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Legal

The information provided on this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Abel Noser Holdings LLC to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site constitutes a solicitation or offer by Abel Noser to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or service.

 

Any article or content (the “Content”) posted on Abel Noser’s website, Market Insights page or on related venues that are created and authored by company staff (the “Author”) are published and provided for informational and entertainment purposes ONLY.  Under no circumstances does the Content presented on our web pages or in such articles represent a buy, sell or hold recommendation on any security.  Any information in such Content constitutes the Author’s or company’s own opinions.  None of the information in such Content is intended to provide any tax, legal, investment or trading advice.  Nothing provided through this Content, whether by the Author or posted by other writers or commenters, constitutes a solicitation of the purchase or sale of securities or futures.  In reading such Content, you understand that the Author is not advising you personally concerning the nature, potential, value, or suitability of any particular security, portfolio of securities, transaction, investment strategy or other matter.

 

The Content may present excerpts from other articles, interviews, SEC documents, company filings, electronic databases and conversations which express opinions on companies, people, investments and/or related matters.  The Author will link to sources of information or other websites.  Links from this site or Content to another site in no way constitute an endorsement of the opinions or advice contained therein.

From time to time, the Author and/or the Author’s clients may hold positions or other interests in securities mentioned in the Content and may trade for their own account(s).   When the Author and/or the Author’s clients hold an interest in the securities discussed on the page or Content, the Author will disclose that position.  Such Content contains opinions of the author and such opinions are subject to change without notice.  Forecasts, estimates and certain information contained herein should not be considered as investment advice or a recommendation of any particular security, strategy or investment product.  The Author in no way guarantees any specific outcome or profit.  Investments can lose money over short or even long periods of time.  You should consult your financial advisor before making an investment decision.

 

NO GUARANTEE CAN BE MADE IF YOU INVEST BASED ON THE INFORMATION PROVIDED ON THIS WEBSITE OR IN OUR CONTENT.  WE MAKE NO WARRANTY OF ANY KIND REGARDING THE WEBSITE OR ARTICLE AND/OR ANY CONTENT, DATA, MATERIALS, INFORMATION, PRODUCTS OR SERVICES PROVIDED ON THE WEBSITE OR IN AN ARTICLE.  THE AUTHOR DISCLAIMS ANY WARRANTY AS TO THE ACCURACY, COMPLETENESS, TIMELINESS OF ANY CONTENT OR INFORMATION FOUND IN WEBSITE OR ARTICLE CONTENT.  THE DATA AND INFORMATION PRESENTED IS BELIEVED TO BE ACCURATE BUT SHOULD NOT BE RELIED UPON BY THE USER FOR ANY PURPOSE.  THE PAGE AND THE ARTICLE CONTENT ARE PROVIDED “AS-IS” AND THE AUTHOR DISCLAIMS ANY AND ALL REPRESENTATIONS, WHETHER EXPRESS OR IMPLIED, INCLUDING IMPLIED WARRANTIES OF TITLE AND MERCHANTABILITY, IF APPLICABLE, AND FITNESS FOR A PARTICULAR PURPOSE OR NON-INFRINGEMENT.  ANY AND ALL LIABILITY FOR THE CONTENT OR ANY OMISSIONS FROM THE PAGE OR ARTICLE CONTENT, INCLUDING ANY INACCURACIES, ERRORS, OR MISSTATEMENTS IN SUCH DATA OR INFORMATION IS EXPRESSLY DISCLAIMED.

 

Abel Noser’s  policy is to respond to a Significant Business Disruption (“SBD”) whether internal or external, by safeguarding employee’s lives and firm property, making financial and operational assessments, quickly recovering and resuming operations, protecting the firm’s books and records, maintaining the integrity of our clients’ privacy and allowing those clients to transact business.

 

This organization recognizes the importance of responding quickly and efficiently to unplanned events — whether natural, man-made or technological — by maintaining the safety of our staff and keeping our operations running smoothly as well as providing mission critical systems to our customers, partners, agencies, the media and the public in a timely manner.

