FIA Tech Privacy Statement

FIA Technology Services, LLC (“FIA Tech”) provides certain services and processes to the futures, options and centrally cleared derivatives markets, including managing legal agreements, settling brokerage fees, meeting regulatory requirements and automating reconciliation processes. We are committed to fair information principles across the organization and in all our products and services in order to carry out our mission to the global markets.

We provide more information about our data practices below:

1. Definitions

“Corporate Affiliate” means any person or entity which directly or indirectly controls, is controlled by or is under common control with FIA Tech, whether by ownership or otherwise. Any information relating to you that we provide to our Corporate Affiliates will be treated by those Corporate Affiliates in accordance with the terms of this Privacy Statement.

“Information Services” refers to our website, functionality offered on our website (such as downloads), and our email, telephone, and other support processes offered through technological means.

“You” or “your” refers to the individual who uses our Information Services, submits information to FIA Tech, or is an employee, contractor or customer of an entity that uses one of FIA Tech’s services, or otherwise directly engages with FIA Tech.

The terms “using” and “processing” information include using cookies on a computer, subjecting the information to statistical or other analysis and using or handling information in any way, including, but not limited to collecting, storing, evaluating, modifying, deleting, using, combining, disclosing and transferring information within our organization.

“Personal information” or “personal data” is any information that relates to an identified or identifiable individual, and may include things such as your name, physical address, email address, phone number, login information, marketing preferences, company affiliation, or payment card information.

The terms “Privacy Shield,” “Privacy Shield Framework,” and “Privacy Shield Principles” refer to the EU-U.S. and Swiss-U.S. Privacy Shield Frameworks and the principles contained therein. For more information, visit https://www.privacyshield.gov.

“Service Platform” refers to any of the fee-based services offered by FIA Tech.

“System User” is an entity or individual accessing and using the Service Platform.


2.SCOPE OF THIS PRIVACY STATEMENT

This Privacy Statement explains our information practices and the choices you can make about the way FIA Tech processes your personal information. The Privacy Statement applies in the following events:

  1. When you are using our Information Services, interact with us in your capacity as a customer representative who is using one of our FIA Tech services, you are a service provider/partner of FIA Tech or a sales prospect, then FIA Tech will be the controller and therefore responsible for your personal information under applicable privacy laws. In that case, this entire Privacy Statement will apply and sets out FIA Tech’s privacy practices and your rights. Please review this Privacy Statement carefully before interacting with us and contact us if you have questions;
  2. When you are using the Service Platform as a System User, FIA Tech will be the processor of your personal information on behalf of the FIA Tech customer facilitating your access to the Service Platform. This means that we will only process such personal information on the customer’s instructions. In this instance, the FIA Tech customer will be responsible for your personal information and you should refer to their privacy policy for information on how your personal information is handled and how to exercise your rights. Please note that other policies or governing arrangements may also apply concerning your data rights if your personal information is processed in a Service Platform. These include, but are not limited to:
    1. A FIA Tech Services Agreement (“MSA”), a System User Agreement, or one of the other agreements governing a Service Platform, and/or any related data processing amendments (these agreements apply when your firm contracts with FIA Tech to become a customer of one of our Service Platforms); or
    2. A Data Processing Agreement (“DPA”) or equivalent non-disclosure agreement with any third-party service provider or Corporate Affiliates.

We are committed to data ethics and transparency in all of our dealings with you.

Please read this Privacy Statement carefully and contact fiatech-privacy@fia-tech.com if you have any questions. We may update these policies and statements from time to time.

This Privacy Statement does not address personal information that may be provided to FIA Tech in connection with a job application or employment relationship. FIA Tech provides a separate privacy notice to job applicants and employees.


