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BUSINESS CONTINUITY PLAN TriEqua Capital Corporation has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our Business Continuity Plan. Contacting Us If after a significant business disruption you cannot contact us as you usually do at (949) 975-1990, you should call our alternative numbers: 949-275-1504 (William Caldwell's cell phone); 949-233-1750 (Bryan Murphy's cell phone); 949-300-4497 (James Jones' cell phone) or go to our website at “triequa.com”. If you cannot access us through any of these means, you should contact the investment product provider with whom you are invested (e.g. the mutual fund, the insurance company, etc.). They will be able to provide you with information on your account(s), access to your funds, etc. TriEqua Capital does not hold customer funds. Our Business Continuity Plan We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our clients to transact business. In short, our Business Continuity Plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Our Business Continuity Plan Addresses: Data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees and regulators; alternate physical location of employees; critical supplier, contractor, bank and regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable to continue our business. The investment product provider, whose products we sell, backup our important records in a geographically-separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, our objective is to restore operations and be able to complete existing transactions and accept new transactions and payments within a matter of a few hours, or a few days. Your orders and requests for funds could be delayed during this period. However, since TriEqua Capital does not hold customer funds or securities, the fact that TriEqua Capital is temporarily “down” should not effect your ability to access your fund(s) or investment(s) in any way. That is because you can contact the investment product provider (e.g. mutual fund, insurance company, general partner) directly. Varying Disruptions Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or the building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a brief period of time. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside the affected area, and recover and resume business within a brief period of time. In either situation, we plan to continue in business and notify you through our website “triequa.com” or contact you directly by telephone. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our client's prompt access to their funds and securities. For More Information If you have questions about our Business Continuity Planning, you can contact us at (949) 975-1990 or at our website. June 19, 2007 Company Profile Contact TriEqua © 2007 All rights reserved by TriEqua Group
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