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| At NWQ, our relationship with our clients is our most important asset. We understand that
you have entrusted us with your private financial information, and accordingly, do everything
we can to maintain that trust. The following describes our firm’s privacy policy.1 |
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| We do not sell your personal information to anyone. |
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| We do not disclose your personal information to unaffiliated third parties unless one of
the following limited exceptions applies. |
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We receive your prior consent. |
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We disclose your personal information to you or your authorized representatives,
including your attorney, accountant or consultant. We disclose your personal
information to a broker, custodian or other service provider with whom we must
share information in order to manage or service your account properly. |
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We may disclose your personal information in limited circumstances where we
are permitted or required by law to release the information to the recipient. |
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| We collect personal information from the following sources in the normal course of
business to serve you better: |
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Account Applications and other Forms, which may include your name, address,
telephone number, social security number, and information about your investment
goals and risk tolerance; |
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Your Professional Advisors such as consultants, attorneys and accountants,
who may provide financial, investment history and tax information about you; |
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Account History, including information about the transactions we have
ordered for you and balances in your account; |
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Correspondence, written, electronic or telephonic between you and us or
your broker or custodian and us. |
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| We use your personal information to help us better serve your investment and
financial needs and to fulfill our fiduciary or regulatory obligations. We may
also use your personal information to: |
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Administer our business, and |
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Suggest services that may be of interest to you. |
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| We protect the confidentiality and security of your personal information. |
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We restrict access to your personal information, as much as possible,
to those employees who need to know in order to provide our services
to you. |
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We also maintain physical, electronic and procedural safeguards that
comply with federal standards to guard the privacy of your personal
information. |
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| We will adhere to this policy whether you are a current or former client. |
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| We may revise our privacy policy in the future. If you would like a current
copy of our privacy policy, you may view it on our website, at www.nwq.com,
or by calling (310) 712-4000. |
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| 1 Throughout the policy, we use “you” and “your” to include not only our existing
clients, but also prospective clients. We refer to information that personally
identifies you or your accounts as “personal information.” |