3. WHAT PERSONAL INFORMATION DOES FIA TECH COLLECT?

We collect the following personal information from you:
Information you give us

  1. Contact Information and Communications: when you contact us (including via web forms, phone, email, post or social media) we may collect your name, preferred salutation, job role, contact information (including address, telephone number, email address) and the content of your communications.
  2. Surveys, Reviews and Testimonials: when you participate in and complete any of our surveys or when you write a review/testimonial about us or any of our products, we may collect your name, job role, contact information, survey responses and the content of your review/testimonial.
  3. Account Data: when you sign up for an account with us (such as, as a System User representative), we collect your username,email address, and certain other contact or employment details.
  4. Suppliers/Partners and Representatives: when you enter into a supplier/partnership agreement or relationship with us or are a representative of a supplier/partner, we may collect your name, company, job role, contact information and the content of your communications with us.
  5. Request Information/Schedule a Demo: when you request an appointment to speak with any of our sales team about or products or for a demo, we may collect your name, company, job role, contact details and any pre-appointment notes you provide.
  6. Office Visitors: when you visit any of our offices, we may collect your name, company, the date and time of your visit.
  7. Marketing Information: when you register to receive any kind of marketing communication from us, we may collect your name, email address and marketing preferences when you register to receive marketing communication from us.
  8. Voluntary Information. Other information you voluntarily submit to FIA Tech.

Information we collect from third parties

Third party sources:

We may collect information from trusted third party sources and engage third parties to collect personal information to assist us. When you have visited our website or interacted with our online content, we may collect your IP address, company information and information on which website pages you visited.
In these instances we will not collect your name nor contact details.

Information we collect automatically:

  1. Visiting our website. When you visit and interact with our website, our servers keep an activity log unique to you that collects certain administrative and traffic information including your device details, device location, source IP address, time of access, date of access, web page(s) visited, language use, software crash reports and type of browser used.
  2. Cookies and similar technologies. We use cookies and other similar technologies (e.g. web beacons, HTML5, etc.) to collect personal information about you when you interact with our website and online services. These are simple pieces of computer code which are designed to collect information from the device you use to access our online services. Please see our Cookie Policy here [insert hyperlink to Cookie Policy] for more information on what cookies (and other similar technologies) are and how we use them.

4. WHAT DOES FIA TECH DO WITH THE INFORMATION IT COLLECTS?

We use personal information for the following purposes:

To operate and administer our services.

We will use your personal information to operate and administer our services in accordance with our contractual terms and conditions, to take steps to enter into a contract with you at your request or to comply with a legal obligation. Operating and administering our services includes:

  1. Operating, providing and administering the content and functionality of our Information Services, Service Platforms and other products, and supporting your use of these services.
  2. Responding to your inquiries, comments, feedback or questions, or processing your request, including keeping records of such interactions for future reference.
  3. Managing our relationship with you, which includes sending administrative information to you relating to our services and changes to our terms, conditions, and policies, and asking you to leave a review or take a survey.
  4. Carrying out our obligations arising from any contracts entered into by you and us.

To improve, monitor, personalize, and protect our services.

It is in our legitimate business interests to improve, personalize, and keep our services safe for our users. This includes:

  1. Analyzing how you interact with our website, products and services, improving and developing our website, products and services, and developing our business and marketing strategy (please also read our Cookie Policy to learn how we use cookies and similar technologies).
  2. Aggregating personal information and using the aggregated information to analyze the effectiveness of our website, products and services, to improve and add features to our website, products and services, and for other similar purposes.
  3. Preventing fraud, criminal activity, or misuse s of our products and services, and ensuring the security of our IT systems, architecture and networks (including troubleshooting, testing, system maintenance, support, and hosting of data).

For marketing and advertising purposes

We may contact you to tell you about information we believe will be of interest to you, such as information about products and services, features, surveys, newsletters, and upcoming events. You may opt-out of receiving promotional emails by following the instructions contained in each communication we send to you or by contacting us as explained at the bottom of this Privacy Statement. If you unsubscribe or opt-out from receiving marketing communications from us, we will no longer send you marketing communications, but we will continue to contact you regarding administrative matters, and to respond to your requests.

Where required by law, we will only send users marketing communications with your consent. Otherwise, we will market and advertise our services on the basis of our legitimate business interests. We may also collect personal information about you when you visit our website in order for us to send your company direct marketing information we believe will be of interest (including invitations to webinars & events, surveys, or other marketing and business development activity). We will process your personal information on the basis of our legitimate interests.

To enforce our agreements, to comply with legal obligations and to defend ourselves against legal claims or disputes.

We may use your personal information, where it is in our legitimate business interests, to: : enforce and comply with our terms and policies; protect our rights, privacy, safety, or property; ensure the integrity of the services we provide; defend ourselves against legal claims or disputes; and recover payments due to us. Some processing may also be necessary to comply with a legal obligation and legal processes, for example to keep records of transactions, or as requested by any judicial process or governmental agency.

To facilitate corporate acquisitions, mergers or transactions.

