Renaissance Capital has created this privacy statement in order to demonstrate our firm commitment to privacy. We are committed to protecting the personal information you choose to share with us. We will not willfully disclose any individually identifiable information about our users to any outside source without your express consent.
Below is our privacy guarantee and some additional information about how we gather information about our users, why we gather it, and what we do with it.
Renaissance Capital Privacy Statement
Last Updated February 26, 2001
Our Commitment to Your Privacy: We have a long-standing policy of protecting the confidentiality and security of information we collect about our clients. We do not share nonpublic information about you ("Information") outside of the firm without your consent except for the specific purposes described below, in accordance with all applicable laws. This Notice describes the Information we may gather and the circumstances under which we may share it.
Why We Collect and How We Use Information: We limit the collection and use of Information to the minimum we require to deliver superior service to you. Such service includes advising you about our products, services and other opportunities, maintaining your accounts with us, processing transactions requested by you or other persons authorized by you and administering our business.
How We Gather Information: We get most Information directly from you, when you apply for, access and use our and our business partners' financial products and services - whether in person, by telephone or electronically. We may verify this information or get additional information from consumer reporting agencies or public sources. This Information may relate to your finances, employment, avocations or other personal characteristics, as well as transactions and interactions with or through us or with others.
How We Protect Information: Our employees, registered representatives and investment adviser representatives acting on our behalf are required to protect the confidentiality of Information and to comply with our established policies. They may access Information only when there is an appropriate reason to do so, such as to administer or offer our products or services. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your nonpublic personal information. Our Code of Ethics, which applies to all employees, restricts the use of customer information and requires that it be held in strict confidence.
Disclosure of Information: We may disclose any Information when we believe it necessary for the conduct of our business, or where disclosure is required by law. For example, Information may be disclosed for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies to help, among other things, prevent fraud or money laundering. In addition, we may disclose Information to third party service providers (i) to enable them to provide business services for us, such as performing computer related or data maintenance or processing services for us, (ii) to facilitate the processing of transactions requested by you, (iii) to assist us in offering our products and services to you, or (iv) for credit review or reporting purposes. We may also provide Information to non-affiliated companies with which we have joint marketing agreements, such as an agreement with another financial institution or an investment adviser, trust company or other company enabling us to offer you certain of its products or services. Except in those specific, limited situations, without your consent, we will not make any disclosures of Information to other companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell your name to a catalogue company or telemarketer.
Our Former Clients: Even if you are no longer a client, our Privacy Policy will continue to apply to you.
Access to and Correction of Information: Upon your written request, we will make available for your review any file we may maintain for your personal Information; provided, however, that any Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available. If you notify us that any Information is incorrect, we will review it. If we agree, we will correct our records. If we do not agree, you may submit a short statement of dispute, which we will include in any future disclosure of the disputed Information.
Further Information: We reserve the right to change this Privacy Policy at any time.
The IPO Plus Aftermarket Fund Privacy Statement
Last Updated May 6, 2002
Renaissance Capital, IPOHome’s affiliate, is a broker-dealer and the investment advisor to the IPO Plus Aftermarket Fund (IPO Plus Fund). The IPO Plus Fund is offered by prospectus only. The Prospectus contains more complete information, including fees, expenses, and risks involved in investing in initial public offerings. The prospectus should be read carefully before investing or sending money. You may obtain a prospectus through our web site www.ipohome.com or by calling the IPO Plus Fund’s toll-free number 1-888-476-3863.
Neither Renaissance Capital, the IPO Plus Fund, nor its agents will release information about IPO Plus Fund’s current or former shareholders or their IPO Plus Fund account(s), except as permitted by law, to any party not affiliated with Renaissance Capital or the IPO Plus Fund unless one of the following conditions is met:
IPO Plus Fund receives prior written consent from the shareholder.
IPO Plus Fund believes the recipient to be the shareholder or the shareholder’s authorized representative.
IPO Plus Fund is required by law to release information to the recipient.
Nonpublic personal information about IPO Plus Fund shareholders is collected from shareholders on the New Account Application or IRA Application or other forms, correspondence or conversations, and requests for forms or literature. Information about shareholders’ transactions and account positions with us, our affiliates or others is also collected. If shareholders believe that the IPO Plus Fund’s records are incorrect or out of date, they should notify the IPO Plus Fund by calling the toll-free number 1-888-476-3863.
