Privacy Policy

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

·       Social Security number and income

·       Account balances and assets

·       Transaction history and investment experience

For our everyday business purposes

such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus

Yes

No

For our marketing purposes

to offer our products and services to you

For our affiliates’ everyday business purposes

information about your transactions and experiences; we do not share personal data (phone numbers) nor consent

For our affiliates’ everyday business purposes

information about your creditworthiness

We collect your personal information, for example, when you:

• Open an account
• Deposit money
• Seek advice about your investments
• Enter into services agreements, including investment management agreements
• Tell us about your investment or retirement portfolio or earnings

We also collect your personal information from others, such as affiliates or other companies.

For U.S. residents, U.S. federal law gives you the right to limit only

• Sharing for affiliates’ everyday business purposes – information about your creditworthiness
• Affiliates from using your information to market to you
• Sharing for nonaffiliates to market to you

Canadian federal law generally provides that no business may share personal information without first clearly defining the purpose for sharing and obtaining your consent. U.S. State law, Canadian provincial law, or individual companies may give you additional rights to limit sharing.

Companies related by common ownership and control. They can be financial and nonfinancial companies.

The Prime Quadrant Foundation

Companies not related by common ownership and control. They can be financial or nonfinancial companies.

• We do not share with non-affiliates.

A formal agreement between non-affiliated financial companies that together market financial products or services to you.

• We do not jointly market.

• This prescribed form indicates our compliance with U.S. federal law. This document is also meant to also serve as our privacy notice under applicable Canadian federal and provincial law.
• Our privacy policy and the above disclosure may change from time to time. We will provide you notice of any material change to this disclosure before we implement the change. Your information is kept by us for as long as an account is open and in accordance with applicable laws. You may review your information we have on file or withdraw your consent for us to hold your information (subject to applicable laws and our ability to service your account).
• In addition to the prescribed information categories of information we collect found on page 1, Prime Quadrant will also collect non-public information and documentation including your name, address, date of birth, e-mail address, telephone number, credit history, occupation, authorized individuals, constating documents and ownership, investment experience and financial goals.
• In addition to the prescribed definition of “For our everyday business purposes” found on page 1, Prime Quadrant may also provide information to service providers assisting with accounting, auditing, legal and compliance obligations or general maintenance of industry standards. Prime Quadrant may also provide information to regulatory authorities where required to do so under applicable legislation.