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  N.I.S. Financial Services, Inc. Business Continuity Planning

N.I.S. Financial Services, Inc. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If, after a significant business disruption, you cannot contact us as you usually do at (816)842-8685, you should call Ozark National Life Insurance Company at (816)842-6300 or go to our web site at www.ozark-national.com.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds if we are unable to continue our business.

Ozark National Life Insurance Company’s Data Processing Department backs up our important records in a separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by Ozark National Life Insurance Company that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within two business days. Your purchase, redemption, and other requests for service of your mutual funds which you may have directed through our office could be delayed during this period.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within five business days. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 30 business days. In either situation, we plan to continue in business, and notify you through our web site www.ozark-national.com or our customer emergency number, (816)-842-6300 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will refer our customer’s directly to the mutual fund company where their shares are held so they will have prompt access to their funds.

For more information – If you have questions about our business continuity planning, you can contact us at (816)842-8685.


 
 


500 E. 9th Street
Kansas City, MO 64106

Phone: (816)-842-6300
Fax: (816)-471-6981
pos.express@ozark-national.com
    We are Committed to Protecting Your Privacy. We consider the privacy of our customers or former customers to be a matter of the utmost concern. While the information we collect about you is necessary to provide you with superior products and service, we are dedicated to maintaining the confidentiality of the personal information we have. Unlike some other companies, we do not sell or rent the information you have entrusted to us.
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Mutual funds are Investment Products

Life insurance provided by Ozark National Life Insurance Co.*
• (816) 842-6300
Mutual funds offered through N.I.S. Financial Services, Inc.*
• (816) 842-8685
500 E. 9th Street, Kansas City, MO 64106

*Subsidiaries of CNS Corporation

*N.I.S. Financial Services, Inc. is not a member of
Securities Investor Protection Corporation (SIPC).