This Privacy Notice explains how we will use your Personal Information and also your rights under Data Protection legislation (referred to as GDPR)
How We Will Use Your Data
The personal information that you provide us with may be used for a number of different purposes and these are set out below. We will process your information for these purposes only where you have consented to this.
For providing you and your firm with Compliance Services
For assisting you and / or your firm in providing information to your Regulator(s)
For providing Training & Competence records for you and your staff where applicable (Staff in this context includes employed and self-employed persons, Directors, Business Partners, Appointed Representatives and Introducers of business
For providing assisting in the record keeping for the Senior Managers & Certification Regime (SMRC) records for you and your staff where applicable (Staff in this context includes employed and self-employed persons, Directors, Business Partners, Appointed Representatives and Introducers of business
For fraud prevention, for audit, compliance and regulatory purposes, for maintaining a business register of our past clients & for statistical analysis.
For contacting you by telephone, email, text or any other appropriate communication regarding the business and services offered by this firm
We will process this information because we have a legal obligation to do so. This means that in order to comply with our legal and common law obligations we must process certain information in a certain manner and keep records to demonstrate compliance. You still have the rights set out below in relation to your personal information but you may not be able to exercise your right to erasure in these circumstances.
For dealing with any queries or concerns that you may have after we have provided our service to you and until any such product so provided has ended.
We will process this information where you have consented to this and on the basis of our "legitimate interest" to provide information to you on request at any time after we provide our initial services to you and until any such product so provided has ended. You still have the rights set out below although where you withdraw your consent we may still have the right to process the data for this purpose on a legitimate interest basis.
Who we may share your information with
We will only share your personal information with the Financial Conduct Authority where you have asked us to do so on your behalf. This may include such matters as returns and submissions through the FCA System or may be part of other interaction with the regulator such as a part of an application for Variation of Permission or Senior Manager registration and Approval.
We may from time to time share your information with other parties but we will only do this on your express instruction at the time of the call to action.
We may share your personal information with third party processors in order to verify the integrity of certain documentation that you may provide us with so that we are able to comply with anti-money laundering and anti-fraud requirements.
We may share your data with other third parties as a part of our security and back up procedures. All these parties operate in the European Economic Area(EEA). We will not use parties where the information would be stored outside the EEA.
Data Protection
Before you provide us with any personal information you should be aware of how we will use this and we will need your consent to process it.
