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RELiANCE Investing, Inc. Privacy Policy 2015
Table of Contents
Confidentiality and Security of Nonpublic Personal Information
We are committed to implementing and maintaining commercially reasonable and appropriate measures to maintain your nonpublic personal information in a secure and confidential fashion. Our information security procedures include, but are not limited to, the following features:
Access controls on customer information systems, including controls to authenticate and permit access only to authorized individuals, and controls to prevent our employees from providing nonpublic personal information to unauthorized individuals who may seek to obtain this information through fraudulent means Physical access restrictions at locations such as buildings, computer facilities, and record storage facilities, in order to restrict access of nonpublic personal information to unauthorized individuals Encryption, where appropriate, of electronic customer nonpublic personal information Segregation of duties for our employees with responsibilities necessitating access to nonpublic personal information Response programs that specify actions taken when we suspect or detect that unauthorized individuals may have gained access to nonpublic personal information A disaster recovery plan to protect against loss or damage to nonpublic personal information due to potential hazards, such as fire and water damage or technological interruption or failure. We regularly review, revise and update our information security procedures to account for changes in technology. Maintenance of Records
Nonpublic personal information about you is maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information is destroyed. Notice to Clients
We will send you notice of our Privacy Policy annually for as long as you maintain an ongoing relationship with us. Periodically we may revise our Privacy Policy, and will provide you with a revised policy if the changes materially alter the previous Privacy Policy. We will not, however, revise our Privacy Policy to permit the sharing of nonpublic personal information other than as described in this notice unless we first notify you and provide you with an opportunity to prevent the information sharing. Opting Out
Section 502(a) of the G-L-B Act generally prohibits a financial institution, directly or through its affiliates, from sharing nonpublic personal information with a non-affiliated third party unless the institution (i) provides the consumer with a notice of the institution's privacy policies and practices, (ii) provides the consumer with a clear and conspicuous notice that the consumer's nonpublic personal information may be disclosed to non-affiliated third parties, (iii) gives the consumer an opportunity to opt out of that disclosure, and (iv) informs the consumer how to opt out. Consumers can opt out of allowing RELiANCE Investing to share their nonpublic personal information with non-affiliated third parties by sending in a written request to RELiANCE Investing. RELiANCE Investing will retain this opt out on file for as long as the account is open. In the event a client leaves the adviser and returns later, a new opt out notice would be required. Requests for Information
Anyone may request a copy of our Privacy Policy or procedures by calling us at 888-694-401K.
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