Website Privacy Policy of RIA Compliance Consultants, Inc.
(Last updated: 12/2/2024)
We value your privacy very highly. Please read this Website Privacy Policy (“Privacy Policy”) carefully before using the https://www.ria-compliance-consultants.com/ Website (the “Website”) operated by RIA Compliance Consultants, Inc., a corporation formed in Nebraska, United States (“us,” “we,” “our”) as this Privacy Policy contains important information regarding your privacy and how we may use the information we collect about you.
Your access to and use of the Website is conditional upon your acceptance of and compliance with this Privacy Policy. This Privacy Policy applies to everyone, including, but not limited to the following: visitors of the Website, users of the Website, and others who wish to access or use the Website.
By accessing or using the Website, you agree to be bound by this Privacy Policy. If you disagree with any part of the Privacy Policy, then you do not have permission to access or use the Website.
What Information We Collect, Where We Get This Information, How We Use This Information, What Happens If We Don’t Have It, And Legal Basis For Processing This Information
We collect and store any and all information that you enter on this Website. We collect and store the following information about you:
| Category of Information | Specific Piece of Information | Legal Basis for Processing this Information | Where We Get this Information | How We Use this Information | What Happens if We Don't Have this Information |
| Identifying Information | Name |
• The user has provided consent to the processing of their information; • Processing is necessary to perform a contract with the user; • Processing is necessary in order to take steps that the user has requested prior to entering into a contract. |
• Information submitted by the consumer.
|
• Analytics;
• Auditing transactions that the consumer has entered into;
• Enforcing our Terms of Service;
• Marketing and Advertising;
• Participation in surveys and contests;
• Performing services;
• Processing or fulfilling orders or transactions;
• Processing payments;
• Providing customer service;
• Resolving disputes;
• Verifying customer information;
• Responding to a prospective customer's inquiries. |
• Our use of your data for analytics will not be possible; • Our use of your data for auditing transactions that the customer has entered into will not be possible; • Our use of your data for enforcing our Terms of Service will not be possible; • Our use of your data for marketing and advertising will not be possible; • Our use of your data for participation in surveys and contests will not be possible; • Our use of your data for performing services will not be possible; • Our use of your data for processing or fulfilling orders or transactions will not be possible; • Our use of your data for processing payments will not be possible; • Our use of your data for providing customer service will not be possible; • Our use of your data for resolving disputes will not be possible; • Our use of your data for verifying customer information will not be possible; • Our use of your data for responding to a prospective customer's inquiries will not be possible. |
| Identifying Information | Billing address |
• Processing is necessary to perform a contract with the user; • Processing is necessary in order to take steps that the user has requested prior to entering into a contract. |
• Information submitted by the consumer. |
• Analytics; • Auditing transactions that the consumer has entered into; • Enforcing our Terms of Service; • Marketing and Advertising; • Performing services; • Processing or fulfilling orders or transactions; • Processing payments; • Providing customer service; • Resolving disputes; • Verifying customer information. |
• Our use of your data for analytics will not be possible; • Our use of your data for auditing transactions that the consumer has entered into will not be possible; • Our use of your data for enforcing our Terms of Service will not be possible; • Our use of your data for marketing and advertising will not be possible; • Our use of your data for performing services will not be possible; • Our use of your data for processing or fulfilling orders or transactions will not be possible; • Our use of your data for processing payments will not be possible; • Our use of your data for providing customer service will not be possible; • Our use of your data for resolving disputes will not be possible; • Our use of your data for verifying customer information will not be possible. |
| Identifying Information | Phone Number |
• The user has provided consent to the procesing of their information; • Processing is necessary to perform a contract with the user; • Processing is necessary in order to take steps that the user has requested prior to entering into a contract. |
• Information submitted by the consumer. |
• Auditing transactions that the consumer has entered into; • Enforcing our Terms of Service; • Marketing and Advertising; • Participation in surveys and contests; • Performing services; • Processing or fulfilling orders or transactions; • Processing payments; • Providing customer service; • Resolving disputes; • Verifying customer information; • Responding to inquiries by prospective customers. |
