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):
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:
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: