Privacy

WEBSITE PRIVACY POLICY

Promontory Financial Group, LLC and its affiliates ("Promontory" or "we") are committed to protecting the privacy of visitors to our website www.promontory.com ("Website") and others who request information about Promontory. This privacy policy explains the guidelines we use in protecting your privacy.

Privacy Shield

Consistent with its commitment to protect personal privacy, Promontory complies with the principles set forth in the EU-US Privacy Shield Framework (the “Privacy Shield Privacy Principles”) as adopted by the U.S. Department of Commerce regarding the collection, use and retention of personal information from the European Economic Area (“EEA”) (which includes the 28 member states of the European Union (“EU”), plus Iceland, Liechtenstein and Norway) to the United States. Promontory has certified that it adheres to the Privacy Shield Privacy Principles of notice, choice, accountability for onward transfer, security, data integrity and purpose limitation, access, and recourse, enforcement and liability with respect to certain data, including all personal data collected through this Website. To learn more about the EU-US Privacy Shield Framework, and to view Promontory's certification, please visit https://www.privacyshield.gov. Additionally, please view Promontory’s Privacy Shield and Safe Harbor Privacy Policy below.

U.S.-Swiss Safe Harbor

Promontory also complies with the principles set forth in the U.S.-Swiss Safe Harbor (the "Safe Harbor Privacy Principles") as adopted by the U.S. Department of Commerce regarding the collection, use and retention of personal information from Switzerland. Promontory has certified that it adheres to the Safe Harbor Privacy Principles of notice, choice, onward transfer, security, data integrity, access, and enforcement with respect to certain data, including all personal data collected through this Website. Promontory’s participation in Privacy Shield does not affect its compliance with the Safe Harbor Privacy Principles. To learn more about the U.S.-Swiss Safe Harbor program, and to view Promontory’s certification, please visit https://safeharbor.export.gov/swisslist.aspx. Additionally, please view Promontory’s Privacy Shield and Safe Harbor Privacy Policy below.

Collection and Use of Visitor Information

Promontory also collects information you provide to us. As a visitor to the Promontory Website, or as one who has otherwise requested information about Promontory, you may choose to provide us with your name, email address, and other contact information, such as your mailing address and telephone number. We will use the information you provide us for the purpose of responding to your request and to provide you with services.

Third Party Applications

Promontory uses a variety of services hosted by third parties to help enhance and understand how our Website is used. These companies are authorized to use your personal information only as necessary to provide these services to us. These services may use cookies and collect other information sent by your browser as part of a web page request, including your IP address. This information is processed by these third party tools to generate statistical usage information for the Website and individual pages on the Website, including your geographic location and how your browser arrived at the Website. The collection of this information will allow us to better understand and improve the performance, usability, and effectiveness of our Website. The information collected is not linked to personal information.

Tracking Technologies

When you visit our Website, we collect and temporarily store information about the Internet connection and the date and time of the visit through the use of tracking technologies. We use technologies such as cookies, beacons, tags and scripts, which are used by Promontory and Google Analytics.

Cookies are small pieces of data which are sent by a website to your web browser and are stored on your computer. We use this information to learn about visits to our Website pages, the information that is accessed, and the frequency of visits. We may use this information to assist us in resolving technical issues. If you are concerned about the use of cookies, you may configure your web browser to either request your specific acceptance of a cookie or disable cookies entirely. Refusing or disabling cookies will not affect your ability to navigate our Website.

Disclosure of Information

Promontory will not sell your personal information to third parties. If you have voluntarily submitted information to us through an email, by telephone, or otherwise, Promontory maintains your privacy by ensuring that the information is distributed only within Promontory or to third party agents who help us provide services to you. This enables us to respond to your requests about our services and our company.

We may also disclose personal information in response to lawful requests by public authorities, including to meet national security or law enforcement requirements, such as to comply with a subpoena, or similar legal process when we believe in good faith that disclosure is necessary to protect our rights, protect your safety or the safety of others, investigate fraud, or respond to a government request.

