Disclaimer

Business Continuity Summary Disclosure Statement

O&G Ventures maintains a business plan designed to allow the firm to continue serving partners in the event of a business disruption. 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.

Our business plan addresses: data backup and recovery; all mission critical systems; financial and operational assessment; alternative communications with clients, 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 to the extent held by or under the control of O&G Ventures if we are unable to continue our business.

O&G Ventures recognizes certain levels of business disruptions:

Internal disruptions are those that would affect only O&G Ventures offices (for example, an office fire). In the event of a serious internal disruption, operations typically will move either to an alternative O&G Ventures location in that city or to another of O&G Ventures’ office.

External disasters are those that would affect both the region and the securities markets, such as a significant terrorist attack. In the event of an external disaster in which we cannot access O&G Ventures’ offices, the firm will either move operations to the contracted work space recovery site or to another of O&G Ventures office outside of the affected area or suspend operations for a period of time.

In the event of a disaster or other incident affecting a O&G Ventures’ third-party vendor, O&G Ventures will follow the business recovery plan and directions of the affected vendor. O&G Ventures expects to be in contact with the vendor regarding the status of its recovery effort. O&G Ventures typically does not rely on any single source vendor. Third-party vendors conducting significant business with O&G Ventures to maintain their own business plans.
O&G Ventures’ business plans is subject to change at any time, in O&G Ventures’ sole discretion.