Business Continuity Notice
To
Clients and Other Constituencies (1)

New Century Capital Partners has a Business Continuity Plan in place in the event of a significant business disruption (“SBD”).

New Century Capital Partners has designed its technology and telephony systems to be easily accessible offsite. The use of an offsite email service provider and call-forwarding technology allows our employees and your direct contacts with New Century Capital Partners to operate in any location where there is Internet, phone and/or mobile access. At the same time, we protect your personal and confidential information, as all backup electronic systems are password protected.

There are many different types of SBDs and as such, New Century Capital Partners will tailor our response so that there is as little disruption to our service to you as possible. In the event a SBD occurs where our employees are not able to attend critical meetings and the closing of transactions, you will be notified with whatever means possible of the situation that has occurred and how quickly such a situation may be resolved. In all other situations, including such events that make access to our primary office impossible or where there is a SBD that impacts the business district of Los Angeles and Santa Monica, New Century Capital Partners is quite capable of continuing its efforts offsite. As previously mentioned, our technology is designed so that we are accessible and able to work remotely from any location. Our main office number (310) 356–4641 is available and is answered by a live person from 9am to 5:30pm Monday through Friday. This number is run offsite in Los Angeles and our receptionists will be made aware of any issues, along with information on how to contact us. Further, all direct dial telephone numbers will be forwarded to the mobile phone lines of each employee. Should there be any delay in providing you with promised work product, we will notify you as soon as practicable and provide you with an updated timeline and schedule. In all cases, we will work diligently to ensure there is little to no impact on the development and closing of your transaction.



1 FINRA Rule 3510(e).