NexGen Capital Investors

In the interest of ensuring our ability to continue to serve our customers, even in the most extreme or difficult circumstances, NexGen Capital Investors has developed a Business Continuity Plan that we will deploy if local or national events ever cause a significant disruption to our business. This Plan is reviewed and updated annually or more frequently if necessary.  Because we cannot predict whether or when such events will occur, much less the effect such events might have on our business, we need to be both prepared for a range of events and flexible in our responses. We are taking this opportunity to give you an overview of our plans in the event of a severe business disruption.

How to contact us if a severe business disruption has occurred: If after a severe business disruption you are unable to contact our firm through the means you normally use, you should seek to contact us by telephone at 312.399.0572 or through our website, www.nexgencp.com, which contains additional alternative contact information.

Overview of 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 customers 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.

Specifically, under our plan, we have in place (1) procedures to backup (that is, duplicate and preserve) data in locations remote from our offices; (2) facilities and procedures that permit us to replicate, supplement and replace all mission-critical systems; (3) procedures to assess our financial strength and stability and our operational capabilities, and promptly address any issues that arise in those areas; (4) procedures and facilities for alternative means of communication with customers and alternative locations and systems through which to conduct our business; (5) procedures to remain in contact with critical vendors, suppliers, regulators and business partners and counterparties and (6) systems and procedures to ensure that you will have prompt access to your funds and securities.

Varying Disruptions: Significant business disruptions can vary in their scope and intensity.  For example, there may be a disruption affecting 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 a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 12 to 24 hours.  In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 24 to 48 hours.  In either situation, we plan to continue in business, and notify you through our web site or our customer emergency number at 312.399.0572.  If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information: If you have questions about our business continuity plan, please contact Lawrence C. Manson, Jr. at NexGen Capital Investors at 312.845.9055 or .