Sprott Asset Management USA Inc.

Legal

While care has been taken to ensure the accuracy of information when it is posted on this Site, Sprott Asset Management USA Inc. ("SAM USA") does not warrant the accuracy or completeness of information contained in these pages or that it will be current at all times.

Neither the information nor any opinion expressed in the Site constitutes an offer by SAM USA to buy or sell any securities or financial instruments or provide any investment advice or service. Neither the information nor any opinion expressed in the Site constitutes an offer by SAM USA to buy or sell any securities or financial instruments or provide any investment advice or service.

The information in this publication, including text, images, and links, are provided by SAM USA solely as a convenience to you without warranty of any kind, either expressed or implied, SAM USA assumes no responsibility for errors or omissions in this publication or other documents which are referenced herein are available in areas, and does not accept responsibility for any kind of direct, special, indirect, consequential, incidental damages or losses resulting from the use of information contained in this Site.

The value and income of any of the securities or financial instruments mentioned in the Site can fall as well as rise and an investor may get back less than he invested. Foreign-currency denominated securities and financial instruments are subject to fluctuations in exchange rates that could have a positive or adverse effect on the value, price or income of such securities and financial instruments. Past returns are  no guarantee of future performance.

SAM USA or its affiliates may at any time be long or short any securities or financial instruments mentioned in the Site or have provided advice or services in relation to such securities or financial instruments.

The investment services and products mentioned in the Site may often have tax consequences; therefore, it is important to bear in mind that SAM USA does not provide tax advice. Investors' tax affairs are their own responsibility and investors should consult their own attorneys or other tax advisors in order to understand the tax consequences of any products and services mentioned in the Site.

This Site has been developed by and is the property of SAM USA. All information found in the pages of this Site is protected under the copyright laws of the United States of America and other countries. Unless otherwise specified, no person has permission to copy, redistribute, reproduce or republish in any form any information found on the pages in this Web site. This includes electronically reproducing by "uploading" or "downloading" or accessing onto the Internet or any other local or international computer system.

Any information sent to SAM USA via internet e-mailing or through this Site is done so on a non-confidential basis. SAM USA is not responsible for any third party content that may be accessed through this Web site.

The securities you are considering have not been approved or disapproved by the SEC. Moreover, the SEC has not passed upon the fairness or the merits of this transaction nor upon the accuracy or adequacy of the information contained in any prospectus or any other information provided by an issuer or  the General Partner.

Business Continuity Planning

SAM USA has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our Partnerships to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact and regulatory reporting.

Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business in a reasonable time. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and expect to recover and resume business in a longer timeframe. In either situation, we plan to continue in business and notify you through our website.

For more information - If you have questions about our business continuity planning, you can contact us at 866-531-8746 or 760-444-5254.

Privacy Policy and Notification

Sprott Asset Management USA Inc. respects your right to privacy. We have always been committed to secure the confidentiality and integrity of your personal information. We are proud of our privacy practices and want our current and prospective customers to understand what information we collect and how we use it. 

Why We Collect Your Information 

We gather information about you and your accounts so that we can (i) know who you are and thereby prevent unauthorized access to your information, (ii) design and improve the products and services we offer and (iii) comply with the laws and regulations that govern us. 

What Information We Collect 

We may collect the following types of ‘nonpublic personal information’ about you: 

  • Information about your identity, such as your name, address and social security number; 
  • Information about your transactions with us; 
  • Information we receive from you on applications, such as your beneficiaries or income. 

What Sources We Obtain Your Information From 

We collect nonpublic personal information about Sprott USA clients such as you from the following sources: 

  • Information we receive from you on applications or other forms; 
  • Information about your transactions with us, our affiliates, or others, and 
  • If you visit our web site, information we collect via a web server, often referred to as a “cookie.” Cookies indicate where a site visitor has been online and what has been viewed. 

What Information We Disclose 

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law. Moreover, we will not release information about our customers or former customers unless one of the following conditions is met: 

  • We receive your prior written consent. 
  • We believe the recipient to be you or your authorized representative. 
  • We are required by law to release information to the recipient. 

We only use information about you and your account to help us better serve your investment needs or to suggest services or educational materials that may be of interest to you. 

Confidentiality And Security 

We maintain physical, electronic and procedural safeguards to guard your personal account information. To further protect your privacy, we restrict access to your personal and financial data to authorized Sprott USA associates who have a need for these records. We require all nonaffiliated organizations to conform to our privacy standards and are contractually obligated to keep the information provided confidential and used as requested. Furthermore, we will continue to adhere to the privacy policies and practices described in this notice even after your account is closed or becomes inactive. 

We will continue to conduct our business in a manner that conforms with our pledge to you, your expectations and all applicable laws. 

August 2015

SAM USA Complaints

Complaints regarding your account should be directed to Tom Ulrich, Chief Compliance Officer, Sprott Asset Management USA Inc., 1910 Palomar Point Way, Suite 200, Carlsbad CA 92008. Phone (866) 531-8746 or (760) 444-5254.

PROXY VOTE GUIDELINES

 

The page you are about to view is not affiliated with Sprott Asset Management USA Inc. or any of its related companies.

Investors should carefully consider the investment objectives, risks, time horizon and liquidity needs before making an investment. Past performance is no guarantee of future returns.

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