EM Securities LLC is a member broker/dealer of FINRA and is required to meet the requirements of the SEC Regulation S-P, “Privacy of Consumer Financial Information” (“Privacy Act”). In part, the Privacy Act requires that each broker/dealer adopt policies and procedures that address the protection of customer information and records. In order to comply with SEC Regulation S-P, EM Securities LLC is providing you with this statement regarding its policies on the handling of confidential consumer information. This makes up our Policy on Protection of Consumer Information and Records.
EM Securities protects the confidentiality and security of the Customer Identification Program (CIP) Information it collects about each Customer. EM Securities will not share non-public personal CIP Information about any Customer with third parties, except for the specific purposes described below and as otherwise provided for in any Letter Agreement.
EM Securities limits the collection and use of CIP Information to the minimum EM Securities requires delivering services to any Customer. Such service includes maintaining accounts with EM Securities processing transactions requested by any Customer, and administering EM Securities’ business.
EM Securities will receive the CIP Information directly from Customer when Customer applies for, access, and uses financial products and services offered by EM Securities – whether in person, by telephone, or electronically. EM Securities employees are required to protect the confidentiality of non-public, personal CIP Information and to comply with its established policies. EM Securities maintains physical, electronic and procedural safeguards to protect such non-public personal CIP information.
EM Securities may disclose any kind of CIP Information when it believes it necessary for the conduct of its business, or where disclosure is required by law. Except in those limited situations, EM Securities will not make any disclosure of such non-public, personal CIP Information to other companies that may want to sell their products or services to Customer. This policy will apply even if you are no longer a customer of EM Securities.
If we change our privacy policies, a revised customer privacy notice will promptly be posted to our web site (www.evolutionmedia.com). You agree to accept posting of a revised customer privacy notice electronically on the web site as actual notice to you. You should review the customer privacy notice periodically to remain informed of any changes.
If you require further information regarding our privacy policies and practices, please feel free to contact us at firstname.lastname@example.org.