Privacy Policy (updated Jan ’17)

At Reliance Capital Markets II LLC (“RCM”) we value our customers, and maintaining customer trust and confidence is our highest priority. While it is necessary that we obtain accurate and current information about our customers in order to provide the highest level of customer service during the normal course of our business, we are dedicated to protecting the privacy and confidentiality of our customers’ information.

RCM does not sell customers’ personal information to third parties. Further, RCM does not share customers’ personal information with third parties outside of the normal course of its business without first providing notification to customers. RCM is dedicated to upholding its own Privacy Policy as set forth below.

Information We Collect About Customers

The personal information we collect about our customers comes directly from the information supplied to us by customers, most often as part of the account opening process whether this is done in writing or electronically. Affected information may include but is not limited to such details as a customer’s name, address, social security number, tax identification number, credit history as well as pertinent financial information. It may further include information regarding transactions with and through RCM including a customer’s trading and margin call history, information received by RCM from key partner organizations such as clearing firms and consumer reporting agencies, and/or a customer’s use of the various services and products provided by or through RCM. For users of the non-public areas of RCM’s clearing firms’ websites and/or electronic trading platforms that require a user ID/ password, RCM may use cookies to identify customers so that there is no need to input user IDs and passwords multiple times. RCM may also use cookies for administrative purposes including tasks related to maintaining the security of its own website. Cookies are small text files consisting of encrypted information assigned to a computer’s browser. Cookies do not collect or transmit users’ personal information.

Information We May Share About Customers

RCM does not sell customers’ personal information to third parties. Further, RCM does not share customers’ personal information with third parties outside of the normal course of its business without first providing notification to customers, providing an opportunity to opt out. Entities that RCM may share customer information with include but are not limited to:

  • Intermediaries and service providers such as clearinghouses, futures commission merchants, law firms, accounting firms, compliance firms, marketing firms;
  • Government agencies, self-regulatory organizations, regulatory bodies and/or law enforcement.

In the event that RCM elects to share customer information with third parties, RCM requests and obligates such third parties to keep customer information confidential and to limit use of such information to the sole purpose of providing the services requested by RCM. RCM has prudent procedures in place to ensure that all customer information is kept confidential and treated respectfully. RCM is committed to protecting the privacy of its customers at all times.

Information We May Disclose

RCM reserves the right to disclose information about current and former customers if and when required to do so by law. Examples of such situations include requests for customer information by law enforcement agencies, regulatory bodies and self-regulatory organizations, and/ or through court order or subpoena. RCM may also disclose customer information to third parties for the purposes of performing credit checks, collect debts, enforce RCM’s legal rights and/or otherwise protect RCM’s interests and property.

Security

RCM is committed to protecting customer information and privacy. Internally, only authorized RCM employees and/or agents have access to customer information. RCM’s employees, agents, affiliates and third party service providers are held to the highest standards of privacy and security. In the event that there are changes to RCM’S Privacy Policy, customers will be notified through an appropriate channel. RCM encourages customers to contact the firm with any questions or concerns regarding this Privacy Policy.

Call, E-Mail, Instant Messaging, and Social Media Recording/ Monitoring Notice:

As required by Commodity Futures Trading Commission recordkeeping requirements, RCM records and monitors phone, e-mail, and instant messaging lines internally. RCM additionally monitors and records its social media accounts as well as the social media accounts of its APs.  Please be reminded that internal supervisory monitoring and recordkeeping plays an important role in ensuring effective consumer protection. Information obtained as a result of RCM’s phone, e-mail, instant messaging, and social media recording and monitoring program is kept strictly confidential and not shared with any third parties, unless otherwise required by law. Please also be reminded that by contacting RCM by phone, e-mail, instant messaging, or social media, you consent to RCM’s ability to record and monitor your correspondence with RCM internally.

Risk Disclosure:

Customers should fully understand the risks associated with trading futures, options and retail off-exchange foreign currency transactions (“Forex”) before making any trades. Trading futures, options, and Forex involves substantial risk of loss and is not suitable for all investors. Customers should carefully consider whether trading is suitable for them in light of their circumstances, knowledge, and financial resources and only deploy risk capital. Customers may lose all or more than their initial investment. Past performance is not necessarily indicative of future results.