Per FINRA regulations, XMS Capital Partners has developed a Business Continuity Plan to show how we will respond to events that significantly disrupt our business.

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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 continuity plan.

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OUR BUSINESS CONTINUITY PLAN

Our business continuity plan addresses the following: 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, and bank impact; and regulatory reporting.

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CONTACT US

If after a significant business disruption you cannot contact us as you usually do at (312) 262-5642, you should go to our website at www.xmscapital.com.

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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 one business day. 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 five business days. In either situation, we plan to continue in business, and notify you through our website (www.xmscapital.com) where we will provide you with information about how to contact us. If you have questions about our business continuity planning, you can contact us at (312) 262-5642.

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