Westport Capital Markets LLC Privacy Policy
March 1, 2008
Our Commitment to Privacy: Westport Capital has a standing
policy of protecting the confidentiality and security of information
we collect about our clients. We will not share non-public information
about our clients ("Information," as further described below)
with third parties, except for the specific purposes described below.
This notice describes the Information we may gather and the circumstances
under which we may share it.
Why We Collect & How We Use Information: We collect
and use Information from our clients and from third party sources in
order to (1) deliver service in the course of our client engagements
and (2) to satisfy our obligations as a broker-dealer regulated by
the Financial Industry Regulatory Authority, (FINRA), the U.S. Securities
Exchange Commission (SEC) and other state and federal regulatory agencies.
How We Gather Information: We get Information directly
from our clients in the course of our engagements and through third party
sources, including reporting agencies, databases and other sources. This
Information may relate to the finances, employees, customers, or other
information, as well as transactions and interactions with, Westport
Capital or others.
How We Protect Information: Our employees are required
to protect the confidentiality of Information and to comply with our
established policies. They may access Information only when there is
an appropriate reason to do so, such as the execution of transactions
on behalf of our clients. We also maintain physical, electronic and
procedural safeguards to protect Information, which comply with Federal
standards. Employees who violate our Privacy Policy are subject
to internal disciplinary actions and, as appropriate, legal sanctions. Disposal
of any paper document with confidential client Information is shredded.
Disclosure of Information: We may disclose Information
(as described above) as directed by our clients as necessary for the
execution of our engagements to counterparties under non-disclosure agreements
acceptable to our clients, or where the law requires disclosure. It is
Westport Capital’s policy to require all third parties who receive
any Information to sign strict confidentiality and non-disclosure agreements.
To Whom This Policy Applies: This Privacy Policy
applies to clients of Westport Capital (and its third party service providers). Even
if you are no longer a client of Westport Capital for which we no longer
provide services, our Privacy Policy will continue to apply to you.
Access To and Correction of Information: If our clients
desire to review any file we may maintain, please contact us. If
our clients notify us that any Information is incorrect, we will review
it and make revisions as appropriate. Information collected in
connection with, or in anticipation of, any claim or legal proceeding
may not be made available.
Online Privacy Notice
Westport Capital takes its responsibility to maintain the confidentiality
of information that it receives from its clients and prospective clients
very seriously. Accordingly, parties should know that when visiting
the Westport Capital website, one is not required to provide any personal
information.
Further Information: We reserve the right to change
this Privacy Policy. The examples contained within this Privacy Policy
are illustrations and they are not intended to be exclusive. This notice
complies with a recently enacted Federal law and new SEC regulations
regarding privacy. You may have additional rights under other foreign
or domestic laws that may apply to you.
Questions concerning this privacy policy may be directed to us by calling
(203) 222-8915, or via email at chris@westportcapitalmarkets.com
Westport Capital Markets, LLC