Privacy Policy

Privacy Policy

 

July 14th 2010

Under Federal law and SEC regulations, we are required to provide you with a notice of our privacy policy. This notice describes our policy regarding the collection and disclosure of personal information.

 

Privacy Policy

We at VECTORGLOBAL WMG value our customers’ trust and are committed to the responsible management, use and protection of personal information. U.S. broker dealers are required by securities laws and the USA PATRIOT Act to obtain certain information to open and maintain your brokerage account with us, and to process transactions requested by you.

 

Categories of information we collect

We collect personal information about you from the following sources: (1) information you provide on applications or other forms, such as name, address, income, net worth, investment objectives; (2) information about your transactions with us, our affiliates, or others; and, (3) public sources.

 

Categories of information we disclose and parties to whom we disclose

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted or required by law or as noted in the next paragraph.

 

Categories or parties to whom we disclose

We may disclose information about you necessary to open or maintain your account or
settle transactions: to our affiliates, our clearing agent, custodians, banks and securities broker-dealers. We may also disclose nonpublic personal information about you to nonaffiliated third parties such as our auditors, attorneys or other professionals who assist us in the conduct of our business, to prevent fraud, or as permitted or required by law. We do not sell or share your personal information to other companies who wish to market their products or services to you. We do not sell or share your information with any non-affiliated third parties.

 

Confidentiality and security

We restrict access to nonpublic personal information about you to those persons who need to know that information to provide the products and services you request. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. This policy applies to you even if you are no longer our customer.

 

Accuracy of information

We will attempt to keep customer information complete, accurate and up to date. If you would like to review the information we keep on file, or if you know there has been a material change in information you provided since opening an account, please contact us. A material change might include but is not limited to a change in employment, retirement, increase or decrease in income or net worth, or a change in investment objectives.

 

VECTORGLOBAL WMG will notify customers of our Privacy Policy at the inception of our
business relationship and annually thereafter. This Privacy Policy is subject to change at any
time and we will notify customers of any such modifications annually.

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