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Institutional Financial Markets, Inc. WEBSITE TERMS OF SERVICE
This content is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security referred to. By accessing and using this site you agree to the following Terms of Service:
BEST EXECUTION / PAYMENT FOR ORDER FLOW
The Securities and Exchange Commission, in Rule 11Ac-1-6, requires Institutional Financial Markets, Inc. to publicly report each quarter on its routing of non-directed orders in securities.
Order Routing Information
RBC Correspondent Services (RBC CS), a division of RBC Capital Markets Corporation To read on online summary of Institutional Financial Markets, Inc. execution data for accounts held at RBC Dain Rauscher, click here:
Also, Institutional Financial Markets, Inc. must disclose information each quarter relating to execution practices, including:
PATRIOT ACT DISCLOSUREIMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT OR ESTABLISHING A NEW CUSTOMER RELATIONSHIP
To help the U.S. government fight the funding of terrorism and money laundering activities, Federal law requires all U.S. financial institutions to obtain, verify, and record information that identifies each individual or institution that opens an account or establishes a customer relationship with Cohen & Company Capital Markets. What this means: If you enter into a new customer relationship with Cohen & Company Capital Markets, the Firm will ask for your name, address, date of birth (as applicable), and other identification information. This information will be used to verify your identity. As appropriate, the Firm may, in its discretion, ask for additional documentation or information. If all required documentation or information is not provided, Cohen & Company Capital Markets may be unable to open an account or establish a relationship with you.
Institutional Financial Markets, Inc. BUSINESS CONTINUITY PLANNING
Institutional Financial Markets, Inc. is committed to providing reliable, trustworthy service that represents the best interests of our clients. The firm has developed a business continuity plan to protect our clients and employees in the event of an emergency or significant business disruption. The plan is designed to help prepare for securing employees' safety and firm property, making financial and operational assessments, promptly recovering and resuming operations, protecting the firm's books and records, and allowing our clients access to their funds and securities.
If after a significant business disruption you cannot contact us as you usually do at 800·826·6096, you should call our alternative number (215·701·9555) or go to our web site at www.ifmi.com. If you cannot access us through either of those means, you should contact our clearing firm, RBC Dain Rauscher, at 866·358·2729 (www.RBCDainCS.com) for instructions on how it may provide prompt access to your funds and securities, enter orders and process trade-related, cash, and security transfer transactions for your account.
The business continuity plan considers various scenarios that range in severity from a firm- or building-only disruption to an emergency situation on a local or regional level. For example, in the event any Institutional Financial Markets, Inc. office locations are inaccessible, alternative locations are established and prepared to facilitate business operations. Regardless of whether the disruption affects our building only or is local or regional, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site (www.ifmi.com) or our customer emergency number (215·701·9635). If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.
The firm has redundancies in place for its business-critical systems and believes that it can usually be able to resume business within the same day as the disruption. Our goal in all situations is to return to normal business conditions as soon as possible, with minimal impact on our clients and employees. Even in an extreme situation where continuing business may not be possible or practical, Institutional Financial Markets, Inc. has plans in place that provide clients with access to their funds.
Institutional Financial Markets, Inc. business continuity plan is subject to change at any time without notice. However, notwithstanding the above, Institutional Financial Markets, Inc. does not guarantee that for every disaster or business disruption, such plans will be successfully implemented or that such plans will be sufficient and appropriate to avoid, deter or mitigate the disaster or business disruption.
We Are Committed to Protecting Your Personal Information
This Privacy Statement outlines the types of information we gather about you, how we use it and with whom we might share it. We urge you to read this Privacy Notice so that you will understand our commitment to you and to your privacy.
The Types of Personal Information We Collect
The types of information we collect and maintain may include:
How Personal Information is Used
Institutional Financial Markets, Inc. will only grant access to your personal information to those employees who have a business purpose for accessing such information. In that regard, we have implemented certain physical, electronic and procedural safeguards to ensure that access to personal information is limited to the appropriate employees. Moreover, Institutional Financial Markets, Inc. requires its employees to protect your personal information and keep it confidential.
In order to provide you with the appropriate level of service, we may share account and transactional information within Institutional Financial Markets, Inc. We may also share personal information described above with firms that assist us in carrying out your needs. For example, we may share your personal information for specific business purposes with the following companies:
Be assured that Institutional Financial Markets, Inc. does not sell personal information to anyone. Additionally, we treat the personal information of our former clients in the same manner as we treat the personal information of our current clients.
We also reserve the right to disclose your personal information in certain circumstances where we feel that disclosure is required by law, to assist law enforcement officials or officials of regulatory agencies, to perform credit checks or collect monies owed to us, and to protect our rights and property.
The Accuracy of My Personal Information
At Institutional Financial Markets, Inc., our goal is to maintain current and accurate information about you in order to properly service your needs. Consequently, Institutional Financial Markets, Inc. clients can have reasonable access to their personal information to verify the accuracy of this information. You may either write or call your Institutional Financial Markets, Inc. representative to request your personal account information. If you identify any error in your personal information or you would like to update your records, please advise your Institutional Financial Markets, Inc. representative.
Thank you and we appreciate your business.
Institutional Financial Markets, Inc.
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