Collection of Investor Information
DBL collects personal information about its Investors from the following sources:
- Subscription forms, investor questionnaires, account forms, and other information provided by the Investors in writing, in person, by telephone, electronically or by any other means. This information includes name, address, nationality, employment information, and financial and investment qualifications;
- Transactions within each Fund, including account balances, investments, withdrawals/redemptions and fees;
- Other interactions with DBL (for example, discussions with our staff); or
- Verification services and consumer reporting agencies, including an Investor’s creditworthiness or credit history. (DBL generally does not use these services).
Disclosure of Nonpublic Personal Information
DBL may share nonpublic personal information about its Investors or potential Investors with affiliates, as permitted by law. DBL does not disclose nonpublic personal information about its Investors or potential Investors to nonaffiliated third parties, except as permitted by law (for example, to service providers who provide services to the Investor, the Investor’s account or a Fund).
DBL may share nonpublic personal information, without an Investor’s consent, with affiliated and nonaffiliated parties in the following situations, among others:
- To respond to a subpoena or court order, judicial process or regulatory inquiry;
- In connection with a proposed or actual sale, merger, or transfer of all or a portion of its business;
- To protect or defend against fraud, unauthorized transactions (such as money laundering), lawsuits, claims or other liabilities;
- To service providers of DBL in connection with the administration and operations of the Fund and other DBL-affiliated products and services, which may include brokers, attorneys, accountants, auditors, administrators or other professionals;
- To assist DBL in offering DBL-affiliated products and services to its Investors; and
- To process or complete transactions requested by an Investor.
Former Customers and Investors
Protection of Investor Information
DBL maintains physical, electronic and procedural safeguards that comply with federal standards to protect customer information. DBL restricts access to the personal and account information of Investors to those employees who need to know that information in the course of their job responsibilities.