On June 29, 2000, the United States Securities and Exchange Commission published final Regulation S-P in the Federal Register. Regulation S-P requires financial institutions, including broker-dealers such as RMB Securities (USA) Inc. ("RMBS"), to develop privacy policies with respect to customer non-public information and to notify its customers of such policies.
Broker-dealers typically collect customer non-public information, including personally identifiable financial information (e.g. information the customer provides when the client relationship is established such as its name, address, social security number, tax identification number, etc.) to evaluate and to serve client needs and to complete client transactions. Many financial institutions also compile customer lists derived from such personally identifiable information.
RMBS does not disclose any non-public personal information relating to its customers, or former customers, to affiliates or non-affiliated third parties, except as permitted by law, to process client transactions or to fulfill legal and/or regulatory requirements.
RMBS has implemented specific policies and practices with respect to safeguarding the confidentiality and security of customer non-public financial information. RMBS's employees are instructed to protect such information and are required to comply with these established policies and practices.
RMBS always has considered its fiduciary responsibilities to be of paramount importance and will continue to vigorously protect the interests of its clients.
Should you require any additional information, please write to Chief Risk Officer, RMB Securities (USA) Inc., 75 Rockefeller Plaza, Suite 23A, New York, NY 10019.
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