Online Privacy Policy

Protecting the confidentiality of your nonpublic personal information is of paramount importance to KGS-Alpha Capital Markets, L.P. ("KGS-Alpha"). As such, KGS-Alpha maintains high industry standards in protecting and safeguarding such nonpublic personal information.

To what does this Online Privacy Statement apply?

This Online Privacy Statement applies to the personal information that we collect from or about you via this KGS-Alpha Web site (this "Site"). By using this site, you consent to this statement, including your consent to our use and disclosure of information about you in the manner described in this Online Privacy Statement. This Site may contain links to other web sites, and this Online Privacy Statement does not apply to those sites. If you link to any of those sites, we recommend that you review their privacy policies. If we materially change our privacy policies or practices, we will also change this Online Privacy Statement to notify you of such changes.

What personal and technical information do we collect via this Site?

This Site will collect personal information that you voluntarily provide, such as your name, address, telephone number or e-mail address. This Site may collect information on what country you are accessing this Site from; information on which pages within this Site you visit; and certain technical information regarding your computer and operating systems, such as your Internet protocol address, domain name and system configurations and settings. We will not know who you are unless you tell us.

On this Site, KGS-Alpha may use "cookies" in order to provide better service, to facilitate its customers' use of the web site, to track usage of the web site, and to address security hazards. A cookie is a small piece of information that a web site stores on a personal computer, and which it can later retrieve. KGS-Alpha may use cookies for some administrative purposes; for example, to store its customers' preferences for certain kinds of information. None will contain information that will enable anyone to contact its customers via telephone, e-mail, or any other means. You can set your Web browser to prompt you before you accept a cookie, accept cookies automatically, or reject all cookies. However, if you choose not to accept cookies from this Site, then you may not be able to access and use all or part of this Site or benefit from the information and services which it offers.

How does KGS-Alpha use, share and secure the information collected via this Site?

KGS-Alpha uses the information collected via this Site in accordance with our Privacy Policy, as stated below:

Privacy Policy

  • KGS-Alpha collects your personal information from the following sources:

    • Applications, forms, or other communications, including electronic communications (for information such as name, address, e-mail address, telephone number, Social Security Number, account number, employer, assets, and income);

    • Transactions with KGS-Alpha, its affiliates, your financial organizations, or others;

    • Nonaffiliated third parties, such as consumer or credit reporting agencies (for information such as credit scores and credit history), joint marketing partners or other entities who may service your account from time to time; and

    • Your visits to our web sites (for information you provide and information such as site visitor data).

  • KGS-Alpha may use your personal information in order to operate our business in a reasonable manner in accordance with industry standards and applicable law, which may include to service and maintain accounts and transactions; to offer and tell you about a broad range of services and products; to verify income and assets; to respond to inquiries and requests; to prevent fraud; to monitor and archive communications; and to verify your identity in accordance with USA PATRIOT ACT.

  • KGS-Alpha may disclose or share your personal information to (and with) its affiliates (including so that its affiliates may offer or furnish additional products and services to you). This may, where permitted by law, regulation, or court order, include archiving your personal information in a jurisdiction other than your own, which may not have equivalent data protection laws.

  • KGS-Alpha may also disclose or share your personal information to (and with) government agencies, exchanges or other self-regulatory organizations, and law enforcement authorities, as required or permitted by law, regulation, or court order.

  • KGS-Alpha does not sell or rent your personal information. KGS-Alpha may disclose or share your personal information to (and with) nonaffiliated third parties, including banks, investments managers, mortgage lenders, technology service providers, and securities broker-dealers, with whom it has contracted to perform services, such as printing, mailing, fraud prevention, loan servicing, servicing of accounts and transactions, and data processing services, as well as your nonaffiliated financial organizations which have clearing agreements with KGS-Alpha. These nonaffiliated third parties are required to protect the confidentiality and security of this information and use it only as contractually agreed upon or instructed by KGS-Alpha. KGS-Alpha may also disclose or share your personal information to (and with) nonaffiliated third parties in connection with M&A transactions involving KGS–Alpha or any other sale or transfer of assets of KGS–Alpha. KGS–Alpha may also disclose or share your personal information to (and with) other third parties as permitted or required by law, regulation, or court order.

  • KGS-Alpha does not disclose nonpublic personal information about former customers, except as permitted or required by law, regulation, or court order.

How does KGS-Alpha protect your personal information?

  • Internal data security policies provide that access to your nonpublic personal information should be restricted to authorized persons. KGS-Alpha maintains physical, electronic, and procedural safeguards that are designed to comply with federal standards to guard nonpublic personal information. Persons who violate these polices are subject to disciplinary action, up to and including termination.

  • KGS-Alpha trains and educates our employees in the handling and safeguarding of nonpublic personal information in accordance with applicable laws, rules, and regulations.

Updates to policy

KGS-Alpha reserves the right to change this policy. If we change it, we will post the current statement on our website. Any changes to this policy will be effective as of the day they are posted.

Privacy of Institutional Client Information

Under Regulation S-P, a "consumer" or a "customer" must be an individual. Therefore a client that is not an individual, such as an institutional client, is neither a consumer nor a customer of the Firm for purposes of Regulation S-P. As such, the substantive provisions of Regulation S-P do not apply to the Firm clients that are not individuals. In addition, the Firm is not required to provide initial or annual privacy notices to its institutional clients. Although information pertaining to these clients is not covered by Regulation S-P, the Firm respects the private information of all of its clients and, as a practical matter, Firm employees will take appropriate steps to safeguard the confidentiality of confidential information pertaining to all clients, including pension plan and other institutional clients.

Effective Date

This policy is effective as of December 17, 2014.