Joseph Vu & Company is committed to safeguarding the confidential information of our clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you (or are authorized by you to collect) in connection with any of the services we provide. We will not disclose personal information to nonaffiliated third parties, except as permitted or required by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under the law from doing so without advising you first. Our policy with respect to how we handle personal information about you is listed below.
* We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
* We will only provide nonpublic information to unaffiliated third parties as permitted or required by law, or with your express written or verbal consent.
* For unaffiliated third parties that require access to your personal information, including financial service companies, consultants, auditors, or other service providers we may utilize to outsource operational or administrative procedures, we require strict confidentiality in our agreements with them and expect them to keep this information private.
* We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
* Personally identifiable information about you will be maintained during the time you are a client, and at least for the time period thereafter that such records are required to be maintained by federal and state law. If we choose to dispose of such records after the required retention period, all documents containing personally identifiable information will be destroyed.
* We will take instructions regarding each portfolio from the registrant of any account in a portfolio covered by an asset management agreement, unless otherwise requested verbally or in writing. For instance, if a portfolio consists of two accounts, John Doe’s account and Jane Doe’s account, we will discuss all assets with, or take instruction from, either John or Jane regarding all assets in the portfolio, provided that John’s and Jane’s assets are covered by the same asset management agreement. (For Investment Advisory clients only.)
* We limit employee access to information to those who have a business or professional reason for knowing.
This policy applies to current, former, and prospective clients.