The IPO Plus Fund does not give or sell information about its current or former shareholders or their IPO Plus Fund account(s) to any unaffiliated company, individual, or group, except as permitted by law. For example, we disclose all of the information we collect, as described above, to our transfer agent so that they can process shareholders’ transactions. We restrict access to shareholders’ nonpublic personal information to those employees who need to know that information so that they may provide products and services to you. We maintain physical, electronic and procedural safeguards that comply with federal standard to guard your nonpublic personal information. Our Code of Ethics, which applies to all employees, restricts the use of customer information and requires that it be held in strict confidence.
We may also share that information with third parties that perform administrative or marketing services for the IPO Plus Fund. When we enter into such a relationship, our contracts restrict the companies' use of our customer information, prohibiting them from sharing or using it for any purposes other than those for which they were hired.
Other Policies Applicable to our Web Site
Information Collected
When shareholders register for any online services, the IPO Plus Fund collects personal information needed to process their registrations and logins. The IPO Plus Fund also collects personal and financial information in connection with shareholders’ online transactions, online requests for literature, applications and forms. The IPO Plus Fund also collects information which is not personally identifiable to the user, such as referring URL addresses, time spent in certain areas of the site, and origination of the user.
Use of Personal Information
The personal information (e.g., name and address) we require when you request or download investment literature is used only to service your account and provide you with information on the IPO Plus Fund’s products and services. The IPO Plus Fund understands that reentering personal data to transmit a request can be time-consuming. Through the use of "cookies," which are data stored on your computer, your name and address may be preset on the request forms or access screens of our Web site in order make it easier for you to navigate through our site.
We may store your personal and financial information that is entered via the Internet. All inputs will only be stored if you register for these web services and log-in. The personal information we require is used to service your account and provide you with technical and customer support should you request it. We may also use aggregated user data from these web tools as part of research to develop new web features, tools and content. Consistent with our e-mail policy below, we will request your permission before we e-mail you with offers of the IPO Plus Fund’s products and services based on this information.
E-mail
The IPO Plus Fund does not sell or disclose shareholders or customer’s e-mail addresses to third parties. The IPO Plus Fund will not send shareholders e-mail without their permission, unless it relates to servicing their accounts. It is the IPO Plus Fund’s policy to include instructions for unsubscribing from these permission-based programs.
Surveys
Occasionally, we conduct surveys regarding our Web site or other products or services. The information you provide is used collectively for analytical purposes, and individual responses are not tracked. You will not receive unsolicited communications as a result of your participation in a survey if you notify us not to contact you.
Links to Other Sites
On our Web site, we may provide links to third parties that provide financial and other information which may be of interest to you. Should you choose to visit these sites, you should read their privacy policies to understand what information they collect from you and how they use it.
Shares owned through a financial intermediary
If shares of the IPO Plus Fund are owned through a financial intermediary including, but not limited to, a broker-dealer, bank or trust company, the privacy policy of that financial intermediary may govern how the non-public personal information would be shared with nonaffiliated third parties. IPO Plus Fund will only use information about its shareholders, or their IPO Plus Fund accounts, in order that they may better serve the shareholders’ investment needs or to suggest IPO Plus Fund services or educational materials that may be of interest to them.
Annual notification
As required by federal law, the IPO Plus Fund will notify its shareholders of the privacy policy annually. The IPO Plus Fund reserves the right to modify this policy at any time and will inform shareholders promptly. The privacy policy will also be accessible from our web site.
Security
The IPO Plus Fund protects your personal information when you transact business on our Web site by requiring the use of a browser software program that supports 128-bit encryption. The "128-bit" designation refers to the length of the key used to encrypt the data being transmitted, with a longer key representing a higher level of security. If you have any questions about our privacy policy, please e-mail us at renaissance@ipohome.com.
Copyright Policy
The content of the sites of Renaissance Capital, IPOhome, and IPO Plus Aftermarket Fund on the Internet are protected by applicable copyright laws. No permission is granted to copy, distribute, modify, post or frame any text, graphics, video, audio, software code, or user interface design or logos.
ALL INFORMATION AND CONTENT ON THE WEB SITES OF RENAISSANCE CAPITAL, IPOHOME AND THE IPO PLUS FUND ARE SUBJECT TO APPLICABLE STATUTES AND REGULATIONS, FURNISHED "AS IS", WITHOUT WARRANTY OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, OR NON-INFRINGEMENT.
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