Business Continuity Information

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Nomura Securities International, Inc. ("NSI") has developed Business Continuity Planning ("BCP") processes and procedures (for itself and NHA Affiliates) to guarantee that normal business operations will continue following the occurrence of an emergency situation. The BCP plan is designed to ensure employee safety, minimize disruptions to NSI, NHA affiliates and its customers, and provide a foundation for the efficient recommencement of business operations.

NSI's BCP plan implements methods and guidelines to lead the Company through an emergency recovery scenario, with its principal focus on worker safety and customer satisfaction. Such actions include the rebuilding of internal processes and procedures, and the reconstruction of assets. BCP procedures may be invoked in whole or in part depending on the severity of the incident and the functional areas affected.

The following is a representative list of those occurrences that may result in the activation of the BCP plan: civil disorder, natural disaster, smoke damage, emergency renovation, power/telephone outage, terrorism, fire, severe weather and water damage. Additionally, NSI has established three major levels of emergency and the measures to take in each:

Level 1:   A short-lived interruption, such as minor hardware failure, software failure, fire alarm, weather related concerns such as snowstorms or hurricanes, and blackouts, which may negligibly affect NSI's business operations. NSI will continue to operate with minimal disruption. A Level 1 emergency does not call for the execution of the BCP plan. Expected time to return to normal operations may be a matter of hours to one (1) day.

Level 2:   An interruption such as an extended hardware failure at the home site, the Data Center or branch office location, while personnel are unaffected. Delay in operational processing is expected. A Level 2 emergency requires that some parts of the BCP plan must be activated. Expected time to return to normal operations may take a minimum of one day.

Level 3:   Occurrence of a major disaster at the home site or at the Data Center whereby access to the premises is denied. Significant financial loss and risk to worker safety is expected. Immediate evacuation and execution of the BCP plan is required. Expected time to return to normal operations may take several weeks depending on the nature of the major disaster. For example, due to the September 11th, 2001 terrorist activity, NSI was not able to return to the Two World Financial Center location until March 2002. During such time, employees worked at one of several contingency sites.

NSI has established contingency site locations for both the home office and branch office locations, and has made arrangements with our various vendors. In the event of an emergency situation, which will necessitate NSI's relocation to an alternate site, clients may contact NSI through the following ways:

1. Calling the Emergency Hotline, 1-866-9NOMURA, or 1-888-9NOMURA, will provide a recorded announcement about the Firm's status of operations and provide additional division contact information.

2. Sending e-mail to clientservices@us.nomura.com, an address monitored by Customer Operations Support, will redirect clients to the proper contacts.

A copy of this BCP summary is available upon request by sending e-mail to clientservices@us.nomura.com.

Information on our customer services and other notices will be supplied by this web site, mailings, or by calling our Emergency Hotline 1-866-9NOMURA providing a recorded announcement about the Firm's status of operations and additional division contact information. Sending e-mail to clientservices@us.nomura.com, will also redirect you to the proper contacts.