Fisher Investments Privacy and Security

Fisher Investments’ (“FI,” “we” or “us”) commitment to you: We will never sell your private information to anyone.

If you have any questions about our privacy policy, please send us an email to privacy@fi.com. We’ll be glad to help!

INTRODUCTION

FI is the parent company of Fisher Wealth Management. FI provides investment management services to prestigious institutions and individuals worldwide. As a world-class organization, we are committed to providing the highest quality of service to all of our clients. We also have a responsibility to our clients, the public and our profession to deliver our services in a professional manner, with uncompromising values and standards. As such, we must and will in all respects comply with all applicable laws, regulations and requirements regarding privacy and security.

FI is committed to providing you with a clear explanation of its privacy policy. Our privacy policy covers privacy issues as they relate to all FI services (including our client website and all respective subdirectories) (collectively called "FI Services").

PRIVACY POLICY BACKGROUND

FI is registered with the U.S. Securities and Exchange Commission (the "SEC") as an investment adviser, and is required to comply with SEC Regulation S-P ("Reg. S-P"), as well as the U.S. Gramm-Leach-Bliley Act of 1999 (the "GLB Act"). Reg. S-P and the GLB Act require FI to have policies and procedures in place to protect the security and confidentiality of the non-public personal information of consumers and customers, and to provide a privacy notice to such persons describing our privacy policies and procedures.

To ensure consumer privacy laws are not violated, FI has adopted the policies and procedures described under the “Privacy Notice” heading below, which govern the activities of each officer, member, director, trustee and employee of FI (collectively called the “Personnel”).

GLOSSARY

"Consumer" – an individual or an individual’s legal representative that obtains or has obtained a financial product or service to be used primarily for personal, household or family purposes. A person becomes a consumer even if a questionnaire or application is withdrawn or denied or an advisory agreement does not become effective.

"Customer" – a consumer that has an ongoing relationship with FI, whereby FI is providing one or more financial products or services to the consumer (e.g., an advisory client of FI).

"Nonpublic personal information" –

All personally identifiable financial information.
While the GLB Act excludes publicly available information (e.g., a list of persons and their publicly listed telephone numbers), nonpublic personal information does include any list, description or other grouping of consumers (and publicly available information pertaining to them) derived using any nonpublic personally identifiable financial information that is not publicly available information.

PRIVACY NOTICE

FI collects non-public information about you from the following sources:

Information we receive about you on applications or other forms;
Information you give us orally; and
Information about your transactions with us or others.

We are committed to protecting your privacy and your non-public personal information. We do not sell or market your non-public personal information to unaffiliated organizations. We maintain physical, electronic and procedural safeguards to guard your non-public personal information. We hold our employees to strict standards of conduct regarding confidentiality, and employees who violate our privacy policy are subject to disciplinary process. We restrict access to your information to those employees who need to know that information to carry out their duties.

We do not disclose any non-public personal information about our clients or former clients without the client’s authorization, except as permitted by law. We may disclose the non-public information we collect to employees and affiliates, and unaffiliated third parties as permitted by law. Third parties may include law enforcement agencies, government and regulatory authorities, and professionals such as our legal counsel and auditors, and we may disclose information for reasons such as audit purposes, prevention of fraud or money laundering, protection of confidentiality, compliance with laws, and to provide agreed upon products and services to you. Third parties may also include service providers performing financial services for us (such as brokers and custodians) and service providers performing non-financial services for us (such as third parties performing computer related or data maintenance, marketing or other services for us or to assist us in offering our products and services to you). It is our policy to require all third party service providers that will receive information to sign strict confidentiality agreements agreeing to safeguard such information and use it only for the purpose it was provided.

PRIVACY POLICY UPDATES