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Business Continuity Plan

This Business Continuity Plan Summary Disclosure Statement provides a summary detail on DeWaay Financial Network’s (DFN) risk mitigation strategy in the event of interruption(s) to daily business operations. DFN’s plan is designed to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. This is intended to comply with obligations pursuant to regulatory rules and requirements as promulgated by the Financial Industry Regulatory Authority (FINRA), particularly rule 3510(e).

All mission critical systems are backed up and a copy is stored offsite. Mission-critical systems are defined by DFN. In the event of an SBD, these backups will be obtained and restored as necessary.

Regardless of all of the effort put forth on this vital concern, we acknowledge that no disaster recovery plan is perfect. The unpredictable nature of disasters precludes absolute preparedness for any plan. Certain situations may arise that affect outside entities upon which we rely for some service or collaboration. It is possible for circumstances to arise outside of what has been defined within this plan.

The plan is subject to modification, without notice. An updated summary can be obtained by requesting a written copy by mail at 13001 University Avenue Clive, Iowa 50325.