• About Us

    Spectrum Global International Clearing was formed in 2010 and our primary line of business revolves around settling trading accounts, clearing trades

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  • Client Services

    Client Service is paramount to the success of Spectrum Global International. We recognize customer satisfaction and retention and the development of longstanding relationships

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Privacy Policy

Information We Collect

When conducting certain business processes, we may need to gather personal information such as name, address, social security number and similar personal information from sources including:
  • Information we receive from you or your Investment firm on applications or other forms;
  • Information about your transactions with your Investment Firm or Spectrum Global International;
  • Information obtained via our website (online forms, site visitor data and online information collecting devices, known as "cookies" etc.);
  • Information we request from consumer and credit reporting agencies

Information We Share With Third Parties

During the course of our business dealings, we may share your personal information with selected third parties, such as brokers, fund managers, insurance companies and other applicable financial entities. The type of information we share could include your name, income, social security number and other identifying information you provide us with. We may also share information about your transactions with us, such as your payment history. We disclose personal information to companies that are involved in the transaction process for your account. We may disclose or report personal I nformation in limited circumstances where we believe in good faith that disclosure is required or permitted under law, for example, in cooperation with regulators or law enforcement authorities. We do not share any personal information with third parties outside of what is required to service your account.

How We Protect Your Information

We heavily restrict access to our clients personal information to Spectrum Global International employees and applicable third parties who will be providing the required financial services. We retain physical, electronic and procedural safeguards in accordance with legal standards and established security procedures to protect your personal information from unauthorized disclosure. The statements in this notice apply to our current, as well as, former customers.

Spectrum Global International Clearing

Identity Theft Protection Plan (ITPP) Summary

Spectrum Global International Clearing maintains an Identity Theft Prevention Plan ("ITPP") that has been developed to protect our Introducing Firms, clients, and their accounts from identity theft and to comply with the FTC's Red Flags Rule. The ITPP addresses
  1. Identification of relevant identity theft Red Flags for our Firm,
  2. Detecting those Red Flags,
  3. Responding appropriately to any red flags that are detected to prevent and mitigate identity theft, and
  4. Updating our ITPP periodically to reflect changes in risks.

To identify relevant identity theft Red Flags, our Firm assessed these risk factors:
  1. The types of covered accounts offered by our Introducing Firms,
  2. The methods provided to open or access these accounts, and
  3. Previous experience with identity theft.

Spectrum Global International also considered the sources of Red Flags, including identity theft incidents that have previously occurred, evolving identity theft techniques that have come to our attention, and applicable supervisory guidance.

In addition to developing responses to Red Flags once they are identified, Spectrum Global International has also taken practical steps to mitigate the likelihood of identity theft, for example:
  • Securing front-end system access,
  • Physical and logical access controls,
  • On-site shredding services, and
  • Disposal of decommissioned electronic media.

Spectrum Global International ITPP also provides for ongoing associate training, and the overseeing of vendors who may receive confidential information.

Spectrum Global International ITPP is subject to frequent change as we evaluate the ongoing needs of our clients and changing business environment in which we operate.

Questions regarding the Spectrum Global International ITPP may be directed to our Customer Data Protection team at cdp@spectrumglobalinternational.com