Business Continuity Plan

Taylor Capital Management, Inc. (“TCM”) has developed a Business Continuity Plan (“BCP”) on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do at 404-889-8733, you should contact 877-924-9322 and follow the prompts or via email at

If you cannot access us through either of those means, you should contact our clearing firm, Pershing, LLC at either 888-367-2563 or 201-413-3635 in order to enter orders, obtain information pertaining to your account, or request payment of funds available in your account.

For additional information about how to request funds and securities when TCM cannot be contacted due to a significant business interruption, please visit the Customer Support section on Pershing’s website ( or call 201-413-3635 for recorded instructions.

If you cannot access the instructions from the website or the telephone number noted, you may call 213-624-6100, extension 300 which is an alternative Pershing number for recorded instructions.

Our Business Continuity Plan

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and

allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. Our clearing firm, Pershing, LLC backs up our important records in a geographically separate area.

While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 4 hours. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 4 to 12 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 12 to 24 hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through the fastest means available to us on how to contact us. This could be my email, cell phone, text messaging or other forms of communication available to us in an emergency situation. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information

If you have questions about our business continuity planning, you can contact us at 404-889-8733 or by email at