Legal Statements



By continuing to access or use this website, you expressly acknowledge and agree to the terms and conditions set forth in this Legal Statement. New City Capital LLC ("NCC") reserves the right to modify this Legal Statement at any time, so you should review these terms and conditions whenever accessing or using this website. By using the website after the posting of modifications to the terms and conditions set forth in this Legal Statement, you signify your acceptance of such terms and conditions, as modified. You may not use this website if, at any time, you do not wish to accept the terms and conditions as set forth in this Legal Statement.


All information and material including images, text and audio on this website is the property of New City Capital LLC (“NCC”) and is subject to copyright. All other trade marks, if any, on this website are the property of their respective owners. You are entitled to view, copy and print any documents from this website but only for your own internal business purposes. You acquire absolutely no rights or licenses in or to the website or the materials contained within the website other than the limited right to use the website in accordance with this Legal Statement. Any sale, transmission or redistribution of this website or its content, and any copying, modification or other use of this website or its content for any purposes other than your own internal business purposes, are strictly prohibited. All present and future rights in and to trade secrets, trademarks, service marks, copyrights and other proprietary rights under the laws of any domestic or foreign governmental authority (the “Intellectual Property Rights”) shall at all times be and remain the sole and exclusive property of NCC. Except as specifically permitted by the terms of this Legal Statement, you shall not use the Intellectual Property Rights or the website, or any derivations thereof, for any purpose, without NCC's prior written approval. You agree to protect the proprietary rights of NCC and all others having rights in the website and to comply with all reasonable written or electronic requests made by NCC or its suppliers of content or otherwise (“Suppliers”) to protect their and others’ contractual, statutory and common law rights in the website. You agree to provide NCC with prompt written notice of any unauthorized access or use of the website by any party or of any claim that the website infringes upon any copyright, trademark or other contractual, statutory or common law rights.


This website is provided solely for information purposes and, with the exception of this Legal Statement or as otherwise indicated, is not intended to, and shall not, constitute any offer or acceptance with the respect to any transactions or other matters. Except for this Legal Statement, this website shall not create any legal relationship between you and NCC.


This website and the information and material which it contains are subject to change at any time by NCC without notice and NCC reserves the right to suspend, terminate or restrict your access to or use of this website. This website is provided “AS IS” without any warranty of any kind, express or implied, including, but not limited to, any implied warranty of merchantability, fitness for a particular purpose, accuracy or completeness of the information contained on this website or in respect of any materials or products referred to on this website, or non-infringement. Difficulties in use of this website could involve, among others, failures, delays, malfunction, software erosion, inadvertent disclosure of information provided to NCC via this website, or hardware damage, which difficulties could be the result of hardware, software or communication link inadequacies or other causes. Such difficulties could lead to possible economic and/or data loss. NCC does not warrant that the website is compatible with your equipment or that the website is free of errors, viruses or worms. In no event shall NCC be liable for any damage you may suffer as a result of such destructive features. All warranties, whether express or implied, are hereby excluded to the extent permitted by law.


Privacy Policy Notice

NCC’s Privacy Policy sets forth the manner in which NCC may collect, utilize and maintain nonpublic personal information about customers, as required under federal and other applicable law. NCC is committed to protecting privacy and maintaining the confidentiality and security of a customer’s personal information. As noted above, this Privacy Policy only applies to products and services provided by NCC to individuals and which are used for personal, family, or household purposes (not business purposes).


Disclosure of Nonpublic Personal Information

NCC does not disclose nonpublic personal information about customers or potential customers to affiliates or nonaffiliated third parties except as permitted by law. For example, NCC may share nonpublic personal information about customers, without the customer’s consent, with affiliated and nonaffiliated parties in the following situations, among others:

  • In connection with the administration and operations of NCC and other of NCC's products and services, with NCC’s brokers, attorneys, accountants, auditors, administrators or other service providers;

  • To respond to a subpoena or court order, judicial process or regulatory inquiry.


Summary of Business Continuity Plan

New City Capital LLC plans to quickly recover and resume business operations after a significant business disruption (SBD) 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 company’s business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD. 


The BCP addresses: data backup 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.


The issuer maintains all records related to your investments and backs up important records in accordance with their business continuity plan. For more information on their contingency plan, please contact the issuer directly at the telephone number provided on your offering documents or through their website.


Significant Business Disruptions: The Company’s plan takes into account two kinds Significant Business Disruptions, internal and external.  Internal SBDs affect only the Company’s ability to communicate and do business, such as a fire or loss of electrical power in the office or building. 


External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.


Internal SBDs: In the event of a disruption in the Company’s business operations due to an internal SBD, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location.


If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations with 24 hours.


External SBDs: In the event of a disruption in the Company’s business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the affected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities.


The Company will attempt to resume business within (24-48 hours) and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.


In all cases, the Company will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.


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.


Communications: In the event you are unable to reach the Company at our main number, please proceed as follows:  


  1. Contact the Company at the following alternate telephone number:  310-971-9619.

  2. Contact the private placement issuer directly at the number listed on applicable offering documents.​

  3. Access the issuer website for more information on contacting this entity and their business continuity plans. The website address can generally be found on your statement or offering documents. 


Contact information: Any questions regarding the Company’s Business Continuity Plans should be addressed to:

Yannan Wang, 51 E Campbell Ave. STE 102, Campbell, CA 95008. 


The information on this website does not constitute, or shall not be construed as an offer or a solicitation to sell or buy an interest in any investment, nor does it constitute either advice or a recommendation regarding any securities.  Any such offer or solicitation will be pursuant by means of delivery of a confidential private offering memorandum relating to a particular investment to qualified investors in those jurisdictions where permitted by law.


Investment products and investment banking services are available through New City Capital LLC, a registered broker dealer with the SEC and member of FINRA and SIPC. Check the background of NCC on FINRA's BrokerCheck.

© 2015 by New City Capital, LLC

Member of: FINRA, SIPC