Privacy Notice

Compliance Prime, LLC (“Compliance Prime,” “the firm,” “we,” or “us”) is a New York–based regulatory advisory firm. We respect the confidentiality of every visitor to this website, every recipient of our correspondence, and every client of the firm. This notice describes the categories of information we collect, the purposes for which we use that information, and the choices available to you.

This notice applies to complianceprimehq.com and to any correspondence, marketing communication, or engagement conducted under the Compliance Prime name. It does not apply to information collected by third parties whose websites we link to.

Information we collect

We collect three categories of information:

• Information you provide directly — including your name, firm, role, mailing address, email address, telephone number, and any additional information you choose to share when contacting the firm or engaging us.
• Information we receive automatically — including anonymized log information such as the date of your visit, the pages you viewed, your general geographic region, and the type of browser and device used. We do not deploy advertising trackers on this site.
• Information received from your firm — when we are engaged by your organization, we may receive information about you in the ordinary course of the engagement (for example, employment role, authority, and contact details).

How we use information

We use information for the following purposes only:

• To respond to your correspondence and inquiries.
• To deliver advisory services pursuant to a written engagement.
• To send periodic professional updates and regulatory briefings to those who have requested them or who are clients or contacts of the firm.
• To meet our own regulatory, legal, and audit obligations.
• To improve the quality, security, and integrity of our website and our practice.

Confidentiality of client information

Information shared with the firm in connection with an engagement is treated as confidential and is subject to the engagement letter governing that work. Compliance Prime maintains internal access controls, written information-security policies, and a written incident-response plan, and requires equivalent obligations of any subcontractor who supports an engagement.

Disclosure to third parties

We do not sell, rent, or trade personal information. We disclose information only in the following circumstances:

• To service providers who support the firm's operations under written contract and on a confidential basis (for example, our hosting provider, our email-correspondence platform, and our outside professionals).
• To regulators, courts, or law enforcement where required by law, regulation, or valid legal process.
• To a counterparty to a transaction involving the firm itself, on customary terms protecting the confidentiality of the information.

Email correspondence and marketing

Periodic professional briefings are sent only to addresses obtained from the recipient or from a client engagement, and every message contains a clear means to discontinue further mailings. To unsubscribe, follow the instructions at the foot of any message, or write to practice@complianceprimehq.com with the word “unsubscribe” in the subject line. We honor all unsubscribe requests within ten business days.

Your rights and choices

Depending on where you reside, you may have rights to access, correct, or delete personal information we hold about you, to restrict or object to certain uses of that information, and to withdraw consent where consent is the basis for processing. Residents of California may exercise rights afforded by the California Consumer Privacy Act, as amended. Residents of the European Economic Area, the United Kingdom, or Switzerland may exercise rights afforded by the General Data Protection Regulation and its national equivalents.

To exercise any such right, write to the address below. We will respond in the timeframe required by applicable law.

Retention

We retain information only for so long as is reasonably necessary for the purpose for which it was collected, for the duration of any active or contemplated engagement, and thereafter for the periods required by our professional, regulatory, and recordkeeping obligations.

Security

Compliance Prime maintains administrative, technical, and physical safeguards designed to protect the information in our custody. No system is impenetrable, however; in the event of a confirmed incident affecting your information, we will notify you and the appropriate authorities in the manner and within the timeframes required by applicable law.

Children

The firm's services are directed to financial institutions and their professional personnel. We do not knowingly collect personal information from any individual under the age of sixteen.

Changes to this notice

We may revise this notice from time to time. The date at the head of the notice indicates when it was last revised. Material changes will be flagged at the head of this page for thirty days following the change.

Contact

Questions about this notice, or any request to exercise the rights described above, may be directed to:

Compliance Prime, LLC
Attn: Privacy Officer
30 Broad Street, Suite 1422
New York, NY 10004
practice@complianceprimehq.com