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Organization

ZAIS Group, LLC ("ZAIS Group") was established as a Delaware limited liability company in July 1997 and is registered as an investment adviser with the United States Securities and Exchange Commission. ZAIS Group is also registered as a Commodity Pool Operator and Commodity Trading Advisor with the Commodities Futures Trading Commission, and is a member of the National Futures Association. ZAIS Group (UK) Limited, ZAIS Group’s London subsidiary, is authorized and regulated by the Financial Conduct Authority in the United Kingdom.(1)  ZAIS Group is owned 100% by ZAIS Group Parent, LLC. The managing member of ZAIS Group Parent, LLC is ZAIS Group Holdings, Inc., a NASDAQ traded corporation.

(1) ZAIS’s registration with the SEC, CFTC and FCA do not imply a certain level of skill or training.

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