Last Updated: July 2020

This Privacy Policy or “Policy” explains how FiveWest OTC Inc. and/or FiveWest Trading Systems Inc. (“FiveWest”, “we”, “our”, and “us”) collect and protect Personal Information (as defined below). This Policy, together with our Terms of Service, govern your access to and use of the website (the “FiveWest Trading Site” or the “Site”) of FiveWest and your use of any of the services provided through the Site.

By creating an account on the FiveWest Trading Site or by otherwise submitting Personal Information to us through the FiveWest Trading Site, you give your consent to the collection and use of your Personal Information as explained in this Policy. All capitalized terms used but not defined in this Policy have the meaning given to them in our Terms of Service.

FiveWest’s Policy applies to current and former FiveWest clients and any other users of the FiveWest Trading Site. The term “Personal Information” refers to non-public information that personally relates to or identifies you as an individual or entity.Your use of the FiveWest Trading Site is governed by the version of the Privacy Policy in effect on the date of use. FiveWest may modify the Privacy Policy at any time and without prior notice. By using and accessing the FiveWest Trading Site, you acknowledge and agree to review the most current version of these Privacy Policy prior to each such use. Your continued use of and access to the FiveWest Trading Site constitutes your acknowledgement of, and agreement to, the then current Privacy Policy.

Please also note that the provisions of these Privacy Policy are in addition to any other agreements between you and FiveWest, including any customer or account agreements, Cryptocurrency Trading Agreements, and any other agreements that govern your use of products, services, content, tools, and information provided by FiveWest.How and Why We Gather InformationWhen you apply to create an account on a FiveWest Trading Site, you will be asked to provide information such as your or your entity’s full legal name, address and date of birth/formation, along with other information that is required to verify your or your entity’s identity and fulfill our legal and regulatory requirements. This information will also be used to transact your business and communicate with you. From time to time, we may request additional information to help us further assess your needs and preferences and/or fulfill our ongoing legal and regulatory requirements.

Types of Information We Collect

The information we collect and maintain about you is provided during your onboarding as a user and during your entering into transactions with FiveWest in the context of a digital currency or other financial asset trades.

This Personal Information, not available publicly, comes from the following sources:

• Information you provide to us when you fill out account opening documents,
• complete a form or make a request for services, including your name, address, age, Social Security number and/or taxpayer identification number,
• investment objectives,
• investment experience, assets and liabilities and/or income details and confidential documentation used to verify those details,
• telephone number,
• e-mail address and
• similar information;
• Information from your transactions with us,
• such as your trade amount,
• digital currency type, trade direction,
• sale proceeds or investment amount,
• and wire instructions; and Any other identifying information we collect in fulfillment of our “Know Your Customer” and sanctions screening legal and regulatory requirements, including, without limitation, Section 29 Financial Intelligence ACT, which requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

This federal requirement applies to all FiveWest counterparties and collected information is used to assist the United States government in the fight against the funding of terrorism and money-laundering activities. How We Protect Your InformationWe limit access to the Personal Information you provide us to those employees who need access to that information to provide you with services related to the transactions you are entering with FiveWest. In keeping with industry standards and practices, we maintain appropriate physical, electronic and procedural safeguards, and controls designed to protect your Personal Information. We use software, systems and procedures meeting generally accepted industry information security standards to protect your personal, financial and historical transaction information. While no security system is impenetrable, we plan to constantly review, refine and upgrade our security technology as new tools become available.

The Importance of Being Accurate If you ever discover inaccuracies in our data or if your Personal Information changes, we urge you to notify us immediately. We only use your Personal Information as appropriate to provide you with quality services, to ensure security and to comply with legal and regulatory requirements. For example, we may use the information collected from you to verify your identity and contact information. We may also use this information to establish and set up your trading account and maintain your trading information. This information helps us improve our services to you.An Ongoing Commitment to Your PrivacyWe are just as committed to protecting the privacy of our former clients as we are our current clients. If you choose to become an inactive client, your Personal Information will continue to be protected by the privacy policies and principles described in the then-current version of this Policy. Should you close your account with us, FiveWest will retain your information for regulatory compliance, internal record-keeping and other legal purposes.We Limit the Sharing of InformationTo protect your privacy, we limit the sharing of your Personal Information outside of FiveWest. We conduct our business with great respect for the confidential nature of the information being provided. We will not share Personal Information about you except as outlined below:

