EM Capital Management, LLC - Emerging & Frontier Markets Investments and Distressed Asset Management

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Text Box: Mutual Fund Disclosure: Investors should carefully consider the investment objectives, risks, charges and expenses of the EM Capital India Gateway Fund. This and other important information about the Fund is contained in the prospectus, which can be obtained by calling 866-611-4967 or at www.emcapitalfunds.com. EM Capital India Gateway Fund is distributed by Northern Lights Distributors, LLC, member FINRA/SIPC. The prospectus should be read carefully before investing. There are special risks associated with international investing including currency fluctuation, economic conditions, and different governmental and accounting standards. The fund contains international securities that may provide the opportunity for greater return but also have special risks associated with investing including currency, government regulation, differences in accounting standards and liquidity. Mutual Funds involve risk including possible loss of principal. Approval Code: 0437-NLD-4/3/2009 2009©EM Capital Management, LLC—All Rights Reserved Worldwide

Innovative Emerging Markets

ESG & SRI Products

EM Capital Management is a member of the Social Investment Forum and the International Working Group and believes it can provide investors with superior emerging markets returns while also implementing principles of socially responsible investing (SRI), sustainability and ESG (environmental, socially responsible and corporate governance) values and screens. EM Capital Management has recently been appointed Lead Investor for India by the Emerging Markets Disclosure Project co-chaired by the IFC.

EM Capital Management, LLC is a Registered Investment Adviser regulated by the United States Securities and Exchange Commission under the Investment Adviser Act of 1940

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Investors should carefully consider the investment objectives, risks, charges and expenses of EM Capital Management, LLC investment products. The Investment Advisory Agreement and/or Prospectus should be read carefully before investing. There are special risks associated with international and in particular emerging and frontier markets investing including currency fluctuation, economic conditions, and different governmental and accounting standards. International securities may provide the opportunity for greater return but also have special risks associated with investing including currency, government regulation, differences in accounting standards and liquidity. Investors may experience total loss of principal.

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DR. LINCOLN Y. RATHNAM, CFA

Global Chief Investment Officer

lincoln.rathnam@emcapital.com

Tax– Efficient Emerging Markets

Investment Structures

The EM Capital Management tax-efficient Mauritius master-fund structure eliminates India's 15% short-term capital gains tax by taking advantage of the anti-double taxation treaty between India and Mauritius. Investors benefit from 33 tax treaties including China, Middle East and African countries.

Text Box: Dr. Lincoln Y. Rathnam is the Global Chief Investment Officer and Head of Portfolio Management of EM Capital Management, LLC based in both Singapore and Boston. Prior to joining EM Capital Management, LLC, he served as the Managing Director of BCP Securities Asia Pte Ltd, an institutional broker/dealer specializing in emerging markets debt based in Singapore. Dr. Rathnam has a long and distinguished background in the investment field. He is widely viewed as a pioneer in emerging market investing, having conceived and managed one of the first emerging markets bond funds since the 19th century and having been one of the first to create emerging market private equity funds. He was educated at Dartmouth College (A.B., History, Phi Beta Kappa, 1971) and Balliol College, Oxford (D.Phil., History, 1976). He is a Chartered Financial Analyst and a former director of the Boston Security Analysts Society. Dr. Rathnam began his investment career in 1979 at Connecticut General Investment Management Company (later CIGNA Investment Management) as an analyst, where he followed a variety of industries and worked in both the equity and bond departments. In 1984, Dr. Rathnam joined Scudder, Stevens & Clark, Inc. (now Deutsche Asset Management, Inc.) in Boston as an equity analyst, where he rose to the position of chairman of the stock review committee. In this capacity, he oversaw the firm's policy in regard to overall equity strategy and difficult investment issues. In 1988, Dr. Rathnam founded the firm's high yield bond department. Believing that U.S. high yielding bonds were overpriced, he turned to higher yielding Eurobonds issued by Latin American governments and, in 1989, launched the Sovereign High Yield Investment Company, one of the first bond funds for emerging markets countries since the 19th century. Dr. Rathnam built Scudder's emerging markets fixed income assets under management to approximately $1.7 billion by the end of 1995. In 1994, he founded Scudder's private equity department and launched the Scudder Latin American Trust for Independent Power, one of the first private equity funds for Latin American investments. In 1998, Dr. Rathnam joined Vistech Corporation of Westport, CT, where he has been active in private equity investments in Latin America and in the United States and through which he continues to conduct his emerging markets advisory activity. Since 2002, he has also advised BTU Ventures, a firm specializing in energy investments in the Middle East and North Africa. Dr. Rathnam is the author of numerous published articles on investing.

U.S. Tel: 925-376-8700 US Toll-Free: 800-933-1850