If Promontory is involved in a merger, acquisition, or sale of all or a significant portion of its assets, you will be notified via a prominent notice on our Website of any material change in ownership or uses of your personal information, as well as any choices you may have regarding your personal information.

User Access and Choice

Upon your written request, Promontory will provide you with information about whether we hold any of your personal information. If your personal information changes, if you no longer desire our service, or if you want to limit the use or disclosure of your data beyond what is set forth in this Privacy Policy, you may correct, update, amend, delete/remove, request use or disclosure restrictions on or deactivate it by emailing our Customer Support at customer-privacy@promontory.com or by contacting us by postal mail at the contact information listed below. We will respond to your request within 30 days.

We will retain your information for as long as needed to provide you services. We will retain and use your information as necessary to comply with our legal obligations, resolve disputes, and enforce our agreements.

Our Website includes links to our newsletters and other marketing materials. If you wish to subscribe to our newsletter(s), we will use your name and email address to send the newsletter to you. Out of respect for your privacy, you may choose to stop receiving our newsletter or marketing emails by following the unsubscribe instructions included in these emails or by contacting us at customer-privacy@promontory.com.

Security

The security of your personal information is important to us. We follow generally accepted standards, such as secure socket layer (SSL) to protect the personal information submitted to us, both during transmission and once we receive it. No method of transmission over the Internet, or method of electronic storage, is 100% secure, however. Therefore, we cannot guarantee its absolute security.

Links to 3rd Party Sites

Our Website includes links to other websites whose privacy practices may differ from those of Promontory. If you submit personal information to any of those websites, your information is governed by their privacy policies. We encourage you to carefully read the privacy policy of any website you visit.

Social Media Widgets

Our Website includes social media features, such as the Facebook button and widgets, the Share this button and interactive mini-programs that run on our site. These features may collect your IP address and which page you are visiting on our site, and may set a cookie to enable the feature to function properly. Social media features and widgets are either hosted by a third party or hosted directly on our Website. Your interactions with these features are governed by the privacy policy of the company providing that feature or program.

Notifications of Changes

If we change our Privacy Policy, we will post those policy changes at www.promontory.com. If we make any material changes we will notify you by email (sent to the email address you have submitted to the Website), as applicable, or by means of a notice on this Website prior to the change becoming effective. We encourage you to periodically review this page for the latest information on our Privacy Policy.

Conclusion

We recognize the importance of protecting privacy, and we take our responsibility seriously. If you have any questions about our Privacy Policy, please send an email to customer-privacy@promontory.com.

Promontory Privacy Office
801 17th Street, Suite 1100
Washington, DC 20006

This document was last updated on September 29, 2016.

PRIVACY SHIELD AND SAFE HARBOR PRIVACY POLICY

Promontory respects individual privacy. Not only does Promontory strive to collect, receive, use and disclose Personal Information in a manner consistent with the laws of the countries in which it does business, but it is also committed to upholding the highest ethical standards in its business practices. This Privacy Shield and Safe Harbor Privacy Policy (the "Policy") sets forth the privacy principles Promontory follows with respect to transfers of certain Client and third-party Personal Information from the European Economic Area (“EEA”) (which includes the 28 member states of the European Union (“EU”), plus Iceland, Liechtenstein and Norway) and Switzerland to the United States. If there is any conflict between the terms in this Policy and the Privacy Shield Privacy Principles (defined below), the Privacy Shield Privacy Principles shall govern.

Privacy Shield and Safe Harbor

The EU-US Privacy Shield Framework, as adopted by the U.S. Department of Commerce at www.privacyshield.gov, sets forth certain principles regarding the collection, use and retention of Personal Information collected in the EEA and transferred to the United States (the “Privacy Shield Privacy Principles”). With respect to such Personal Information, the Privacy Shield Privacy Principles specifically address requirements for notice, choice, accountability for onward transfer, security, data integrity and purpose limitation, access, recourse, enforcement and liability.  Promontory’s compliance with the Privacy Shield Privacy Principles under this Policy are designed to also comply with the U.S.-Swiss Safe Harbor (the “Safe Harbor Principles”). Promontory’s compliance with the Privacy Shield Privacy Principles and Safe Harbor Principles is subject to the enforcement powers of the United States Federal Trade Commission (FTC). To learn more about the Privacy Shield program, and to view Promontory's certification, please visit https://www.privacyshield.gov/list. To learn more about the U.S.-Swiss Safe Harbor program, and to view Promontory’s certification, please visit https://safeharbor.export.gov/swisslist.aspx.

