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LEGAL NOTICES
• TERMS AND CONDITIONS
In consideration of International Assets Advisory, LLC ("IAA") permitting you access to certain information, documents and other materials through IAA's World Wide Web site on the internet ("Site"), you (which term, as used in herein, includes you personally and the company or other organization on whose behalf we grant you access to the Site) hereby agree to the following terms and conditions (this "Agreement"). This Agreement is in addition to, and does not nullify, any other agreement ("Customer Agreement") between you and IAA governing the conduct of your relationship with IAA.
You acknowledge that the Site is for informational purposes only and does not constitute investment advice, an offer to sell, or a solicitation of an offer to buy any security, other investment or investment service, which may be referred to in the Site. You also acknowledge that not all securities, other investments or investment strategies are suitable for or are eligible to be offered to all investors. If you interested or have any questions about any security, other investment, investment strategy or investment service discussed in the Site, we urge you contact your IAA Account Representative.
Access Provided
Your access to the Site and/or the Material may be modified by IAA at any time or from time to time with or without notice. You agree to comply with any rules or restrictions posted by IAA on the Site.
No Obligation to Keep Information Current
The Material reflects the respective authors' analyses as of the date each such Material was initially published. Further, IAA is not under any obligation to update the Material to reflect circumstances that may occur after the date initially published. Due to legal restriction or other reasons, IAA may not update any Material to take into account material changes or new information.
Blue Sky and Foreign Laws
The Material may discuss numerous securities, some of which may not be qualified for sale in certain states or countries, and therefore, may not be offered to investors in such states or countries.
Furthermore, Investing in securities denominated in currencies other than the U.S. dollar involves certain considerations comprising both risk and opportunity not typically associated with investing in U.S. securities. The security may be affected either favorably or unfavorably by fluctuation in the relative rates of exchange between the currencies, by exchange control regulations, or by indigenous economic and political developments.
Disclaimers
The information contained in this Site is based on carefully selected sources, believed to be reliable, but whose accuracy or completeness cannot be guaranteed. Any opinion herein reflects our judgment at this date and is subject to change without notice. Affiliates, officers, directors, and employees of IAA, may be long or short and buy or sell securities mentioned in this Site. This publication is not and should not be construed as an offer or solicitation to buy or sell securities mentioned herein.
• SEC-REQUIRED REPORT ON ROUTING OF CUSTOMER ORDERS
Our clearing firm, First Clearing LLC has prepared the following report pursuant to a U.S. Securities and Exchange Commission rule, which requires all brokerage firms to make publicly available quarterly reports on their order routing practices
IAA directs its order flow to its clearing broker, First Clearing Corporation LLC, for routing and execution. IAA does not receive compensation for directing order flow to First Clearing. To view First Clearing's report, please click on the link below:
http://www.firstclearingllc.com/Report/FirstClearing/default.htm
To obtain information about the routing of a specific order executed within the prior six months, please send your written request to Hope L. Newsome, Chief Compliance Officer, at International Assets Advisory, LLC, 300 South Orange Avenue, Suite 1100 , Orlando , FL 32801 .
• INTERNATIONAL ASSETS ADVISORY, LLC
ANTI-MONEY LAUNDERING PROGRAM
In response to the terrorist attacks on September 11, 2001 , the US Congress passed the USA Patriot Act (Patriot Act). Section 326 of the Patriot Act provides that Treasury and SEC issue a rule that, at a minimum, requires broker/dealers to implement reasonable procedures to: (1) verify the identity of any person seeking to open an account, to the extent reasonable and practicable; (2) maintain records of the information used to verify the person's identity; and (3) determine whether the person appears on any lists of known or suspected terrorists or terrorist organizations provided to brokers or dealers by any government agency.
For more information on the USA Patriot Act please visit the FINRA website at www.finra.org
• INTERNATIONAL ASSETS ADVISORY, LLC
BUSINESS CONTINUITY PLANNING DISCLOSURE STATEMENT
International Assets 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 407-254-1500 or 800-432-0000, you should call our clearing firm, First Clearing Corporation, at 800-727-0304 / www.firstclearing.com for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions.
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 counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, First Clearing, 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 our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 24 to 48 hours or sooner. Your orders and requests for funds and securities 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 First Clearing when needed and expect to recover and resume business as soon as possible. In a disruption affecting our business district, city, or region, again, we will transfer our operations to First Clearing, which is located at a site outside of the affected area, and recover and resume business as soon as possible. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.iaac.com or our customer emergency number, 800-727-0304 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.
For more information - If you have questions about our business continuity planning, you can contact us at 407-254-1500 or 800-432-0000 or contact your financial advisor.
• PRIVACY POLICY
The following describes how International Assets Advisory, LLC ("IAA") handles your personal information and what steps we take to protect your privacy:
IAA has access to customer information for legitimate business purposes only. Only those employees who provide products or services to you or those who need your information to service your account are authorized to access your information. The company requires its employees who have access to customer information to protect it and keep it confidential.
To conduct regular business, we may collect nonpublic personal information from sources such as, information reported by you on applications or other forms you provide to us, information you report directly to your registered representative, and information about your transactions with our affiliates or others.
Security Standards
We safeguard this information in accordance with federal standards and established security standards and procedures. Measures we take in this regard include implementation of physical, electronic and procedural safeguards.
Sharing Information
In the course of conducting business, we may disclose some or all of the previously described information about you to our clearing firm, First Clearing LLC and other businesses as allowed by law, for the purpose of providing customer service or account maintenance or in response to a subpoena, to prevent fraud, or to comply with an inquiry by a government agency or regulator.
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