For Financial Professionals

Electronic Communications and Privacy Policies

ETF Managers Group LLC

Notice of Privacy Policy

ETF Managers Group LLC, ETFMG Financial LLC and their respective affiliates (“ETFMG”), and the ETF Managers Trust on behalf of its series (the “Funds”) are committed to respecting the privacy of personal information you entrust to us in the course of doing business.

The information we collect

ETFMG and the Funds collect non-public personal information from various sources. The Funds may receive information from transactions in Fund shares, and from correspondence between you and the Funds or third parties, such as the Funds’ service providers or your financial adviser(s). The Funds or their service providers use such information to process transactions, to respond to inquiries from you, to deliver reports, products, and services, and to fulfill legal and regulatory requirements.

In addition, our website uses “cookies” and other similar technology to help us measure and track visitors to the website and to collect certain technical and navigational information, such as browser type, internet protocol address, pages visited and time on site. This information may be used to help us serve you better by improving website design and functionality, and it may be used to help us provide customized services and information to you (e.g., we may use information about your visits to help target advertisements for products and services available from the Funds or ETFMG). The use of cookies and like technologies is common practice on the internet and many browsers are initially configured to accept cookies automatically. You can configure your browser to accept all cookies, reject all cookies, notify you when a cookie is set, or delete cookies that have already been set. Each browser is different, so check your browser’s “help” menu, refer to its instruction documentation, or seek online assistance to learn how to change your browser preferences.

We may also use third party advertising companies (e.g., Google) to serve online ads for ETFMG or the Funds to you on our behalf based on your visits to our and other websites. These ads may appear on a wide variety of websites, which have no affiliation with ETFMG or the Funds. We neither collect nor share any personally identifiable information with these advertising companies or websites and they neither collect nor share personally identifiable information with ETFMG or the Funds. Third party advertising companies may use cookies and other similar technologies to measure and improve the effectiveness of advertising for their clients, including ETFMG or the Funds. To do so, these companies may collect and use limited technical and other anonymous information about your browsing activity, potentially including date/time the ad is shown, cookies, IP address information, browser and device information, etc. You may opt-out of receiving third-party served advertisements by visiting Google’s Ads Settings and by visiting the Network Advertising Initiative opt out page.

How we handle personal information

Neither ETFMG nor the Funds disclose any non-public personal information about their customers to anyone unless permitted by law or approved by the individual. The Funds may share information with certain non-affiliated third parties to process or service a transaction at your request or as permitted by law. For example, sharing information with non-affiliated third parties that maintain or service customer accounts for the Funds is essential. ETFMG or the Funds may also share information with companies that perform administrative or marketing services for ETFMG or the Funds, including research firms. When ETFMG or the Funds enter into such a relationship, such third parties’ use of personal information is restricted and they are prohibited from sharing it or using it for any purposes other than those for which they were hired. ETFMG and the Funds also require service providers to maintain physical, electronic and procedural safeguards that comply with federal standards to guard non-public personal information.

How we protect your personal information

ETFMG and the Funds maintain physical, electronic, and procedural safeguards to protect your personal information. Within ETFMG and the Funds, access to personal information is restricted to those employees who require access to that information in order to provide products or services such as processing transactions and handling inquiries. ETFMG and the Funds’ employment policies restrict the use of personal information and require that it be held in strict confidence.

See Privacy Policy and Notice for California Residents

Electronic Communications

The following contains the conditions governing any electronic communications between you and ETF Managers Group LLC, ETFMG Financial LLC and its respective affiliates (“ETFMG”). By messaging with ETFMG you agree to these terms and conditions of use. ETFMG may amend these terms and conditions at any time without notice.

Unless otherwise specifically indicated, the contents of any electronic communication (including e-mail, instant message, text messaging, etc.) and its attachments received from an employee or representative of ETFMG are intended for the individual or company to which it was addressed and may contain information which is privileged, confidential and prohibited from disclosure or unauthorized use under applicable law.  Any communication made is for informational purposes only and should not be regarded as an offer to sell or a solicitation of an offer to buy any securities, or an official statement of by ETFMG.

Electronic communications may contain privileged or confidential information. No confidentiality or privilege is waived or lost by any mis-transmission. If you are not the intended recipient, you are hereby notified that any use, dissemination, or copying of the communication or the information contained therein is strictly prohibited. If you are not an intended recipient of an electronic communication, please notify the sender, delete all copies from your system and do not read, act upon, print, disclose, copy, retain or redistribute any portion of such electronic communication. Electronic communications are not intended for distribution to, or use by, any person or entity in any location where such distribution or use would be contrary to law or regulation, or which would subject ETFMG to any registration requirement within such location. ETFMG does not waive any intellectual property rights in any electronic communication.

ETFMG cannot and does not provide absolute assurances that all electronic transmissions (sent or received) are secure, error free, not corrupted, incomplete or virus free and/or that they won’t be lost, mis-delivered, destroyed, delayed, or intercepted/decrypted by others. Therefore, we advise against sending sensitive or personally identifiable information via electronic communications and disclaims all liability regarding electronic communications (and the contents therein) if they are corrupted, lost, destroyed, delayed, incomplete, mis-delivered, intercepted, decrypted or otherwise misappropriated by others.

Information in an electronic communication is subject to change without notice and unless otherwise indicated, the views expressed are the author’s and may differ from those of others within ETFMG. The information represents a view as of the date of the electronic communication and is subject to change and/or withdrawal at any time without notice.

Any electronic communication that is conducted within or through ETFMG’s systems will be subject to being archived, monitored, and produced to regulators and in litigation in accordance with ETFMG’s policies, any and all local state or federal laws, rules and regulations.

The information in an electronic communication is not intended to replace a recipient’s own internal business processes for evaluating proposed transactions. Recipients should seek financial advice regarding the appropriateness of investing in any securities referred to in an electronic communication and should understand that statements regarding future prospects of the instruments or the securities included in them may not be realized. There can be no assurance that the securities or other financial products or services mentioned in an electronic communication could be sold or bought at such prices from ETFMG or another party or market participants. Past performance is not indicative of future performance.

ETFMG does not provide tax, accounting or regulatory advice. Please consult your advisor as to any tax, accounting or legal statements made herein.

ETF Managers Group LLC and ETFMG Financial LLC are subsidiaries of Exchange Traded Managers Group LLC.  ETF Managers Group LLC is registered as an investment advisor with the SEC.  ETFMG Financial LLC is a broker-dealer registered with the SEC and is regulated by FINRA as a member firm.