DASTA Financial, LLC (the “Firm”)

Business Continuity Plan Policy

FINRA Rule 4370

As an introducing broker-dealer, the Firm has developed a Business Continuity and Disaster Recovery Plan to ensure business continuity. In the Firm’s capacity as an introducing firm, the Firm ensures that its clearing broker, Apex Clearing Corporation, provide a variety of services that require the provision of continual technological and operational support. In connection with accomplishing business continuity, the Firm has established a framework for employees to work remotely as a critical component of the Firm’s Business Continuity and Disaster Recovery Plan. All employees maintain hardware devices that are capable of remote work in order to operate and maintain business-critical processes in the event that the Firm’s office in New York City, NY cannot be occupied due to anything from a natural disaster to a terrorist attack, whether or not such an event affects only the Firm or is more regional in scope. The Business Continuity and Disaster Recovery Plan contemplates restoration of critical processes within a 24-hour timespan. Please note that the specifics of the Business Continuity and Disaster Recovery Plan are subject to modification. You may obtain a copy of the Firm’s most current Business Continuity and Disaster Recovery Plan by submitting your request to support@dubapp.com.