Important Information About Procedures for Engaging in a Securities Transaction with Asante Partners

To help the government address the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person or entity who engages in a securities transaction in the United States.

What this means for you: When you or your firm engage in a securities transaction, we will ask for the name, address and other information that will allow us to identify you and the investing party. We may also request to see other identifying documents.

Asante Partners LLC Business Continuity Summary Statement

Asante Partners has developed a Business Continuity Plan regarding how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our clients and investors 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 back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting.

We back up important records with I-Backup, a third-party data archive provider. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by I-Backup that its objective is to restore its own operations and be able to restore all existing data in under one business day. Your communications with us may be disrupted until such time as our data is restored.

If you have questions about our business continuity plan, you can contact us at (212) 521-1440 or james@asantepartners.com.