Weiser Global Capital Markets Ltd. (hereafter referred to as ‘Weiser’).

We are committed to respecting and protecting the privacy and confidentiality of our clients’ personal information. We want you to know why we ask for your personal information, how we use your personal information in establishing and maintaining your relationship with us, how we keep your personal information confidential, and how you can inquire about the personal information we hold about you.

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This Code applies to the operations of Weiser Global Capital Markets Ltd.

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Any changes to our information handling practices shall be acknowledged in this Code in a timely manner. We may add, modify or remove portions of this policy when we feel it is appropriate to do so. Please refer to our website at www.weiser.com.bs to obtain the most recent version of this Code.

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Employee Responsibilities

Each of our employees is responsible for maintaining the confidentiality of all personal information to which they have access. As a condition of employment, our employees are required to sign a confidentiality agreement binding them to this responsibility and governing their actions, even should they leave or retire.

We keep our employees informed about our policies and procedures for protecting personal information and reinforce the importance of complying with them. Our employees are required, as a condition of their employment, to conform to this Code.

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What is Personal Information

The term “personal information” refers to information we collect that specifically identifies you as an individual. It includes information that you provide or that we collect from other sources with your permission, for example: your name and address, age and gender, personal financial records, identification numbers including your passport number, personal references, and employment records.

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Why we ask for your Personal Information

We collect and use your personal information to serve you appropriately and to fulfill our regulatory obligations.

The better we know you, the better we are able to serve you. We therefore ask you for your personal information for the following purposes:

• to verify your identity and to protect against fraud;

• to understand your investment experience and requirements;

• to determine the suitability of products and services for you;

• to describe products and services that may be of interest to you;

• to set up and manage products and services you have requested; and,

• to comply with laws and securities regulations.

 

Some of the information we will ask for and use, at the time an account is opened and as updated, is also required to satisfy legal and regulatory requirements.

 

Obtaining, Verifying and Accessing Your Personal Information

You are our principal source of your personal information, followed by financially related information from other sources, which we obtain with your consent.

If you want to review or verify your personal information, or find out to whom we have disclosed your personal information as permitted by this Code, direct your request to our chief executive officer and we will make arrangements to meet with you in our offices to inspect the information Weiser has retained and disclosed.

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Keeping Your Personal Information Accurate

We are committed to maintaining the accuracy of your personal information for as long as it is being used for the purposes set out in this Code, and provided that you keep us up-to-date. Prompt notification of any changes to your personal information, such as your address or telephone number, will help us provide you with the best possible service. In the event that we are presented with conflicting information, we will make a determination at our sole discretion.

 

Releasing Your Personal Information

Bahamian laws pertaining to the retention and disclosure of personal information are more favorable to you than laws in many other jurisdictions.

As a result, Weiser discloses your personal information to third-parties only for the following purposes with few exceptions:

• to conduct normal business operations to open, maintain, administer, or service your account;

• to provide, back office administrative services;

• to provide data for our audit and for statistical purposes;

• to inform legal counsel for the purpose of obtaining legal advice; and,

• to comply with law enforcement agencies, and securities regulatory or self-regulatory organizations when compelled to do so and when permitted by law.

 

By opening or maintaining an account with us or by using our services, you have consented to the disclosure of your personal information to a third-party in the circumstances or for the purposes described above.

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Keeping Your Personal Information Confidential

Weiser takes exceptional precautions to preserve and protect your personal information. Safeguards include physical protection (such as locked cabinets and restricted access to offices), organizational measures (such as security clearances), and technological measures (such as passwords and encryption).

In circumstances where we use third parties to provide services to you on our behalf, such as administrative functions or trade processing, they are given only the information needed to perform those services.

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Retaining Your Personal Information

We keep your personal information for only as long as we determine that it is required to fulfill our legislated requirements.