Business Continuity Plan
In the event of an internal or external significant business disruption, if telephone service is available, our registered associates will take customer orders or instructions and contact our executing broker-dealer on their
behalf. In the event that our offices cannot be reached directly, our clients may contact RBC Dain Rauscher directly at (888) 462-1816.
Each client and prospective client agrees, as a condition precedent to his/her/its access to Mercadien’s web site, to release and hold harmless Mercadien, its officers, directors, owners, employees and agents from any and all
adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from Mercadien.
IMPORTANT CONSUMER INFORMATION - California Disclosure:
A broker/dealer, investment advisor, broker-dealer agent or investment adviser rep may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are
excluded or exempted from the state’s broker/dealer, investment adviser, or broker-dealer agent or investment adviser rep requirements, as the case may be; and follow-up, individualized responses to consumers in a particular state by broker/dealer, investment
adviser, broker-dealer agent or investment adviser rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first
complying with the state’s broker/dealer, investment adviser, broker-dealer agent or investment adviser rep requirements, or pursuant to an applicable state exemption or exclusion.
For information concerning the licensing status or disciplinary history of a broker/dealer, investment adviser, broker-dealer agent or investment adviser rep, a consumer should contact his or her state securities law administrator.
Privacy disclosure statement
The Securities and Exchange Commission adopted Regulation S-P to address our obligation as an investment adviser to protect our clients’ financial privacy.
In conducting regular business on behalf of our clients, we have access to certain nonpublic personal information. Mercadien shares nonpublic information solely to service our client accounts (trade settlement, etc.). We do
not disclose any nonpublic personal information about our customers or former customers for any other purpose.
Mercadien will internally safeguard nonpublic personal information by only allowing access to our employees and to those who need access to such information to service our client accounts. In addition, we will maintain physical,
electronic and procedural safeguards that meet all federal standards to guard your nonpublic personal information.
TERMS AND CONDITIONS OF ACCESS TO SITE
Please read these Terms and Conditions carefully. Your navigation through and use of the Mercadien web site constitutes your acceptance of these Terms and Conditions (“Terms”).
Modification and Monitoring of the web site
Mercadien reserves the right, at our discretion, to change, modify, add, or remove portions of these Terms at any time. We suggest that you check these Terms periodically for changes. The Terms can be accessed from the link
at the bottom of our web site pages. If you use the Mercadien web site after we post changes to the Terms, you accept the changes. Mercadien reserves the right to monitor any and all use of this web site to enhance the overall experience of its visitors.
No Offer of Securities
The material on this web site does not constitute an offer to sell, or the solicitation of an offer to buy, advisory services or any securities or any interests in any investment funds managed by Mercadien. Offerings of securities
are made only by prospectus or private offering memoranda by persons who are registered, or not required to be registered as broker-dealers or agents in the particular jurisdiction. Responses to any inquiry which may involve rendering of personalized investment
advice for compensation or effecting or attempting to effect transactions in securities will not be made absent compliance with applicable state and/or federal investment adviser and investment adviser representative registration requirements, or applicable
exemptions or exclusions from such requirements. This web site is not intended for distribution to or use by any person in any jurisdiction or country where such distribution or use would be contrary to local law or regulation. The information and products
described on this web site are intended to be made available to only persons in the United States.
Trademarks/Service Marks and Copyrights
The content of this web site is protected by applicable copyright laws. Images displayed on this web site are either the property of, or used with permission by, Mercadien. Without specific permission, it is prohibited to copy,
distribute, modify, post or frame any text, graphics, video, audio, software code, or user interface design or logos found within this web site. Any unauthorized use of these items may violate copyright laws, trademark laws, the laws of privacy and publicity,
and communications regulations and statutes.
All trademarks, service marks, logos, and icons used by Mercadien or any Mercadien affiliated company are proprietary to Mercadien. Nothing contained on the web site should be construed as granting, by implication, estoppel,
or otherwise, any license or right to use any trade mark or service mark displayed on this web site without the written permission of Mercadien or such third party that may own the trademarks or service marks displayed on this web site. Your use of the trademarks
or service marks displayed on this web site, or any other content on this web site, except as provided herein, or any other content on this web site, except as provided herein, is strictly prohibited. Inquiries concerning use of Mercadien trademarks, service
marks, trade Pacific Sun Financials, logos, icons, copyrights, or other intellectual property should be addressed to Mercadien, P.O. Box 7648, Princeton, NJ, 08540-7648, USA. Any communications or material you transmit to this web site by electronic mail or
otherwise, including data, questions, comment, or suggestions, will not be treated as confidential nor as proprietary and will become the property of Mercadien or its affiliates. Such communications or material shall be used for any purpose, including, but
not limited to, reproduction, disclosure, transmission, publication, broadcast, and posting. Furthermore, Mercadien is free to use any ideas, concepts, know-how, or techniques contained in any communication you send to this web site for any purpose whatsoever,
including, but not limited to, developing and marketing products using such information.
All trademarks, service marks, and logos used by Mercadien or its subsidiaries are registered trademarks or service marks of Mercadien. We are very protective of our trademarks and service marks. All use of these marks must
be with our permission. We will file appropriate legal actions to enjoin the unauthorized use of these marks. Under the law, we may be entitled to collect your profits, our actual damages, and, perhaps, even our attorneys’ fees. We thank you for your cooperation.
We use information you provide to us through the web site solely to enhance your experience with the web site. Over time, this information allows us to better design web services to fit your needs. Mercadien does not sell or
provide your personal information to outside parties.
Third Party Content
Mercadien is in no way responsible for the content of any web site owned by a third party that may be linked to the web site via hyperlink, whether such hyperlink is provided by Mercadien or a third party.
ALL INFORMATION AND CONTENT ON THIS WEB SITE ARE, SUBJECT TO APPLICABLE STATUTES AND REGULATIONS, FURNISHED “AS IS” WITHOUT ANY IMPLIED OR EXPRESSED WARRANTY OF ANY KIND, INCLUDING WITHOUT LIMITATION, THE IMPLIED WARRANTIES
OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, AND NON-INFRINGEMENT.
Mercadien intends that the information contained on the web site will be accurate and reliable, however, errors sometimes occur. Mercadien does not warrant that the information contained on the web site will be uninterrupted
or error-free, that defects will be corrected, or that this web site or the services that make it available are free from viruses or harmful components.
We reserve the right to change these Terms, and other information available on the web site, without notice. Your use of the web site following the posting of any revision implies your consent to the policy as revised. These
conditions set out the entire agreement between Mercadien and you relating to your use of this web site.