• Our use of your data for auditing transactions that the consumer has entered into will not be possible; • Our use of your data for enforcing our Terms of Service will not be possible;' • Our use of your data for marketing and advertising will not be possible; • Our use of your data for participation in surveys and contests will not be possible; • Our use of your data for performing services will not be possible; • Our use of your data for processing or fulfilling orders or transactions will not be possible; • Our use of your data for processing payments will not be possible; • Our use of your data for providing customer service will not be possible; • Our use of your data for resolving disputes will not be possible; • Our use of your data for verifying customer information will not be possible; • Our use of your data for responding to inquiries by prospective customers will not be possible. |
| Identifying Information | IP Address |
• The user has provided consent to the processing of their information; • Processing is necessary to perform a contact with the user; • Processing is necessary in order to take steps that the user has requested prior to entering into a contract; • Processing is necessary for compliance with a legal obligation. |
• Information submitted by the consumer; • Social networks; • Surveys; • Tracking pixels; • The observation and recording of activities by the business, such as through the use of cookies. |
• Analytics; • Counting ad impressions to unique visitors; • Detecting securites incidents; • Enforcing our Terms of Service; • Marketing and Advertising; • Participation in surveys and contests; • Performing services; • Processing or fulfilling orders or transactions; • Processing payments; • Providing customer service; •Verifying customer information. |
• Our use of your data for analytics will not be possible; • Our use of your data for counting ad impressions to unique visitors will not be possible; • Our use of your data for detecting security incidents will not be possible; • Our use of your data for enforcing our Terms of Service will not be possible; • Our use of your data for marketing and advertising will not be possible; • Our use of your data for participation in surveys and contests will not be possible; • Our use of your data for performing services will not be possible; • Our use of your data for processing or fulfilling orders or transactions will not be possible; • Our use of your data for processing payments will not be possible; • Our use of your data for providing customer service will not be possible; • Our use of your data for verifying customer information will not be possible. |
| Identifying Information | Email address |
• The user has provided consent to the processing of their information; • Processing is necessary to perform a contract with the user; • Processing is necessary in order to take steps that the user has requested prior to entering into a contract. |
• Information submitted by the consumer. |
• Auditing transactions that the consumer has entered into; • Enforcing our Terms of Service; • Marketing and Advertising; • Performing services; • Processing or fulfilling orders or transactions; • Processing payments; • Providing customer service; • Resolving disputes; • Verifying customer information; • Responding to inquiries by prospective clients. |
• Our use of your data for auditing transactions that the consumer has entered into will not be possible; • Our use of your data for enforcing our Terms of Service will not be possible; • Our use of your data for marketing and advertising will not be possible; • Our use of your data for performing services will not be possible; • Our use of your data for processing or fulfulling orders or transactions will not be possible; • Our use of your data for processing payments will not be possible; • Our use of your data for providing customer service will not be possible; • Our use of your data for resolving disputes will not be possible; • Our use of your data for verifying customer information will not be possible; • Our use of your data for responding to inquiries by prospective customers will not be possible. |
| Financial Information | Card Expiration Date |
• The user has provided consent to the processing of their information; • Processing is necessary to perform a contract with the user; • Processing is necessary for compliance with a legal obligation. |
• Information submitted by the consumer. |
• Processing payments. |
• Our use of your data for processing payments will not be possible. |
| Financial Information | Card CVV (security code) |
• The user has provided consent to the processing of their information; • Processing is necessary to perform a contract with the user; • Processing is necessary in order to take steps that the user has requested prior to entering into a contract; • Processing is necessary for compliance with a legal obligation. |
• Information submitted by the consumer. |
• Processing payments; • Verifying customer information. |
• Our use of your data for processing payments will not be possible; • Our use of your data for verifying customer information will not be possible. |
We are not required to collect this information by a law, court order, nor by a tribunal order. We do not combine nor link the personal information that we hold about you.
Note that we do not use your personal information for the purposes of targeted advertising, nor for profiling. Please see the “Your Rights” section below for more information about exercising your privacy rights related to profiling and targeted advertising.
