Information about us
The Website is operated Compliancy Services Ltd (Compliancy Services) whose company number is 04954156 and whose office is situated at 69 Hermitage Road, Hitchin, Hertfordshire, SG5 1DB. Compliancy Services Ltd is an award winning financial services compliance consultancy for firms that are regulated by the Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA). Any questions or enquiries which you have in relation to this website should be sent using our Contact Form or you can write to us:
Compliancy Services Ltd
69 Hermitage Road
Use of the Website
The Website contains information in respect of Compliancy Services but it does not govern any contractual transaction between you and Compliancy Services. The purchase of any products or services shall be subject to specific terms and conditions.
Whilst we are under no obligation, we may update the content on this Website. We cannot guarantee that the Website or content on it is free from errors or omissions and some of the content may be out of date at any given time.
No reliance on information
Although we make reasonable efforts to update the information on the Website, we make no representations, warranties or guarantees, whether express or implied that the content on the Website is accurate, adequate, complete, correct, up-to-date or fit for any specific purpose.
The information contained in the Website is for general information purposes only and it is not intended to amount to advice of any kind. You should not make any decision or take any action without first seeking independent professional or specialist advice that is relevant to your specific and individual circumstances.
The Website may contain links to other sites and resources provided by third parties. We assume no responsibility for such links and for the content of such third party websites. The provision of such linked websites shall, also, not be construed as an endorsement by Compliancy Services of such linked websites or the content on it. We shall not be liable for any loss or damage that may arise from your use of these third party websites or content.
We do not represent, warrant or guarantee that the Website or any content on it shall be uninterrupted or error free at all times, that defect (if any) shall be corrected, or that the Website is free from viruses, worms, Trojan horses or other harmful components.
Further, we do not guarantee that the Website or any content on it will always be available or provided to you on an uninterrupted basis. We may suspend, withdraw, discontinue or change all or any part of the Website without notice. We will not be liable to you if for any reason the Website is unavailable at any time or for any period.
You may not use this website:
- In any way which causes, or may cause, damage to the Website or interferes with any other persons use or enjoyment of the Website;
- In any way which is harmful, illegal, unlawful, abusive, harassing, threatening or otherwise objectionable or in breach of any applicable laws, regulation, or government order;
- For making, transmitting or storing electronic copies of content protected by copyright except with permission of the owner.
Intellectual property rights
The intellectual property rights in the Website and the material published on it are owned by Compliancy Services and/or our licensors and are protected by copyright laws and treaties around the world. All such rights are reserved. You acquire no rights in the Website other than the limited right to use the website in accordance with these terms. You agree to protect the proprietary rights of Compliancy Services and its licensors and agree to promptly notify Compliancy Services in writing (contact details above) upon becoming aware of any unauthorised access or any use of the website that infringes upon any proprietary rights.
You may print off one copy or download extracts of any page(s) from the Website for your personal use and you may draw the attention of others within your organisation to the content published on the Website.
You must not modify the paper or digital copies of any materials you have printed or downloaded in any way, and you must not use any illustrations, photographs, video or audio sequences or any graphics separately from any accompanying text. You must not use any part of the content on the Website for commercial purposes without obtaining a licence to do so from Compliancy Services or our licensors. To apply for authorisation, you must either e-mail or write to Compliancy Services (contact details above) with the following details: (a) your name; (b) the name of your company; (c) the email address and telephone number for you; (d) details of the content you wish to use and the URL; and (e) the website address(es) where the link(s) will appear. You may not use the Compliancy Services name or misuse the Compliancy Services brand in any way, such use or misuse to be determined solely at the discretion of Compliancy Services.
To the extent permitted by law, we exclude all conditions, warranties, representations or other terms which may apply to the Website or any content on it, whether express or implied. We shall not be liable to you for any loss or damage, whether in contract, tort (including negligence), breach of statutory duty or otherwise even if foreseeable, arising under or in connection with any of the following: (a) use of or inability to use or access the Website or any information contained on the Website; (b) loss of profits, loss of contracts, loss of sales, loss of business, loss of revenue (whether such losses are direct or indirect); (c) business interruption; (d) loss of anticipated savings; (e) loss of business opportunity, investment decisions made, goodwill or reputation; or (f) any indirect or consequential loss or damage.
Maintaining your privacy is really important to us. You entrust us with sensitive information, and we take that responsibility seriously. We will not disclose your personal details to any third parties unless it is necessary or where we are legally obliged to do so.
It is likely we will need to update our Policy from time to time. This version is dated May 2018.
Controller and Processor
Compliancy Services Ltd is an award winning financial services compliance consultancy for firms that are regulated by the Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA). We are registered with the Information Commissioner’s Office under registration number Z8799216.
For simplicity throughout this notice, ‘we’ and ‘us’ means Compliancy Services Ltd and its brands.
The legal bases we rely on
The law on data protection sets out a number of different reasons for collecting and processing your personal data, including:
- Consent: In specific situations, we collect and process your data with your consent. For example, when you tick a box to receive email newsletters.
- Contractual obligations: In certain circumstances, we need your personal data to comply with our contractual obligations. For example, if you instruct us to manage your FCA authorisation application then we will collect the necessary information to provide the service.
