Business Continuity Plan

CAIS Capital LLC (“CAIS Capital”), in collaboration with its affiliated entity Capital Integration Systems LLC (“CAIS LLC”), provides certain independent investment advisors, broker-dealers, and other financial institutions with access to alternative investment products through the CAIS LLC password protected technology platform (the “Platform”). The Platform is not made available to retail investors.

CAIS Capital maintains a business continuity plan (“BCP”) reasonably designed to provide for business continuity in the event of a business disruption. The BCP addresses requirements and is designed to ensure personnel accountability throughout the duration of an emergency, and to ensure operational capability as soon as possible following a disruption. The BCP also contemplates mission critical systems, operational assessments, alternative methods of communication, as well as communication with Platform users, associated persons, critical business constituents, third-party vendors, and applicable regulatory bodies.

The plan is reviewed annually and assessed to determine whether modifications may be necessary in light of potential changes to the Firm’s business or structure. Pursuant to its BCP, relevant information regarding a business disruption event will likely be prominently displayed on the CAIS public facing website.

CAIS Capital utilizes RBC Clearing & Custody, a division of RBC Capital Markets LLC (“RBC”) as its clearing broker for the Firm’s structured note trading business. Should there be a business disruption event affecting RBC and the Firm’s structured note trading business, information will likely be prominently displayed on the CAIS public facing website, or the Platform.