Greystoke Privacy Policy

January 2013


Greystoke Consulting, Inc. (which herein will be referred to as “GCI”), takes your personal privacy seriously.  Because GCI values our relationship with you, GCI is committed to safeguarding all personal information that is collected from you.  The Greystoke Privacy Policy is as follows:


·        The categories of nonpublic personal information that GCI collects from a client depend upon the scope of the client engagement.  It would normally include the following information:


Ø  Personal ID & Family members (Contact info, DL#, SSN#,  Family info, & etc.)

Ø  Your personal finances (Assets, Net Worth, Taxes, & etc.)

Ø  Your health to the extent that is needed for the planning process (DOB, Illnesses, & etc.)

Ø  Transactions between you and third parties (Investments, Holdings, & etc.)


·        Access to your information is limited to employees and agents of GCI, and to nonaffiliated parties only as permitted by law.  For example, Federal & State regulations permit us to share a limited amount of information about you with a brokerage firm (or with your permission a CPA, and/or lawyer & etc.) in order to:


Ø  Execute securities transactions on your behalf (trades)

Ø  Help provide you with better service and perform services on your behalf (transfer money)

Ø  Respond to communications from you (which would include account #’s, or investments)

Ø  Ease in completing forms (excluding signature and/or initials)


·        GCI maintains a secure office and computer environment to ensure that your information is not placed at unreasonable risk (i.e. Phishing or identity theft). If you suspect fraud or Identity theft, the faster you act the better, please call GCI and/or your Broker Dealer promptly. GCI regularly reviews policies and practices, monitors our computer networks, and tests the strength of its security. For additional security purposes GCI: changes all passwords at least quarterly, runs anti-virus and spy-ware software weekly on all computers. All employees are issued Authentication Cards for Schwab Institutional log-on.


·        For unaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors, GCI requires strict confidentiality of agreements, beyond those provided by third parties and excuted by GCI clientele, with third parties and expect them to keep this information private.  Federal and State regulators also may review firm records as permitted under law. All employees & third party affiliations are required to sign a Greystoke Privacy Policy, which is updated with Policy changes.


·        GCI does not provide your personally identifiable information to mailing list vendors or solicitors for any reason.


·        Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws, and consistent with the CFP® (Certified Financial Planner) Board Code of Ethics and Professional Responsibility (attached).  After this required period of record retention, all such information will be destroyed.


·        GCI may share your personally identifiable information with the CFP® Board of Standards, Inc., as part of complying with the CFP® Board’s Code of Ethics and Professional Responsibility.


·        GCI must provide an “opt-out” for the sharing of client’s personal information with unaffiliated parties. Please notify us in writing if you prefer that GCI does not disclose your nonpublic personal information to unaffiliated parties.


·        If you would not like for GCI to call, email or send mail to certain places in regards to your personal account(s), investments, or information, please complete the appropriate forms and return promptly. If GCI does not receive the following restrictions from you, GCI will assume such permissions to send you forms, statements, market updates and any other information GCI feels necessary to efficiently manage your account(s).


·        If you decide to close your account(s) or become an inactive client, GCI will adhere to the privacy policies and practices as described in this notice.



Federal and State law requires GCI to provide you with a current copy of the Greystoke Privacy Policy each year. 



Thank you for choosing Greystoke Consulting, Inc.  We appreciate your business.