InvestX Markets LLC
Anti-Money Laundering Customer Identity Verification Notice
To help the government fight the funding of terrorism and money laundering activities, federal law requires broker-dealer firms to obtain, verify, and record information that identifies each person who opens an account.
What types of information will you need to provide?
For an individual, when you open an account, InvestX Markets LLC are required to collect information such as the following from you: Your name, date of birth, address, identification number: U.S. Citizen: taxpayer identification number (social security number or employer identification number) or Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you. You may also need to show your driver’s license or other identifying documents.
For an entity, when an account is opened, we are required to collect information such as the following from the entity: documents showing the existence of the entity, such as certified articles of incorporation, a government-issued business license, a partnership agreement, or a trust instrument.
We may, under the following circumstances, rely on the performance by another financial institution (including an affiliate) of some or all of the elements of our customer identification program with respect to any customer that is opening an account or has established an account or similar business relationship with the other financial institution to provide or engage in services, dealings, or other financial transactions:
Such reliance is reasonable under the circumstances, when the other financial institution is subject to a rule implementing the anti-money laundering compliance program requirements and is regulated by a Federal functional regulator and when the other financial institution has entered into a contract with us requiring it to certify annually to us that it has implemented its anti-money laundering program, and that it will perform (or its agent will perform) specified requirements of the customer identification program.
Notice of Privacy
This privacy notice complies with the Gramm-Leach-Bliley Act and federal regulations governing the privacy of financial information applicable to our clients.
InvestX Markets LLC Notice of Privacy
We are committed to providing our clients with quality service. While collecting information about you is essential to meet your needs, we recognize the importance of handling your personal information with care. Accordingly, we have established this Notice of Privacy and related policies.
Confidentiality and Security of Your Information
We maintain appropriate physical, electronic, and procedural safeguards to protect the security and confidentiality of your non-public personal information. We educate our employees about the terms of this Notice and the importance of customer privacy. We restrict access to non-public personal information about you to those employees and others who need to know that information to provide services to you, to maintain your accounts, or conduct our business.
Information We Collect About You
Collecting information from you is essential to our ability to offer quality services. As part of that process, we may collect non-public information about you from the following sources:
• Information we receive from you on applications and other forms;• Information about your transactions with us;• Based upon the services provided, information we receive from consumer reporting agencies, government agencies and from your agent banks and prime brokers where applicable; and• Information that is used to facilitate emails from you.
Categories of Information We Disclose and to Whom
We do not disclose any information about our clients or former clients to anyone, except as permitted or required by law. We may disclose the types of information listed below to companies that help us conduct our business, that perform administrative or other services on our behalf, or other financial institutions with which we now or may have joint marketing agreements:
• Information we receive from you on applications and other forms, such as your name, address, Social Security number (if an individual), assets, income, and beneficiaries; • Information about your transactions with us, or others; and• Information we receive from a consumer reporting agency, government agencies and from your agent banks and prime brokers where applicable, and from other sources, such as information concerning credit worthiness and history, and certain information requested pursuant to US Patriot Act anti-money laundering prevention rules and regulations.
Choices and Access
Your choices regarding our use and disclosure of your information
We give you many choices regarding our use and disclosure of your information for marketing purposes. You may opt-out from:
Receiving electronic communications from us: If you no longer want to receive marketing-related emails from us on a going-forward basis, you may opt-out by following the instructions at the bottom of each email or contact us.
Our sharing of your information with affiliates for their direct marketing purposes: If you would prefer that we not share your information on a going-forward basis with our affiliates for their direct marketing purposes, you may opt-out of this sharing by contacting us.
Our sharing of your information with unaffiliated third parties for their direct marketing purposes: If you would prefer that we not share your information on a going-forward basis with unaffiliated third parties for their direct marketing purposes, you may opt-out of this sharing by contacting us.
We will try to comply with your request(s) as soon as reasonably practicable. Please note that if you opt-out of receiving marketing-related emails from us, we may still send you important administrative messages, from which you cannot opt-out.
InvestX Markets LLC’s Business Continuity Planning
InvestX Markets LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (212) 390-9270 or email@example.com, you should call our alternative number (844) 246-4556 or go to our website at www.investx.com.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternate communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm’s office, the city where we are located or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In the event of a significant business disruption, we have plans to place to move to a back-up location or remote locations as necessary. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our website www.investx.com or our customer emergency number, (844) 246-4556 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information – If you have questions about our business continuity planning, you can contact us at (212) 390-9270 or firstname.lastname@example.org.
CUSTOMER COMPLAINT NOTICE – SEC Rule 17a-3(a)(18)(ii) DISCLOSURE STATEMENT
InvestX Markets LLC in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our offices immediately, either by mail at InvestX Markets LLC 650-1090 West Georgia Street, Vancouver, BC V6E 3V7, Canada Attention: Compliance Department or (778) 588-7148 and ask to speak with our Compliance Officer.
SIPC and FINRA Notification
InvestX Markets LLC is a member of the Securities Investor Protection Corporation (SIPC), which protects securities of its members up to $500,000 (including $250,000 for claims for cash). However, we do not hold customer funds and securities. Funds and securities held by outside institutions are not covered by our SIPC protection.
All customers are advised that information about SIPC, including the SIPC brochure, may be obtained by contacting SIPC. SIPC may be contacted by phone, email or regular mail:
Securities Investor Protection Corporation805 15th Street, N.W. Suite 800Washington, D.C. 20005-2215Tel: (202)371-8300Fax: (202)371-6728Email: email@example.com
For more detailed information please visit the SIPC website at www.sipc.org
FINRA’s public disclosure program toll free hotline number is 1(800)289-9999 and FINRA’s website address is: http://www.finra.org