At Canterbury Consulting, we understand that privacy is an important concern of our customers. The nature of our business requires that we collect nonpublic information about you from the following sources:
- Information we receive about you in various agreements, applications, account opening documentation, and other forms and paperwork that pertains to your relationship with us,
- Information about your transactions with us or others, and
- Information that you give us orally.
We do not disclose any nonpublic personal information about a customer or former customer without the customer’s authorization, except as required by law or in direct response to inquiries from governmental authorities. We restrict access to your personal and account information to those employees who need to know that information to provide products and services to you or employees who assist those who provide products and services. We also may disclose that information to unaffiliated third parties (such as our custodians, money managers, and brokers) only as required and permitted by law and only as needed for us to provide those products and services that we have agreed to provide to you. We maintain procedural safeguards to protect your nonpublic information.
The privacy policies described herein will be adhered to in the event you become an inactive customer or decide to close your account.
If, at any time in the future, it is necessary to disclose any of your personal information in a way that differs with this policy, we will give you advance notice of the proposed change so that you will have the opportunity to opt out of such disclosure.
Canterbury is committed to protecting the confidentiality of your personal information. Let us know if you have any questions.
SEC-Required Report for the Most Recent Quarterly Period In Accordance with SEC Rule 606 (Formerly Rule 11Ac1-6)
For Latest Report Click Here
Mutual Fund Breakpoint Disclosure Statement
Brokers/dealers should provide to each investor a disclosure statement at the time of or prior to the confirmation of his initial purchase of front-end load fund shares. Thereafter, the statement should be provided to investors in front-end load fund shares either on a periodic basis (but not less frequent than annually) or at (or prior to) the time of confirmation of subsequent purchases of front-end shares.
Customer Identification Program Notice
In accordance with Section 326 of the USA PATRIOT Act of 2001 and NASD Rule 3011, the Firm has established a customer identification program (CIP) that is part of its overall AML compliance program. As part of the CIP requirement, the Firm has provided the following Customer Identification Program Notice regarding important information you need to know about opening a new account.
Business Continuity Plan Disclosure Policy
On April 7, 2004, the Securities and Exchange Commission (SEC) approved the new NASD Rule 3500 Series, which requires NASD broker/dealers to establish emergency preparedness plans and procedures (business continuity planning) that must disclose to its customers how it addresses the possibility of a future significant business disruption and how the firm plans to respond to events of varying scope.