UNX: Policies

UNX, Inc. (UNX®) provides a trading platform for investment professionals. UNX's goal is to facilitate the trading objectives of our institutional investor clients.

UNX is committed to maintaining the confidentiality, integrity and security of personal information entrusted to us by current, potential and former financial service customers. When you submit nonpublic personal information in hardcopy or via the Web site, UNX will protect your information both online and off-line with the same degree of care that UNX uses for its proprietary information. If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices described in this notice.

UNX has implemented a comprehensive anti-money laundering program pursuant to the USA PATRIOT Act which requires designating an anti-money laundering compliance officer; conducting employee training; facilitating independent audits, and establishing policies and procedures to detect and report suspicious transactions and ensure compliance with these and any new laws. Under the USA PATRIOT Act, UNX, Inc. is required to ask you to provide various identification documents. Until you provide the information or documents we need, and until we have verified your identity, we may not be able to open an account or effect any transactions for you.

UNX provides market data, comprised of in-depth quotes and current news, to help our clients make more informed decisions on their equity trades and investment choices. Click here to view the complete terms and conditions for the usage of market data provided by UNX and our market data suppliers.

UNX is furnishing this information to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin account, you should carefully review the margin agreement provided by UNX's Clearing Firm. Consult with your representative regarding any questions or concerns you may have with your margin account(s).
Click here to view the complete margin disclosure statement.

UNX takes substantial steps to ensure the security of our systems and that our system's security meets or exceeds industry standards. All UNX employees are subject to a strict employment policy regarding confidentiality. UNX makes use of firewalls, encryption technologies, and user authentication systems and access control mechanisms to protect your personal information while allowing you access to information you need to make timely investment decisions.

UNX maintains backup facilities for its trading and data systems. In the event of a local disaster UNX will switch its trade and data processing to its backup facility. Customers should be able to contact UNX using the same contact phone numbers. Additional information will also be available by calling 818.759.6761. In the event of a major event which affects UNX's backup facilities, customers who maintain custody accounts should contact our clearing firm, Goldman Sachs Execution & Clearing, L.P, ("GSEC") at 212.357.2266. Customers will be able to access additional information regarding access to funds and securities, enter orders and process other trade/cash related transactions, to the extent practicable under the circumstances, by contacting GSEC directly at http://www.gs.com/client_services/electronic_execution_and_clearing/index.html.

UNX maintains mirror sites for all customer data, transaction data and other account information. As part of our Contingency Plan ("Plan"), we have backup systems for our wire traffic, power, phone systems and data processing. The Plan also addresses the transportation of our employees to other remote backup sites. Components of our Plan which address essential business functions necessary for us to continue servicing our customers are tested quarterly. Information regarding the Plan may be obtained by sending a request to info@unx.com.

We collect your personal and financial information on account applications and other forms in order to open and service your account. We may obtain additional information from consumer reporting agencies such as credit bureaus. We may also collect data on how you use our Web site for regulatory, security, and trouble-shooting purposes.

However, other than disclosures required by law and/or regulation, UNX will not share your nonpublic personal information with anyone without your permission. The only exception to this policy is that we do share some customer information with nonaffiliated third parties such as our clearing firms. However, we share only what is necessary to perform services for your account.

UNX uses online contact information submitted by our financial services customers for purposes set forth in this privacy policy and the Rules and Regulations for use of this Web site. For example, UNX may use the data regarding a user's home and/or business email address to assist a financial service customer in obtaining a forgotten password.

A cookie is a piece of data that is sent by Web site operators that typically is stored on the user's hard drive containing information about the user. UNX does not share this type of customer data with anyone.

UNX is a member of SIPC, which protects securities customers of its members up to $500,000 (including $100,000 for claims for cash). Explanatory brochure available upon request or at www.SIPC.org.