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Business Continuity Plan

Capital Integration Systems LLC and its broker dealer subsidiary CAIS Capital LLC (collectively “CAIS”) have developed a Business Continuity Plan (“BCP”) reasonably designed to provide for business continuity in the event of a business disruption.

By way of background, CAIS is a financial technology company that operates a business-to-business alternative investment platform (“CAIS Platform”) with modular technology capabilities exclusively for registered investment advisors, broker-dealers, certain institutional family offices, and other institutional entities as defined by FINRA Rule 4512(c). The CAIS Platform is not made available to retail investors. Moreover, and specifically with respect to its broker-dealer, CAIS does not hold customer accounts, nor does it introduce customer accounts into any clearing firm. CAIS does not custody customer securities or funds, nor does it accept customer funds or engage in any funding activities. As such, CAIS does not handle customer funds or securities.

The CAIS BCP contemplates business interruptions that are internal, localized or regional in scope, and includes corresponding procedures for backup and recovery of missional critical systems, data, and loss of locations. CAIS Platform activities and CAIS books and records are primarily retained and archived in electronic format, by way of various remote server methods, and through certain designated third-party vendors, all of which are remotely accessible for recovery purposes. The CAIS BCP also contemplates financial and operational assessments, alternative methods of communication, as well as procedures for communication with CAIS Platform members, CAIS employees, critical business constituents, third-party vendors, and regulators. CAIS manages its Operations and Technology functions by leveraging a distributed global workforce that accounts for regional diversity and coverage in the event of a regional disruption of core infrastructure services (e.g., power, internet).

The CAIS BCP is subject to annual review and assessment to determine whether modifications may be necessary in light of potential changes to CAIS business or structure.

In the event of a BCP event, relevant information on the status of CAIS business, including appropriate contact information for inquiries, will likely be prominently displayed on the CAIS public facing website.