Privacy Policy

Protecting Confidentiality of Client Information

Confidential Client Information

In the course of the investment advisory activities of Atlantic Investment Management, Inc. (the "Company" or "Atlantic"), Atlantic gains access to non-public personal information about its clients. Such information may include personal financial and account information, information relating to services performed for or transactions entered into on behalf of clients, advice provided by Atlantic to clients, and data or analyses derived from such non-public personal information (collectively referred to as "Confidential Client Information"). All Confidential Client Information, whether relating to Atlantic’s current or former clients, is subject to this Privacy Policy.

Non-Disclosure of Confidential Client Information

Atlantic does not share Confidential Client Information with non-affiliated third parties, except in the following circumstances:

  • As necessary to provide the service that the client requested or authorized, or to maintain and service the client's account. Atlantic will require that any financial intermediary, agent or sub-contractor utilized by Atlantic (such as brokers or fund administrators) comply with substantially similar standards for non-disclosure and protection of Confidential Client Information and use the information provided by Atlantic only for the performance of the specific service requested by Atlantic.
  • As required by regulatory authorities or law enforcement officials who have jurisdiction over Atlantic, or as otherwise required or permitted by any applicable law. For example, Atlantic may disclose personal data to cooperate with regulatory authorities and/or law enforcement agencies, comply with legal orders and, as necessary, protect against or prevent actual or potential fraud, unauthorized transactions, claims or other liabilities.
  • To the extent reasonably necessary to prevent fraud, unauthorized transactions or liability.

Atlantic employees are prohibited, either during or after termination of their employment with Atlantic, from disclosing Confidential Client Information to any person or entity outside of the Company, including family members, except under the circumstances described above.

A Company employee is permitted to disclose Confidential Client Information only to such other Company employees who need to have access to such information to deliver Atlantic's services to the client.

Privacy Policy

Company employees are prohibited from making unauthorized copies of any documents or files containing Confidential Client Information and, upon termination of their employment with Atlantic, must return all such documents to the Company.

Any Company employee who violates the non-disclosure policy described above will be subject to disciplinary action, including possible discharge, whether or not they benefited from the disclosed information.

Security of Confidential Personal Information

Atlantic restricts access to Confidential Client Information to those employees who need to know such information to provide services to clients.

Atlantic maintains physical, electronic, and procedural safeguards to protect Confidential Client Information.

Privacy Notices

Atlantic shall provide each client with initial notice of Atlantic's current Privacy Notice at the time the client relationship is established.

Atlantic shall provide each client with a new notice of Atlantic's current Privacy Notice at least annually.

If, at any time, Atlantic adopts any material changes to the Privacy Notice described above, AIM shall provide each client with a revised notice reflecting the new Privacy Notice.

Enforcement and Review of Privacy Policies

Atlantic's Chief Compliance Officer is responsible for reviewing, maintaining and enforcing this policy. He or she may take any disciplinary or other action as he or she may deem appropriate. He or she is also responsible for conducting appropriate employee training to ensure employee adherence to this policy.