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Privacy Policy

The Firm's Privacy Policy sets forth the manner in which Maxim Capital Group (the "Firm") may collect, utilize and maintain nonpublic personal information about clients, as required under federal and other applicable law. The Firm is committed to protecting privacy and maintaining the confidentiality and security of a client's personal information. As noted above, this Privacy Policy only applies to products and services provided by the Firm to individuals and which are used for personal, family, or household purposes (not business purposes).

Collection of client Information

The Firm may collect personal information about clients from the following sources:
  1. client questionnaires and other information provided by the client in writing, in person, by telephone, electronically or by any other means. This information may include name, address, employment information, and financial and investment qualifications, as applicable;
  2. Information about clients from financial institutions and service providers with whom a client may have authorized to provide such information to the Firm;
  3. Transactions in a client's account, including account balances, investments, contributions and withdrawals; and
  4. Verification services and consumer reporting agencies, including a client's creditworthiness or credit history, as applicable.

Disclosure of Nonpublic Personal Information

The Firm does not disclose nonpublic personal information about clients or potential clients to affiliates or nonaffiliated third parties except as permitted by law. For example, the Firm may share nonpublic personal information about clients, without the client's consent, with affiliated and nonaffiliated parties in the following situations, among others:

  1. In connection with the administration and operations of the Firm and other of the Firm's products and services, with the Firm's brokers, attorneys, accountants, auditors, administrators or other service providers;
  2. To respond to a subpoena or court order, judicial process or regulatory inquiry;
  3. In connection with a proposed or actual sale, merger, or transfer of all or a portion of its business;
  4. To protect or defend against fraud, unauthorized transactions (such as money laundering), law suits, claims or other liabilities;
  5. To respond to requests for information regarding compliance with anti-money laundering laws;
  6. Upon consent of a client to release such information, including authorization to disclose such information to persons acting in a fiduciary or representative capacity on behalf of the client; and
  7. To assist the Firm in offering affiliated products and services to clients.

As indicated above, the foregoing may include responses to inquiries for purposes of compliance with anti-money laundering and anti-terrorist due diligence, disclosure or reporting requirements. The Firm also may share nonpublic personal information about clients at client direction or with client consent.

Former and Prospective clients

The same Privacy Policy applies to former and prospective clients.

Protection of Subscriber Information

The Firm maintains physical, electronic and procedural safeguards that comply with federal standards to protect client information. The Firm restricts access to the personal and account information of clients to those employees who need to know that information in the course of their job responsibilities. Further Information

The Firm reserves the right to change its Privacy Policy at any time. The examples contained within this Policy are illustrations and are not intended to be exclusive. The Firm's Privacy Policy complies with federal law regarding privacy. clients may have additional rights under other foreign or domestic laws that may apply.