Form of Notice to Clients
To help the government 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 becomes a client of Foro Capital Markets, LLC ("FCM") and in some cases to verify the identity of individuals associated with a prospective client of FCM.
What this means for you: Before you enter into a relationship with us, we will ask for your name, address, taxpayer identification number and other information that will allow us to identify you. We may also ask to see identifying documents or request further documentation from you and may verify your information through other means.
If you cannot provide us with documentation that is acceptable to us, or if we desire to independently verify any of the information you provide to us, we may request information about you from credit bureaus, public databases, or other sources, and by checking references with other financial institutions.
We must keep a copy of the documents you provide to us, or that we receive from outside sources, in our files. We will take care to preserve the confidentiality of all information and documentation we receive from you or concerning you, however we are obligated to provide a copy of such documentation to regulatory authorities upon request. This applies whether you become a client of FCM or not, and applies after you are no longer a client of FCM.