Privacy Policy

Dear Client: Jaypee International, Inc is a Broker-Dealer firm committed to safeguarding confidential information about its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you in connection with any of the services provided by Jaypee International, Inc. We do not disclose information to non-affiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under the law from doing so without advising you first. You will be offered the opportunity to opt out of the disclosure of your non-public personal information which may be forwarded to non-affiliated third parties.

Our policy with respect to your privacy is summarized below. We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to non-affiliated parties as required by law. (For example, federal regulations permit us to share a limited amount of information with our clearing firm to execute securities transactions on your behalf or so that our firm can discuss your financial situation with your accountant or lawyer with your permission)

We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk. The categories of non-public personal information that we collect from a client depend upon the scope of the client engagement. They may include information about your personal finances, your health to the extent that is needed for the planning process, transactions between you and third parties, and information from consumer reporting agencies. For unaffiliated third parties requiring access to your personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private.

Federal and state regulators also may review firm records as permitted under law. We do not provide personally identifiable information to mailing list vendors or solicitors for any purpose. Such information about you will be maintained during the time you are a client and for the required time thereafter that such records need to be maintained as mandated by securities industry regulations. After this required period of record retention, all such information will be destroyed. If you have any questions regarding this policy, please contact Jaypee International, Inc. at 312-254-5044.