INTRODUCTION

Capital Markets Gateway LLC (“CMG” or “we” or “us” or “our”) is a controller of personal information. We take our responsibility to protect and respect your privacy seriously and want to be transparent regarding how we use and protect your data. Our mailing address is 368 9^th Ave., 6^th Floor, New York, NY 10001.

This policy describes the types of information CMG may collect from you when you use our enterprise subscription services via CMG or third-party applications, software, websites, mobile apps, and APIs (collectively, the “CMG Services”). It also explains how we collect, use, maintain, protect, and, in some circumstances, disclose that information. Importantly, we do not sell personal information. Please read this policy carefully to understand CMG’s policies and practices regarding your information and how we will treat it. By accessing or using the CMG Services, you accept that your information will be processed as described in this Enterprise Privacy Policy. You may decline to use the CMG Services if you do not accept the processing described in this Enterprise Privacy Policy.

If you access CMG’s Services via third-party software or applications, such as CMG’s DataLab for Excel Microsoft Excel Plug-in feature, any personal information you provide to CMG, if applicable, will be treated in accordance with this Enterprise Privacy Policy.

We may change this policy from time to time (see “Changes to Our Enterprise Privacy Policy”). The most current version of our Enterprise Privacy Policy will be posted in our applications via the CMG Services. By using the CMG Services, you agree to the terms of the most recent version of this policy.

INFORMATION WE COLLECT

Information You Provide to CMG

If you choose to contact us through the CMG Services, you may be asked to provide certain personal information, including your:

• Name
• Title
• Subscription or account details
• Company name and type
• Telephone number
• E-mail address
• Questions and/or requests
• Authentication credentials

Providing your information is not a statutory requirement. However, certain information is necessary for CMG to provide the CMG Services to you or your organization. If you do not provide such information, we may be unable to provide some or all of the CMG Services to you.

In addition, your organization or other authorized users of the CMG Services may provide your business contact information (such as your name, title, corporate email address, and telephone number) to CMG in connection with capital markets transactions or other activities facilitated through the CMG Services.

We’ll refer to this information, and any information that identifies, relates to, describes, references, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer, household, or device, as “personal information.”

If you do not want us to have this information, you can choose not to provide it to us. (See “Your Choices”).

We use the information that you provide for such purposes as providing the CMG Services, responding to your requests, keeping you informed of news and information about CMG, maintaining data security, improving the CMG Services, and communicating with you about the CMG Services.

Information We Collect Automatically

As you navigate through and interact with the CMG Services (including any CMG or third-party applications, software, websites, mobile apps, or APIs from which the CMG Services are accessed), CMG uses automatic data collection technologies to collect certain information about your equipment and browsing actions in order to support and maintain the security, functionality and accessibility of our sites, including:

• IP address;
• browser and device information;
• information collected through cookies and other technologies;
• usage data, such as which pages and screens you visit and records of authentication or sign-in events;
• demographic information and other information provided by you; and
• on an aggregated basis, technical information about downloads of CMG’s Services via third-party applications, such as the time, date, and general location of downloads of the application.

We’ll refer to this information as “site-usage information” as it is information collected about your use of and interaction with the sites and applications, and does not directly reveal your specific identity. While the site usage information CMG automatically collects does not include directly personal data, it may include information that can be indirectly linked to you, and we may maintain such data or associate it with personal information we collect in other ways. (See “How We Use Cookies”).

HOW WE USE COOKIES

CMG uses cookies to automatically collect certain data to improve your experience with the Website and our Services, to allow us to track certain information about your use of our Website and Services, and to support the security and functionality of and the CMG Services (such as authenticating you when you log in). A cookie is a small simple file that is sent along with pages of this website and stored by your browser on the hard drive of your computer or another device. A cookie itself does not contain or collect information. However, when it is read by a server via a web browser it can help maintain a website’s core functionality and help the website to deliver a more user-friendly service.

When you first access the CMG Services, you may be alerted to the fact that we use strictly necessary cookies on our websites and applications. Depending on the web browser you use, you may be able to block cookies across all websites you visit using that browser. However, if you change your browser settings to block all cookies, you may be unable to access certain parts of and enjoy the full functionality of the CMG Services. For information about managing your privacy and security settings for cookies, see “Your Choices.”

