KNIGHT PRIVACY POLICY (as of June 30, 2012)

Our privacy commitment to you.
  • Protect Customer Information
  • Inform on use of Customer Information
  • Offer choices on the use of Customer Information and honor your choices
  • Collect, use and process Customer Information respectfully and lawfully
Knight Capital Americas LLC (Knight) is a registered broker dealer and a subsidiary of Knight Capital Group, Inc. (KCG). Knight has established the following guidelines to comply with Regulation S-P and the objectives of the Gramm Leach Bliley Act (GLBA). Our policy regarding customer privacy and the use of personal non-public information apply both to current and former customers.

This policy covers Customer Information, which means personally identifiable information about a customer or a customer's current or former customer relationship with Knight. The Knight Privacy Policy 2011 is provided to you as required by law.

This document includes the following information about how Knight manages Customer Information and what actions you can take:
  1. Collecting information about you
  2. Making the security of information a priority
  3. Managing information about you
  4. Honoring your choices
  5. Actions you can take
  6. Steps you should take to protect information about you
  7. KCG companies (US entities)
1. Collecting Information About You:

In order to provide you with products and services, better respond to your needs, assist us in keeping information up to date, and manage our business and risks for which you have requested, Knight may receive non-public information about you from the following sources:
  • Information we receive from you on applications or other forms, such as name, address, e-mail address, telephone number, Social Security number and other information that will help us determine if you are eligible for products you request. Examples include assets, income and debt.
  • Information about your transaction activity with us and/or affiliate companies of KCG.
  • Credit reporting agencies for verification of accuracy of application data and/or to access credit worthiness for credit products.
  • Other general information from outside sources, such as data from public records that is not assembled or used for the purpose of determining eligibility for a product or service. As required by the USA PATRIOT Act, we also collect information and take actions necessary to verify your identification.
2. Making the security of information a priority

Knight continues to assess new technology to evaluate its ability to provide additional protection of your personal information. We safeguard this information in accordance with federal standards and established security standards and procedures. Measures we take in this regard include implementation of physical, electronic and procedural safeguards. Appropriate employees are authorized to access Customer Information for business purposes only. Our employees are bound by a code of ethics that requires confidential treatment of Customer Information and are subject to disciplinary action if they fail to follow this code.

3. Managing information about you

Managing information

KCG is the parent company of several companies, which include Knight (Listed in Section 7 under KCG companies).

Knight may share any of the categories of Customer Information among KCG companies, as permitted by law. For example, sharing information allows us to use information about your transactions to identify any unusual activity and then contact you to determine if the activity is per your request.

Managing information with other entities

We may share any of the categories of Customer Information with other entities, including companies located outside the United States. All nonaffiliated companies that act on our behalf and receive Customer Information from us are contractually obligated to keep the information we provide to them confidential, and to use the Customer Information we share only to provide the services we ask them to perform.

Furthermore, we may share any of the categories of Customer Information with affiliates in order to provide marketing support and other services, such as, developing and implementing marketing strategies and creating marketing collateral in order to increase awareness of Knight's products and services among customers and enhance Knight's customer relationships. The affiliates are companies under KCG.

Disclosing information in other situations

We also may disclose any of the categories of Customer Information to the following third parties, including third parties located outside the United States:
  • To government agencies, self-regulatory organizations, and regulatory law enforcement authorities as necessary or required; and
  • As part of the sale, merger or similar change of a KCG entity; and
  • To other nonaffiliated third parties as requested by you or your authorized representative, or when required or permitted by law.
For example, we may disclose information in the context of an investigation of terrorism, money laundering, fraud prevention or investigation, risk management and security.

Where you have a contractual relationship with a third party in connection with a product or service (such as through an outside investment manager or custodian), we may share information in accordance with such arrangement and the handling of information by that party will be subject to your agreement(s) with it.

4. Honoring your choices

You have choices when it comes to how Knight shares and uses information.

Please note, if you choose to limit sharing or restrict marketing, you may not learn about new products and/or services.

Sharing among KCG companies

You may request that Application Information and Information from Outside Sources not be shared among KCG companies.

For sharing among KCG companies, each customer may tell us his or her choice individually.

Sharing information with third parties

If you have a Knight Account, you may request that we not share information about these accounts with third parties. If you request that we not share information with third parties, we may still share information:
  • With our service providers as discussed in Section 3 under Managing information with companies that work for us.
  • Where permitted or required by law as discussed in Section 3 under Disclosing information in other situations;
5. Actions you can take

You can tell us your choice by:
  • Talking to a client service representative at Knight.
  • Sending an email to your designated account representative at Knight.
You can make sure information is accurate by:
  • Telling us if it is incorrect by calling or writing to us at the telephone number or appropriate address for such changes on your statement or other account materials.
6. Steps you should take to protect information about you

Knight recommends that you take the following precautions to guard against the disclosure and unauthorized use of account and personal information:
  • Review your monthly account statements and report any suspicious activity to us immediately.
  • Do not respond to e-mails requesting account numbers, passwords or PINs. Call the institution to verify the legitimacy of the e-mail.
  • Memorize PINs and refrain from writing PINs, Social Security numbers, debit or credit card numbers where they could be found.
  • Shred documents containing any sensitive information before discarding, such as bank statements.
  • Confirm that an Internet site is secure by checking that the URL (Web address) begins with "https".
  • Review your credit report at least once every year to make sure all information is up to date. For a free copy of your credit bureau report, contact annualcreditreport.com or call 1.877.322.8228.
  • If you think you have been a victim of identity theft or fraud, you may contact the Federal Trade Commission (FTC) to report any incidents and to receive additional guidance on steps you can take to protect yourself. Contact the FTC at ftc.gov/idtheft or 1.877.438.4338.
Keeping up to date with our Privacy Policy

We may make changes to this policy at any time and will inform you of changes, as required by law. To access the most up-to-date Privacy Policy, you can visit our Web site at: knight.com/privacy.

7. KCG US Broker Dealers

Knight Capital Americas LLC

The aforementioned entities include any successor KCG entities. For a detailed list of current KCG companies that have customer relationships and to which this policy applies, please visit our Web site at knight.com.

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