HilltopSecurities Business Continuity Measures

03/13/2020

Dear HilltopSecurities clients,

As COVID-19 cases continue to rise in the continental United States, HilltopSecurities and our parent company, Hilltop Holdings, are taking the necessary measures – as prescribed by the Centers for Disease Control and Prevention (CDC) and the World Health Organization (WHO) – to ensure the safety of our employees, our clients, and their families. Additionally, we are taking the appropriate steps to ensure business continuity.

The COVID-19 pandemic has created an unprecedented environment in the financial markets, and will likely continue to impact markets in the near future. As a result, HilltopSecurities is ready to execute its pre-developed pandemic response and business continuity plans as necessary. These plans enable our employees to continue serving our clients and minimize any possible interruptions in the services we provide.

Below is a highlight of some of the measures we’ve taken to date. We will update this site as the CDC, WHO, and/or financial services industry regulatory agencies provide new information and best practices.

COVID-19 Business Continuity Planning Measures:

  • Communicate regularly with all employees to provide COVID-19 and business continuity planning updates.

  • Publish municipal and economic commentary to our clients informing them of the impact of COVID-19 on the financial markets.

  • Enable key employees to conduct business remotely by providing them with the necessary equipment and internet connectivty.

  • Instruct employees to test network connectivity and connectivity to key market platforms.

  • Institute an “as-needed” business travel policy and enforce a manager-review protocol for any business-related travel plans.

  • Instruct employees to discuss any international travel with Human Resources.

  • Suspend spring/summer conferences or meetings that would include congregations of large numbers of attendees flying in from states across the country.

  • Reschedule internal employee-specific meetings that necessitate travel.

  • Request sanitation measures among employee population, including asking employees to frequently wash their hands with soap or sanitizer and responsibly cover any coughs or sneezes. Additionally, if an employee feels ill, we’ve asked them to contact their medical provider immediately and stay at home to recover until their doctor approves a return to work.

Health agencies and governments across the world are emphasizing that COVID-19 should be taken seriously, as community spread stands to heavily affect the well-being of our communities both socially and economically. HilltopSecurities is no different, and we will continue to monitor any further updates and/or instruction from the CDC and WHO to remain consistent with their recommendations.

If you have any questions regarding how COVID-19 may affect your business with HilltopSecurities, please contact your company representative.

Sincerely,

M. Bradley Winges
President and CEO
Hilltop Securities Inc.

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