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Business Continuity Plan (BCP) Overview Miller Tabak Asset Management has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is 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. Contacting Us – If after a significant business disruption, you cannot contact us as you usually do, you should call the alternate numbers listed below, or go to our web site at www.millertabakam.com. (212) 850-8103 Michael Pietronico Miller Tabak Asset Management maintains recovery processes that can be executed to ensure timely restoration of the assets and systems affected by cybersecurity events. We plan to quickly recover and resume business operations after any significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our clients to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable to continue our business. Intermedia.net, Inc. Sonian Incorporated Other MTAM service providers include: ADP – payroll Advent Software – AIS Managed Applications & Advent Portfolio Exchange Customer #571207 – 800-685-7688 Verna Berry, Credit & Collections (vberry@sscinc.com) 415-645-1475 Max Higgs, Renewal Specialist (mhiggs@sscinc.com) 904-403-2544 Arthur J. Gallagher – business insurance broker Antonietta Ruggiero, Client Service Manager @ 212-994-7076 Bloomberg – provides financial software tools a/c 30355400 – Billing Rep: Jenna Uka @ 646-324-2643 (juka@bloomberg.net);Billing Rep: Connor Landazuri @ 646-324-7739 (clandaxzuri@bloomberg.net) Fidelity – 401k LCO Group – tech support MTAM annually reviews and tests the adequacy of the business continuity and transition plan and the effectiveness of its implementation. MTAM reviews the business continuity and succession plan annually via conference call between the CCO and CEO. For more information – If you have questions about our business continuity planning, you can contact us at (212) 850-8103 mpietronico@millertabak.com or (215) 680-2588 jsalvatore@millertabak.com |
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