Business Continuity Plan Disclosure

Diogenes Financial LLC

Business Continuity Plan Disclosure

Diogenes Financial LLC (“DF”) has a Business Continuity Plan (“BCP”) in place to respond to a Significant Business Disruption (“SBD”).

This plan has a few major goals to ensure minimal disruption to client services. The plan offers guidance on change of location in emergencies, loss of key personnel, remote operations, and a plan of goals to restore operations or inform customers if DF is unable to continue to provide services. This plan is reviewed at least annually to address any updates or changes.