Like all providers of personal financial services, investment advisers are required by law to inform clients of their policies regarding privacy of client information. Castle Rock Investment Company, (“CRIC”), adheres to professional standards of confidentiality that are even more stringent than those required by law. The security and privacy of participant personal and financial information is always protected and this policy explains how the personal information collected from plan participants, or otherwise received about plan participants, is handled.
Nonpublic information that is collected may include a participant’s name, address, assets, age, social security number, income, net worth, account balance, account number, beneficiary designations and investment activity.
Participant information described above will never be sold to anyone but may be shared with government agencies or authorized third parties as required by law. For example, CRIC may be required to share such information in response to subpoenas or to comply with certain laws. Also, as necessary, participant information may be shared to complete transactions, make account changes or service their account (for example, communications with a participant’s accountant).
Records relating to CRIC’s professional services are retained as required by law and to comply with professional guidelines. In order to protect the nonpublic personal information collected, we maintain physical, electronic, and procedural safeguards that comply with our professional standards. Access to personal information is restricted to those employees of CRIC that need collected information to provide services to participants. Employees who deal with personal information are trained to adhere to strict confidentiality standards. Any employee who violates these standards is subject to discipline.
If you have any questions, or need assistance in any way, please do not hesitate to contact Castle Rock Investment Company at (303) 725-7086.