Legal Disclaimer

Privacy Policy Notice

Please read this important information before proceeding further. It contains legal and regulatory notices relevant to the information contained on this website.

Nothing on this website should be construed as a solicitation or offer or recommendation, to acquire or dispose of any investment or to engage in any other transaction. The past is not necessarily a guide to the future performance of an investment. The value of investments may fall as well as rise and investors may not get back the amount invested and therefore the preservation of capital cannot be guaranteed.

The information contained herein is not directed to any person in any jurisdiction where (by reason of that person's nationality, residence or otherwise) the publication or availability of such information is prohibited. Persons in respect of whom such prohibitions apply must not access this website.

The distribution of prospectuses and the offering of shares may be restricted in certain jurisdictions. Prospective investors are advised to consult their financial advisor and to take separate advice as to the legal requirements within their own countries for investment in any of the funds as well as any securities, taxation or exchange control legislation affecting them personally.

This Privacy Policy Notice (the "Notice") covers the policies and practices of Vega Capital Group LLC (“Vega Capital Group”).

Protecting Your Privacy

Vega Capital Group recognizes that safeguarding personal and financial information about our clients is an essential commitment that we make and trust we hold. In this regard, we have adopted certain policies and procedures concerning the use of personal and financial information we collect about our clients. These policies and procedures govern the activities of our officers, directors and employees and strictly limit our ability to use or distribute personal and financial information about you. This Notice outlines those policies and procedures.

Collection of Information

We may receive personal and financial information about you from the following sources:

  • • Information you provide us on applications or other forms or which may be publicly available (this includes your name, address, social security number, assets and income);
  • • Information you direct or authorize us to obtain from third parties such as advisers or custodians (including investment, legal, insurance or other financial advisers, or brokerage houses, banks or asset custodians);
  • • Information you give us orally; and
  • • Information about your financial transactions with us (such as your account balance, payments history) or others.

We do not disclose any personal or financial information about our clients or former clients without their authorization or direction, except as disclosed below.

Information sharing with unaffiliated Third Parties as Permitted by Law

From time to time, we may provide information to third parties (such as brokers, other financial, legal, insurance or investment advisers, or custodians) to complete a transaction you have requested, to help us service your account or as specifically directed by you or your agent. However, any such disclosure not specifically requested by you will only be as permitted by law and only as reasonably necessary for Vega Capital Group or such third parties to provide the agreed services to you. All companies with whom we do business are contractually obligated to comply with strict standards regarding security and confidentiality, and the information can be used only for the sole purpose of providing the service we have requested the company to perform.

Sharing Information in Other Situations

We may also disclose information about you as required by law, such as when we respond to subpoena or other legal process or reporting to a credit bureau. When responding to a subpoena or other legal process, we will provide you with any required notice and, whenever practicable, we will discuss our response with you.

Keeping Information Safe and Accurate

We limit access to information we have about you to those employees who have a reasonable need to know to provide you with services to help you meet your financial needs. We maintain physical, electronic and procedural internal safeguards that comply with federal laws and regulations to guard the information we have about you.

An Ongoing Commitment to Your Privacy

We are just as committed to protecting the privacy of our former clients as we are of our current clients. If you choose to end your relationship with us, you will continue to be protected by the privacy policies and principles described in this policy or any future amendments to this policy.

Other Ways to Protect Your Privacy

There are several things you can do to protect yourself and your family from identity theft and related crimes. Helpful tips can be found on the Federal Trade Commission’s Identity Theft website or by calling 1-877-IDTHEFT. This website also provides you with important information on what you should do if you believe you are a victim of identity theft. If you have been a victim of identity theft, please contact us immediately so we can assist you with any issues related to your accounts with Vega Capital Group.

This Notice does not expand legal obligations. This Notice is not intended to create any liability other than that already found in the law. This notice is effective as of March 31, 2023. There have been no significant changes to the policy since March 31, 2022.

CRD #129494 / SEC 801-111064

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Legal Disclaimer, Privacy Policy