AUIG Investments privacy policy

How and why we obtain personal information

AUIG takes great care to protect personal information about you and when we use it, we do so with respect for your privacy. We may use personal information about you to service, maintain, and protect your account; process transactions in your account; respond to inquiries from you or your representative; develop, offer, and deliver products and services; or to fulfill legal and regulatory requirements. AUIG may collect public and non-public personal information about you from any of the following sources:

• You or your representative on applications or forms (for example, name, address, Credit/Debit Card Information, Checking Account Information such as bank name, branch, account and routing numbers)
• Other interactions with AUIG (for example, discussions with our customer service staff, information you enter into our websites, or when you enroll in our authentication services)

Please note that information by which you cannot be identified (for example, anonymous or aggregated information) is not considered personal information and therefore is not subject to this privacy policy.

How we protect information about you

AUIG considers the protection of personal information to be a foundation of trust and a sound business practice. We employ physical, electronic and procedural controls and we regularly adapt these controls to respond to changing requirements and advances in technology.

At AUIG, we restrict access to personal information to those who require it to develop, support, offer and deliver products and services to you.

How we share information about you with third parties

AUIG does not share or sell personal information about our investors with unaffiliated third parties for use in marketing their products and services. We may share personal information with the following entities:

• Unaffiliated service providers (for example, printing and mailing companies, and other entities who may provide services at AUIG’s direction)
• Government agencies, other regulatory bodies and law enforcement officials (for example, for tax purposes or for reporting suspicious transactions)
• Other third-parties, with your consent or as directed by your representative (for example, if you use AUIG as a financial reference in applying for credit with another institution or if you use an external aggregation website or service that you have provided permission to access your AUIG financial account on your behalf)
• Other organizations as permitted or required by law (for example for fraud prevention or to respond to a subpoena)

Our service providers are obligated to keep the personal information we share with them confidential and use it only to provide services specified by AUIG.

Based on the nature of your relationship with AUIG, we may exchange information with other third parties as described below:

• If AUIG provides workplace services to your employer or plan sponsor, such as payroll, human resources or benefits advisory and/or recordkeeping services, AUIG may exchange any information received in connection with such services with your employer or plan sponsor or others they may authorize.
• If you conduct business with AUIG through your investment professional, we may exchange information we collect with your investment professional or with others they may authorize.

How we share information about you within AUIG

We may share personal information about you with various AUIG corporate affiliates including internal service providers which perform, for example, printing, mailing, and data processing services.

Additionally, if you interact with AUIG directly as an individual investor (including joint account holders) or if AUIG provides services to your employer or plan sponsor, we may exchange certain information about you with AUIG financial services affiliates, such as our brokerage and insurance companies, for their use in marketing products and services as allowed by law.

Information collected from investment professionals’ investors is not shared with AUIG affiliates for marketing purposes, except with your consent and as allowed by law.

Your digital privacy

Privacy, security, and service in AUIG’s online operations are just as critical as in the rest of our business. We use firewall barriers, encryption techniques, and authentication procedures, among other controls, to maintain the security of your online session and to protect AUIG accounts and systems from unauthorized access.

When you interact with us by using our websites, online services or mobile applications that are owned and controlled by AUIG Investments (“our digital offerings”), AUIG manages personal information in accordance with all of the practices and safeguards described previously.

When you use our digital offerings, we may collect technical and navigational and location information, such as device type, browser type, Internet protocol address, pages visited, and average time spent on our digital offerings. We use this information for a variety of purposes, such as maintaining the security of your session, facilitating site navigation, improving AUIG website design and functionality, and personalizing your experience. Additionally, the following policies and practices apply when you are online.

Cookies and similar technologies

AUIG and our third-party service providers may use cookies and similar technologies to support the operation of our digital offerings. Cookies are small amounts of data that a website or online service exchanges with a web browser or application on a visitor’s device (for example, computer, tablet, or mobile phone). Cookies help us to collect information about users of our digital offerings, including date and time of visits, pages viewed, amount of time spent using our digital offerings, or general information about the device used to access our digital offerings. AUIG cookies are also used for security purposes and to personalize your experience, such as customizing your screen layout.

You can refuse or delete cookies. Most browsers and mobile devices offer their own settings to manage cookies. If you refuse a cookie, or if you delete cookies from your device, you may experience some inconvenience in your use of our digital offerings. For example, you may not be able to sign in and access your account, or we may not be able to recognize you, your device, or your online preferences.

Both AUIG and third-party service providers we hire may use cookies and other technologies, such as web beacons, pixel tags, or mobile device ID, in online advertising as described below.

Connecting with AUIG on social media platforms

AUIG provides experiences on social media platforms that enable online sharing and collaboration among users who have registered to use them. We may collect information you provide by interacting with us via social media, such as photographs, opinions, or social media account ID. Any content you post, such as pictures, information, opinions, or any personal information that you make available to other participants on these social platforms, is also subject to the terms of use and privacy policies of those platforms. Please refer to them to better understand your rights and obligations with regard to such content.

Third Party websites and applications

Non-AUIG websites and mobile applications (for example, social media platforms) are not subject to AUIG’s privacy policy. You may visit the individual sites for additional information on their privacy practices and advertising opt-out instructions.

Protecting children’s privacy online

AUIG websites are not directed to individuals under the age of thirteen (13). AUIG does not intentionally collect information on AUIG websites from those we know are under 13, and we request that these individuals do not provide personal information through the sites.

Additional information

If you are a former investor, these policies also apply to you; we treat your information with the same care as we do information about current investors.

AUIG offers several options for accessing and, if necessary, correcting your account information. You can review your information by writing or calling us with your request for information. If we serve you through an investment professional, please contact them directly. Specific Internet addresses, mailing addresses and telephone numbers are listed on your statements and other correspondence.

 

Effective February, 2022
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