StoneRidge Capital Group: Business Continuity Management

A PRIVATE INVESTMENT BANKING FIRM

Business Continuity Management

StoneRidge Capital Group, LLC has an ongoing and comprehensive business continuity management program in place intended to help us respond to and recover from a business disruption. The business continuity management program coordinates all our business disruption preparation efforts, including impact identification/analysis and business continuity plan development.

StoneRidge Capital Group business continuity plan
We developed the business continuity plan to protect the interests of our clients and employees, and to support the recovery of our core businesses. All areas of the company have documented continuity plans that identify their core functions and the resources required to conduct them. Each plan accounts for significant technology outage at our facility, denial of access to our facility and localized disaster.

Our responses to each of these will depend on the external variables associated with the disruption, but may include transferring functions to alternate sites or activation of and relocation to our proprietary recovery sites. On a best-effort basis, our goal is to begin resuming activities at the recovery site within 24 hours of activating our business continuity plan.

Back-up facilities and arrangements
StoneRidge Capital Group has taken a series of steps to ensure that adequate redundancy is in place to provide a seamless transition during a disruption. Since it is impossible to anticipate every type of potential disaster, there can be no assurance that there will be no interruption of StoneRidge Capital Group's business functions in all circumstances.

This plan is subject to modification at any time and updated plans will be promptly posted on this web site http://www.stoneridgecg.com. Alternatively, you may request a written copy by mail.