Preserving trust is a core value. We recognize our responsibility to adopt reasonable policies and procedures designed to protect the information of our clients and investors. We fully accept, and are committed to fulfilling the trust that is the foundation of our ongoing business relationships. In addition to our client focused corporate culture, we have also formally adopted and adhere to the following policy regarding the privacy of our client’s and investor’s nonpublic personal information and personally identifiable information (collectively “Nonpublic Personal Information”).
Information that we Collect
In the conduct of operations, we may collect Nonpublic Personal Information from clients and investors including but not limited to:
- names, address, email, telephone numbers and other contact information as appropriate;
- information about personal financial situations and business dealings;
- employment or occupation, salary, assets, insurance and previous transactions; and
- banking information, and other financial and tax information.
We only collect Nonpublic Personal Information that is relevant to the conduct of our operations.
How we Collect Information
We collect Nonpublic Personal Information through a variety of sources including but not limited to;
- clients/investors directly on new account forms, fact finding questionnaires, product and service applications, and other forms;
- clients/investors directly through written, electronic or verbal correspondence when contacted about our products and services;
- consumer reporting agencies; and
- other individuals or entities that you authorize us to obtain information from, such as an attorney or accountant.
We only collect nonpublic Personal Information after having received your consent.
Information that We Disclose
As permitted by law and as outlined in this policy, we disclose Nonpublic Personal Information to unaffiliated third parties that provide services to us or with whom we have a contractual relationship or where we have a legislated requirement in order that we may effectively and efficiently carry out your directions and service your account.
Examples of third parties with whom we may share your Nonpublic Personal information include:
- Product sponsors in order to generate proposals, reflect available services, execute transactions and otherwise service an account;
- Companies providing account performance and/or reporting services on an account;
- Third party asset managers with whom we have a relationship;
- Banks and other financial institutions;
- Provincial, Federal and other regulatory or self-regulatory authorities, or under a subpoena for release of information, as required by law or regulation;
- Other companies, associations, agencies, third parties and institutions that provide services to us; and
- Those companies, associations, agencies, third parties and institutions with which we or our Representatives are licensees, registrants or members.
Where we share Nonpublic Personal Information with third parties for the purposes noted above, we ensure that contractual agreements with the third party prohibiting their use and disclosure of that information are in force or that such third party is prohibited by law from further sharing for any purpose other than to carry out the purposes for which the information was disclosed.
Except under the circumstances outlined above, we will not share Nonpublic Personal Information to parties external to KV Capital Inc.
Steps We take to Protect Your Information
We have developed security policies and procedures, and adopted technology reasonably designed to prevent unauthorized use or access to your Nonpublic Personal Information. Within KV Capital Inc., Nonpublic Personal Information is available to employees for various business purposes such as servicing transactions, fulfilling compliance, legal and audit functions.
Our storage of information process is designed to prevent access by unauthorized personnel, and to that end we employ physical, electronic and procedural safeguards to protect your Nonpublic Personal Information.
As material amendments to this policy are adopted we will post appropriate notice on our website.