With Whom We Share Your Personal Information
We share the personal information below with the following third parties for the following reasons:
| Category of Personal Information Shared | Specific Piece of Information Shared | Categories of Third Parties With Whom Personal Information Is/Was Shared | Reasons for Sharing |
| Identifying Information | Name |
• Customer management systems; • Data analytics providers; • Data linking platforms; • Email marketing vendors; • Email service providers; • Financial transactions processors; • Parties that need to operate the website; • Subsidiaries |
• To market to you via email; • To manage our interactions with you; • To process transactions; • To analyze your interactions with us or our website |
| Identifying Information | Billing Address |
• Customer management systems; • Data linking platforms; • Email marketing vendors; • Email service providers; • Financial transactions processors; • Parties that need to operate the website; • Subsidiaries |
• To market to you via email; • To manage our interactions with you; • To process transactions; • To analyze your interactions with us or our website |
| Identifying Information | Phone Number |
• Customer management systems; • Data linking platforms; • Email marketing vendors; • Financial transactions processors; • Parties that need to operate the website; • Subsidiaries |
• To market to you via email; • To manage our interactions with you; • To process transactions |
| Identifying Information | IP Address |
• Customer management systems; • Data analytics providers; • Data linking platforms; • Email marketing vendors; • Email service providers; • Financial transactions proccessors; • Hosting providers; • Parties that need to operate the website; • Social networks |
• To market to you via email; • To manage our interactions with you; • To prevent or investigate fraud; • To process transactions; • To analyze your interactions with us or our website; • To enforce our Terms of Service; • To provide you with advertisements; • To prevent or investigate criminal activity |
| Identifying Information | Email Address |
• Customer management systems; • Email marketing vendors; • Email service providers; • Financial transactions processors; • Parties that need to operate the website; • Subsidiaries |
• To market to you via email; • To manager our interactions with you; • To process transactions |
| Financial Information | Card Expiration Date |
• Financial transactions processors |
• To prevent or investigate fraud; • To process transactions |
| Financial Information | Card CVV (Security Code) |
• Financial transactions processors; • Fraud prevention services vendors |
• To prevent or investigate fraud; • To process transactions |
How We Protect Your Personal Information
We have implemented the following measures to protect and safeguard your personal information:
- • Limiting the amount of personal information that we collect to strictly necessary only;
- • Using SSL or other secure connection technologies when receiving or sending personal information beyond internal networks;
- • Requiring our employees to sign confidentiality agreements;
- • Encrypting laptops, USBs and other portable media;
- • Maintaining up-to-date software and safeguards;
- • Implementing physical security measures.
Sale of Your Information
We do not sell your personal information. Please see the “Your Rights” section below for more information about exercising your privacy rights regarding sales of your personal information.
Cookies
A cookie is a small piece of data sent from a website and stored on your device by your browser. This Website collects cookies. Please visit our Cookie Policy to learn more about what cookies we collect, why we collect them, and how to change your cookie settings.
SMS/Text Messaging
While RIA Compliance Consultants, Inc. does not initiate SMS or text message communications with prospective or existing clients, we may acknowledge and respond to messages received via our office numbers. By contacting us via SMS or text message, you consent to receive responses from us through the same communication channel. However, since SMS and text messaging are not a primary form of communication for RIA Compliance Consultants, Inc., we cannot offer any assurances that such messages will be reviewed at all or responded to in a timely manner. Therefore, we recommend that you utilize other forms of communication with us and never rely upon a SMS or text message as the sole basis for notifying us. Information provided through SMS or text messages may be collected and stored in accordance with our standard data protection practices. This information will be used solely for purposes consistent with our business relationship and in accordance with this Privacy Policy. RIA Compliance Consultants, Inc. does not share your telephone numbers or SMS messaging information with third parties for marketing purposes; however, we may share this information with our service providers, such as our telephone and SMS service provider, client relationship management system, and financial transaction processor, solely to facilitate and support our business operations and services. If you wish to stop receiving communications via SMS or text message, please notify us by replying ‘STOP’ to any text message you receive or by contacting us directly at 877-345-4034 or privacy@ria-compliance-consultants.com.
