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PRIVACY POLICY Title V of the Gramm-Leach-Bliley Act of 1999 (GLBA), and Regulation S-P, which was adopted by the Securities and Exchange Commission (SEC) in response to the GLBA, requires broker dealers (i.e. TriEqua Capital Corporation) to protect the privacy of our customers' non-public personal information. Please be assured your privacy is of the highest priority to us, and it will be treated with the highest degree of confidentiality. However, our regulators, the Financial Industry Regulatory Authority (FINRA) - formerly the National Association of Securities Dealers (NASD), and the SEC do require that we, in the course of conducting our business, collect certain financial (and other) information about you. This primarily relates to “suitability;” i.e., that an investment we are recommending, or selling, to you, is suitable for you based on such factors as your level of income, your net worth, your age, your investment experience, and so forth. Additionally, the Anti-Money Laundering provisions of the Patriot Act further require us to “know our clients.” We do not share this information with any outside individuals or organizations. The only possible exception to this would be where we need to complete subscription agreements or applications for a particular investment. We may need to provide certain information on you (as described above) to validate that you are “suitable” for that particular investment. Further, we restrict the access of non-public information about you to only those persons associated with TriEqua Capital Corporation who would have a need to know such information. Since we are a relatively small firm, this is easily monitored. On occasion, we may disclose information about you to a third party, but only at your request (e.g. providing information about the value of your investment portfolio when you apply for a mortgage or loan). Also, we may be required to provide information to comply with a subpoena or summons by federal, state or local authorities (e.g. in a divorce proceeding). If you have any questions about our Privacy Policy, please call Bill Caldwell at (949) 975-1990, write to us at 17501 East 17th Street, Suite 200, Tustin, CA 92780-7902, or send an E-Mail. June 19, 2007 Company Profile Contact TriEqua © 2007 All rights reserved by TriEqua Group
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