Business Continuity Plan

Royal Advisors & Securities

Summary of our Business Continuity Statement

Royal Advisors & Securities, which provides brokerage services to its clients as an introducing firm, maintains important disaster recovery and business continuity plans that may be activated in the event of a significant business disruption. The firm realizes the critical nature of being able to continue to provide material operations and communications with its clients if an incident occurs that could affect mission critical business systems.

These plans are key components in maintaining emergency procedures and are required by securities industry regulations. In planning for potential significant business disruptions, Royal Advisors  & Securities relies on its clearing firm, RBC, Correspondent Services, a division of RBC Capital Markets, LLC, Member NYSE/FINRA.SIPC , to provide many of the elements of its emergency recovery and communication plan. As such, their plan summary is included as part of this summary and should be reviewed as part of the firm’s plan. RBC, Correspondent Services, a division of RBC Capital Markets, LLC, Member NYSE/FINRA.SIPC  Business Continuity Summary Statement can be viewed on their website: http://www.RBCCorresponcentServices.com.

Contact: You may contact our clearing firm at (612) 607-8903 or via email at: correlations@rbccorrespondentservices.com.

Disruptions Plan: Royal Advisors & Securities has reviewed the potential outcome from varying scenarios including, as examples only, a disruption to a single office, a city wide disruption, or a regional disruption. The Firm’s plans are intended to permit the continuation of key business operations and communications during most types of disruptions by resuming mission critical operations, usually within one to two business days of the disruption. To assist in recovery and business continuity, the Firm maintains backups of mission critical data in an offsite secure location. In the case of extreme disruption, where the continuation of business may not be practical or in the best interest of the Firm or its clients, Royal Advisors & Securities has procedures in place to allow clients access to their accounts and funds directly with RBC, Correspondent Services, a division of RBC Capital Markets, LLC, Member NYSE/FINRA.SIPC . However, clients should be aware that because the Firm’s plans contain details of a confidential and proprietary nature, they cannot be distributed to the public. Clients should also note the Royal Securities’ business continuity plan is subject to modification and that updated plans will be promptly posted on our website: www.royalsecurities.com. It should also be noted that the Firm’s business continuity plan provides no guarantee that the Firm will be able to resume all normal business activities in the event of a significant business disruption.

Questions Regarding Plan: If you have any questions about the Firm's business continuity plan, you may contact Tim Du Mez, President amd Chief Operations Officer at (616)-301-1198.

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