BUSINESS CONTINUITY DISCLOSURE STATEMENT

Prism Financial Products LP and Prism Financial Products LLP (collectively, the “Firm”) maintain a Business Continuity and Disaster Recovery Plan (the “BCP”) to address business continuity and disaster recovery in the event of a significant business disruption (a “Disruption”). The purpose of the BCP is to provide guidance and procedures designed to (i) safeguard the lives of Firm personnel, (ii) preserve the Firm’s (and clients’) records, data and other key information, (iii) facilitate the use of temporary facilities to conduct Firm business, and (iv) ensure an orderly and timely recovery to full operations at the Firm’s primary office location.

A Disruption can be an internal event such as a fire in the building, and/or an external event such as a city-wide flood, terrorist attack, earthquake or pandemic that prevents the Firm from carrying on its daily business. To effectively deal with a Disruption, the BCP addresses issues such as who can authorise activation, who will be notified, which recovery sites will be used, where specific employees will report, what communication, computer and other services will be available, and what steps will be taken if the Disruption is prolonged. The focus of the BCP is to quickly re-establish the ability for Firm personnel to conduct the core, business-critical activities of the Firm. An expanded capability with more services and personnel back in operation will be methodically built up from there.

If the Disruption merely prevents access to the primary office location, the Firm has available a business continuity site in a secondary location to continue core, business-critical activities, and our personnel will operate out of the secondary location and also through remote work. The Firm expects to recover and resume business promptly. In a Disruption affecting the Firm’s business district, city, or region, the Firm will transfer its operations to a site outside of the affected area if necessary, and recover and resume business as quickly as possible. Because all the Firm’s data and systems are hosted by a third-party hosted IT provider, business continuity can be achieved even if the Firm’s primary or a business continuity site is inaccessible. However, securities transactions may be delayed by a Disruption.

In the event of a Disruption, the Firm will immediately identify the most efficient way to communicate with its clients, employees, service providers and regulators. The anticipated methods of communications would include recorded telephone announcements, telephone voice mail and secure email. The circumstances of the Disruption will determine the content of any announcements detailing the timing, capacity, and means by which the Firm’s business will resume operations.

If you cannot contact the Prism Financial Products LP during a Disruption, please contact Prism Financial Products LLP at +44 (0) 20 7073 9499. If you cannot contact Prism Financial Products LLP during a Disruption, please contact Prism Financial Products LP at +1 646 205 6180.