Our Firm is committed to protecting its business information, processes and customer data from unpredictable events. We do this through the preparation and testing of our primary and backup systems to ensure that we have the ability to continue to operate in the event of a business interruption. These capabilities are designed to:

• Provide for the recovery of our technology infrastructure and information
• Prevent the loss of company or customer information and transactions
• Allow us to continue to conduct our primary business functions

Our Disaster Recovery Plan is constructed with the goal that we should be able to recover and resume normal operations within predefined time frames (in most cases by the end of the next business day) following an incident. To accomplish this, we have:

• Formalized processes to allow us to continue or promptly resume our critical business functions. These take into account the various types and durations of possible disaster events. However, please note that the ability to conduct transactional activity is dependent on the general availability of other infrastructure components (e.g., power and telecommunications).
• Arranged for offsite alternative workspace for our personnel and data systems in the event our facilities are unusable as a result of an incident. This has been done so we will be able to respond to your inquiries and provide information regarding your accounts during an incident.
• Established procedures for the backup of files. Copies of critical information are backed up on a regularly scheduled basis and stored offsite at multiple secure locations. For the most critical information, data is backed up in real time at multiple secure locations. In addition, information required by regulatory agencies is archived and stored offsite at secure locations.
• Created a protocol to test our Disaster Recover Plan. In order to evaluate our Disaster Recovery Plan, we perform periodic tests that simulate the effect of a disaster event.

If you have any questions about this plan or our Firm, please contact George Coburn, Chief Administrative Officer, at george.coburn@ubs.com.