|
FCA Corp recognizes the importance of our client’s privacy expectations. We are committed to maintaining the confidentiality, integrity and security of all pers onal information entrusted to us. This Privacy Statement describes the non public personal information we collect and the circumstances under which we may share it with others who are not affiliated with FCA Corp .
Collection of Client Information
FCA collects nonpublic personal information about its clients from the following sources:
-
Information FCA receives from clients in any form including on the Advisory Agreement or other forms completed by Client; and
-
Information about Clients’ transactions with FCA, entities advised by FCA or its affiliates or third party information FCA receives to service Clients’ accounts.
Disclosure of Client Information
-
FCA may share information about its clients with affiliated and unaffiliated persons, including service providers or other third parties that : (i) provide business services to or on behalf of FCA; (ii) facilitate the processing of transactions that clients may request; or (iii) assist FCA in servicing client accounts or offering products or services to clients.
-
FCA may also disclose a client’s information where required by law or to protect FCA’s rights or property, such as in an audit, or to FCA’s attorneys or other professionals. FCA may disclose information to Client’s attorneys, brokers, accountants and bankers with whom Client has an established relationship.
Security of Client Information
FCA maintains office security to ensure that client information is not placed at unreasonable risk of disclosure. FCA restricts access to nonpubl ic information about its Clients to those employees who need to know the information to provide products and services. FCA maintains physical, electronic, and procedural safeguards that protect our clients’ nonpublic personal information. FCA’s agreements with unaffiliated third parties require that strict confidentiality be maintained for clients’ nonpublic personal information. Federal and state securities regulators may review FCA’s records and clients’ records as permitted by law. Personally identifiable information about clients will be maintained while a client relationship continues and for the subsequent period of time that records are required to be maintained by law. After that time the information may be destroyed. The destruction of such information will be done in a manner reasonably designed to protect nonpublic client information.
Procedures to Opt Out of Disclosure
Clients may opt out of FCA’s sharing nonpublic personal information with nonaffiliated third parties by notifying us in writing and/or calling the Chief Compliance Officer of FCA at 713-260-1431. Please note that, even if you direct us not to share this information, we may still have to discloseyour nonpublic information as permitted by law, for example, to process transactions or to service your account. If you have any questions, please contact your financial planner or the Chief Compliance Officer.
|