When you provide information to Rives, Leavell & Co., either via our Account Executives or the Internet, we protect your privacy. We do not sell, rent, or exchange customer information. We share identifiable information only with those parties entrusted with the processing of your account and the fulfillment of your order. We have established procedures to protect your privacy, which we vigorously uphold. Of course, this policy does not apply to information we are required to disclose by law.
Customer information is gathered so we can better serve you, and we make every effort to ensure its security and to treat your information responsibly. From time to time, you may receive mail, e-mail or telephone calls from a Rives, Leavell & Co. representative in order to update your account or communicate information which we hope might be of interest to you. Rives, Leavell & Co. will NEVER ask you for personal account information in response to an e-mail or at a web site you reached via an e-mailed link.
At any time, you may request that your name be removed from any or all of these methods of communication.
Frequently Asked Questions - Rives, Leavell & Co.
1. What steps are taken to keep my personal information private? Your information is sent to us through a "secure server" established with Secure Socket Layer (SSL). This technology encrypts, or scrambles, your account information before it is sent to us, making it virtually impossible for anyone other than Rives, Leavell & Co. to read it. We protect all customer data against unauthorized access. We use secure technology, privacy protection controls and restrictions on employee access to safeguard your personal information.
2. Does Rives, Leavell & Co. protect my e-mail address, too? We use your e-mail address to provide fast customer service communications and other services. Rives, Leavell & Co. does not sell, rent or exchange your identifiable customer information, including e-mail addresses.
3. How can I change, correct, or update the information on my account? You may change, correct or update the information on your account through notification to our office by phone (800-748-8877), e-mail (firstname.lastname@example.org) or written correspondence (Rives, Leavell & Co., P.O. Box 4900, Jackson, MS 39296). Depending upon the type of change requested, we may take action to verify the authenticity of your request.
Important Information About Account Procedures
Rives, Leavell & Co. is subject to the US PATRIOT Act, which was passed as a result of the September 11, 2001 terrorist attacks to fight the funding of terrorism and money laundering activities. Federal law requires all financial institutions to:
- obtain, verify, and record information that identifies each person who opens an account; and
- consult government agency lists of known or suspected criminals, terrorists and terrorist organizations to see if someone trying to open or maintain an account is on any such list.
What this means for you: When you open an account or add a new registrant to your existing account, we will ask you for certain information such as name, address, phone number, date of birth and tax identification number that will allow us to identify you or that person. In certain cases we may also ask you to provide us with a copy of a driver's license or other identifying documents.
If you prefer, call 1-800-748-8877, and a Customer Service Representative will take your call. Or, you can write to us at Rives, Leavell & Co., P.O. Box 4900, Jackson, MS 39296.
Rives, Leavell & Co. reserves the right to modify, change or replace this policy at its discretion.
Rives, Leavell & Co.'s Business Continuity Planning
Rives, Leavell & Co. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us - If after a significant business disruption you cannot contact us as you usually do at by phone at 601-948-4500, toll free at 800-748-8877, or by email at email@example.com, you should call our alternative number 601-321-1808 or go to our web site at http://www.RivesLeavell.com where we will post contact information in the event of a significant business disruption. If you cannot access us through either of those means, you should contact Reliance Trust Company, at 800-845-4040 for (1) instructions on how to provide for the settlement of any open transactions you have related to our current offerings or (2) customer service questions related to any outstanding bonds or an IRA account held with them. During any such business disruption we may halt the sale of our current offerings until we can be assured that correct inventory balances can be maintained and transactions processed securely and accurately.
Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and other-party impact; and regulatory reporting.
Reliance Trust Company (Escrow Agent, Registrar and Paying Agent for all of our issues and IRA Custodian for many of your IRA accounts) backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by them that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments within the same business day. The placement of your orders, the processing of your payments and the delivery of your Certificates of Registration could be delayed during this period.
Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a one week period. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within a two week period of time. In either situation, we plan to continue in business, and may transfer certain operations to Reliance if necessary, and notify you through our web site (http://www.RivesLeavell.com) or our customer emergency number, 601-321-1808, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will, to the best of our ability, notify all our customers.
For more information - If you have questions about our business continuity planning, you can contact us by phone at 601-948-4500; toll free at 800-748-8877 or by email at firstname.lastname@example.org.
(c) RIVES LEAVELL & CO. ALL RIGHTS RESERVED Revised: December 2007