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Business Continuity Plan

This is a summary of the business continuity plans of Nuveen, Europe & Asia Pacific. These plans include Nuveen’s regulated entities across the region. Each affiliate and business area has their own business continuity plan which includes their immediate response plan, business specific recovery procedures, and steps for recovery, restoration and resumption of business processes.

These plans are designed to address a significant business disruption affecting the company’s business operations and sets forth objectives for safeguarding employees; recovering and resuming operations; protecting books and records; and enabling communications with employees, investors, key service providers, and regulators.

The regional information technology platform is provided by Telstra. Technical recovery plans include detailed infrastructure and critical application recovery procedures necessary to support the restoration and resumption of technology that supports Nuveen’s critical business processes across Europe & Asia Pacific.

The steps taken, pursuant to the plan, are designed to ensure that critical information is captured on a daily basis in a manner that can be accessed by employees from alternate locations. The plan also provides that the company will maintain contacts with regulators during any business interruption and continue to make any necessary regulatory filings.

Whether you are an individual investor, an institutional investor, a financial advisor or a business partner, please be advised that the plan reflects a long-standing commitment of the company and its employees to plan for and be prepared for a significant business disruption.

Investors should note they will continue to have access to their investments through normal channels, despite the fact that Nuveen may be experiencing a business disruption. Nuveen has certified business continuity plans for key business partners and suppliers, such as our fund transfer agents and custodians.
The company’s goal is to recover its Critical Business Processes with minimal interruption, typically within 48 hours, depending on the nature of the disruption.

In conclusion, the company’s plan addresses the steps the company will take to address our response and recovery from a business disruption in a systematic and organised fashion, while realising that the effects of any disaster are difficult to predict, and the disruption of systems and processes on an industry-wide basis will pose great challenges for any business continuity plan.


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