Privacy Policy

Company policy last updated 2019

Oak Bridge Privacy Policy

Your Privacy Is Important to Us

In the course of serving our clients, we may obtain personal information about such clients. Obtaining this information is important to our ability to deliver the highest level of service to you, but we also recognize that you expect us to treat this information appropriately.

This policy describes the types of personal information we may collect about you, the purposes for which we use the information, the circumstances in which we may share the information and the steps that we take to safeguard the information to protect your privacy. As used throughout this policy, the term “we,” “us,” or “company” refers to Oak Bridge Royalties LLC and its affiliates.

The Sources of Information

The personal information we collect about you comes primarily from the account applications or other forms and materials you submit to us during the course of your relationship with us. We may also collect information about your transactions and experiences with us relating to the services we provide. In addition, depending on the services you require, we may obtain additional information about you, such as your credit history, from consumer reporting agencies.

Finally, in the provision of financial services to you and subject to strict compliance with all applicable laws and regulations, information may be collected about you indirectly from monitoring or other means (e.g. e-mail monitoring). In these circumstances, the information is not accessed on a continuous or routine basis, but it may be used for compliance or security purposes.

The Information We Have about You

If you deal with us in your individual capacity (e.g. as a private client), or as a settlor/trustee/beneficiary of a trust, or as an owner or principal of a company or other investment vehicle established to invest on your behalf or on behalf of your family, etc., the typical information we collect about you may include (in addition to any other information as may be determined on a case-by-case basis):

  • Your full name, phone number, email address, organization, and other contact details;
  • Extensive financial information, including source of wealth, investment experience and objectives, risk tolerance and, in certain jurisdictions, representations required under applicable law or regulation concerning your financial resources;
  • A personal identifier such as, depending on your country of residence, your Social Security Number, National Insurance Number, Tax File Number, etc.

Of course, you are not required to supply any of the personal information that we may request. However, failure to do so may result in our being unable to open or maintain your account or to provide services to you. While we make every effort to ensure that all information we hold about our clients is accurate, complete and up to date, we rely on our clients promptly notifying us if there are any changes to their personal information.

Our Use of Your Personal Information

We may use your personal information to:

  • Administer, operate, facilitate and manage your relationship and/or account with us. This may include sharing such information internally as well as disclosing it to third parties, as described in the following two sections, respectively;
  • Contact you or, if applicable, your designated representative(s) by post, telephone, electronic mail, facsimile, etc., in connection with your relationship and/or account;
  • Provide you with information (such as investment research), recommendations, or advice concerning products and services offered by us; and
  • Facilitate our internal business operations, including assessing and managing risk and fulfilling our legal and regulatory requirements.
  • If your relationship with us ends, we will continue to treat your personal information, to the extent we retain it, as described in this policy.

Disclosures of Your Personal Information

In order to provide efficient and reliable services and to improve product and service options available to you, more than one entity may be given, or given access to, your personal information. For example, one of our entities might share your information with another in order to facilitate settlement of your transactions or the maintenance of your accounts, or as part of its arranging for the performance of specialized services such as US and international brokerage, asset management and advisory services. When so sharing your personal information, we adhere to applicable legal and industry standards regarding the protection of personal information. Additional information on how your personal information is protected while within our company is provided below, under Information Security: How We Protect Your Privacy.

Disclosures of Your Personal Information to Third Parties

We do not disclose your personal information to third parties, except as described in this policy. Third party disclosures may include sharing such information with investment partners (e.g. deal sponsors), other financial institutions (e.g. lenders requiring such information pursuant to regulatory requirements) and/or nonaffiliated companies that perform support services for your account or facilitate your transactions with the company, including those that provide professional, legal or accounting advice to us. Each such third party is required to maintain the confidentiality of such information to the extent received and to use your personal information only in the course of providing the services, and only for the purposes, dictated by us.

We may also disclose your personal information to fulfill your instructions, to protect our rights and interests and those of our business partners or pursuant to your express consent. Finally, under limited circumstances, your personal information may be disclosed to third parties as permitted by, or to comply with, applicable laws and regulations; for instance, when responding to a subpoena or similar legal process, to protect against fraud and to otherwise cooperate with law enforcement or regulatory authorities or with organizations such as exchanges and clearinghouses. You should know that we will not sell your personal information.

Privacy and the Internet

The following additional information will be of interest to you as a visitor to this site:

  • Users of oakbridgeroyalties.com are required to identify and authenticate themselves prior to accessing our services. Generally, identification and authentication take place through the use of your user name and a password.
  • Security is a cooperative effort between us and the users of oakbridgeroyalties.com. Please remember that your login and password are personal to you and should not be made available to any other person. Also, you should discontinue their use and notify us if you have any reason to suspect that someone else may be using them.
  • We may collect certain aggregate and non-personal information when you visit the oakbridgeroyalties.com. We may collect this information through “cookie” technology. Cookies are bits of text that can be placed on your computer’s hard drive when you visit certain websites. Cookies may enhance your online experience by saving your preferences while you are visiting a particular website. The “help” portion of the toolbar on most browsers will tell you how to stop accepting new cookies, how to be notified when you receive a new cookie, and how to disable existing cookies. Remember, though, without cookies, you may not be able to take full advantage of all of the oakbridgeroyalties.com features.
  • “Clickstream” data (e.g., information regarding which of our Web pages you access, the frequency of such access, and your product and service preferences) may be collected by us, or by our service providers, using cookies, Web beacons, page tags, or similar tools that are set when you visit our Web site or when you view an advertisement we have placed on another Web site. Clickstream data and similar information may be shared internally within the company and used: for administrative purposes; to assess the usage, value and performance of our online products and services; to improve your experience with our Web sites; and as otherwise permitted by applicable law or regulation. If you are a client, this information helps us suggest products or service offerings that may be of interest to you. This information may be processed by us for the purposes described above, or on our behalf by third parties, solely in accordance with our instructions.
  • We may make available on this Web site third party applications such as content linking or sharing facilities. Information collected by providers of such applications is governed by their privacy policies.
  • Our Web sites are not currently configured to respond to “do not track” signals or similar mechanisms.