[15539]
January 14, 2003
TO: OPERATIONS COMMITTEE No. 1-03
BROKER/DEALER ADVISORY COMMITTEE No. 3-03
BANK AND TRUST ADVISORY COMMITTEE No. 1-03
RE: BUSINESS CONTINUITY PLAN FOR FUND/SERV
Last year, the ICI Broker/Dealer Advisory Committee’s Disaster Recovery task force
developed business continuity guidelines for processing Fund/SERV, Networking and
Commission settlement activity in the event of a widespread disruption of financial markets.
Attached is the final draft of the business continuity proposal.
Marlene Mills of Evergreen Investments chaired the Broker/Dealer Advisory
Committee Disaster Recovery task force. Russell Curtis of Eaton Vance Management worked
with the task force to develop the business continuity proposal. Committee members also
involved in the project include:
Bob Adams – National Financial Services Corporation
Mike Bafara – A.G. Edwards
James Coscia – Morgan Stanley Dean Witter
Eileen Gilfedder – PFPC
Kelle Hennier – DST
Al Rubin – Solomon Smith Barney
Greg Spero –Legg Mason
Rob Thompson – AIM
Jim Whittemore – SunGard
On behalf of the Broker/Dealer Advisory Committee we would like to thank Marlene,
Russell and the other committee members for their efforts. If you have any questions regarding
the attached, please contact me at 202/326-5850 or justine@ici.org.
Justine Phoenix
Director - Operations/
Distribution and Service
Attachment (in .pdf format)