We may use your personal information when we do a business deal, or negotiate a business deal, involving the sale or transfer of all or a part of our business or assets. These deals can include any merger, financing, acquisition, or bankruptcy transaction or proceeding. In these instances we will rely on our legitimate business interests to process your personal information.


5. YOUR RIGHTS AND CHOICES

Opt-out of marketing communications. You may opt-out of marketing-related emails by following the opt-out or unsubscribe instructions at the bottom of the email. You may continue to receive service-related and other non-marketing emails.

Personal information requests. Depending on your location and the nature of your interactions with us, you may request the following in relation to your personal information:

  1. Information about how we have collected and used your personal information. We have made this information available to you without having to request it by including it in this Privacy Statement.
  2. Access to a copy of the personal information that we have collected about you. Where applicable, we will provide the information in a portable, machine-readable, readily-usable format and have it transmitted to another controller.
  3. Correction of personal information that is inaccurate or out of date.
  4. Deletion of personal information that we no longer need to provide our services or for other lawful purposes.
  5. Additional rights, such as to object to the processing of your personal information for our legitimate interests (see the “Lawful Basis for Processing your Personal Information” section above) or any direct marketing related purposes, and to request that we restrict our use of your personal information, and where applicable, you may withdraw your consent.

To exercise the above rights, contact us:

By email:
fiatech-privacy@fia-tech.com

By postal mail or courier:
ATTN: FIA Tech Global Data Protection Team
2001 K Street NW
Suite 730 – North Tower
Washington, D.C. 20006, USA

Prior to responding to your requests, we may verify your identity by matching any requested identifying information you provide against the information we have about you. Depending on your jurisdiction, you may designate an authorized agent to make a request on your behalf. We will require the authorized agent to have a written authorization confirming that authority.

We will never discriminate against you for exercising any of these rights, but you may lose access to certain functionality or the ability to interact with certain programs or offers due to changes in the personal information we have access to after complying with your privacy requests.

Right to complain. If you have any questions or complaints about how we handle your personal information, we hope you feel able to raise them with us directly. However, if you are based in the United Kingdom (“UK”) or the European Economic Area (“EEA”), you have the right to lodge a complaint with a data protection authority in your country. For more information, please contact your local data protection authority.

If you wish to raise a complaint with us, please see the section titled “Resolution of Complaints” for more information.

Limits on your choices. In some instances, your choices may be limited, such as where fulfilling your request would impair the rights of others, our ability to provide a service you have requested, or our ability to comply with our legal obligations and enforce our legal rights. If you are not satisfied with how we address your request, you may submit a complaint by contacting us.


6. SHARING OF PERSONAL INFORMATION

We share your personal information for the following purposes and in line with this Privacy Statement:

  1. FIA Tech may disclose personal information to its Corporate Affiliates. Our affiliates will use the personal information we share in a manner consistent with this Privacy Statement.
  2. FIA Tech may disclose personal information to service providers or strategic partners for the purposes of operating our business; delivering, improving and customizing our products or services; sending marketing and other communications related to our business; payment processing and other legitimate purposes permitted by applicable law, or otherwise with your consent.
  3. FIA Tech may share personal information if there is a change in FIA Tech’s ownership. We reserve the right to transfer information to a third party in the event of a sale, merger, dissolution or other transfer of all or substantially all of the assets of FIA Tech or any of its Corporate Affiliates, or that portion of FIA Tech or any of its Corporate Affiliates to which the information relates, or in the event that we discontinue our business or file a petition or have filed against us a petition in bankruptcy, reorganization or similar proceeding, provided that the third party agrees to adhere to the terms of this Privacy Statement..
  4. FIA Tech may be required, and reserves the right to, disclose personal information to public authorities for security or law enforcement purposes when lawfully required to do so in response to legal mechanisms or a lawful request by public authorities.
  5. FIA Tech may disclose your information (including personal information) if we believe in good faith that we are required to do so in order to comply with an applicable statute, regulation, rule or law, a subpoena, a search warrant, a court or regulatory order, or other valid legal process. We may disclose personal information in special circumstances when we have reason to believe that disclosing this information is necessary to identify, contact or bring legal action against someone who may be violating our terms of service, to detect fraud, or to protect the safety and/or security of our users, the FIA Tech website, or the general public. Please note that FIA Tech is subject to the investigatory and enforcement powers of the U.S. Federal Trade Commission (FTC).
  6. FIA Tech will share your personal information where you have given us express permission to do so in the course of your relationship with us from time to time.

