Transparency & Disclosure

Business Continuity Summary Disclosure Statement
Merchant-Edge maintains a business continuity plan (BCP) designed to allow the firm to continue serving clients in the event of a business disruption. Since the timing and impact of disasters and disruptions are 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.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessment; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities to the extent held by or under the control of Merchant-Edge if we are unable to continue our business.

Merchant-Edge recognizes three levels of business disruptions:
Internal disruptions are those that would affect only Merchant-Edge’s offices (for example, an office fire). In the event of a serious internal disruption, operations typically will move either to an alternative Merchant-Edge location in that city or to another Merchant-Edge office.

Local external disruptions are those that would affect Merchant-Edge locations (such as a blackout). In the event of a serious local disruption, operations will move to the contracted work space recovery site or to another Merchant-Edge office outside of the affected area.

External disasters are those that would affect both the region and the securities markets, such as a significant terrorist attack. In the event of an external disaster in which we cannot access Merchant-Edge’s offices, the firm will either move operations to the contracted work space recovery site or to another Merchant-Edge office outside of the affected area or suspend operations for a period of time.

In the event of a disaster or other incident affecting a Merchant-Edge third-party vendor, Merchant-Edge will follow the business recovery plan and directions of the affected vendor.  Merchant-Edge expects to be in contact with the vendor regarding the status of its recovery effort. Merchant-Edge typically does not rely on any single source vendor. Third-party vendors conducting significant business with Merchant-Edge maintain their own business continuity plans.

If you cannot contact Merchant-Edge through normal channels, please check The Merchant-Edge web site www.merchant-edge.com for alternative means of communication.

The Merchant-Edge’s business continuity plan is subject to change at any time, in Merchant-Edge’s sole discretion.

At Merchant-Edge, transparency and disclosure are fundamental to the way we do business.  We strive at all times to ensure that our partners, employees, portfolio companies and all parties with whom we do business can rely on us to operate in a responsible and ethical manner.  We have a deep commitment to professionalism, fairness and integrity.

The Merchant-Edge’s business continuity plan is subject to change at any time, in Merchant-Edge’s sole discretion.

At Merchant-Edge, transparency and disclosure are fundamental to the way we do business.  We strive at all times to ensure that our partners, employees, portfolio companies and all parties with whom we do business can rely on us to operate in a responsible and ethical manner.  We have a deep commitment to professionalism, fairness and integrity.

We strongly encourage the managements of Merchant-Edge’s portfolio companies to share best practices in corporate governance and transparency through regular conferences and networking opportunities with our executive management team.

Organizations 
Merchant-Edge has been an active participant in industry-led efforts to improve transparency and disclosure and promote the highest standards of responsible investing.