- Legitimate interests: in specific situations, we require your data to pursue our legitimate business interests in a way which might reasonably be expected as part of running our business. We make sure to consider and balance any potential impact on you (both positive and negative), and your rights under data protection laws. Our legitimate business interests do not automatically override your interests - we will not use your personal data for activities where our interests are overridden by the impact on you (unless we have your consent or are otherwise required or permitted to by law).
If you have any concerns about this processing, you have the right to object to processing that is based on our legitimate interests. You can do that by contacting us using one of the options in the ‘How To Contact Us’ section.
How we collect your personal data
Under GDPR personal information is defined as “any information relating to an identified or identifiable natural person”. Personal data, or personal information means any information about an individual, from which that person can be identified. We collect personal data, or personal information, directly from you, for example when you:
- Visit any of our websites, and complete a form;
- Contact us by any means to enquire about us, our services etc.
- Engage with one of our marketing emails or on social media.
- Engage us to provide services;
- Subscribe to our services;
- Access one of our client portals, for example Compliancy.Guru.
Other data controllers (including our clients) may also provide your personal data to us.
We may, also, obtain information about you from publicly available sources and collect website usage information using cookies (see “Cookies” section below).
The personal data we collect
The different types of personal data we may collect about you could include:
- Identity Data: includes your title, full name and maiden name if applicable, date of birth, sex, marital status, passport, driving licence data or other identity card;
- Contact Data: includes email address, telephone numbers and home address;
- Financial Data: includes bank account details and related information;
- Transaction Data: includes details about payments to and from you and other details of products and services you have purchased from us;
- Usage Data: includes information about how you use our website, products and services;
- Recruitment Data.
How information is used
We may use your information in the following ways:
- To provide FCA and PRA compliance advice and to answer your specific questions;
- Carry out our obligations arising from any contracts entered into by you and us;
- To fulfil our legal and regulatory obligations;
- Seek your views or comments on the services we provide;
- Notify you of changes to our services;
- Send you communications which you have requested and that may be of interest;
- Process a job application;
- For marketing purposes and based on ‘Legitimate Interests’. You are free to opt out of at any time;
- For other legitimate business purposes.
If you wish to change how we use your data, you’ll find details in the ‘Your Rights’ section below. Remember, if you choose not to share your personal data with us, or refuse certain contact permissions, we might not be able to provide some services you’ve asked for.
Retention period for using your personal data
We will only retain your personal data for as long as necessary to fulfil the purposes we collected it for, including for the purposes of satisfying any legal, accounting, regulatory or reporting requirements. To determine the appropriate retention period for personal data, we consider:
- the amount, nature, and sensitivity of the data;
- the potential risk of harm from unauthorised use or disclosure of the data;
- the purposes for which we process the data; and
- the applicable legal requirements.
Personal data will generally not be held for more than seven years after the end of the relationship/appointment, unless otherwise prescribed by law or regulation.
How we share your information
We do not sell or distribute your personal data for commercial gain. We may process your personal data without your knowledge where this is required or permitted by law.
We may have to share your personal data with
- Trusted third party service providers;
- Our auditors, insurers or regulatory bodies;
- Our clients’ funders;
- Our mutual clients, whom you have given permission for us to share your data with;
- Third parties to whom we may sell or merge our businesses or assets.
All our third party service providers are required to take appropriate security measures to protect your personal information in line with our policies. We work closely with them to ensure that your privacy is respected at all times. We only permit them to process your personal information for specified purposes and in accordance with our instructions.
Where your data may be processed
Sometimes we will need to share your personal data with firms that provide support services to Compliancy Services and who are outside the European Economic Area (EEA). Any transfer of your personal data will follow applicable laws and we will treat the information under the guiding principles of this Privacy Notice.
You can set your browser not to accept cookies and the websites below, tell you how to remove cookies from your browser. However in a few cases some of our website features may not function as a result. For further information about cookies visit www.aboutcookies.org or www.allaboutcookies.org.
Links to other websites
Whenever we process data we will ensure that we always keep your personal data rights in high regard and take account of these rights. You have the right to object to this processing if you wish, by contacting us using one of the options in the “How To Contact Us” section. Please bear in mind that if you object this may affect our ability to carry out tasks for your benefit.
We want to make sure that your personal information is accurate and up to date. You have the right to request a copy of the information that we hold about you. You may ask us to correct or remove information you think is inaccurate.
If you would like a copy of some or all your personal information, please contact us using one of the options in the “How To Contact Us” section. If you are not satisfied with our response or believe that we are not processing your personal data in accordance with the law, you can complain to the Information Commissioner’s Office (ICO).
Security precautions in place to protect the loss, misuse or alteration of your information
When you give us personal information, we take steps to ensure that it’s treated securely. Policies and procedures are in place to safeguard it from loss, misuse and improper disclosure. We, also, have procedures to deal with any suspected personal data breach and will notify you and any applicable regulator of a breach where we are legally required to do so. Any information submitted using website forms is encrypted and protected with 128 Bit encryption on SSL. When you are on a secure page, a lock icon will appear at the top of web browsers such as Microsoft Internet Explorer.
How to contact us
Compliancy Services Ltd
69 Hermitage Road