 

Abel Noser’s primary concern is to ensure that the applications and information that drive our critical business processes are available when and where they are needed. To accomplish this, the firm has established an ‘out of area’ trading floor which houses a duplicate infrastructure and communications network that will enable the firm to continue to provide services during an emergency.

 

In the wake of Hurricane Sandy, which devastated much of the east coast in October 2012, we realized that we need more than one Disaster Recovery Site (“DR”). The firm’s DR Sites are now in two diverse areas and in two states. Our firm is prepared to run the business in the event there is a SBD at our main office site. All general and detailed documentation regarding Disaster Recovery is housed in the firm’s alternative location.

 

For additional information, please contact our BCP Coordinator Randy New.

 

Abel Noser management will assess the disaster to determine the appropriate action. Each member of our operating committee has the authority to call a state of emergency and to put in motion our disaster recovery plan. This plan is reviewed on a yearly basis, and updated as needed.

At Abel Noser, we appreciate the trust that you place in us and we recognize the importance of protecting the confidentiality of non-public personal information that we collect about you. That is why we take great care to protect your personal information, and when and if we use it, we do so with respect for your privacy. This Privacy Notice sets out our policies with respect to the collection, sharing, use (collectively referred to as “processing”) and protection of personal information. We may, from time to time, make changes to this Privacy Notice and will post the updated version on this website.

 

How we collect your personal information

 

  • We may collect non-public personal information about you:
  • through this website;
  • through information provided by you, or on your behalf, in applications or other forms and correspondence;
  • in relation to transactions with us.

 

We may also receive personal information about you from third parties, such as our service providers, subscription-based networks or databases, trading counterparties, regulatory or law enforcement agencies, credit reference agencies, and other agencies conducting background checks. Personal information may also be obtained from publicly accessible sources of information, such as public databases, industry associations, social media and online professional networks.

 

How will we use your information?

 

We may use your personal information for the purposes of entering into, performing or administering the relationship between us, to evaluate and serve your financial needs, to fulfill your investment requests, complete your transactions, or to ensure accuracy in reporting and record-keeping. We may also use such information to market our products and services to you or the businesses with which you are associated, to monitor and analyze our activities, and comply with applicable legal or regulatory requirements.

 

We will use one of the permitted grounds under the applicable law to process your information. Such grounds include instances where you have given your consent and cases where your consent is not required under applicable law, such as where we are required to comply with a legal obligation, or where we, or a third party, determine that it is necessary for our legitimate interests to collect and use your personal information. The legitimate interests to collect your personal information may include any of the purposes identified above and any other purpose where we, or a third party acting on our behalf, have determined that you have a reasonable expectation for us or such third party to collect or use your personal information for such purpose.

 

What happens if you do not provide personal information

 

As a regulated financial services firm, we are subject to legal and regulatory obligations that may require us to collect and store your personal information, such as the requirements to comply with the applicable law on prevention of financial crime, tax and regulatory reporting. We may also need to collect and use your personal information for the purposes of entering into or performance of a contractual arrangement between us.

 

A refusal to provide us with personal information may, depending on the purpose for which your personal information is required, have various consequences such as us being unable to communicate with you, the termination of any service or other contractual arrangement between us, or, where we have a reasonable suspicion of illegal activity, we may be required to make a report to regulatory or law enforcement agencies.

 

What types of personal information do we collect and use?

 

The information we may collect may include names, residential addresses or other contact details, signature, nationality, date and place of birth, social security or other tax identification number, photographs, copies of identification documents, bank account details, information about assets or net worth, credit history, source of funds details, or other sensitive information contained in relevant documents or materials or obtained through background searches that we conduct to comply with applicable law.

 

Security measures

 

Your non-public personal information is safeguarded in accordance with our internal policies and procedures. These policies permit only those employees who ‘need to know’ the information in order to perform their duties the right to access your information. We maintain physical, electronic and procedural safeguards designed to comply with Federal standards and protect your information.

 

Retention periods

 

 We will generally keep personal information about you for as long as necessary in relation to the purpose for which it was collected, or for such longer period if required under the applicable law or necessary for the purposes of our other legitimate interests (as described above).

