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Business Continuity Plan Summary
The purpose of this document is to provide a general overview of the Business Continuity Program (BCP) for Montgomery, Marshall Healthcare Partners, LLC (“MMHCP”). A BCP is a FINRA required program designed to help ensure that we can continue to do business if we experience a loss of utility service, a building evacuation, or a catastrophic event.

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. It is our intention to remain in business after a significant business disruption. However, if we do not elect to resume business, we will certainly respond by safeguarding our employees and property, making a financial and operational assessment, and protecting the firm's books and records. Our BCP addresses: 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, bank and counter-party impact; and regulatory reporting. Procedures are in place to notify employees if an event results in a change in business locations or processes, although a business-wide disruption could temporarily delay the processing of information and requests. Provisions have also been made for clients to continue to be able to contact MMHCP employees. Updates to clients will be posted on our website, www.mmhcp.com, in the event of a disruption.

At a minimum, our BCP is reviewed by the Principals of the firm and appropriate personnel, updated and tested annually. Periodic updates may also be required as business processes, technology or staff change. We will continue to post general and updated information about our BCP on our website.

For more information – If you have questions about our business continuity planning, you can contact us at 415-230-5120.

Privacy Policy
MONTGOMERY, MARSHALL HEALTHCARE PARTNERS, LLC PRIVACY NOTICE

Since MMHCP (i) does not have any affiliates and (ii) only discloses nonpublic personal information to nonaffiliated third parties as authorized under sections 248.14 and 248.15, MMHCP complies with the requirements of Regulation S-P by using the following notice, if applicable.

MMHCP collects nonpublic personal information about you from the following sources:

• Information we receive from you on applications or other forms;

• Information about your transactions with us or others; and

• Information we receive from a consumer reporting agency.

We do not disclose any nonpublic personal information about you to anyone, except as permitted by law.

If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.

MMHCP restricts access to your personal and account information to those employees who need to know that information to provide products or services to you. MMHCP maintains physical, electronic, and procedural safeguards try guard your nonpublic personal information.