Basil Financials (referred to as “Basil”) maintains physical, electronic, and procedural safeguards that comply with SEBI Investment Advisory standards to protect its clients’ nonpublic personal information (“information”). Through this policy and its underlying procedures, Basil Financials attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.
It is the policy of Basil Financials to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/non-affiliated entities who need to know that information in order to provide products or services in furtherance of the client’s engagement of Basil Financials.
In that regard, Basil Financials may disclose the client’s information: (1) to individuals and/or entities not affiliated with Basil Financials, including, but not limited to the client’s other professional advisors and/or certain service providers that may be recommended or engaged by Basil Financials in furtherance of the client’s engagement of Basil Financials (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, proxy management service provider, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable central and/or state privacy regulations.
The disclosure of information contained in any document completed by the client for processing and/or transmittal by Basil Financials to facilitate the commencement/continuation/termination of a business relationship between the client and/or between Basil Financials and a non affiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, record keeper, insurance company, etc.), including, but not limited to, information contained in any document completed and/or executed by the client in furtherance of the client’s engagement of Basil Financials (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding non affiliated third party service provider.
Basil Financials permits only authorized employees and affiliates who have signed a copy of Basil Financials’s Privacy Policy to have access to client information. Employees violating Basil Financials’s Privacy Policy will be subject to Basil Financials’s disciplinary process. Additionally, whenever Basil Financials hires other organizations to provide services to Basil Financials’s clients, Basil Financials will require them to sign confidentiality agreements and/or the Privacy Policy. Should you have any questions regarding the above, please contact reachus@basilfinancials.com