Terra Nova Financial, LLC has developed a business continuity plan that is designed as a backup to our primary business facilities and allows the firm to promptly recover from a significant business disruption (SBD) in order to restore essential business functions in the event of an emergency.

This plan addresses risks associated with the firm’s systems platform, communications, premises and other external factors. The following has been documented:

• Emergency management procedures
• Customer and Firm Asset Protection
• Staffing requirements and employee communications
• Critical system resources and data recovery
• Network communications
• Continued Business Operations

Alternate facilities have been contracted or established in Illinois to serve as recovery sites. Network, data and communications backup is provided through the data center of a major recovery provider, Sungard Recovery Services, LP.

In the event of a SBD, the Firm plans to send its customers and its correspondent firms an email from our back-up customer database stored at a remote location informing them of the situation and how to contact the Firm. Customers and correspondent firms may also be notified via the company’s website which will also be run from a remote location. In the event that neither of the above methods of communication are available to the Firm, the Firm will assess which means of communication are still available to it, and use the means closest in speed and form (written or oral) to the means that the Firm has used in the past to communicate with its customers. Customers will also have the ability to obtain information about accounts and instructions on how to acquire access to funds by calling 1-866-866-6546.

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 24 hours. 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 72 hours.

This plan is intended to comply with the rules set forth by the Financial Industry Regulatory Authority (“FINRA”’), the Securities and Exchange Commission (“SEC”), and the Securities Investor Protection Corporation (“SIPC”).

Terra Nova identifies and maintains the recovery requirements and procedures for its key business areas. Senior management reviews and updates the plans and recovery priorities on a regular basis. The plan is also tested on an ongoing basis.

This plan is subject to modification and when any material modifications occur, an updated summary of the plan will be promptly posted on Terra Nova’s web site and you may also obtain an updated summary by requesting a written copy by mail.

Updated:

  August 2008