Privacy Policy: Privacy is Important to Us

At KISA, we understand that our relationship with you is based on trust. This is reflected in everything we do, including how we handle nonpublic information that comes into our possession, which may include personal information of the principals and employees of our institutional clients (we do not have natural persons as clients). The following disclosure explains what personal information we may receive from individuals acting on behalf of our institutional clients, what we do with that information and the steps we take to protect the nonpublic personal information that we may receive.

 

Information We May Receive

From time to time, we may receive personal information through any of the following means:

• Our interaction with individuals on the telephone, in person or through e-mail

• Account Applications or other forms individuals complete

• Transactions in accounts for which individuals have trading authority

• Our website or the websites of our affiliated companies

• Trading tools or other information tools we may make available

• Third parties with whom we deal to verify information we receive from individuals

It is the policy of KISA’s businesses that collect U.S. Social Security numbers in the course of business to:

• Protect the confidentiality of such Social Security numbers;

• Prohibit the unlawful disclosure of such Social Security numbers; and

• Limit access to such Social Security number to those employees who need to know.

 

Protecting Information

It is KISA’s policy not to disclose any nonpublic personal information to third parties without consent, unless those parties are providing services or support to us and have agreed to keep such nonpublic personal information confidential. Examples of these parties include the company we use to prepare and mail account statements or to perform our internal auditing. KISA may, in certain circumstances, share nonpublic personal information with affiliates (including, without limitation, Korea Investment & Securities Co., Ltd) in order to better serve you. Unless and until you notify KISA in writing to the contrary, you shall be deemed to have consented to the disclosure of nonpublic personal information between KISA and its affiliates and their employees and representatives, to the extent permitted by law. These affiliates and their employees and representatives have agreed to hold your nonpublic personal information confidential and to comply with the privacy policy established by KISA. KISA also protects nonpublic personal information from access by third parties by maintaining physical, electronic and procedural safeguards. We limit access to information to those employees who are trained in the proper handling of nonpublic information and who need access to the information to perform their job functions.

 

Where we believe in good faith that disclosure is required under law to cooperate with regulators or law enforcement authorities, including but not limited to any obligations under the USA Patriot Act of 2001, we will disclose such nonpublic personal information only to the extent required. Even if you cease to transact business with KISA, we will continue to apply the same protections to nonpublic personal information as we did when you represented an active KISA client.

 

We trust that this clarifies KISA’s position regarding confidentiality of nonpublic personal information and we look forward to being of service to you and your clients in the future.

 

Acceptance To These Terms

By using this Site, you signify your acceptance of this policy and terms of use. If you do not agree to this policy, please do not use our Site. Your continued use of the Site following the posting of changes to this policy will be deemed your acceptance of those changes.

 

Changes to Our Privacy Policy

It is our policy to post any changes we make to our privacy policy on this page, and if we make any substantial changes, we will notify you by posting a prominent announcement on our Website.

 

Contacting Us

If you have any questions about this Privacy Policy, the practices of this site, or your dealings with this site, please contact our Compliance Officer at (212) 314-0687.