Privacy and Security

SMIA recognizes the importance of protecting your personal and fnancial information (“Personal Information” or “Information”) and we understand the importance you place on the privacy and security of your Personal Information. As a fnancial institution and a member of the NASD, SMIA is required to obtain some Information about you. You have entrusted us with your Personal Information and we know that you are concerned with how this Information is treated. The following Privacy Statement demonstrates our commitment to your privacy and security.

We only use your Personal Information to help us service your account and to continue to improve our services to you. We limit our collection, use and retention of Information about you to what is necessary to administer our business and to deliver outstanding service to you.

At SMIA, we protect your personal account Information by collecting and storing it on a secure portion of our Web site. If you view the public areas of the Web site, we do not collect or store any Information specifcally identifable to you unless you knowingly provide it to us. Access to the secure portions of the website where Information about you and your account is collected, retrieved or transmitted is protected by a unique User Name, Password and OTP. Your User Name, Password, OTP should never be shared with anyone.

This website uses a common technology called a cookie, which is used to identify one page request from another. Using a cookie will assist SMIA in creating a more customized experience for you at our website. Specifcally, cookies will enhance our website in a few important ways: they will personalize your experience on our Web site and will allow you to move more fuidly through the site and they will provide a secure way for SMIA to verify your identity during your online trading session. You can set your browser to notify you when you receive a cookie, giving you the chance to decide whether to accept it. It is important for you to know that your privacy and security are not compromised when you accept a cookie from our Web site. This Web site does not use cookies to collect personal information about you except when you specifcally and knowingly provide it.

SMIA encrypts the transmission of all Personal and fnancial Information that is transmitted between our server and your browser. We encrypt the Information using Secure Socket Layer (SSL) technology. SSL technology protects Information as it crosses the Internet. In order to support this technology, you need an SSL-capable browser.

We do not sell your Personal Information to any third parties. However, we do reserve the right to disclose or report Personal Information under certain circumstances. These circumstances include: where we deem it necessary or prudent to do so when disclosure is required under law to cooperate with regulators or law enforcement authorities; we may occasionally use your Personal Information to provide you with additional information about products and services sponsored by selected third parties that we feel would be of interest to you; and/or your Information also may be available to other parties, such as our clearing frm, Electronic Transaction Clearing, which might need your Information to allow you to place orders and otherwise transact business with SMIA.

The SMIA website may contain links to other websites not operated or controlled by SMIA. SMIA is not responsible for the privacy practices or content of these other Web sites.

If you have any questions regarding the privacy and security of your personal and fnancial information, please contact us by email. Also, please read the Customer Agreement for additional information concerning your SMIA account.

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