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Dougherty & Company is committed to providing
uninterrupted service and support to our clients.
We are cognizant that uncontrollable events can cause
disruption to normal business processes ranging from
a firm only disruption to a regional disruption with
each situation creating different emergency situations.
Dougherty & Company recognizes the responsibility
to our customers to continue critical operations
during such events. We are committed to maintaining
effective communications with our clients during
a business disruption and ensuring the Firm is reasonably
accessible to our clients. The Firm’s goal
is to meet the obligation with minimal interruption
within 24 hours. The following components are addressed
in our business continuity plan (“Plan”)
to ensure a quick and seamless recovery:
- Maintaining alternative physical locations.
- Providing alternative means of communication
for customers to access accounts and transactions
(during a disaster, call 800.328.4000 or access
www.doughertymarkets.com for information).
- Maintaining employee safety through ongoing communications.
- Providing for the effective recovery of our records
and preventing the loss of customer information
and transactions.
While no contingency plan can eliminate all risk
of service interruption or temporarily impeded account
access, we continually assess and update our plans
to mitigate all reasonable risk. You may obtain a
current copy of this notice by contacting your investment
executive or by accessing www.doughertymarkets.com.
This disclosure is subject to modification.
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