Under Title V of the Gramm-Leach-Bliley Act and SEC Regulation S-P, investment advisers are responsible for protecting the security and confidentiality of their clients’ personal information. The SEC requires investment advisers to issue annual privacy notices to individual clients. Regulation S-P places an affirmative obligation on advisers to insure the security and confidentiality of your non-public personal/institution information, which is defined in regulation S-P as all non-public information a consumer/client provides to obtain a financial product or service, or information resulting from any transaction obtained in providing a financial product or service.
EPG collects non-public personal information about you from the following sources:
Information we receive from you on applications or other forms such as name, telephone numbers, address, private financial information, social security number, date of birth etc.
Information about your transactions with others, or with EPG, Inc., such as brokers or accountants, which may include your account balances and transaction reports, and other similar information
Information provided by you in the form of client balance sheets, income statements, strategic plans and other client generated data, including financial data.
EPG, Inc. does not disclose any non-public personal information about you to anyone, except as permitted by law and only with your consent.
In the event that you terminate your relationship with EPG Inc., we will adhere to the privacy policies and practices as described in this notice.
Access to your personal account information is restricted to only those employees who need to know such information to provide services to you. EPG Inc. maintains physical, electronic, and procedural safeguards to insure the security of your non-public personal information.
Effective March 1, 2010, the Commonwealth of Massachusetts enacted regulation 201 CMR 17 in support of M.G.L. c. 93H to protect personal information of Massachusetts residents.
Personal Information, as defined by this regulation, is a resident’s first and last name or first initial and last name in combination with any one or more of the following:
Social Security number
Driver’s license number or state-issued identification card number
Financial account number, or credit or debit card number
EPG has a duty to protect your confidential personal information in a manner fully consistent with industry standards, protect against anticipated threats or hazards to the security or integrity of such information, and protect against unauthorized access to or use of such information that may result in substantial harm or inconvenience to you.
Safeguards that have been implemented include the following:
Personal information sent via email, including contents and attachments, are sent secured and encrypted.
All hard copy personal information is securely kept in a locked cabinet.
All files containing personal information that is maintained on EPG’s network server is password protected.
Any discarded records that contain personal information will be shredded.
Please feel free to contact us with any questions you may have by calling 1-800-535-4544 ext. 104.
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