REGULATORY

​BUSINESS CONTINUITY PLAN DISCLOSURE

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Agentis Capital Markets US has a Business Continuity Plan ("BCP") that sets out how the Firm will respond to events that significantly disrupt its business. Because the timing and impact of disasters and disruptions can't be predicted, our response will be flexible and will depend on the actual event. This summary gives key information about our plan.

 

Contacting Us After a Significant Business Disruption

If you can't reach us through your usual channels after a significant business disruption:

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• Email us at info@agentiscapital.com.

• Check our website at www.agentiscapital.com for other contact details and updates.

• Watch your voicemail and email for official messages from our team

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Our Business Continuity Plan

 

The BCP covers:

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• Data backup and recovery (hard copy and electronic).

• All mission-critical systems.

• Financial and operational assessments.

• Other ways to communicate with customers, employees and regulators.

• Alternate physical locations for employees, including remote work.

• The impact on critical suppliers, contractors, banks and counterparties.

• Regulatory reporting

Our Recovery Objective

Our goal is to recover and resume business quickly after a significant business disruption. Our first priorities are to:

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1. Keep our employees and property safe.

2. Assess our financial and operational condition promptly.

3. Protect the Firm's books and records.

4. Allow our customers to continue doing business with us.

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Agentis Capital Markets US does not hold customer funds or securities

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Varying Disruptions

 

Disruptions can vary in scope. Some affect only our firm or a single building. Others affect a whole business district, city, or region. Within each of these, the severity of the disruption can also vary from minimal to severe.

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• Firm-only disruption: If one of our offices is affected, we will move staff to our other Canadian office or to remote work.

• Regional disruption: If a disruption affects Vancouver or Toronto as a whole, we will move operations to the unaffected office and/or remote work.

 

In either situation, we will continue in business and tell customers how to reach us through our website and by email. If the disruption is so severe that we can't continue in business, we will make sure customers can get prompt access to any information held on their behalf.

Review and Availability

 

We review the BCP at least annually and may update it without notice. Any update will be posted on this page. You can ask for a written copy of this summary by contacting us at the address below.

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If you have questions about our BCP, contact us by mail at: Agentis Capital Markets US, 1270-999 West Hastings St., Vancouver, BC V6C 2W2; Attn: Compliance Department.