Private Policy Notice
As a member of the financial services industry, the Firm is posting this Notice of Privacy Policy for informational purposes and will update and distribute it as required by law. It is also available upon request. TCP, LLC is committed to keeping the personal information collected from potential, current and former customers confidential and secure.
Customer Information
The Firm collects and keeps only information that is necessary for us to provide services requested by you and to administer your business with us. The Firm may collect nonpublic personal information from you when you complete an application, subscription documents or other forms and as a result of transactions with the Firm, our affiliates or others. This could include transactions completed with the Firm, information received from outside vendors to complete transactions or to affect financial goals.
The Firm will verify our customers' identity to actively prevent, deter, and detect illegal financial activity. As of October, 2003, pursuant to the USA PATRIOT Act, all customers who open new accounts with TCP, LLC is required to provide identification verification documents to help establish their identity. At a minimum, the Firm will verify, to the extent reasonable and practicable, the identity of any customer seeking to open an account, maintain records of information used to verify a customer's identity, and check to ensure that a customer does not appear on any published government terrorist lists.
Important Information about Procedures for New Accounts
To help the U.S. Government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. When you open an account, the Firm will ask for your name, address and other information that will allow the Firm to identify you.
Sharing Information
The Firm will only share your nonpublic personal information with non-affiliated companies or individuals as permitted by law, as required by the Firm to complete applicable services or to comply with legal or regulatory requirements. In the normal course of our business, the Firm may disclose information collected about you to companies or individuals that contract with us to perform servicing functions such as record keeping, computer related services, good faith disclosure to regulators who have regulatory authority over the company, companies the Firm hires to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. The Firm will limit their use of your personal information to the performance of the specific service that the Firm has requested. Companies the Firm hires to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. The Firm limits its use of your personal information to the performance of the specific service the Firm has requested. The Firm does not provide your personally identifiable information to mailing list vendors or solicitors for any purpose. When the Firm provides personal information to a service provider, the Firm requires these providers to agree to safeguard your information, to use the information only for the intended purpose and to abide by applicable law.
Opt Out Provisions
The Firm does not sell your information to anyone. The law allows you to "opt out" of only certain kinds of information sharing with third parties. The Firm does not share personal information about you with any third parties that triggers this opt out right. This means YOU ARE ALREADY OPTED OUT.
Maintaining Accurate Information
The Firm’s goal is to maintain accurate, up-to-date customer records in accordance with industry standards and legal requirements. The Firm will have procedures in place to keep information current and complete, including timely correction of inaccurate information.
The Firm recognizes and respects the privacy concerns of potential, current and former customers. The Firm is committed to safeguarding this information. It is also available upon request.
Employee Access to Information
Only employees with a valid business reason have access to your personal information. These employees are educated on the importance of maintaining the confidentiality and security of this information and are required to abide by the Firm’s information handling practices and policies as may be required by law.
Protection of Information
The Firm maintains security standards to protect your information, whether written, spoken or electronic. The Firm will update and test our systems to ensure the protection and integrity of information. In addition, under Securities and Exchange Commission Rule 30 of Regulation S-P, members, as well as other financial institutions, are required to adopt written policies and procedures that address the protection of customer information and records. Specifically, the policies and procedures must be reasonably designed to ensure the security and confidentiality of customer records and information; protect against any anticipated threats or hazards to the security or integrity of customer records and information; and protect against unauthorized access to or use of customer records or information that could result in substantial harm or inconvenience to any customer.
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