Business Continuity Plan

Colorado Financial Service Corporation has developed a Business Continuity Plan regarding how we will respond to events that would significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur. We plan to quickly recover and resume business operations shortly after a significant business disruption. We will respond by first safeguarding our employees and property, then by 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. If you have questions about our Business Continuity Planning, you can contact us at (303) 962-7267.

Colorado Financial Service Corporation does not maintain custody of customer funds. All customer funds are maintained at the sponsoring companies. In the event of an internal or external significant business disruption, if telephone service is available, our registered persons will take customer orders or instructions and contact the sponsoring company on their behalf. If web access is available, Colorado Financial Service Corporation will post a notice on our web site at http://coloradofsc.com that customers may access their funds by contacting the sponsoring company directly. The firm will make this information available to customers through its disclosure policy.