EQIS Capital Management Inc. (“EQIS”) is providing you with this Privacy Notice to explain to you the private, non-public information EQIS obtains, and what it does with it.
EQIS has a long tradition of maintaining client trust, of which the confidentiality of personal information is paramount. We maintain high standards to safeguard your personal information. We will remain vigilant and professional in protecting that information and in using it in a fair and lawful manner.
Safeguarding Customer Information and Documents:
To conduct regular business, we may collect non-public customer data/personal information which may include your social security number, account numbers and balances, income, age and other personal information necessary to service your investment needs. We gather this data at account inception and may request periodic updates as necessary. The information may be provided to us via checklists, forms, in written notations, and in documentation provided to us by our customers (or through their financial professionals) for evaluation, account opening, investment management or for other purposes as may be necessary to service the client’s needs.
EQIS has established policies and procedures to safeguard your personal information by restricting access to only those employees who provide products or services to you or those who need access to your information to service your account. In addition, we will maintain physical, electronic and procedural safeguards that meet federal and/or state standards to guard your nonpublic personal information.
Sharing Nonpublic Personal and Financial Information:
EQIS may share nonpublic information to service our client accounts, as such, we do not disclose any nonpublic personal information about our customers or former customers to anyone, except as may be authorized by the client so as to service the account, as may permitted by law, or is otherwise disclosed herein. If we share your nonpublic information with a third party, we make certain that there are written restrictions in place regarding the use and/or disclosure of said information.
EQIS will not share any such information with any affiliated or nonaffiliated third party except:
- With the account custodian for whom the client has entered into an agreement with when necessary to complete transactions in a customer account.
- When required to service and/or maintain your account.
- In order to resolve a customer dispute or inquiry.
- As necessary to remain compliant with industry standards, or to the attorneys, accountants and auditors of the firm.
- To detect or prevent actual or potential fraud, identity theft, unauthorized transactions, money laundering or other improper activity which may expose the customer or firm to liability or damages.
- To comply with all federal, state or local laws, rules, statutes and other applicable legal requirements.
- Pursuant to any other exceptions enumerated in the California Information Privacy Act
It is not a policy of EQIS Capital Management to share nonpublic personal and financial information with unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service customer accounts or is mandated by law, there are no allowances made for clients to opt out.
Additional Information about EQIS:
Additional information about EQIS and your account can be obtained by reviewing our Wrap Fee Brochure which is available on the SEC’s website at www.adviserinfo.sec.gov. You can search this site by a unique identifying number, known as a CRD number. Our firm’s CRD number is 126052. Alternatively, you can request additional information by contacting your financial professional or contact EQIS directly at 800-949-9936 or by writing to firstname.lastname@example.org.