For the purpose of this document, the term “our clients” refers to you.
- Sisung collects non-public information about our clients from the following sources: (i) New account applications (personal and other information such as address, phone number, social security number or Tax ID); (ii) Suitability forms and other forms (financial and other information such as assets, income, and investment experience and objectives); (iii) Customer’s transactions facilitated by Sisung; and (iv) Consumer reporting agencies (such as credit worthiness and credit history).
- The only disclosure Sisung may make of our clients non-public information is to outside companies in certain limited circumstances, including: (i) assistance in the processing of client accounts, (ii) outsourcing of services such as printing and mailing your customer account statements, data processing, fraud prevention, etc.; (iii) to broker dealers to effectuate a transaction; and (iv) when we believe that disclosure is required or permitted under law; for example, we may be required to disclose personal information to cooperate with regulatory or law enforcement authorities, to resolve customer disputes, to perform credit/authentication checks, or for risk control. A client may opt out of the disclosers herein indicated, with the understanding that Sisung will not be able to perform for such client many of the services we provide. To opt out please call 1-800-259-7213 and ask to speak to Lane Sisung or Rich Solares.
- In addition, internal data security policies restrict access to nonpublic information to authorized employees. Sisung maintains physical, electronic and procedural safeguards that are designed to comply with federal standards to guard nonpublic personal information. Employees who violate these policies are subject to disciplinary action, up to and including termination.
- Sisung does not disclose nonpublic information about former clients, except as permitted or required by law.