Continuity Policy

Business Continuity - Operations

Firm Policy

We plan to quickly recover and resume business operations after a significant business disruption and to respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses:

• data backup and recovery;
• remote/alternative office locations for employees;
• all critical systems;
• financial and operational risk assessments;
• alternative communications with customers employees, and regulators;
• key contractors,
• bank and counterparty impact;
• instructions for succession, death, incapacitation of key personnel;
• regulatory reporting;

Designated Person(s):

Admin – (Principal of Firms)

• Name: Cory Roberson
• Company: FIN Compliance
• Email: cory@fincompliance.io
• Phone Number: 650-305-2688
• Cell Phone: 650-799-7915
• Address: 2950 Buskirk Avenue, Suite #300, Walnut Creek, CA 94597
• Fax (if any): (925) 952-7068

Staff (assistance w monitoring, updating, and testing the firm’s BCP) –

• Name: David McNeal
• Company: FIN Compliance
• Email: david@fincompliance.io or davidmcneal28@gmail.com
• Phone Number: 650-305-2688
• Address: 2950 Buskirk Avenue, Suite #300, Walnut Creek, CA 94597
• Fax (if any): (925) 952-7068

Admin (will maintain electronic copies of its BCP plan at our primary office location or a backup location) –

• Name: Cory Roberson
• Company: FIN Compliance
• Email: cory@fincompliance.io
• Phone Number: 650-305-2688
• Cell Phone: 650-799-7915
• Address: 2950 Buskirk Avenue, Suite #300, Walnut Creek, CA 94597
• Fax (if any): (925) 952-7068

Contributors (consultants/key vendors) – compliance/operations emergencies

• Name: Cameo Roberson
• Company: Atlas Park
• Email: cameo.roberson@atlasparkco.com
• Phone Number: 415-895-2502
• Address: Virtual

Contributors (consultants/key vendors) – software developers/accessing data

• Name: Angel Puerta
• Company: Redwhale, Inc.
• Email: Angel.Puerta@redwhale.com
• Phone Number: 650.312.1500
• Address: 19925 Stevens Creek Blvd., Suite 100, Walnut Creek, CA 94597

Contributor (primary) – Assistance w/developers

• Name: David McNeal
• Company: FIN Compliance
• Email: david@fincompliance.io or davidmcneal28@gmail.com
• Phone Number: 650-305-2688
• Address: 2950 Buskirk Avenue, Suite #300, Walnut Creek, CA 94597
• Fax (if any): (925) 952-7068

Contact (consultants/key vendors) – other emergency

• Name: Cameo Roberson
• Company: Atlas Park
• Email: cameo.roberson@atlasparkco.com
• Phone Number: 415-895-2502
• Address: Virtual

How often is this plan tested? Once a year

Where will you store the BCP Plan?

Books and Records

What is the location of your firm’s primary books and records (hard copy and electronic)?

Location #1

Name: Google Cloud
Where are your firm’s systems primary/back-up location books and records

Location #2

• Name: Database Mart
• Email: support@databasemart.com
• Address: 257 Westwood Dr. League City, TX 77573

Location #3

• Name: CrashPlan/Code 42 (SaaS backup servers)
• Email: [Type text]
• Phone Number: 612-333-4242
• Address: 100 Washington Ave S., Suite 2000, Minneapolis, MN 55401

Compliance Review Date: 12/31/2020

Attestation
Signed: Cory Roberson
Title: Founder
Date: 12/15/2020