Disclosures

Email Communication Disclaimer

This communication is confidential and may contain legally privileged information and is for the sole use of the intended recepient. If you are not the intended recipient, you should not copy, distribute, disclose or use the information it contains. Please e-mail the sender immediately and delete this message from your system. E-mails are susceptible to corruption, interception and unauthorized amendment; we do not accept liability for any such changes, or for their consequences. Electronic communications may be archived and may be treated in accordance with the laws and regulations of the country of each individual included in the entire message chain. Unless otherwise specifically indicated, Sender does not accept time sensitive, action-oriented messages or transaction orders, including orders to purchase or sell securities, via email, and this email is not an offer to sell or a solicitation of any offer to buy any securities, futures, options, loans, investment products or other financial product or service, an official confirmation of any transaction, or an official statement of Sender. All market prices and market data contained in or attached to this email are indicative and subject to change without notice, and any views or opinions presented are solely those of the author and may not reflect the views of Sender.

Investment products are offered through CP Capital Securities, Inc, a licensed Broker-Dealer & Registered Investment Advisor. Member FINRA, SIPC.

Privacy Policy Statement

Commitment to Consumer Privacy

CP Capital Securities, Inc. (“CP Capital”) is committed to handling consumer information responsibly. New technologies have dramatically changed the way consumer information is gathered, used and stored, but the importance of preserving the security and confidentiality of consumer information has remained a core value of CP Capital. We recognize and respect the privacy expectations of consumers and we believe that maintaining the confidentiality of consumer information which CP Capital collects and retains is one of our fundamental responsibilities.

Collection and Disclosure of Information

Consumer information collected by CP Capital generally comes from the following sources:

  • Information provided by consumers on account applications or other forms, in correspondence, written or electronic,
  • Information relating to the transaction history of a customer’s account; or
  • Information CP Capital receives from third parties.

We may disclose consumer information to third parties who are not affiliated with CP Capital:

  • as permitted by law, for example with service providers who maintain or service customer accounts, or in response to
  • to perform marketing services on behalf of CP Capital or pursuant to a joint marketing agreement with another

Security of Information

We may disclose consumer information to third parties who are not affiliated with CP Capital: When information about consumers is disclosed by CP Capital to nonaffiliated third parties, we require that the third party maintain the confidentiality of the information disclosed and limit the use of information by the third party solely to the purposes for which the information is disclosed or as otherwise permitted by law. or by telephone; legal or regulatory notices; or financial institution.

Business Continuity Plan

CP Capital Securities, Inc. has provisions in place to continue to operate and provide services to our customers in the event of a significant disruption. In the event of a disruption at the firm’s office location, arrangements have been made to conduct services at an alternate location unaffected by the disruption. Recovery time in the event of a disruption is anticipated to be minimal, however certain records may have to be retrieved from an off-site storage location or possibly re-produced in order to continue services. We will contact you directly if a disruption occurs and/or if our provided services are affected. You may alternatively obtain updated summaries by requesting a written copy by mail.

Securities Investor Protection

At CP Capital Securities, Inc. your investments are protected by the Securities Investor Protection Corporation (SIPC) that provides coverage when a broker becomes insolvent. SIPC covers a maximum of $500,000 per account with $100,000 available to cover cash waiting reinvestment in your account. In addition to SIPC protection, COR Clearing provides for brokerage accounts additional excess of SIPC coverage from Lloyds of London, together with other insurers. COR Clearing’s policy through Lloyd’s of London provides additional account coverage up to $24.5 million (including up to $1,150,000 in cash) per client as designed by SIPC rules. With both SIPC and Lloyd’s of London coverage, accounts are protected up to a total of $25 million per client (as designed by SIPC rules) including up to $1,150,000 for cash balances, with an aggregate limit of $100 million. The excess of SIPC coverage would only be used when SIPC coverage is exhausted.

Like SIPC protection, excess of SIPC protection does not cover investment losses in customer accounts due to market fluctuation. It also does not cover other claims for losses incurred while broker-dealers remain in business. Lloyd’s of London currently has an A (Excellent) rating with Stable Outlook from ratings firm A.M. Best and an A+ (Strong) rating with Stable Outlook from Fitch Ratings and Standard & Poor’s.

*Neither SIPC, Lloyd’s of London, CP Capital Securities, nor COR Clearing can offer protection against declines in account value based on market fluctuations.