21st Century Investment Bank

Business Continuity Plan

Frederick & Company, Inc. is committed to providing the highest level of service and security to our clients. This responsibility includes ensuring operations and facilities are protected so that Frederick & Company, Inc. remain viable regardless of present or future circumstances. Frederick & Company, Inc.’s Business Continuity and Disaster Recovery Plan (“BCP”) outlines guidelines for resuming critical operations in the event of a significant business disruption. The BCP includes strategies for handling multiple types of minor and major business disruptions. These include (but are not limited to) natural disasters, technical issues, malicious activity, and workforce reduction and/or limitations. In the event of a major disruption, Frederick & Company, Inc. will employ its disaster recovery.  Frederick & Company, Inc. analyzes our critical business processes and technology recovery steps on a regular and ongoing basis. This analysis ensures the BCP remains timely, updated and accurate.