Collection of Information
We collect and retain the information necessary for us to provide the products and services you requested. In that process we may collect non-public information from you as a result of: your completion of an insurance application or other forms; your transactions and experience with us; or from a consumer reporting agency such as the Medical Information Bureau.
Confidentiality of Information
We do not disclose any non-public information about you, either during or after your relationship with us, to anyone, except as permitted by law, such as to your authorized representative, or in order to provide the products and services you requested, or to comply with applicable laws and regulations.
Disclosure to Self-Regulatory Organizations
For regulatory purposes, self-regulatory organizations (SRO's) require access to personal information of current and former clients and others that has been collected or used by Performa and other Regulated Persons. SRO's collect, use or disclose such personal information obtained from Avery & Colton Financial Services.and other Regulated Persons for regulatory purposes, including:
- Surveillance of trading-related activity
- Sales, financial compliance, trade desk review and other regulatory audits
- Investigation of potential regulatory and statutory violations
- Regulatory databases
- Enforcement or disciplinary proceedings
- Reporting to securities regulators
Information-sharing with securities regulatory authorities, regulated marketplaces, other self-regulatory organizations and law enforcement agencies in any jurisdiction in connection with any of the foregoing.
Internal Protection of Information
We restrict access to non-public personal information about you to those employees who need to know that information in order to provide the products and services you requested. We maintain physical, electronic and procedural safeguards to comply with federal regulations to guard this information.