George McKelvey Co., Inc. - Business Continuity

Business Continuity
George McKelvey Co., Inc. is committed to the ongoing protection of its business information, client
data and operations. We have established detailed procedures and policies designed to enable us
to continue or to resume critical business functions following significant business disruptions of
various types, scopes and duration.

Our disaster recovery plans will allow us to recover and resume normal operations as quickly as
may be reasonably expected given the scope and severity of the particular significant business
disruption.

Our clearing firm 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, our clearing firm has advised us that its business continuity plans are
designed to ensure sustained service. However, your orders and requests for funds and securities
could be delayed during this period.

The scope of a significant business disruption can vary: it can affect only our firm or office building,
or it can affect our town’s business district, our entire town or region. Within each of these areas,
the severity of the disruption can also vary from minimal to severe.

Please note that although we have taken significant steps to develop and implement sound
business recovery plans, we cannot guarantee that systems will always be available or recoverable
after a disaster or significant business disruption. It should also be noted that in the event of a
large-scale disaster, our ability to conduct transactional activity is dependent on our clearing firm
and on stock exchanges being open for business. However, we believe that our planning for such
events is robust and consistent with many of the best practices established within the industry.

We review and update our business continuity plans periodically.