CU Capital Market Solutions is a registered investment adviser that provides services exclusively to financial institutions. Under the SEC’s privacy regulations, non-natural person institutions are not included within the definition of “consumers” or “customers.” As such, CU Capital Market Solutions is exempt from the notice and opt-out requirements of the privacy regulations.
CU Capital Market Solutions Respects Your Privacy
CU Capital Market Solutions respects the confidentiality of the information it collects and retains about your institution, our client. We are providing you with this Privacy Statement to inform you of our privacy policies and procedures.
What information does CU Capital Market Solutions collect, and where does it come from?
Most of the information we collect and maintain about your institution comes from the persons you have authorized to conduct business with us. Much of this information is collected at the time you establish a relationship with CMS as an advisory client. This information includes, but is not limited to, your institution name, address, telephone and fax numbers, contact persons, email addresses, settlement agent(s) and/or custodian(s), and balance sheet and investment portfolio information. CMS also subscribes to third-party services and publications that provide us with financial information contained in your public, non-confidential financial filings.
What does CU Capital Market Solutions do with the information collected about your institution?
CU Capital Market Solutions has longstanding policies that it does not disclose information about current or former clients or their business relationship with us to any non-affiliated third parties without your consent. CMS may release information about your institution if we are compelled by law to do so.
How does Capital Market Solutions protect your information?
Information that CMS has collected about you, regardless of its source, is restricted to the CMS employees who may need it in order to provide you with products or services. CMS has implemented and maintains physical, electronic and procedural safeguards that comply with federal regulations to protect your information.
To further protect your information from unauthorized access, CMS has implemented procedures to safely and securely dispose of information it has obtained about you when CMS is no longer required by regulation to retain such information in its records.
CU Capital Market Solutions, LLC is an SEC registered investment advisor. Securities are offered through Olden Lane Securities LLC, Member FINRA/SIPC.