LEGAL NOTICES
Your use of the UNX web site (the “Web Site”) is subject to the limitations set forth below. By using the Web Site and the information and content contained on, distributed through or linked, downloaded or accessed from the Web Site, you agree to the following limitations. You should read these Legal Notices (“Notices”) before accessing or using this Web Site.
UNX reserves the right to amend or supplement these Notices at any time. The terms of the Notices are governed by the laws of the State of California, without regard to its conflicts of law provisions thereof. The terms of the Notices may be amended, modified or supplemented at any time by UNX. Your continued access to and use of the Web Site shall be deemed to constitute your acceptance of any such amendments, modifications or supplements.
Disclaimers
(a) You acknowledge and understand that UNX provides no tax, legal or investment advice of any kind, nor does UNX give advice or offer any opinion with respect to the nature, potential value or suitability of any particular securities transaction or investment strategy. You further acknowledge that while you may be able to access certain information concerning securities through the UNX Web Site, the availability of such information does not constitute a recommendation to buy or sell any of the securities discussed therein.
(b) This document is not directed to, or intended for distribution to or use by, any person or entity who is a citizen of resident of or located in any locality, state, country or other jurisdiction where such distribution, publication, availability or use would be contrary to law or regulation or which would subject UNX or its subsidiaries or affiliates to any registration or licensing requirement within such jurisdiction.
(c) All information is provided “as is” without warranty of any kind. Because of the possibility of human and/or mechanical errors as well as other factors, UNX is not responsible for any errors or omissions in the information. Information and opinions on the Web Site were obtained or derived from sources UNX believes to be reliable. All warranties, conditions, representations, indemnities and guaranties with respect to the Web Site, and any information made available therein by UNX, whether express, implied, or statutory, arising by law, custom (including, but not limited to any warranty of satisfactory quality, accuracy, uninterrupted use, timeliness, completeness, merchantability, or fitness for a particular purpose and any implied warranties arising from trade usage, course of dealing or course of performance) are hereby overridden, excluded and disclaimed.
(d) The Web Site may contain hyperlinks to websites operated by persons other than UNX and you agree not to hold UNX responsible for the content or operation of such portions of the websites. A hyperlink does not and should not be deemed to suggest, imply or mean that UNX in any way endorses or supports the content, operator or owner of such hyperlinked website. UNX has not developed or reviewed the content appearing in or on such hyperlinked websites and UNX should not be deemed in any way to support or endorse any content therein.
(e) Notwithstanding the foregoing, in no event shall UNX be liable to you or any third party for lost profits, lost opportunity, special, indirect, exemplary, incidental, punitive or consequential damages whatsoever, even if UNX has been advised of the possibility of such damages.
(f) You agree to indemnify and hold harmless UNX from any injury or loss (including reasonable attorneys’ fees) suffered, incurred or asserted as a result of (i) any misuse by you of the Web Site, (ii) any third party actions related to your receipt and use of the Web Site, whether authorized or unauthorized, and (iii) any infringement by you of UNX’s intellectual property rights.
(g) If any provision of these Notices is determined to be invalid, superseded, illegal or unenforceable, in whole or in part, the validity, legality or enforceability of any of the remaining provisions or notices shall not in any way be affected or impaired thereby and shall continue in full force and effect.
Privacy Policy
UNX is committed to maintaining the confidentiality, integrity and security of personal information entrusted to it by current, potential and former 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, UNX will adhere to the privacy policies and practices described in this notice.
Type of information collected
UNX collects detailed personal information through the Web Site:
· if provided voluntarily by those who “Contact Us” (such as applicants for positions, potential customers, suppliers or interested parties)
· as part of the Web Site registration process to access the password-protected area of the Web Site.
The firm may collect the following personal information about you: your name, your company name, your company’s country, your company or your personal address, e-mail address and phone number. The firm may also collect generic and statistical information about you and your usage of the Web Site using standard website traffic analysis tools but we will only this data for internal marketing research. UNX may also set and access UNX cookies on your computer. Cookies are used as identification to permit access into this Web Site in place of login and password and to track your movement from one area of the Web Site to another only.
Disclosure to third parties
The firm collects your personal and financial information on account applications and other forms in order to open and service your account. The firm may obtain additional information from consumer reporting agencies such as credit bureaus. 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 UNX does share some customer information with nonaffiliated third parties such as its clearing firm. However, UNX shares only what is necessary to perform services for your account. UNX reserves the right to disclose your information in special cases, for example, when the firm has reason to believe that such disclosure is necessary to identify, contact or bring legal action against someone who may be infringing (or threatening to infringe) or who may otherwise be causing injury to or interference with (either intentionally or unintentionally), UNX’s title, rights, interests or property, or those of other web site users, or of anyone else who could be harmed by such activities. UNX also reserve the right to disclose, without notice to you, personal information in response to a subpoena or other judicial order or when the firm believes in good faith that such disclosure is required by any law, regulation or listing requirement, or by any securities exchange, governmental or regulatory authority.
By disclosing your personal information to UNX using this Web Site, you consent to the collection, storage and processing of your personal information by UNX in the manner set out in this notice.
Anti-Money Laundering Disclosure
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 is required to ask you to provide various identification documents. Until you provide the information or documents requested by the firm, and until the firm has verified your identity, UNX may not be able to open an account or effect any transactions for you.
Market Data Terms and Limitations
UNX provides market data available via its trading tools. A copy of the terms and conditions for the usage of market data provided by UNX is available here.
Margin Disclosure Statement
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 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.
Trademarks
UNX, Catalyst and the UNX logo are registered marks of UNX LLC. All other trade and service marks are the property of their registered owners.
Copyright
The works of authorship contained in the Web Site including, without limitation, all design, text and images are owned or used under license by UNX and are protected by copyright and other intellectual property laws. Such works may not be copied, reproduced, transmitted, displayed, performed, stored, distributed, used to create derivative works, altered, abridged or otherwise used in whole or in part without the prior written consent of UNX and/or its licensors, except for one temporary copy and one permanent copy to be used by you for personal, non-commercial use.
The content of the Web Site may not be taken out of context or presented in an unfair, misleading or discriminating manner. You agree not to remove any copyright notice or other notice signifying UNX’s or any third party’s intellectual property or other proprietary rights. Nothing contained on the Web Site shall be deemed or construed to confer any license or right, expressly, by implication, estoppel or otherwise, under any of UNX’s or any third party’s intellectual property rights.
Security
UNX takes substantial steps to ensure the security of its systems and that its 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.
Contingency Plan
UNX maintains backup facilities for its trading and data systems. As part of its Contingency Plan (“Plan”), the firm has backup systems for its wire traffic, power, phone systems and data processing. The Plan also addresses the transportation of employees to other remote backup sites. Components of the Plan which address essential business functions necessary for the firm to continue servicing our customers are tested quarterly. 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 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://www2.goldmansachs.com/services/securities/clearing-services/index.html.
Information regarding the Plan may be obtained by sending a request to info@unx.com.
Member SIPC
UNX is a member of SIPC, which protects securities customers of its members up to $500,000 (including $100,000 for claims for cash).