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Business Continuity

UAT is committed to providing timely service to our clients. We recognize the importance of preparing for various disaster scenarios that could hamper our ability to provide service. We have taken aggressive steps to provide for business contingency and continuity planning under a variety of potential scenarios. We continue to evaluate our contingency plans and take the necessary actions to ensure the proper resources are available to provide for the recovery and timely resumption of critical business operations to internal business units, third party business partners and clients.

Please be aware that, while we have detailed plans in place, we cannot guarantee that we will be successful in achieving recovery in the times noted above. For example, we may not be able to implement a plan during a disaster as quickly as we expect, or there may be disasters that we have been unable to anticipate and for which we have no plan. Additionally, if parts of our plan are dependent upon third parties, we will have no control over the success or failure of the third party to respond appropriately to the challenges posed at the time of the disaster. Our continuity plans are periodically updated and modified.

Our business continuity plan is available to customers, other broker-dealers and third parties upon request.

In the event of a disaster or an emergency, please contact Joel Steinmetz, CEO at 516.512.1778.

UNITED STATES PATENTS 7,786,057; 7,809,632; 7,831,503; 7,856,396; 7,912,783; 8,078,522;
8,121,935; 8,180,699; 8,285,634; 8,296,222; 8,396,786; 8,600,866; 8,600,867; 8,635,148 and
patents pending in the U.S.

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