Safra Securities

Business Continuity

Safra Securities LLC, a subsidiary of Safra National Bank of New York, is an SEC-registered broker-dealer and member of FINRA. This document provides important disclosures required by regulation, rule, or law.

Safra Securities LLC Business Continuity Plan

In order to address interruptions to our normal course of business, Safra Securities LLC maintains a business continuity plan, which includes geographically dispersed data centers and alternate processing facilities. The plan is reviewed annually and updated as necessary.

The plan outlines the actions SSL 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 SSL operational facilities are equipped for resumption of business and are tested. Regarding all circumstances within our control, SSL’s recovery time objective for business resumption, including those involving a relocation of personnel or technology is expected to not exceed four (4) hours.

Our firm maintains redundant systems to support communications in the event of a significant business disruption. You can continue to reach out to your client relationship manager using the contact information that you would use under normal conditions. As usual, you should not consider any instruction accepted until you receive confirmation from us. Any Compliance related matters, such as complaints or disputes, or matters that require escalation, should be sent to: ssl.compliance@safra.com or in writing by postal service as follows:

For additional information about how to request funds and securities when SSL cannot be contacted due to a significant business interruption, please visit: www.safrasecurities.com or call (212) 704-5500 for recorded instructions.