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COMPLIANCE

OUR APPROACH

NEXROC Group maintains a disciplined compliance framework across every operating platform, aligned with the regulatory standards of each jurisdiction in which we operate.

Our compliance function works alongside legal, risk and finance to monitor obligations under applicable securities, insurance and corporate law, and to ensure that policies are consistently applied across the Group.

We view compliance not as a fixed set of procedures, but as an ongoing discipline—reviewed, tested and updated as our platforms, markets and regulatory environment evolve.

DISCLOSURES & FILINGS

Regulatory filings, disclosures and related documentation are maintained by each operating entity and made available through Investor Relations.

For governance oversight and reporting lines across the Group, see Governance.

Capital Allocation and Custody Control Structure
Pre-Track Record Institutional Capital Framework
CAPITAL
ESCROW ACCOUNT
INSTITUTIONAL
CUSTODIAN
INSTITUTIONAL
OUTSOURCED
INVESTMENT BOARD100% CONTROL
INDEPENDENT
INVESTMENT AND
RISK COMMITTEES
THE NEXROC GROUP
INVESTMENT BOARD10% CONTROL
CAPITAL ALLOCATION & REINVESTMENT MODEL
BALANCE SHEET DE-RISKING · CROSS-PLATFORM PROFIT PARTICIPATION
5% MAXIMUM ALLOCATION CAP
No single platform may allocate more than 5% of portfolio or revenue
to another platform without Board approval and independent governance review.
FORMAL BOARD APPROVAL
INDEPENDENT GOVERNANCE REVIEW
SVCV
PLATFORM
NEXTROCK
PLATFORM
NEXTLIFE
PLATFORM
2% PROFIT REINVESTMENT
INTO EACH OTHER PLATFORM
1% PROFIT DISTRIBUTION
TO CROSS-PLATFORM SHAREHOLDERS
GOVERNED BY 5% TOTAL
ALLOCATION LIMIT
DE-RISKED CAPITAL RECYCLING SYSTEM

Enterprise Risk Architecture

NextRock / NextLife Permanent Capital Platform
Institutional Risk Framework15 Core Risk Areas
01
Regulatory Risk
Insurance licensing, securities regulation, cross-border compliance and financial oversight.
ControlRegulatory affairs teams, licensing strategy and independent compliance oversight.
02
Capital Adequacy
Solvency requirements, leverage limits and rating agency expectations.
ControlCapital buffers, stress testing and asset-liability management.
03
Credit Risk
Borrower defaults, portfolio losses and underwriting failures.
ControlCredit committees, collateral requirements and diversification limits.
04
Liquidity Risk
Asset-liability mismatch and unexpected capital requirements.
ControlLiquidity reserves, duration matching and contingency funding.
05
Key Person Risk
Dependence on founders, executives and investment decision makers.
ControlSuccession planning, governance systems and executive depth.
06
Reputational Risk
Brand damage from leadership, portfolio companies or public events.
ControlCommunications governance, reputation monitoring and crisis protocols.
07
Operational Risk
Systems failures, internal processes and execution breakdowns.
ControlInternal audit, controls framework and operational redundancy.
08
Cyber Risk
Customer data, financial information and intellectual property.
ControlCybersecurity architecture, monitoring and incident response.
09
Acquisition Risk
Integration failures, overpayment and strategic misalignment.
ControlInvestment committee review and acquisition discipline.
10
IP Risk
Declining value of catalogs, brands and licensing rights.
ControlRights management and asset diversification.
11
Geopolitical Risk
Currency volatility, political instability and market restrictions.
ControlDiversification, hedging and local expertise.
12
Valuation Risk
Overpaying for acquisitions or inaccurate asset valuations.
ControlIndependent valuation and downside modeling.
Board Oversight
Risk Committee
Insurance
Solvency Committee
Investment
Portfolio Committee
Compliance
Independent Function
Capital Protection
Solvency
Risk Control
Governance
Asset Protection
Diversification
Reputation
Trust
Long Term
Compounding