Notice of Privacy Policy and Practice

Mirae Asset Global Investments (USA) LLC is committed to protecting your privacy and maintaining the confidentiality and security of your personal information. We do not disclose nonpublic personal information about our clients/investors or former clients/former investors to third parties other than described below:

We collect information about you (such as your name, address, social security number, assets and income) from our discussions with you, from documents that you may deliver to us and in the course of providing services for you. We may use this information to provide services to you, to open an account for you, to process a transaction for your account or otherwise in furtherance of our business. In order to service your account and effect your transactions, we may provide your personal information to our affiliates and to firms that assist us in servicing our account and have a need for such information, such as a broker or fund administrator or financial adviser. We do not otherwise provide information about you to outside firms, organizations or individuals except to our attorneys, accountants and auditors and as permitted by law. We restrict access to nonpublic personal information about you to personnel and affiliates that need to know that information to perform their job responsibilities and provide product and services to you. We maintain physical, electronic and procedural safeguards that comply with federal safeguards to guard your personal information. This Privacy Notice also relates to the all related entities and branch offices of Mirae Asset Global Investments (USA) LLC. Please contact us at 212-205-8300, if you have any questions concerning the privacy of your account information.


Our Commitment to Money Laundering Prevention

Mirae Asset Global Investments (USA) LLC is fully committed to complying with all statutory and regulatory requirements designed to combat money laundering and any activity which facilitates the funding of terrorist or criminal activities.

Money Laundering Prevention Policies and Procedures

The Firm is committed to educating and training employees in money laundering prevention and has adopted specific policies and procedures to prevent and detect money laundering. Some of the initiatives and procedures currently being undertaken by Mirae Asset Global Investments (USA) LLC include:

  • the development and establishment of a comprehensive money laundering prevention compliance program;
  • the development and utilization of technology to assist in the monitoring of transactions for the purpose of identifying and reporting suspicious activity and/or transactions;
  • the designation of a money laundering prevention compliance officer to oversee the money laundering prevention efforts of the Firm;
  • the establishment of screening procedures;
  • the establishment of an independent audit function to evaluate the Firm’s money laundering prevention program; and training employees to:
    • be aware of, and comply with, the Firm’s policies and procedures to prevent money laundering and other financial crimes, and to assist in the prevention of terrorist financing;
    • ability to recognize and report any suspicious activity and/or transactions.