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REGULATORY DISCLOSURES

Privacy notice
Customer privacy notice

Explains what personal information a firm collects, how it uses and shares it, and the choices clients have, under US rules such as Regulation S-P and Canadian privacy law.

What it is

The privacy notice, explained.

Explains what personal information a firm collects, how it uses and shares it, and the choices clients have, under US rules such as Regulation S-P and Canadian privacy law.

Key fields

What Intelligent Document Processing extracts

Firm nameInformation collectedHow it is sharedOpt-out choicesContact for questionsEffective date
How IDP works
With FutureVault

How FutureVault handles the privacy notice.

Delivered at the right momentDeliver the Privacy notice at account opening and whenever it changes.
Proof of deliveryEvery delivery and view is recorded, ready for examiners.
Full version historyEvery version is retained with its effective date.
Related documents
Form ADV Part 2Investment adviser brochureForm CRSClient relationship summaryRelationship disclosureRelationship disclosure information
Where it fits
Compliance & audit readinessDocument governanceSecurity & Trust
FAQ

Privacy notice questions, answered.

When is the privacy notice due?

In the US, at the start of a customer relationship and annually unless an exception applies. In Canada, privacy policies must be available under PIPEDA and provincial law.

Can FutureVault extract data from the privacy notice?

Yes. Intelligent Document Processing reads the privacy notice and captures fields such as firm name, information collected, how it is shared, with a confidence score on every field and human review for anything uncertain.

How does FutureVault handle the privacy notice?

Deliver the privacy notice at account opening and whenever it changes. Every delivery and view is recorded, ready for examiners.

Every privacy notice, in the right vault.
Automatically.

See how FutureVault delivers, collects and understands the documents your firm works with.

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