Aquilo Partners, L.P. Business Continuity Planning

Aquilo Partners. L.P. (the “Firm”) maintains a Business Continuity Plan (“BCP”) that is designed to ensure the continuation or prompt resumption of our business in the event of a significant business disruption (“SBD”). The Firm’s BCP is subject to modification depending on the nature and severity of a specific event. In the event of a SBD, the Firm will make reasonable effort to contact clients promptly if we perceive that the event may impede or significantly delay that client’s business. The Firm engages in investment banking activities. The Firm’s mission critical systems are those that ensure communication with clients and with transaction participants.

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our Firm’s ability to communicate and do business, such as a fire in our building. External SBDs are regional, national or global events such as an act of terrorism, an earthquake or other natural disaster, a pandemic or a wide-scale disruption. In the event of a SBD, our aim is to quickly resume business operations after (a) safeguarding our employees and property, (b) making a financial and operational assessment of the situation, and (c) protecting the Firm's books and records. The scope of business operations our BCP addresses include:1) data backup and recovery of all mission-critical systems; 2) financial and operational assessments; 3) alternate avenues of communication with our clients, employees, and regulators; 4) alternate physical locations in which to conduct business; 5) mission critical systems; and 6) regulatory reporting.

Our BCP establishes procedures that enable the Firm to transfer operations to a predetermined disaster recovery site. Although we have taken significant steps to develop and implement sound business recovery plans, we cannot guarantee that systems will always be available or recoverable after a SBD. The Firm’s BCP is reviewed annually and subject to modification without notice. Any material changes to the above information will be available on our website or upon request. If you have further questions about our BCP or wish to receive a copy of our BCP, please contact our office at (415) 677-9773 or visit our website at www.aquilopartners.com.

Aquilo Partners, L.P. Privacy Policy

We are committed to keeping the personal information collected from our potential, current and former customers confidential and secure. The proper handling of personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information you provide to us. We never sell your information to any outside parties.

Customer Information

We collect and keep only information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:

  • From you when you complete an application or other form. This includes information such as name, address, social security number, assets, income, net worth and other information deemed necessary to evaluate your financial needs.
  • Credit card information.
  • As a result of transactions with us, our affiliates if any or others. This could include transactions completed with us, information received from outside vendors to complete transactions or to effect financial goals.

Sharing Information

We only share your nonpublic personal information with non-affiliated companies or individuals as permitted by law, such as your representative within our firm, other broker/dealers, affiliated company e.g. bank, issuer, etc., mutual funds, insurance companies, money manager, attorney™s, accounting, CPA™s, other investment advisors and other product vendors, or to comply with legal or regulatory requirements. In the normal course of our business, we may disclose information we collect about you to companies or individuals that contract with us to perform servicing functions such as:

  • Record keeping
  • Computer related services
  • Good faith disclosure to regulators who have regulatory authority over the company.
  • Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested. Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested.

We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.

When we provide personal information to a service provider, we require these providers to agree to safeguard your information, to use the information only for the intended purpose, and to abide by applicable law.

Internet Access

We provide a website on the Internet for our company which is informational only. Accessing this website in no way compromises your privacy since we gather no personal information from you. We do not utilize Cookies, Graphics Interchange Format (GIF™s), or any other web tools. You should check the privacy policy for any links provided upon leaving our web site.

Employee Access to Information

Only employees with a valid business reason have access to your personal information. These employees are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.

Protection of Information

We maintain security standards to protect your information, whether written, spoken, or electronic. We update and check our systems to ensure the protection and integrity of information.

Maintaining Accurate Information

Our goal is to maintain accurate, up-to-date customer records in accordance with industry standards. We have procedures in place to keep information current and complete, including timely correction of inaccurate information.

E-Mail

Should you send us your questions and comments via e-mail to any mailbox provided by Aquilo Partners, L.P., we will share your correspondence with our Registered Representatives and those employees or agents most capable of addressing your questions and concerns. We will retain your communication until we have done our very best to provide you with a complete and satisfactory response. Ultimately, we will either discard your communication or archive it according to Aquilo Partners, L.P.™s requirement under applicable securities laws.

Please note that, unless we expressly advise you otherwise, Aquilo Partners, L.P. e-mail facilities do not provide a means for completely secure and private communications between Aquilo Partners, L.P. and you, the User. Although every attempt will be made to keep your information confidential, from a technical standpoint, there is still a risk. For that reason, please do not use e-mail to communicate information to us that you consider to be confidential. If you wish, you may contact us instead via telephone or by facsimile. Additional security is available to you if you equip your Internet browser with 128-bit secure socket layer encryption, which provides more secure transmissions.

Disclosure of our Privacy Policy

We recognize and respect the privacy concerns of our potential, current and former customers. We are committed to safeguarding this information. It is also available upon request.