GSP Securities LLC

Business Continuity Plan

GSP SECURITIES LLC has developed a Business Continuity Plan (the “Plan”) on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are 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 Plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 212-850-4900, you should email your contact at the Firm at his or her email address. If you cannot access us through any of these means, you should go to the Firm’s web site at which should provide updated information on what we are doing to quickly recover and resume business.

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 to transact business. Our 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 Plan Addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communication with customers, employees, and regulators; alternate physical location of employees; critical business constituents, banks, and counter-parties; regulatory reporting; and assuring our clients prompt access to their funds and securities.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our Firm, a single building housing our Firm, the business district where our Firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In the event of a significant business disruption, we will evaluate whether to continue business from an affected location, or move our operations at that location to an alternative location. In the event that we determine we are unable to continue our business, we will coordinate with our critical business constituents to assure our clients’ prompt access to their funds and securities.

For more information – Please note that we review our Plan as necessary, and at least once a year, to ensure that it accounts for material changes in technology, business and regulatory practices, operations, structure, or location. Our Plan is subject to change, and if you have questions about our Plan, or if you wish to obtain a current written copy of the Plan, you can contact us at 212-850-4900.