Commitment to Privacy
Corby Capital Markets and National Financial Services LLC
As you may know, Corby Capital Markets and National Financial Services LLC ("NFS") have an agreement that NFS will provide trade execution, clearing and related activities for your account. In connection with these services, NFS is required to communicate its position as it pertains to the privacy of customer information. We are proud of our privacy and confidentiality practices, and we want you to know how Corby Capital Markets and NFS protect this information and use it to service your account. You do not have to contact us to benefit from these protections; they apply automatically to all customers.
Please take a moment to review our full privacy policy, as described below:
Corby Capital Markets and National Financial Services LLC Privacy Policy
How and Why We Obtain Information
To facilitate the servicing of your account, NFS may receive nonpublic personal information about you from Corby Capital Markets or from any of the following sources:
- Your applications or forms (for example, name, address, Social Security number, birth date, assets and income)
- Transactional activity in your account (for example, trading history and balances)
- Information services and consumer reporting agencies (for example, to verify your identity or to assess your creditworthiness
)
- Other sources with your consent or with the consent of Corby Capital Markets (for example, from other institutions if you transfer positions into NFS)
How We Protect Your Information
Corby Capital Markets and NFS have always considered the protection of sensitive information to be a foundation of customer trust and a sound business practice. We employ extensive physical, electronic and procedural controls in keeping with industry standards and practices, and we regularly adapt these controls to respond to changing requirements and advances in technology. Within NFS and among our service providers, we restrict access to your information to those who require it to provide products and services to you. We may share the personal information that we collect about our customers, prospects or former customers with their broker/dealers or with:
- Affiliates, including affiliated service providers (for example, our data processing company and printing operation)
- Unaffiliated service providers (for example, fulfillment companies and securities clearinghouses)
- Government agencies, other regulatory bodies and law enforcement officials (for example, for tax purposes or for reporting suspicious transactions)
- Other organizations, as permitted by law (for example, for fraud prevention)
- Other organizations, with your consent or as directed by your broker/dealer (for example, if you request personalized performance reporting)
Privacy Online
Privacy, security and service are just as critical in the online environment as in the rest of our operation. We therefore employ all of the safeguards described above, along with the following Internet-specific practices.
Corby Capital Markets and NFS use a variety of proven protections to maintain the security of your online session. For example, we make extensive use of firewall barriers, encryption techniques and authentication procedures. We may also place cookies and similar files on your hard drive for security purposes, to facilitate site navigation, and to personalize your experience on our site.
When we conduct business online, we may collect technical and navigational information, such as computer browser type, Internet protocol address, pages visited, and average time spent on our Web sites. This information may be used, for example, to alert you to software compatibility issues; or it may be analyzed to improve our Web design and functionality.
Access to Your Information
You may access and, if necessary, correct your account information through a variety of media offered by Corby Capital Markets and NFS (e.g., statements or online services). Please contact Corby Capital Markets if you require any additional information.
