REGULATORY

AGENTIS CAPITAL MARKETS US LLC

Agentis Capital Markets US LLC is a Delaware LLC. It is a broker-dealer registered with the US Securities and Exchange Commission (the “SEC”) and member of the Financial Industry Regulatory Authority (“FINRA”).

Agentis Capital Markets US LLC is also referred to as Agentis Capital Markets US.

Agentis Capital Markets US operates out of offices in Vancouver and Toronto, Canada.

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BUSINESS CONTINUITY PLANNING 

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Agentis Capital Markets US has established a robust Business Continuity Plan (“BCP”) to address events that could significantly disrupt our operations. Recognizing that the timing and impact of disasters and disruptions are inherently unpredictable, our response will remain flexible and adaptive to actual events as they unfold. This document provides key information regarding our plan.

Contacting Us After a Significant Business Disruption

If you are unable to reach us through your usual channels following a significant business disruption, please utilize the following steps:

•    Email us at info@agentiscapital.com.
•    Consult our website at www.agentiscapital.com for alternative contact details and updates.
•    Monitor your voice mail and email for official communications from our team.

Business Continuity Plan Overview

Our Business Continuity Plan is designed to ensure the resilience of our operations. The BCP addresses critical areas, including:

•    Data integrity: Backup and recovery protocols.
•    System availability: All mission-critical systems.
•    Operational assessments: Financial and operational reviews.
•    Communication: Alternative means of communication with customers, employees, and regulators.
•    Workforce deployment: Alternate physical locations for employees, potentially leveraging virtual or "at-home" resources depending on the disruption's nature.
•    External dependencies: Assessment of impact on critical suppliers, contractors, banks, and counter-parties.
•    Compliance: Regulatory reporting requirements.

Our Recovery Objective

We plan to quickly recover and resume business operations following a significant business disruption. Our immediate response priorities include:

1.    Safeguarding our employees and property.
2.    Conducting a prompt financial and operational assessment.
3.    Protecting the firm’s books and records.
4.    Enabling our customers to transact business efficiently.

In essence, our BCP is structured to permit Agentis Capital Markets US to resume operations as swiftly as possible, commensurate with the scope and severity of the disruption.

Note: Agentis Capital Markets US does not hold any customer funds or securities.

Review and Contact

The Agentis Capital Markets US Business Continuity Plan is reviewed periodically and may be updated without notice.
If you have any questions regarding our BCP, please contact us by mail at:

Agentis Capital Markets US, 1270-999 West Hastings St., Vancouver, BC V6C2W2; Attn: Compliance Department

CUSTOMER COMPLAINTS

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In accordance with Exchange Act Rule 17a-3(a)(18)(ii), we are furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately by telephone at 985-630-5807, or by mail at:

Agentis Capital Markets US, 1270-999 West Hastings St., Vancouver, BC V6C2W2; Attn: Compliance Department

ANTI-MONEY LAUNDERING

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Under U.S. regulations, Agentis Capital Markets US is mandated to obtain, verify, and record specific information to confirm the identity of every client or entity that enters into a formal business relationship with us. This is often referred to as "Know Your Customer" (“KYC”).

Standard Information Required: When you open an account, we collect your legal name, address, and unique identification number. We also require your date of birth (for individuals) or date of formation (for entities).

For Entities (e.g., Companies, Trusts): To satisfy regulatory requirements, we may need documentation confirming the entity's legal status (e.g., Articles of Incorporation, partnership agreement). Furthermore, we must collect and verify personal identifiable information for:

•    Any person who beneficially owns 25% or more of the entity.
•    A key individual with significant management responsibility for the entity.

We may request additional documentation and utilize reliable third-party sources to verify the information you provide.

RECORD KEEPING & PRIVACY 

All documentation and data are retained for specific periods as required by regulation. We may share these records with our affiliates. We treat all client information with strict confidentiality. However, please note that we are legally required to provide this documentation to regulatory authorities upon their request. This obligation applies both during and after the termination of your client relationship with the Firm.