Business Continuity Plan Disclosure Statement

Roc Global, LLC has provisions in place to continue to operate and provide services to our customers in the event of a significant disruption, whether on a firm-only basis or city/ regional basis. In the event of a disruption at the firm’s office location, arrangements have been made to conduct services at an alternate location unaffected by the disruption and/ or from the personal residences of our staff. Recovery time in the event of a disruption is anticipated to be minimal, although certain records may have to be retrieved from an off-site storage location or possibly re-produced in order to continue services. We will contact you directly if a disruption occurs and if our services to you are possibly affected, and in what way the services to you will be completed. You may alternatively obtain updated summaries by requesting a written copy by mail.