Scope

This Policy applies to all Personal Information received by Promontory in the United States from the EEA or Switzerland regardless of format, including electronic, paper or verbal, that has been received from (i) the Promontory website at www.promontory.com (the “Website”) or (ii) a Promontory Client. Promontory participates in Privacy Shield and Safe Harbor and, as set forth in this Policy, applies the Privacy Shield Privacy Principles and Safe Harbor Principles to its treatment of all such Personal Information.

Definitions

For purposes of this Policy, the following definitions shall apply:

  • "Agent" means any third party that collects or uses Personal Information under the instructions of, and solely for, Promontory or to which Promontory discloses Personal Information for use on Promontory's behalf.
  • "Client" means any third party that retains Promontory to perform professional services on behalf of such third party.
  • “Promontory” means Promontory Financial Group, LLC, its successor organizations, and Promontory Risk Review, LLC, Promontory Compliance Solutions, LLC, Promontory Financial Group Puerto Rico, LLC, Promontory Forensics Solutions, LLC, Promontory Growth and Innovation, LLC  and other U.S. affiliates of Promontory Financial Group, LLC that collect Personal Information subject to this Policy.
  • "Personal Information" means any information or set of information in any format, including electronic, paper or verbal, that identifies or could be used by or on behalf of Promontory to identify an individual. Personal Information does not include information that is encoded or anonymized, or publicly available information that has not been combined with non-public Personal Information.

Privacy Principles

Notice
In addition to the information provided in this Policy, Promontory's Website Privacy Policy (http://www.promontory.com/PrivacyPolicy.aspx) provides notice to Website users about the (i) purposes for which Promontory collects and uses the Personal Information collected from individual users of the Website, (ii) the choices and means Promontory offers them for accessing and limiting the use and disclosure of their Personal Information, and (iii) how they can contact Promontory. With respect to Personal Information that is transferred from the EEA or Switzerland to the U.S., the Website Privacy Policy is subordinate to this Policy.

Promontory has no direct relationship with the individuals whose Personal Information it processes under the direction of its Clients in the role of a data processor; however, Promontory's contracts with such Clients require that such Clients comply with data protection laws, which includes providing appropriate notice to data subjects regarding the purposes for which their Personal Information is being collected.

Purpose Limitation and Use
Promontory will use Personal Information only in ways that are compatible with the purposes for which it was collected or subsequently authorized by the individual. Promontory will take reasonable steps to ensure that Personal Information is relevant to its intended use, accurate, complete, and current.

When Promontory collects Personal Information directly from an individual through its Website, Promontory will only use such information as described in the Website Privacy Policy and, for the avoidance of doubt, will not (a) disclose Personal Information to a non-Agent third party or (b) use Personal Information for a purpose materially different than the purpose for which it was originally collected, in each case, without prior authorization from the individual.

To the extent permitted by the Privacy Shield Privacy Principles and Safe Harbor Principles, Promontory reserves the right to process Personal Information provided by a Client in the course of providing professional services to such Client without the knowledge of individuals involved, including any supplementation of the information through publicly available sources as Promontory may deem necessary to fulfill its obligations to its Client.

Promontory will retain Personal Information we process on behalf of our Clients for as long as needed to provide services to our Client. As for Personal Information collected on our Website, we will retain the information for as long as needed to provide the services to the Client. Promontory will also retain and use any such Personal Information as necessary to comply with our legal obligations, resolve disputes, and enforce our agreements.

Transfers and Disclosures to Third Parties
Promontory may transfer Personal Information collected from individual users of its Website to third party Agents as described in the Website Privacy Policy. Promontory does not sell Personal Information collected on Promontory's Website to third parties.

Promontory may also transfer Personal Information that we process on behalf of our Clients to companies and individuals acting as Agents for the purposes of helping us provide our services to Clients.

