In keeping with good business practices, H.G. Wellington & Co., Inc.
has for many years, maintained and updated a business continuity plan ("BCP") to ensure the integrity of our business and the security of
clients' assets.
Pursuant to New York Stock Exchange Rule 446(d), we are now required to make available to our clients how our BCP addresses the
possibility of a future significant business disruption ("SBD") and how we plan to respond to such events. The BCP disclosure
must, at a minimum, be made in writing to clients at account opening, be posted on our website and mailed to clients upon request.
In compliance with the foregoing requirement, we are providing the following summary BCP description; please feel free to contact
us if you have any further questions.
Our plan anticipates two kinds of SBDs, internal and external. An internal event, such as a fire within our building, would affect
our ability to access our building, our records, and conduct business. And external event, such as a terrorist attack or wide-scale
regional utilities disruption, would prevent or hinder the operation of the financial markets and/or a number of brokerage firms.
It is our intention to continue our business in either of these scenarios or a combination of both.
In addition to our firm's headquarters in New York City, we maintain an additional operational facility in New Jersey. This backup
facility has data and voice communication lines that will allow us to conduct business in a near normal manner. In the event of a
SBD we anticipate being operational in a couple of hours and no later than the next business day.
We review and test our business BCP periodically. In addition our regulatory body the NYSE reviews the plan annually. A copy of our
current BCP summary is on our website (www.hgwellington.com) or can be mailed upon request. Should you need to contact H. G. Wellington &
Co., Inc. as the result of a SBD you may either call our main telephone number 800-221-3553 or 212-732-6800 or check our website for
more information.