Children’s Privacy
The Website is intended for use by a general audience and does not offer services to children. Should a child, whom we know to be under 18 years, send personal information to us, we will use that information only to respond to that child to inform him or her that they cannot use this Website. We do not sell the personal information of minors under the age of 18 years.
Analytics Programs
This Website uses Google Analytics to collect information about you and your behaviors. If you would like to opt out of Google Analytics, please visit https://tools.google.com/dlpage/gaoptout/.
Information Retention
For users who are residents of Australia, the European Union and/or the European Economic Area, Switzerland and/or the United Kingdom, we retain the following personal information for the following periods of time:
| Category of Information | Data Retention Period |
| Identifying Information | Until 7 years after the later of (a) your last contact with us or (b) the termination of our services for your firm |
| Financial Information | Until 7 years after the later of (a) your last contact with us or (b) the termination of our services for your firm |
Direct Marketing
We use the information that we collect about you for direct marketing purposes. Direct marketing is the act of selling products or services directly to consumers rather than through retailers. Residents of Australia, the European Union and/or the European Economic Area, Switzerland, and/or the United Kingdom – You may, at any time, request that we cease to use your information for direct marketing purposes by emailing us at privacy@ria-compliance-consultants.com.
Your Rights
Depending upon where you reside, you may have the following rights regarding your personal information:
Rights
| Right | Applies To |
| The right to opt out of use of your personal information for the purposes of targeted advertising. | Residents of Virginia only |
| The right to access the personal information that we have collected about you. | Residents of California, Canada, Australia, the European Union and/or the European Economic Area, Switzerland, the United Kingdom, and Virginia only |
| The right to know whether your personal information is sold or disclosed and to whom. | Residents of California only |
| The right to say no to the sale of your personal information. | Residents of California, Nevada, and Virginia only |
| The right to opt out of the sharing of your personal information. | Residents of California only |
| The right to opt out of the use of your personal information for the purposes of profiling in furtherance of decisions that product legal or similarly significant effects concerning you. | Residents of Virginia only |
| The right to request that we delete all or some of the information that we have collected on you. | Residents of California, the European Union and/or the European Economic Area, Switzerland, the United Kingdom, and Virginia only |
| The right not to be discriminated against based upon your exercise of your privacy rights. | Residents of California only |
| The right to equal service and price, even if you exercise your privacy rights. | Residents of California and Virginia only |
| The right to ask us to transmit your personal information that we have collected on you to another provider (where technically feasible). | Residents of California, the European Union and/or the European Economic Area, Switzerland, the United Kingdom, and Virginia only |
| The right to request that we amend any of the information that we have collected about you. | Residents of California, Canada, Australia, the European Union and/or the European Economic Area, Switzerland, the United Kingdom, and Virginia only |
| The right to withdraw your consent to the processing of your data. | Residents of Canada, the European Union and/or the European Economic Area, Switzerland, and the United Kingdom only |
| The right to request that we restrict the processing of your data. | Residents of the European Union and/or the European Economic Area, Switzerland and the United Kingdom only |
| The right to lodge a complaint regarding our collection, sharing and processing of data with competent authorities in the proper jurisdiction. | Residents of Canada, Australia, the European Union and/or the European Economic Area, Switzerland, and the United Kingdom only |
| The right to not have to identify yourself, or of using a pseudonym in certain circumstances. | Residents of Australia only |
| The right to stop receiving unwanted direct marketing. | Residents of Australia and the European Union and/or the European Economic Area, Switzerland only |
| The right to request your personal information in a portable and, to the extent feasible, readily usable format that allows you to transmit that information to another entity. | Residents of Virginia only |
| The right to limit the use and disclosure of your sensitive personal information. | Residents of California only |
| The right to receive the personal information that we hold about you in a portable and, to the extent feasible, a readily usable format that allows you to transmit this information to another entity. | Residents of California only |
Exercising Your Rights
You may exercise the rights specified above by submitting a consumer request to the following:
Bryan Hill, President
RIA Compliance Consultants, Inc.
