Arete Research LLC, Business Continuity

Arete Research LLC ("Arete" or the "Company") plans to quickly recover and resume business operations after a significant business disruption ("SBD") and respond by safeguarding its employees and property, making a financial and operational assessment, protecting the Company’s books and records, and allowing Arete’s customers to transact business. In short, Arete’s business continuity plan (“BCP”) is designed to permit Arete to resume operations as quickly as possible, given the scope and severity of the SBD.

The 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; as well as regulatory reporting.

Significant Business Disruptions: The BCP takes into account two kinds SBDs, internal and external. Internal SBDs affect only the Company’s ability to communicate and do business, such as a fire or loss electrical power in the office or building.

External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.

Internal SBDs: In the event of a disruption in the Company's business operations due an internal SBD, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location such as it's key employees homes.

If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations with 2-4 hours.

External SBDs: In the event of a disruption in the Company’s business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the effected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business.

The Company will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.

In all cases, the Company will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.

Communications: In the event you are unable to reach the Company at our main number, please proceed as follows:

1) Contact the Company at the following alternate telephone numbers:
Mary Lecca: 781-724-2704 (mobile)

2) Access the website of Arete’s parent at www.arete.net.

3) Contact FINRA's Boston District office at the following telephone number for more information on the Company’s status and additional instructions: 617-532-3400.

Contact information: Customers may address any questions or obtain a copy of the BCP by contacting Mary Lecca, 15 Broad Street, 1st Floor, Boston, MA, 02109, United States, 617-357-4803, mary.lecca@arete.net.

Customers should be aware that the BCP is subject to ongoing review and may be modified as the need arises.