Pioneer is one of the country's oldest Mutual Fund firms.
Ozark National Life supports Heartland Ministries.
Offering Life Insurance500 E. 9th StreetKansas City, MO 64106(816) 842-6300
Offering Mutual Funds500 E. 9th StreetKansas City, MO 64106(816) 842-8685
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N.I.S. Financial Services Business Continuity Planning Disclosure
N.I.S. Financial Services, Inc. Introducing firm offering mutual funds only.
N.I.S. Financial Services, Inc. has developed a Business Continuity Plan on how we will respond to events that significantly
disrupt our business. Since the timing and impact of disasters and disruptions are 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
Contacting Us – If, after a significant business disruption, you cannot contact us
as you usually do at (816)842-8685, you should call Ozark National Life Insurance Company at
(816)842-6300 or go to our web site at www.ozark-national.com.
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 back up 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 if we are unable to continue our business.
Ozark National Life Insurance Company’s Data Processing Department backs up our
important records in a 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 Ozark National Life Insurance
Company that its objective is to restore its own operations and be able to
complete existing transactions and accept new transactions and payments within
two business days. Your purchase,
redemption, and other requests for service of your mutual funds which you may
have directed through our office 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 five business days.
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 30 business days.
In either situation, we plan to continue in business, and notify you through our web site
www.ozark-national.com or our customer emergency number,
(816)-842-6300 how to contact us.
If the significant business disruption is so severe that it prevents us
from remaining in business, we will refer our customer’s directly to the mutual
fund company where their shares are held so they will have prompt access to
For more information – If you have questions about our business continuity planning,
you can contact us at (816)842-8685.