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US Business Continuity Plan Summary

Numis Securities, Inc. is committed to safeguarding the interests of our clients in the event of an emergency or significant business disruption.

Business Continuity Plan Disclosure

Numis Securities Inc. has taken steps to mitigate the impact of business interruptions resulting from a wide variety of potential events, including the loss of key facilities and resources.

The Business Continuity Plan ("BCP") process begins with a review of all aspects of the Firm's key activities including but not limited to trading, sales, settlement, clearance and funding. The assessment includes for each business process our exposure to risk and the likelihood of failure and may be updated periodically.

Our BCP 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, critical suppliers, bank and counter-party impact and regulatory reporting.

Significant business disruptions can vary in their scope, such as only our firm, the building housing our firm, the business district where our firm is located, the city where we are located or the entire region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to our firm, building, business district, city or region we will transfer our operations to our disaster recovery site and recover and resume business depending on the severity of the disaster within twenty four hours. In either of the above-mentioned situations we plan to continue business and notify our customers through our website, or other means if our website is not operational. In the event that the business disruption lasts longer than twenty four hours we will re-assess the situation and if necessary implement additional procedures to ensure continued business operations.

London 45 Gresham Street, London, EC2V 7BF +44 (0) 20 7260 1000

New York 575 Fifth Avenue, 25th Floor, New York, NY 10017 +1 212 277 7300

Dublin Riverview House, 21 – 23 City Quay, Dublin 2, D02 FP21 +353 1 574 7200

© 2020 Numis Securities Ltd

Numis Securities Ltd is authorised and regulated by the Financial Conduct Authority (Firm Reference Number 144822).

Numis Securities Inc is a registered US broker-dealer and Member FINRA / SIPC.

Numis Europe Limited trading as Numis is regulated by the Central Bank of Ireland.