Compliance Solutions (UK) Ltd is committed to protecting your personal information.
Compliance Solutions (UK) Ltd are an entity providing compliance support and management services to intermediaries with the financial services industry.
The Data Protection Officer
Compliance Solutions (UK) Limited
PO Box 27
Information we collect and use
Information about you that we collect and use includes:
• Information about who you are e.g. your name and contact details
• Information about your contact with us e.g. meetings, phone calls, emails / letters
• Information that is automatically collected e.g. via cookies when you visit one of our websites
• Information if you visit one of our offices e.g. visual images collected via closed circuit television (CCTV)
• Information you may provide us about other people e.g.
- Your employees names and company email address when you request access to our systems for them
Where we collect your information
We may collect your personal information directly from you, from a variety of sources, including:
• Registering for one of our events
• Phone conversations with us
• Emails or letters you send to us
• Meetings with one of our employees
• Participating in research surveys to help us understand you better and improve our products and services
• Our online services such as websites and social media accounts (‘Apps’)
We may also collect your personal information from you or a client firm to which you are connected to enable access to our services and places such as business directories and other commercially or publicly available sources e.g. to check or improve the information we hold (like your address) or to give better contact information if we are unable to contact you directly.
Why we collect and use your information
We take your privacy seriously and we will only ever collect and use information which is personal to you where it is necessary, fair and lawful to do so. We will collect and use your information only if we are able to satisfy one of the lawful processing conditions set out in the data protection laws.
This will be the case where:
• You have given us your consent to use your information to send you information about products and services offered by Compliance Solutions (UK) Ltd
which we believe may be of interest and benefit to you.
• It’s necessary to deliver services for the performance of a contract with you or in preparation to enter into a contract with you.
• It’s in the legitimate interests of Compliance Solutions (UK) Ltd. i.e.
- Where we need to process your information to better understand you and your needs so we can send you more relevant communications about the services you have with us
- To develop new services
- To conduct research and collate management information to improve the services we offer
- To manage the security and fair usage of our web applications
Where the processing is in our legitimate interests or those of a third party, we will always conduct an assessment to ensure that this use of your personal information is not excessive or unnecessary or otherwise more intrusive than it needs to be. If you do not wish us to collect and use your personal information in these ways, it may mean that we will be unable to provide you with our products or services.
Who we may share your information with
We may share your information with third parties for the reasons outlined in ‘Why we collect and use your information’.
Whenever we share your personal information, we will do so in line with our obligations to keep your information safe and secure.
Where your information is processed
Your information is processed in the UK and European Economic Area (EEA).
How we protect your information
We take information and system security very seriously and we strive to comply with our obligations at all times. Any personal information which is collected, recorded or used in any way, whether on paper, online or any other media, will have appropriate safeguards applied in line with our data protection obligations. Your information is protected by controls designed to minimise loss or damage through accident, negligence or deliberate actions. Our employees also protect sensitive or confidential information when storing or transmitting information electronically and must undertake annual training on this. Our security controls are aligned to industry standards and good practice; providing a control environment that effectively manages risks to the confidentiality, integrity and availability of your information.
How long we keep your information
We will keep your personal information and copies of records we create to provide you with our services while you are a client of ours. We may also keep your information after this period but only where required to meet our legal or regulatory obligations. The length of time we keep your information for these purposes will vary depending on the obligations we need to meet.
You have a number of rights under data protection law which may be exercised in certain circumstances. These are:
Right to be informed about how and why we are processing your personal information -
Right of access to personal information relating to you -
You have the right of access to your personal information. If you wish to receive a copy of the personal information we hold on you, you may make a data subject access request (DSAR).
Right to request rectification of inaccurate or incomplete personal information -
If your personal information is inaccurate or incomplete, you can request that it is corrected.
Right to request erasure of your personal information -
You can ask for your information to be deleted or removed if there is not a compelling reason for Compliance Solutions (UK) Ltd to continue to have it.
Right to restrict processing of your personal information -
You can ask that we block or suppress the processing of your personal information for certain reasons. This means that we are still permitted to keep your information – but only to ensure we don’t use it in the future for those reasons you have restricted.
Right to data portability -
You can ask for a copy of your personal information for your own purposes to use across different services. In certain circumstances, you may move, copy or transfer the personal information we hold to another company in a safe and secure way.
Right to object to processing of your personal information -
You can object to Compliance Solutions (UK) Ltd processing your personal information where: it’s based on our legitimate interests.
Right to not be subject to automated decision making including profiling -
We do not undertake any automated decision making in relation to your personal data.
If you want to talk to us about any of your individual rights, please contact us at:
Compliance Solutions (UK) Ltd
PO Box 27
How to make a complaint
• Or write to us at: Compliance Solutions (UK) Ltd. PO Box 27, Prenton DO. Wirral. CH43 7WA
While we hope that we can resolve any complaints for you, you do have the option to complain to the ICO (whether or not you have exhausted our complaints procedure).
Their contact details are:
Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow, Cheshire, SK9 5AF
Telephone: 0303 123 1113 (local rate) or 01625 545 745 if you prefer to use a national rate number