6910 Pacific Street, Suite 102
Omaha, NE 68106
United States of America
privacy@ria-compliance-consultants.com
(402) 505-6245
We will need to verify your identity prior to effectuating your request. To verify your identity, you will need to provide us with the following information with your request:
- • Name;
- • Billing address;
- • Phone number;
- • Email address.
Please note that we may be unable to process your request if you do not provide us with the above information.
You may also designate an authorized agent to exercise your rights on your behalf. You may designate an agent via any of the ways used to submit requests on your behalf. We will request the agent to verify that he or she has the authority to submit requests on your behalf. We will do so by asking the agent to submit the following information:
- • Valid power of attorney;
- • The requester’s valid government-issued ID;
- • The authorized agent’s valid government ID.
Please note that we may not be able to process your requst if your designated agent and/or you do not provide us with the above information.
We will respond to most consumer requests within 30 to 45 days of receipt, depending upon where you reside. However, some requests may take longer. We will notify you in writing if we need more time to respond. We have the ability to deny your request(s) if certain exceptions in the law apply. If we do deny your request, we will provide you with the reason for such denial.
You have the right to repeal a refusal to take action on a rights request. You may file an appeal to us at the contact information provided above. We will respond to most appeal requests within 45 days of receipt. However, some requests may take longer. We will notify you in writing if we need more time to respond (up to 90 days total). In our response to your appeal, we will inform you of any actions taken or not taken and the reason(s) as to why. Normally, we do not charge a fee to process or respond to consumer requests. However, we may charge a fee for a second or subsequent request within a 12-month period.
Complaints (Residents of Australia)
You have the right to lodge a complaint regarding our collection, use and sharing of your personal information by contacting us at the following contact information:
Bryan Hill, President
RIA Compliance Consultants, Inc.
6910 Pacific Street, Suite 102
Omaha, NE 68106
United States of America
privacy@ria-compliance-consultants.com
(402) 505-6245
Any such complaints must first be addressed to us in writing as required by Australia Privacy Act 1988 S 40(1A). We will respond to all complaints within a reasonable time (usually 30 days). If you are not satisfied with our response to your complaint, you may then lodge a complaint with the Office of the Australian Information Commissioner by following the steps on this page.
Accountability (Residents of Canada)
The following person is accountable and responsible for our privacy practices and procedures:
Bryan Hill, President
RIA Compliance Consultants, Inc.
6910 Pacific Street, Suite 102
Omaha, NE 68106
United States of America
privacy@ria-compliance-consultants.com
(402) 505-6245
You may lodge a complaint with us by contacting the person accountable and responsible for our privacy practices and procedures at the contact information above. You may also lodge a complaint at the Office of the Privacy Commissioner of Canada by visiting this page or calling 1 (800) 282-1376
Location of Data Processing
All data processing activities undertaken by us take place in Nebraska.
Third-Party Websites
This Website may contain hyperlinks to websites operated by parties other than us. We provide hyperlinks for your reference only. We do not control such websites and are not responsible for their contents of the privacy policy or other practices of such websites. It is up to you to read and fully understand their Privacy Policies. Our inclusion of hyperlinks to such websites does not imply any endorsement of the material on such websites or any association with their operators.
Do Not Track
Do Not Track is a preference you can set on your browser to inform websites that you do not want to be tracked. We do not support Do Not Track (“DNT”). You can either enable or disable Do Not Track by visiting the Preferences or Settings page of your browser.
Transferring Data (Residents of Canada)
We plan to transfer data to the United States of America. This means that your information may be processed in a country outside of Canada and it may be accessible to law enforcement authorities and national security authorities of that country and jurisdiction.
Changes to Privacy Policy
We reserve the right to amend this Privacy Policy at any time. We will notify you of any changes to this Privacy Policy by posting the updated Privacy Policy to this website or application.
Questions
If you have any questions about this Privacy Policy, please contact us at privacy@ria-compliance-consultants.com.
