BMO Capital Markets GKST Inc. emergency response plans are designed to ensure the safety of its employees; the continuity of client service, data and systems; and to protect client assets and assets of the company. We perform continuing risk assessments to mitigate all reasonable risks to our facilities and systems. For example:

• We have created back-up functionality in essential service and technological areas to mitigate the risk of site failure, system failure and the failure of vendor provided mission critical systems. We have developed business continuity plans for scenarios of varying severity including business interruption of mission critical vendors, the loss of systems and/or facilities for short-term and long-term periods. Our plan includes the restoration of systems within 12 hours to complete processing of transactions pending settlement. Our plan includes trading procedures designed to minimize financial risk. Regardless of the scope of potential disruption, we intend to continue to provide service to our clients.



• We store essential data in an independent facility, equipped with an uninterrupted power supply and generators that can power the facilities and computing equipment indefinitely.



• Critical data are dynamically copied to the secondary site throughout the day and backed up each night.



• We have the ability to reroute phone traffic from our main facility at the Sears Tower to an alternative stand-by facility. We are prepared to occupy these stand-by facilities, which are wired and computerized, in the event of a significant business interruption.



• We test documented business resumption plans regularly – either annually or as designated by regulatory requirements.

Our current business interruption plan is designed to adequately protect our clients’ assets and service requirements, as well as our business interests.

Our emergency response plans and strategies are continually revisited to adjust to the dynamic nature of our business and our clients’ needs.

In the event we experience a business interruption, information regarding the status of the recovery process can be found on our web site www.bmo.com or by calling 1-800-GKST-111 for voicemail updates.