Business Continuity Plan

Business Continuity Plan

Nathan Hale Capital, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is 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 on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do by phone at (980)237-4750 Charlotte, NC. You can reach us by e-mail at tradesupport@nathanhalecapital.com or ggalarpe@nathanhalecapital.com . If you are still experiencing problems you should contact our clearing firm Pershing LLC (PERS) at (201)413-3635 for recorded instructions or visit Client Support http://www.pershing.com/client_support.html .

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.

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, 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 if we are unable to continue our business.

Our clearing firm PERS backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that in the event of a significant business disruption, they are prepared to provide either uninterrupted or minimally interrupted service for operations and clearing functions. However, their business resumption objectives may be impacted by events outside of their control, such as when the market was closed following the September 11 tragedy.

Varying Disruptions – Significant business disruptions can vary in their scope, such as 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 another location and expect to recover and resume business within four hours. In a disruption affecting our region, we will transfer our operations to an alternate location if needed, and expect to resume business within one business day. However, our anticipated recovery-time objectives are not hard and fast deadlines that can be met in every emergency situation, especially when impacted by events outside of our control. Also, our ability to resume activities will be greatly dependent upon the capabilities of PERS..

In any significant business disruption, we will contact you by phone, e-mail or fax and notify you how best to contact us during the disruption. If the significant business disruption is so severe that it prevents us from remaining in business, PERS will assure our customer’s prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, please don’t hesitate to contact us by phone at (980) 237-4750 or by e-mail at ggalarpe@nathanhalecapital.com. For more information on PERS’s business continuity plan, go to http://www.pershing.com/business_continuity.html