Promontory obtains assurances from its Agents that they will safeguard Personal Information consistent with this Policy. Examples of appropriate assurances that may be provided by Agents include: a contract obligating the Agent to provide at least the same level of protection as is required by the relevant Privacy Shield Privacy Principles, being subject to EU Directive 95/46/EC (the EU Data Protection Directive), being subject to Swiss Federal Act on Data Protection, Privacy Shield certification by the Agent, or being subject to another European Commission or Swiss FDPIC adequacy finding (e.g., companies located in Canada). Where Promontory has actual knowledge that an Agent is using or disclosing Personal Information in a manner contrary to this Policy, Promontory will take reasonable steps to prevent or stop the use or disclosure.  As further described in the Privacy Shield Privacy Principles, Promontory shall be liable to data subjects for the usage of Personal Information in a manner inconsistent with the Privacy Shield Privacy Principles by any Agents or other third parties to whom Promontory transfers such data.

We may also disclose Personal Information in response to lawful requests by public authorities, including to meet national security or law enforcement requirements, such as to comply with a subpoena, or similar legal process when we believe in good faith that disclosure is necessary to protect our rights, protect your safety or the safety of others, investigate fraud, or respond to a government request.

Security
Promontory will take reasonable precautions to protect Personal Information in its possession from loss, misuse and unauthorized access, disclosure, alteration and destruction. We follow generally accepted standards to protect the Personal Information submitted to us, both during transmission and once we receive it. No method of transmission over the Internet, or method of electronic storage, is 100% secure, however. Therefore, we cannot guarantee its absolute security.

Access and Correction
Promontory’s Website Privacy Policy provides information regarding the choices and means Promontory offers individual users of its Website for correcting, updating, amending, deleting/removing, requesting use or disclosure restrictions or deactivating their Personal Information collected by Promontory.  The policy also provides information about making requests regarding whether Promontory holds any of an individual’s Personal Information. Promontory acknowledges that individuals have a right to access their Personal Information.

When acting as a data processor, Promontory has no direct relationship with the individuals whose Personal Information it processes. An individual who seeks access to or who seeks to correct, amend, or delete inaccurate data should direct his or her query to Promontory's Client (the data controller). To the extent permitted by law, rule or regulation, if the Client requests Promontory to remove the data, we will respond to the request within 30 days.

Recourse, Enforcement and Liability
Any questions or concerns regarding the use or disclosure of Personal Information subject to this Policy should be directed to the Promontory Privacy Office as set forth below. Promontory will investigate and attempt to resolve complaints and disputes regarding use and disclosure of Personal Information by reference to the principles contained in this Policy. Promontory will respond to any such questions or concerns within 45 days or receipt.

Individuals who submit a question or concern to Promontory and who do not receive acknowledgment from Promontory of the inquiry or who think their question or concern has not been satisfactorily addressed may then contact our U.S.-based third party dispute resolution provider (free of charge) at https://feedback-form.truste.com/watchdog/request.

In certain circumstances, as more fully set forth on the Privacy Shield website (https://www.privacyshield.gov), individuals can invoke binding arbitration when all of the above remedies have been exhausted.

Limitation On Application Of Principles

Adherence by Promontory to these Privacy Shield Principles may be limited (a) to the extent required to respond to a legal or ethical obligation; (b) to the extent necessary to meet national security, public interest or law enforcement obligations and (c) to the extent expressly permitted by an applicable law, rule or regulation.

Contact Information

Questions or comments regarding this Policy should be submitted to the Promontory Privacy Office by mail to:

Promontory Financial Group, LLC
Privacy Officer
801 17th Street, Suite 1100
Washington, DC 20006

Or by email to the Promontory Privacy Officer at customer-privacy@promontory.com.

Changes To This Privacy Shield Privacy Policy

This Policy may be amended from time to time, consistent with the requirements of the Privacy Shield Privacy Principles. A notice will be posted on Promontory’s Website (www.promontory.com) prior to the change becoming effective whenever this Privacy Shield Privacy Policy is changed in a material way.

EFFECTIVE DATE: September 29, 2016