It is the Policy of TARTAN FUNDS, LLC to keep confidential non-public personal information pertaining to each current and former client and or investor (i.e., information and records pertaining to personal background, investment objectives, financial situation, investment holdings, account numbers, account balances and the like) unless TARTAN FUNDS, LLC is:
Previously authorized to disclose information to individuals and/or entities not affiliated with the investment advisor, including, but not limited to the client’s and or investor ’s other professional advisors and/or service providers (i.e., attorneys, accountants, insurance agents, broker/dealers, investment advisors, account custodians, and the like); or,
Required to do so by judicial or regulatory process; or,
Otherwise permitted to do so in accordance with the parameters of
The disclosure of such information contained in any document completed by the client and or investor for processing and/or transmittal by the investment advisor, investment manager or related entity in order to facilitate the commencement, continuation, or termination of any business relationship between the client, investor and/or non-affiliated third party service provider (i.e., broker/dealer, investment advisor, account custodian, insurance company, and the like), including information contained in any document completed and/or executed by the client and/or investor for the investment advisor/investment manager or related entity (i.e., advisory agreement, client and/or investor information form, and the like), shall be deemed as having been automatically authorized by the client and/or investor with respect to the corresponding non-affiliated third party service provider.
Regulation S-P SEC Publication
Gramm-Leach-Bliley Act *GLBA) Privacy of Consumer Financial Information
FINRA Publications Regarding Customer Privacy