Please note that FIA Tech does not sell your personal information or share your personal information with third parties for targeted advertising purposes.


7. SECURITY OF PERSONAL INFORMATION

FIA Tech has physical, administrative, and technical safeguards in place to help protect the personal information FIA Tech collects and stores. We will take reasonable and appropriate steps, in view of the risks, to ensure the security of your personal information while it is in our custody and control.


8. RETENTION OF PERSONAL INFORMATION

FIA Tech will retain your personal information as needed to fulfill the purposes for which it was collected. This will generally be for the duration of time you interact with us, however, there may be situations where we retain your personal information for a longer or shorter period. When determining the relevant retention periods for your personal information, we take into account the following factors: any permissions you give us with regards to your personal information; our contractual obligations and rights in relation to the Personal Information involved; our legal obligation(s) under relevant laws to retain data for a certain period of time; our legitimate business and commercial interests; whether retention is advisable in light of our legal position (such as with regard to applicable statute of limitations, investigations, litigation, and other potential and actual disputes); and any guidelines issued by relevant data protection authorities. Also, as certain personal information—for example, your email address—is required to use our paid-for services, we retain that personal information as long as your account is active. We may retain and use your personal information after you have cancelled your account as necessary to comply with our business requirements, legal obligations, resolve disputes, protect our assets, and enforce our agreements.


9. DOES THIS PRIVACY STATEMENT APPLY WHEN I LINK TO OTHER WEBSITES OR SERVICES?

We may provide you with access to other websites and services. Please be aware that we are not responsible for the privacy practices of any websites or services other than those provided by FIA Tech, including those of our Corporate Affiliates. We encourage you to read the privacy policies or statements of each and every such website and service. This Privacy Statement applies solely to information collected by us.


10. COULD MY INFORMATION BE TRANSFERRED TO OTHER COUNTRIES?

FIA Tech is incorporated in the United States. Information collected by us may be transferred to our offices, Corporate Affiliates or third parties located in the United States. In addition, information collected by us may be transferred to locations throughout the world, wherever our business contacts and counterparties may be located, and this information may be viewed and processed in countries that may not have laws of general applicability regulating the use and transfer of such data. To the fullest extent allowed by applicable law, by using any of the above, you voluntarily consent to the trans-border transfer and hosting of such information.

If you are located in the United Kingdom (UK) or European Economic Area (EEA), and we share your personal information to parties in the US or any other countries not recognized as adequate for the transfer of your personal information, to the extent a safeguard is required under law for such transfers of your personal information, we have put in place the UK government approved international data transfer agreement/addendum (for UK transfers) and Standard Contractual Clauses approved by the EU Commission (for EEA transfers). If you require further details on the safeguards in place please contact us.


12. HOW WILL I KNOW IF THERE ARE ANY CHANGES TO THIS PRIVACY STATEMENT?

We may revise this Privacy Statement from time to time without notice. We encourage you to review this Privacy Statement periodically for any changes.


13. WHOM DO I CONTACT IF I HAVE ANY PRIVACY QUESTIONS?

If you have any questions or comments about this Privacy Statement or our adherence to its terms, please contact our Privacy Agent in any of the following ways:
By email:
fiatech-privacy@fia-tech.com

By postal mail or courier:
ATTN: FIA Tech Global Data Protection Team
2001 K Street NW
Suite 730 – North Tower
Washington, D.C. 20006, USA

Our representative in the United Kingdom and European Union can be contacted at:
By email:
fiatech-privacy@fia-tech.com

By postal mail or courier:
Attn: FIA Tech Global Data Protection Team
Achieved Compliance Advocacy, Ltd.
Princess House
Princess House Way
Swansea, United Kingdom SA1 3LW

Attn: FIA Tech Global Data Protection Team
Achieved Compliance Advocacy, Ltd
Singel 250, 1016 AB
Amsterdam, Netherlands


14. APPLICABLE LAW

This Privacy Statement is governed by the laws of the State of New York, USA, without regard to its conflict of laws provision. You submit to the exclusive jurisdiction of the courts of the State of New York in connection with any action or dispute arising between the parties under or in connection with this Privacy Statement.


Contact Us

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Call: 1.202.772.3000

Email General Client Support: clientservices@fia-tech.com

Review

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Email Databank Support: databank@fia-tech.com