Basso Capital Management, L.P. and/or Basso Management, LLC (together, “Basso”) obtains non-public personal information about individual investors in connection with their separately managed accounts or investments in Basso funds from a variety of sources and in a variety of forms, including but not limited to the investment advisory, subscription or other agreements to which such investor is a party, such investor’s investment, subscription and redemption activity and communications between the investor and/or its representatives and Basso, a fund or their representatives. Such information may include, but is not limited to, address, telephone number, e-mail address, social security number, taxpayer identification number, passport number, bank account details, “U.S person”, “accredited investor” and, as applicable, “qualified purchaser” status and other information pertaining to an investor’s suitability to invest.
Basso does not disclose non-public personal information about existing or former individual investors to any other person or entity except to its own personnel and to third party service providers (including, but not limited to, counsel, accountants and fund administrators) who need to know such information in order to carry out their respective services to an investor or fund. Basso may disclose confidential information to its representatives and to third parties, including regulatory authorities and self-regulatory organization, as it deems necessary or advisable to prosecute or defend a claim brought by or against a fund or Basso, its affiliates or representatives, or to comply with applicable laws, rules, regulations or legal processes (including, without limitation, applicable anti-money laundering requirements).
Basso maintains physical, electronic and procedural safeguards designed to protect investor records and information from unauthorized access or use.