Where are the firm's backup facilities (including systems and personnel) located?

All our electronic data is stored in our NYC locations and are backed up to our dedicated Service in Chicago IL, in a dedicated 24/7 hr daily monitored environment, on a seperate subnet and powergrid.

What are the firm's procedures for backing up or copying essentialdocuments and data?

We perform backups of information on a weekly cycle; both our local data files and remote data files. We store certain information on hard drives locally and on our remote server.

What staff competencies or duties are critical to continuing your operations?

Our most critical duties involve network administration and the ability to continue to work remotely from any office location that has connectivity to the internet.

How has your firm duplicated these competencies in orderto minimize the effect on the firm's operations if it loses primary staff?

The individuals that maintain account and client information, do so in a collective manner that allows for access by approved individuals.

What specific steps will the firm take to minimize the impact of business interruptions encountered by the following third parties:

Banks . Carrying brokers . Order routers . Data providers

Gallant will keep electronic and hard copies of all required documentation that pertain to all third party organizations and our clients. We will attempt to immediatly contact and settle any pending or open positions.

How often does management review the plan for needed updates?

Gallant reviews these items on a weekely basis - it is part of our ongoing understanding of technology and requiements for managing and maintianing good data flow.

What essential components have been discussed with all other employees?

All essential components have been discussed and all staff have the necessary understanding of our communications infrastructure.

How would your firm plan on to continue to communicate with essential parties

All our Client Management information is stored off-site; ergo, all communications would be continued through the use of available means, by using backed-up information.

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