Business Continuity Plan

Summary of Business Continuity Plan

We are a member of FINRA and are required to create and maintain a business continuity plan pursuant to FINRA Rule 3510. In accordance with this rule, T&T Capital Management has developed a plan to ensure that we can continue to run our business during periods of business emergencies.

Our plan addresses the following areas of concern:

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  • Books and records recovery• All mission critical systems
  • Financial and operational assessments
  • Alternate communications between T&T Capital Management and its customers
  • Alternate communications between T&T Capital Management and its employees
  • Alternate physical location of employees
  • Critical business constituents, banks and counter-party impact;
  • Regulatory reporting
  • Communications with regulators
  • How T&T Capital Management will assure customers’ prompt access to their funds and securities in the event that T&T Capital Management determines it is unable to continue its business.
  • Events creating a disruption of business may vary in nature.

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Events creating a disruption of business may vary in nature. They could affect only T&T Capital Management affect the building where T&T Capital Management is located, affect the entire business district where T&T Capital Management is located, or result in a regional disruption. T&T Capital Management fully intends to continue to conduct a securities business during these periods of disruption.

To address disruptions affecting only T&T Capital Management, T&T Capital Management’s building, or the business district where T&T Capital Management is located, T&T Capital Management has arranged to conduct its business out of an alternate location that can accommodate its employees and critical information technology systems.

Please be advised that business continuity plans are subject to change and modification. T&T Capital Management intends to update and test its business continuity plans as business conditions and technology change. All changes to its business continuity plan will be communicated to our customers.