To help us provide our services to you and/or to improve our services, we engage qualified and reputable third parties, including TradeBlock, to help us to carry out certain functions such as account processing, client services and/or data collection relevant to our business. For example, in each case where you enter into a financial transaction through the FiveWest Trading Site, we share your Personal Information with third party service providers in order to perform regulatory-required background checks, with certain technology providers to facilitate document execution, and with third parties that perform transaction execution and clearing services on your behalf. Pursuant to our agreements with these service providers, their ability to use your Personal Information is specifically limited to the service being provided.As we develop our business, we might sell or buy businesses or assets. In the event of a corporate sale, merger, reorganization, dissolution or similar event, Personal Information may be part of the transferred assets.FiveWest may share information with our affiliates if the information is required to provide the services you request. An affiliate is a company that we own or control, or with which there is common ownership with us.FiveWest also reserves the right to disclose your Personal Information where required by law to regulatory, law enforcement or other government authorities, including during routine regulatory examinations. We may also disclose your information as necessary to credit reporting or collection agencies, or when necessary to protect our rights or property.Reviewing, Changing or Correcting InformationYou are responsible for helping us to maintain the accuracy and completeness of your Personal Information and other data. We urge you to review your information regularly to ensure that it is correct and complete.

If you would like to review your Personal Information or if you believe that any of your Personal Information is incorrect, or if you have any questions regarding your Personal Information, or this Privacy Policy, please contact us at [email protected].Privacy and the InternetThe following additional information will be of interest to you if you access a FiveWest Trading Site and/or one of its affiliates’ products or services through one or more of our websites:Users of the FiveWest Trading Site are required to identify and authenticate themselves prior to accessing our services. Generally, identification and authentication take place through the use of your user name and a password.Security is a cooperative effort between us and the users of the FiveWest Trading Site. Please remember that your user identification and password are personal to you and should not be made available to any other person. Also, you should discontinue their use and notify us if you have any reason to suspect that someone else may be using them.“Cookies” are small text files that may be placed on your web browser when you visit our websites. Cookies make it easier for you to navigate our website by, among other things, “remembering” your identity so that you do not have to input your password multiple times as you navigate between our website pages and/or access our services. Authentication (i.e., verifying that you are who you say you are) is an essential component of site security.

You can set your web browser to inform you when cookies are set, or to prevent cookies from being set. Please note that if you decline to use cookies, you may experience reduced functionality, slower site response times, and declining to use our authentication-related cookies may prevent you from using our website altogether.Web surfing data (e.g., information regarding which of our web pages you access, the frequency of such access, and your product and service preferences) may be collected by FiveWest, or by our service providers. This may be accomplished by using cookies, Web beacons, page tags or similar tools that are set when you visit our website. Web surfing data and similar information may be shared internally within FiveWest and used: for administrative purposes; to assess the usage, value and performance of our online products and services; to improve your experience with our websites; and as otherwise permitted by applicable law or regulation. If you are a FiveWest client, this information helps us suggest products or service offerings that may be of interest to you. This information may be processed by us for the purposes described above, or on our behalf by Third Party Services, solely in accordance with our instructions.The FiveWest Trading Site may include social media features (“Features”), such as the Facebook Like button and widgets, such as the “Share This” button or interactive mini-programs that run on this Site (“Widgets”).

These Features and Widgets may collect your IP address, which page you are visiting on a FiveWest Trading Site, and may set a cookie to enable the Feature or Widget to function properly. Social media Features and Widgets are either hosted by a third party or hosted directly on a FiveWest Trading Site. Your interactions with these Features and Widgets are governed by the privacy policy of the company providing it.CalOPPA DisclosuresWe do not currently respond to web browsers’ “Do Not Track” signals that provide a method to opt out of the collection information about visitors’ activities on the FiveWest Trading Sites, and across other websites. If we do so in the future, we will provide all relevant information in this Privacy Policy.We may authorize certain third parties, including, without limitation, Google Analytics, Chartbeat and Mixpanel, to track usage and collect information about users and their activities on the FiveWest Trading Sites.