GMP SECURITIES, LLC

THESE NOTICES ARE FOR YOUR INFORMATION.
NO RESPONSE IS REQUIRED.

1. PRIVACY POLICY


In accordance with the SEC's Regulation S-P, "Privacy of Consumer Financial Information", we are giving notice that our Privacy Policy is as follows;

  • We protect the confidentiality and security of information we collect about our clients.
  • We collect nonpublic personal information about clients from the following sources;
    • Information we receive from clients on applications or other forms;
    • Information we receive from clients in response to our "Know Your Customer" enquiries; whether in person, by telephone or electronically. We may verify this information or get additional information from private consumer reporting agencies or alternate public sources.
    • Information regarding transactions with us, such as account balances and account activity.
  • We do not disclose any nonpublic information about clients to anyone, except as permitted or required by law, or if authorized by you. For example
    • information may be disclosed for audit or inquiry purposes, to attorneys, accountants or other professionals, or to law enforcement and regulatory agencies to help, among other things, prevent fraud or money laundering.
    • information is disclosed when you direct us to send your account statements and confirms to an interested third party.
  • 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.
  • Employees who violate our Privacy Policy are subject to disciplinary process.
  • We also maintain physical, electronic and procedural safeguards to protect client information.

If clients decide to close account(s) or become inactive, we will adhere to the privacy policies and practices as described in this notice.

We will provide a Privacy Policy to our clients when they commence doing business with us and on an annual basis thereafter.

In order to service your account, information is also provided to J.P. Morgan Clearing Corp. ("JPMCC"). We are a fully disclosed correspondent firm of JPMCC which conducts numerous clearing functions for us, including securities clearance, receipt of and disbursements of funds, generation and distribution of account statements and confirmations. JPMCC maintains its own separate privacy policy. Their policy is provided to you on account opening and on an annual basis thereafter.

2. FINRA PUBLIC DISCLOSURE PROGRAM


This program provides certain information regarding the disciplinary history of FINRA members and their associated persons in response to written, electronic or telephonic inquiries via FINRA's, (1) toll free telephone number (1-800-289-9999) or (2) website (www.finra.org). In addition FINRA has prepared an investor brochure which describes the program in greater detail.

3. SECURITIES INVESTOR PROTECTION CORPORATION ("SIPC")


GMP Securities, LLC is a member of SIPC. You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at (202)371-8300; Email: asksipc@sipc.org or through their website at: http://www.sipc.org.

4. BUSINESS CONTINUITY PLAN


GMP Securities, LLC has developed a Business Continuity Plan (BCP) explaining how we will respond to events that significantly disrupt our business. For further information regarding this BCP please refer to our website at: http://www.gmpsecuritiesllc.com/customerdisclosure.php

5. GMP Capital Inc. and Related Entities


GMP Securities, LLC is a wholly owned operating subsidiary of GMP Capital Inc., ("GMP") a diversified financial services company, which is publicly listed on the Toronto Stock Exchange under the symbol GMP. In the normal course of our business, GMP Securities, LLC may share your information with employees or representatives of GMP and its affiliates, who provide various services that support our operations. GMP and its affiliates have agreed to protect and hold your information confidential. Please refer to GMP's global privacy policy at http://www.gmpcapital.com/GMPCapitalPrivacy.asp.

If you have any questions regarding this policy, they can be addressed to:

GMP Securities, LLC - Compliance Department
331 Madison Avenue, 12th Floor
New York, New York 10017
Telephone: (212) 692-5194

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