Ark Financial Privacy Policy

Policy

Ark Financial, LLC (Ark Financial) strongly believes in the responsible use of information we collect about individuals. Our policies and procedures are designed to protect the confidentiality and security of non-public personal information. The material below sets out our privacy policy and describes how we treat information we receive about you if you become a current or former Ark Financial customer, or apply for any of our products or services.

Why we need to know about you

We need to know about you so that we can provide you with the appropriate recommendations for the financial services you request. We may also need information from you and others to help us verify your identity in order to prevent money laundering or terrorism.

What we need to know about you includes your address, age, and other basic information. But we may need to know more about you, including your finances, employment, health, or business you conduct with us, with our affiliates or with other companies.

How we learn about you

What we know about you, we mostly get from you. But, we may also have to find out more about you from other sources in order to make sure what we know about you is correct and complete. Those sources may include your spouse, adult relatives, employers, consumer reporting agencies, healthcare providers, and others. Some of our sources may give us reports, and they may disclose what they know about you to others.

How we protect what we know about you

We treat what we know about you confidentially. Our employees are told to take care in handling your information and are required to abide by our Confidential Information Security Policy. They may get information about you when there is a good reason to do so. We take steps to make our computer databases secure and to safeguard the information we have about you.

We aim to collect and use your information in a responsible and non-discriminatory manner by restricting the use of your information to purposes consistent with those identified in our policy and any privacy notice that we may provide to you. Our policy and notices help you to understand how we use your information and, where required, to make an informed choice to consent (or not) to the collection and use of your information. In certain circumstances, we restrict sensitive information in order to prevent you from being identified, such as when we analyze aggregate data in order to better serve our customers.

We provide employees with privacy training, promote privacy awareness, and have implemented ongoing monitoring and testing of privacy risks and compliance with applicable privacy laws and company policy.

How we use and disclose what we know about you

We may use anything we know about you to help us serve you better. We may use it, and disclose it to our affiliates and others, for any purposes allowed by law. For instance, we may use your information, and disclose it to others, in order to:

• Help us evaluate your request for Ark Financial’s financial services
• Help us process transactions with the assistance of third-party affiliates and advisors
• Confirm and correct what we know about you
• Help us prevent fraud, money laundering, terrorism, and other crimes by verifying what we know about you
• Help us run our business
• Perform research for us
• Help us comply with the law
• Audit our business

Other reasons we may disclose what we know about you include:

Doing what a court or government agency requires us to do; for example, complying with a search warrant or subpoena
Telling another company what we know about you, if we are or may be selling all or any part of our business or merging with another company Giving information to the government so that it can decide whether you may get benefits that it will have to pay for When we disclose information to others to perform business services for us, they are required to take appropriate steps to protect this information. Furthermore, they are required to sign the appropriate Non-Disclosure Agreement prior to the release of your personal information. They may use your information only for the purposes of performing the required business services.

We may use what we know about you in order to offer you other financial products and services. However, we will not share non-public information about our clients and former clients to anyone, except as necessary to effectuate the purpose of our business relationship or as required by law.

How you can see and correct your information

Generally, we will let you review what we know about you if you ask us in writing. (Because of its legal sensitivity, we will not show you anything that we learned in connection with a claim or lawsuit.) If you tell us that what we know about you is incorrect, we will review it. If we agree with you, we will correct our records. If we do not agree with you, you may tell us in writing, and we will include your statement when we give your information to anyone outside Ark Financial, LLC.

You may have additional rights under other privacy laws

In addition to any other privacy notice we may provide, federal law has established privacy standards and requires us to provide a summary of our privacy policy to our customers once each year. Individuals may have additional rights under other applicable laws.

How you can get other material from us

If you have any questions regarding our privacy policy, please write to us at Admin@ArkFG.com or:

Ark Financial, LLC

3520 Executive Center Drive, Suite 124

Austin, TX 78731