NOTICE OF
BOTTEGA SECURITIES, LLC’S PRIVACY POLICY
OUR
COMMITMENT TO YOUR PRIVACY: BSL
SECURITIES, LLC, (BSL) protecting the
confidentiality and security of information we collect about our customers. We will not share non-public information
about you (“Information”) with third parties without your consent, except for
the specific purposes described below.
This notice describes the Information we may gather and the
circumstances under which we may share it.
WHY
WE COLLECT AND HOW WE USE INFORMATION: We limit the collection and
use of Information to the minimum we require to deliver superior service to
you. Such service includes maintaining
your accounts with us, processing transactions requested by you and administering
our business.
HOW
WE GATHER INFORMATION: We get most Information
directly from you when you apply for, access and use financial products and
services offered by BSL – whether in person, by telephone or
electronically. We may verify this
information or get additional information from consumer reporting agencies or
public sources. This Information may
relate to your finances, employment, avocations or other personal
characteristics, as well as interactions with or through personnel of BSL or others.
HOW
WE PROTECT INFORMATION: We may disclose any
Information as directed by you or when we believe it necessary for the conduct
of our business, or where law requires disclosure. For example, Information may be disclosed for
audit or research purposes, to attorneys or other
professionals, or to law enforcement and regulatory agencies, for example, to
help us prevent fraud. In addition, we
may disclose Information to third party service providers (i) to enable them to
provide business services for us, such as performing computer related or data
maintenance or processing services for us (ii) to facilitate the processing of
transactions requested by you, (iii), to assist us in offering products and
services to you (iv) for credit review and reporting purposes. Except in those specific, limited situations,
without your consent, we do not make disclosures of Information to other
companies who may want to sell their products or services to you. For example, we do not sell customer lists
and we will not sell your name to a catalogue company. It is BSL’s policy to require all third
parties other than your broker that are to receive any Information to sign strict confidentiality
agreements.
To
Whom This Policy Applies: This Privacy Policy applies to financial products or
services provided by BSL SECURITIES, LLC.
Access
to and Correction of Information: If you desire to review any
file we may maintain for your personal Information,. If you notify us that any Information is
incorrect, we will review it. If we agree, we will correct our records. If we do not agree, you may submit a short
statement of dispute, which we will include in future disclosures of the disputed
Information. Information collected in
connection with, or in anticipation of, any claim or legal proceeding will not
be made available.
Further
Information: We reserve the right to
change this Privacy Policy. The
examples contained within this Privacy Policy are illustrations and are not
intended to be exclusive. This notice
complies with a recently enacted Federal law and new SEC regulations
regarding privacy. You may have
additional rights under other foreign or domestic
laws that may apply to you.