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Current Emergency Communications Status: --Business Operations are normal--

This is the Emergency Communication website of BMO Capital Markets Corp. We will use this site to inform you of any significant business interruption.

Summary Disclosure Statement for BMO Capital Markets Corp pursuant to FINRA regulations

(Pursuant to the Financial Industry Regulatory Authority (FINRA) regulations under Rule 446 of the NYSE and Rule 3510 of the NASD)

Since September 11, 2001, the financial community has developed new processes, procedures and regulations to improve the resiliency of the financial markets, provide clearer security for customers’ assets and reaffirm confidence in the ability to mitigate and/or respond to momentous events.

All members of the NASD and NYSE are required through FINRA to have a Business Continuity Plan in place and to communicate that information to their customers. BMO Capital Markets Corp has taken appropriate steps to protect our customers’ assets and to comply with all financial market rules and regulations.

To ensure that BMO Capital Markets Corp can continue to function as a broker/dealer and to service our customers following a significant business disruption event, the following steps have been implemented:

1. A power generator has been installed in our main processing site to mitigate risk during a power outage. (This generator was used successfully during the August 2003 regional power outage.) This is maintained regularly as part of our regular maintenance of our infrastructure.
2. A fully-operable back-up facility has been developed outside of New York City. This capability can be activated should a crisis event (a) cause a loss of key services that support our operations in New York City, (b) force the abandonment or evacuation of our New York City location, or (c) render our New York City location inaccessible for our use.
3. We installed Post Edge, a Broadridge system that enables us to access books and records electronically from our back-up facility.
4. We arranged for routing of communication lines and telephone numbers to alternate locations so that we can maintain reasonable communications with our customers, vendors, counter-parties, other company locations and regulators, both domestically and internationally.
5. Annually, we participate with the SIFMA sponsored industry-wide test to ensure that our critical vendors, counter-parties and service providers will continue to provide services we rely upon to perform our business.
6. We continue to update our BCP Pandemic information addressing the Avian Flu contingency and continually update employees on Pandemic bulletins.
7. We enhance Employee Awareness on Life and Safety issues by issuing BCP related materials to our employees on a periodic basis, such as Accounting For People Team Cards, Emergency Preparedness Documents and Emergency Kits. Employees are also required annually to complete the Business Continuity Awareness Course online.
8. We continually upgrade AED/CPR devices and the required training and recertification.
9. We conduct periodic automated notification tests and regularly monitored Fire drills, Building Evacuation Drills and store Shelter-in Place Kits for the emergency use of our staff.
10. We coordinate our BCP efforts internally with the Business Management Team in Chicago as well as the Enterprise Business Continuity Management Team in Toronto.

Should a catastrophic event cause both the main and back-up facilities of BMO Capital Markets Corp to be inoperable or inaccessible, our Toronto-based, investment banking affiliate within BMO Financial Group, would be capable of fulfilling our broker/dealer role in the administration, safekeeping and processing of BMO Capital Markets Corp’s customers’ assets.

If you have questions about our business continuity planning, you can contact our Compliance Officer:

Name	Keith Leavy
Phone:	212-605-1646