PRIVACY NOTICE -RHK Capital Privacy Notice – January 2017
RHK Capital, Inc. believes it is essential that we maintain the privacy of the nonpublic personal information that you provide to us and that we obtain in connection with providing our products and services to you. RHK Capital has a standing policy of protecting the confidentiality and security of information we collect about our clients. We will not share non-public information about our clients (“information,” as further described below) with third parties, except for the specific purposes described below. This notice describes the information we may gather and the circumstances under which we may share it.
RHK Capital limits the use, collection, and retention of such information to what we believe is necessary or useful to conduct our business and to provide and offer you quality products and services, as well as other opportunities that may be of interest to you. Information collected may include, but is not limited to name, address, and telephone number, tax identification number, date of birth, employment status, annual income, and net worth. In providing products and services to you, we collect nonpublic personal information about you from the following sources:
Information we receive from you on applications or other forms (e.g. investment/insurance applications, new account forms, and other forms and agreements);
Information about your transactions with us, our affiliates, or others (e.g. broker/dealers, clearing firms, or other chosen investment sponsors); and
Information we receive from consumer reporting agencies (e.g. credit bureaus), as well as other various materials we may use to put forth an appropriate recommendation, or to fill a service request.
Because we must maintain accurate records, RHK Capital has established procedures to maintain the accuracy of your information and to keep such information current and complete. If our clients desire to review any file we may maintain, please contact us. If our clients notify us that any information is incorrect, we will review it and make revisions as appropriate. Information collected in connection with, or in anticipation of, any claim or legal proceeding may not be made available.
RHK Capital places strict limits on who receives specific information about your account(s) and other personally identifiable data. As a rule, we do not disclose nonpublic personal information we collect to others. However, because we rely on certain third parties for services that enable us to provide our advisory services to you, such as our attorneys, auditors, other consultants, brokers, and custodians who, in the ordinary course of providing their services to us, may require access to information, we may share non-public personal information with such third-parties. Additionally, we will share such information where required by legal or judicial process, such as a court order, or otherwise to the extent permitted under the federal privacy laws.
We may also disclose such information to others upon your instructions. You may amend this provision, and/or rescind your request at any time in writing. Your signature below indicates your understanding and acceptance that we may share such information.
RHK Capital reserves the right to change these Privacy Principles, and any of the policies or procedures described above, at any time without prior notice. However, you will be promptly provided with a current copy of our Privacy Notice upon material changes or upon request. So long as you remain an active customer, you will receive a current copy of our Privacy Notice at least annually. These Privacy Principles are for general guidance and do not constitute a contract or create legal rights, and do not modify or amend any agreements we have with you. The examples contained within this Privacy Notice are illustrations and they are not intended to be exclusive. This Notice complies with Federal laws and SEC regulations regarding privacy. You may have additional rights under other foreign or domestic laws that may apply to you.