Customer Notice
Important Information About New Accounts
In compliance with the USA PATRIOT Act and other applicable regulations, we are required to obtain, verify, and record information that identifies each customer who opens an account.
When you open an account, we will ask for your name, address, date of birth (for individuals), identification number, and other information that will allow us to identify you. We may also ask you to provide copies of identifying documents (e.g., driver's license), or documents of formation (e.g., articles of incorporation), as applicable. We may be required to disclose this information pursuant to applicable laws, rules or regulations, but it will otherwise be retained in confidence according to our Privacy Policy.

Privacy Policy
Your Privacy is Important to Us
At MKM Partners LLC, we strive to build a relationship with our clients based on trust. This is reflected in everything we do, including the way we handle our clients' nonpublic personal information. The following disclosure explains what personal information we collect, what we do with that information and the steps
we have put in place to protect the nonpublic personal information you have entrusted to us.

Information We Collect
From time to time, we gain access to your personal information through
> Our interaction with you on the telephone, in person or through e-mail
> Account Applications or other forms you complete
> Transactions in your accounts or on your behalf
> Our website
> Trading tools or other information tools we may make available to you
> Third parties with whom we deal, such as consumer-reporting agencies, to verify information we receive from you and your credit worthiness

Information We Disclose
It is MKM's policy not to disclose any of your nonpublic personal information to third parties without your consent, unless those parties are providing services or support to us and have agreed to keep your nonpublic personal information confidential. Examples of these parties include the company we use to prepare and mail your account statements or to perform our internal auditing. Even if you cease to transact business with MKM, we will continue to apply the same protections to your nonpublic personal information as we did when you were an active client.

Protecting Your Information
MKM protects your nonpublic information from access by third parties by maintaining physical, electronic and procedural safeguards. We limit access to your information to those employees who are trained in the proper handling of nonpublic client information and who need access to the information to perform their job functions.

For more information, please contact Bill Arcuri at (203) 861-7542.

Business Continuity Plan

MKM Partners LLC maintains a Business Continuity Plan (BCP) consistent with regulatory requirements.  We are providing this disclosure statement to our clients summarizing the BCP.   The BCP is reviewed annually and may be updated at any time.

MKM Partners LLC is an introducing firm and does not perform clearing functions for itself or others.  We do not hold customer’s securities or funds.  Broadcort, a division of Merrill Lynch, Pierce, Fenner, & Smith Incorporated., clears and settles all MKM Partners LLC transactions.

Our clearing firm, Broadcort, maintains a business continuity plan and the capacity to execute that plan (http://gmi.ml.com/broadcort/index.asp). Our clearing firm represents that it will advise us of any material changes to its plan that might affect our ability to maintain our business and presented us with an executive summary of its plan. In the event our clearing firm executes its plan, it represents that it will notify us of such execution. Our clearing firm represents that it backs up our records at a remote site and that it operates a back-up operating facility in a geographically separate area with the capability to conduct the same volume of business as its primary site. Our clearing firm has also confirmed the effectiveness of its back-up arrangements to recover from a wide scale disruption by testing, and it has confirmed that it tests its back-up arrangements.

Our BCP is designed to be activated in the event of a Significant Business Disruption (SBD). The BCP attempts to continue operations if an event were to occur that would impact the firm’s business locations or systems. We anticipate a variety of significant business disruptions and the actions MKM Partners LLC would take in the event of a building, town-wide or regional incident. The BCP provides that after performing an initial assessment of the event, the CEO or CFO would execute our BCP.

Under most scenarios, we expect to continue conducting business and resume operations with minimal service impact. However, under certain scenarios, the time it takes us to recover and resume operations maybe significantly increased depending on the extent of the disruption to our systems and physical structures.

Clients may be kept up to date on the potential business disruption scenarios by accessing www.mkmpartners.com . They may also call our trading department at telephone number (203) 861-9060 to get information about accessing their securities and funds at our clearing firm.