PRIVACY OF CONSUMER FINANCIAL INFORMATION
The Quantitative Group, L.P. (the “Company”) is committed to keeping personal information collected from potential, current and former clients confidential and secure. The proper handling of personal information is one of our highest priorities. The Company never sells or provides information relating to its clients to any outside third parties, except as outlined below.
The Company collects and keeps only information that is necessary for it to provide the services requested by its clients and to administer clients’ business with the Company.
The Company may collect nonpublic personal information from clients or potential clients:
- From clients when they complete an application or other form. This includes information such as name, address, social security number, occupation, assets, income, net worth, copies of financial documents and other information deemed necessary to evaluate the client’s financial needs.
- As a result of transactions with the Company, its affiliates if any, or others. This could include transactions completed with the Company or information received from outside vendors to complete transactions or to effect financial goals.
The Company only shares the nonpublic personal information of its clients with non-affiliated companies or individuals (i) as permitted by law and as required to provide services to our clients, such as with representatives within our firm, our registered broker/dealer, securities clearing firms, mutual fund companies, insurance companies and other financial services providers, or (ii) to comply with legal or regulatory requirements. The Company may also disclose nonpublic personal information to another financial services provider in connection with the transfer of an account to such financial services provider. Further, in the normal course of our business, the Company may disclose information it collects about clients to companies or individuals that contract with the Company to perform servicing functions such as:
- Recordkeeping
- Computer-related services
- Good faith disclosure to regulators who have regulatory authority over the Company.
Companies hired to provide support services are not allowed to use personal information for their own purposes and are contractually obligated to maintain strict confidentiality. The Company limits use of personal information to the performance of the specific service requested.
When the Company provides personal information to service providers, it requires these providers to agree to safeguard such information, to use the information only for the intended purpose and to abide by applicable law.
Only employees with a valid business reason have access to clients’ personal information. These employees are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.
The Company maintains security standards to protect clients’ information, whether written, spoken, or electronic. The Company updates and checks its systems to ensure the protection and integrity of information. The Company will retain all written communication until it has done its very best to provide the client with a complete and satisfactory response. Ultimately, the Company will either discard the communication or archive it according to the requirements under applicable securities laws.
Please direct any questions you have to Hank Strauss, Chief Operating Officer, The Quantitative Group, LP, 700 N. St. Mary’s Street, Suite 800, San Antonio, TX 78205, 210-798-4250 or 800-798-2420.
