ICON Securities

In the event of a disaster, ICON Securities Corp. (“ICON”) will evaluate the situation and take the steps necessary to continue its business operations.  Since the timing and impact of disasters and disruptions are unpredictable, ICON will have to be flexible in responding to actual events as they occur.  The business continuity plan is designed to permit ICON to resume operations as quickly as possible by safeguarding its employees and property.  Significant business disruptions can vary in scope, such as ICON only, a single building housing ICON, the business district where ICON is located, the city where ICON is located, or the whole region.  Within each of these areas, the severity of the disruption can also vary from minimal to severe.  ICON anticipates the recovery time, from a minor business disruption to take no longer than a few business days and a severe business disruption to take no longer than one (1) business week before resuming its operations, although actual times may vary.  The business continuity plan covers areas related to data back-up and recovery, systems critical to our operations, financial and operational assessments, alternate forms of communication with customers, members, employees, regulators, and other critical contacts, alternate physical location for continued operations, regulatory reporting, and prompt accessibility to customer funds and/or securities to the extent applicable to ICON.  ICON has established back-up off-site facilities for the storage of our critical records.  Contact information for ICON includes: New York Office (212) 418-4700, San Francisco Office (415) 981-4266, and web site at iconsecurities.com.