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ALPS Business Continuity

ALPS Distributors, Inc. & ALPS Portfolio Solutions Distributor, Inc.

Business Continuity Disclosure - Disclosure Required By Financial Industry Regulatory Authority (FINRA) 4370

To address interruptions to our normal course of business, ALPS Distributors, Inc. and ALPS Portfolio Solutions Distributor, Inc. (collectively “ALPS”) maintains a business continuity plan, which includes geographically dispersed data centers and processing facilities. The plan is reviewed annually and updated as necessary.

The plan outlines the actions ALPS will take in the event of a building, city, or regional incident, including:

Continuous processing support by personnel located in unaffected facilities

Relocating technology or operational personnel to alternate regional facilities

Switching technology data processing to an alternate regional data center

All ALPS operational facilities are equipped for resumption of business and are tested. Regarding all circumstances within our control, ALPS’ recovery time objective (RTO) for business resumption, including those involving a relocation of  personnel or technology, is four (4) hours or less, depending upon the availability of external resources.

ALPS Distributors, Inc.
ALPS Portfolio Solutions Distributor, Inc.
1290 Broadway, Suite 1000
Denver, CO 80203

Business Continuity Planning-Disaster Recovery Plan

ALPS has developed a Disaster Recovery Plan to address the possibility of a pandemic outbreak and provide you with an overview of our plans for mitigating the potential impact.

If such a situation occurs, we are confident that we are well positioned to maintain critical functions in support of your business.