OMC Business Continuity Disclosure

Old Mission Capital LLC (“OMC”) has developed a Business Continuity Plan (“BCP”) that includes the ability to recover from situations including, but not limited to floods, power outages and any facilities failures that may cause business interruptions. Key features of the OMC BCP include annual review of the following:

1. Identification of all mission critical systems (and system back-up and recovery for such systems);
2. Review of financial and operational risks;
3. Systems and telecommunication accessibility; and
4. Alternate communications between OMC, its employees/associated persons, regulators, interested parties and critical business constituents.

Although no contingency plan can eliminate all risk of service interruption, OMC continually assesses and updates its BCP to mitigate all reasonable risks. While the specific details of our BCP are proprietary and contain information which is confidential, OMC’s policy is to respond to a significant business disruption by safeguarding employee lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations and protecting OMC’s books and records. As we continue to test our plan and as conditions in our firm and the industry change, we will revise the plan accordingly and as considered necessary

This BCP disclosure will be mailed to interested parties upon request.