This notice provides you with important information about Global Hunter Securities, LLC’s (“GHS” or the “Firm”) Business Continuity Plan so that you are aware of what you need to do in the event that our firm experiences a significant business disruption (“SBD”).

There are several types of SBDs varying in severity and scope that may occur on an internal or external level.  An internal SBD, such as a fire in our building, would only affect the firm’s ability to conduct its normal business.  An external SBD, such as an earthquake, regional power outage, or terrorist attack, would affect the operations of several firms or the financial markets as a whole.

In the event of a business disruption, we have plans designed to allow us to continue operations of critical business functions, such as entering of client orders, completing securities transactions and providing clients access to their cash and securities. We accomplish this in part by:

• Relocating impacted businesses to designated recovery locations.
• Using redundant processing capacity at other locations.
• Designing our technology and systems to support the recovery processes for critical business functions.
• Using business and technology teams that are responsible for activating and managing the recovery process.
• Adopting a communication plan to ensure that GHS’ employees receive emergency notifications and instructions via a variety of sources, including in-building announcements, telephone contact, e-mails and websites.
• Rehearsing our recovery procedures and testing those procedures on a regular basis.

Our policy is to respond to an SBD in a manner that prioritizes the immediate safety of our employees, preservation of the firm’s property and a quick recovery in order to meet the business needs of our clients. If we determine that the SBD has been catastrophic to the level that we are unable to continue our business, under an agreement with our clearing firm, Pershing, LLC, you will continue to have prompt access to your funds and securities.

Although we have taken significant steps to develop and implement sound business recovery plans, we cannot guarantee that systems will always be available or recoverable after a disaster or significant business disruption. However, we believe that our planning for such events is robust and consistent with many of the best practices established within the industry. We believe that most business interruptions will be transparent to our customers, some may involve a short recovery time of approximately four hours, and a few SBDs may lead to a recovery the day following the disruption. GHS has identified the applications that are critical to each of our business divisions. These applications are implemented using industry-standard practices to copy data from the production site to the recovery site in real time.
GHS has business relationships with several entities which we rely on for certain services. These entities include our clearing firm, order management provider, banks, telecommunications providers and others. We have contacted our essential third parties to assess the impact that various types of SBD's may have on the services we are provided by them. Based on that information, we have been able to develop alternate plans to counter any interruptions in services that we may experience during an SBD.
The firm has identified the possibility of a loss of functionality of the systems relied upon for our regular business operations in the event of an SBD. We have outlined our key systems in our BCP, identified the individual(s) responsible for them, and developed procedures to switch to alternative systems should our primary systems be incapacitated. Based on the trials we have run, we expect minimal down time if a situation arises which forces us to switch to our alternative systems.
Global Hunter Securities, LLC
400 Poydras Street, Suite 3100
New Orleans, LA  70130
Telephone: (504) 410-8010
Fax:  (504) 212-1610
Pershing, LLC
One Pershing Plaza
Jersey City, NJ 07399
Contact: Robert Calice
Telephone: (201) 761-5214
Fax: (201) 915-9761
Should you have any questions about our BCP or about this notice, please contact us at (504) 410-8010.
At GHS we deeply value the relationships we have built with our clients and we strive to meet their changing needs in any business climate. It is not the intent of this information to assure our clients that there will be no impact on them whatsoever in the event that GHS is affected by an SBD, rather, we wish to convey that we have developed procedures for varying types of possible SBD's which will allow us to address the effects on our firm on a variety of levels, manage those effects, and utilize our alternative arrangements in a manner that we expect will minimize impact on you, our clients. In our procedures, we stress the importance of maintaining communications with our clients through as many media as possible so that we may continue to meet your needs and transact business in as smooth a fashion as is possible under whatever circumstances may have arisen.

A copy of this notice is available upon request. Any material changes to the above information will be available on our website or upon request.