Confidentiality and Privacy Practices
Certified financial planner professionals, as well as all other providers of financial services to consumers, are now required by law to inform existing and prospective clients about their policies regarding the privacy of information. At Diesslin Group, Inc., we are committed to maintaining the highest degree of confidentiality for each of our former, current, and future clients.
Committed to Protecting Your Personal Information
Diesslin Group, Inc. is committed to protecting the confidentiality of all non-public personal information and records, which include, but may not be limited to, the information contained in a “Client Questionnaire” and personal background information, as well as each client’s entire personal financial situation.
The latter may include investment holdings and allocations, account numbers and balances, as well as investment objectives and contracts.
Our firm will not disclose confidential client information to third parties (including the client’s other family members) without the client’s express authorization, except as may be necessary for the following purposes:
- To establish, service, and maintain accounts, such as brokerage accounts.
- To effectuate transactions on the client’s behalf.
- To comply with legal and regulatory requirements, such as court orders or demands by regulatory bodies.
- To defend the firm against charges of wrongdoing in connection with a dispute between the firm and the client or in the process of obtaining protection of the confidentiality or security of client records.
Safe and Confidential
We do not provide client names to anyone or any entity except in limited circumstances in which we are asked to provide references and the listed clients have given us permission to do so.
Our firm maintains internal administrative, electronic, and physical safeguards to protect client information. All employees of Diesslin Group, Inc. are required to sign a “Confidentiality and Privacy Agreement” and an “Insider Trading Policy,” which restrict their usage of client information to internal use only.
Bound by Codes of Ethics and Standards
We, at Diesslin Group, Inc., as wealth managers, are bound by Codes of Ethics and Standards that are even more stringent than those required by federal law. We always have and will always protect our clients’ privacy rights to the best of our ability.
Should you have any questions regarding your privacy and confidential information, feel free to contact us.