely impacted by the actions (or failure to act) of third parties beyond our
knowledge and control.

This information is provided solely to our customers, and no further distribution or
disclosure is permitted without our prior written consent. No person other than our
customers may rely on any statement herein. Our Plan is reviewed and updated regularly
and is subject to change. Please visit our web site at www.bccp-llc.com for the most
current copy of this disclosure or you may request an updated copy by writing us at the
following address:

Bekker Compliance Consulting Partners, LLC
19360 Rinaldi Street, Suite 453
Porter Ranch, CA 91326

© Bekker Compliance Consulting Partners, LLC 2006