 

The applicable retention period will depend on various factors, such as any legal obligation to which we or our service providers are subject. As a minimum, information about you will be retained for the entire duration of any business or client relationship we may have with you, and for a minimum period of six years after the termination of any such relationship. We will, from time to time, review the purpose for which we have collected information about you and decide whether to retain it, update it, or securely delete it, if the information is no longer required.

 

Do we share your personal information?

 

Abel Noser does NOT sell non-public personal information. We may however disclose such information to non-affiliated third parties who have contracted to perform services on our behalf. For example, we may share your information with non-affiliates that assist in servicing your account. These non-affiliated third parties are required to protect your confidentiality and to use the information only in accordance with our instructions and for the purposes agreed upon. Responsibilities of the third parties can include identity verification, verification of address, telephone, etc., the production and mailing of confirmations, statements and other records of transactions done with us, as well as the status or value of the financial service or financial products to our customers or their agents and brokers.

 

It may also be necessary for us to share or transfer your information to conduct our business or to carry out transactions on your behalf, such as in the case of our internet, IT and telecommunications providers, other service providers (including our legal advisers, accountants and providers of customer relationship management tools), trading counterparties, brokers, banks, trading venues, clearing houses, and custodians.

 

We may also disclose non-public information about you if required, or permitted, by law.

 

We may share your information with our affiliates for direct marketing purposes, such as offers of products and services to you by us or our affiliates. If you are a new customer, we can begin sharing your information with our affiliates for direct marketing purposes 30 days from the date of this Privacy Notice. When you are no longer our client, we may continue to share your information with our affiliates for such purposes. We may also disclose information about your transactions and experiences with us to our affiliates for their everyday business purposes.

 

We do not share your information with non-affiliates for them to market their own services to you

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You may contact your representative or contact our main office at +1 646 432 4000 at any time to limit our sharing of your personal information. If you limit sharing for an account you hold jointly with someone else, your choices will apply to everyone on your account. US state laws may give you additional rights to limit sharing.

 

Additional information for residents of the European Economic Area (EEA)

 

Your personal information will be processed in the United States, and other countries outside the EEA (“Third Countries”), that may not offer the same level of data protection as that afforded by the EU General Data Protection Regulation (“GDPR”). We will process personal data (or ensure that it is processed) in such Third Countries in accordance with the requirements of applicable law, which may include having appropriate contractual undertakings in legal agreements with service providers who process personal data on our behalf in such Third Countries.

 

You may have certain rights under GDPR in respect of the personal information we hold and which you may exercise. These rights are:

 

  • to request access to your information;
  • to request rectification of inaccurate or incomplete information;
  • to request erasure of your information (a “right to be forgotten”);
  • to restrict the processing of your information in certain circumstances;
  • to object to our use of your information, such as where we have considered such use to be necessary for our legitimate interests (e.g. in the case of direct marketing activities);
  • where relevant, to request the portability of your information;
  • where you have given consent to the processing of your data, to withdraw your consent; and
  • to lodge a complaint with the competent supervisory authority.

 

Please note that the right to be forgotten that applies in certain circumstances is not likely to be available in respect of the personal data we collect to satisfy our legal or regulatory obligations, as described above.

 

Who to contact about this Privacy Notice

 

If you have any questions about this Privacy Notice or requests with regards to the personal information we hold about you, you may contact us at compliance@abelnoser.com, or by telephone at +1 646 432 4000, or by writing to One Battery Park Plaza, 6th Floor, New York 10004-1405.

 

Rev. October 2018

 

 

This page, and all contents, are the exclusive Copyright of Abel Noser Holdings LLC; all applicable rights reserved. If you download any information or software from this site, you agree that you will not copy it or remove or obscure any copyright or other notices or legends contained in any such information.  Some images on this site have been licensed from Adobe Stock.  Company portraits are provided courtesy of Dominick Ciano.

 

 

Have a question for our Compliance Team?

For further information, email compliance@abelnoser.com or call (646) 432-4000.