To learn more about cookies, please visit the external site http://www.allaboutcookies.org/.

HOW WE USE YOUR INFORMATION

CMG uses information that we collect about you or that you provide to us in order to:

• administer, operate, maintain, and secure the CMG Services, including any of our enterprise applications, software, websites, mobile apps, or APIs from which the CMG Services are accessed;
• improve the CMG Services and develop new products and services;
• enhance the functionality, security and accessibility of our enterprise applications, software, websites, mobile apps, or APIs from which the CMG Services are accessed;
• monitor and analyze trends, usage, and activities in connection with the CMG Services;
• send you information regarding the CMG Services, such as information regarding new products and services and certain changes to our terms, conditions, policies and/or administrative information;
• respond to any questions or comments from you;
• provide you with customer service and support;
• conduct accounting, recordkeeping, backup, and administrative functions, and for similar standard business operational purposes;
• customize and improve the content of our communications, websites, and social media accounts;
• facilitate transaction-related communications, compliance processes, and other activities between authorized users of the CMG Services, including by enabling authorized users to contact designated representatives of other platform participants in connection with specific transactions;
• fulfill our contractual obligations to you and other customers;
• achieve other purposes that we describe when you provide us the information; and/or
• achieve any other purpose, with your consent.

INFORMATION WE MAY DISCLOSE

CMG values the confidentiality of the information we have about users who access or use the CMG Services. We do not sell personal information. However, we do occasionally need to share your information for the purpose of conducting our business or to comply with legal obligations. For example, under certain circumstances and subject to any agreements CMG may have entered into with you, CMG may need to disclose collected personal information in order to:

• provide it to service providers that support our business and CMG Services and are contractually bound to maintain the confidentiality and security of such information;
• facilitate the intended use of the CMG Services, including to verify your identity to the intended audience;
• make business contact information of designated compliance, legal, or other representatives available to other authorized users of the CMG Services, where necessary to facilitate transaction-related activities (such as wall-crossing communications, deal-related compliance processes, or other communications between platform participants in connection with specific transactions), and where such information has been provided to CMG by the representative’s organization or by the representative for this purpose;
• carry out our obligations and enforce our rights arising from any contracts entered into between you and us;
• comply with any court order, law, legal process, or to respond to any government or regulatory request, including requests related to laws outside of your country of residence;
• protect the rights, property, or safety of CMG, its employees, customers, or others;
• permit us to pursue available remedies and/or limit the damages that we sustain;
• fulfill our recordkeeping obligations and practices;
• fulfill any other purpose disclosed by us when you provide the information; and/or
• comply with your instructions or, if allowed to do so, with your consent.

We may also need to provide the collected personal information to a potential buyer or other successor in the event of a merger, divestiture, restructuring, reorganization, dissolution, or other sale or transfer of some or all of CMG’s assets, whether as a going concern or as part of bankruptcy, liquidation, or similar proceeding, in which personal information held by CMG about our users is among the assets transferred.

The recipients of your personal information may therefore include service providers (including IT and cloud infrastructure providers), professional advisors (including legal and accounting firms), regulatory and governmental authorities, other authorized users of the CMG Services, and potential buyers or successors in the context of a corporate transaction.

HOW WE PROTECT YOUR INFORMATION

CMG’s information security program utilizes industry standard practices designed to keep your data safe. We use a combination of administrative, physical, and technical safeguards designed to protect against anticipated threats or hazards to the security, confidentiality and integrity of CMG systems and information. Such practices include, but are not limited to, using Transport Layer Security (“TLS”) and Advanced Encryption Standard (“AES”) to encrypt data, firewalls, multi-factor authentication, and personnel security training.

LEGAL BASES FOR PROCESSING (WHERE THE GDPR APPLIES)

Where the EU General Data Protection Regulation (EU GDPR) or the UK General Data Protection Regulation (UK GDPR) applies to CMG’s processing of your personal information, CMG processes your personal information on the following legal bases:

• Performance of a contract: where processing is necessary to perform, or take pre-contractual steps, in relation to a contract with you, such as an agreement for CMG Services.
• Legitimate interests: where processing is necessary for CMG’s legitimate business interests, including facilitating transaction-related communications and compliance processes between authorized platform participants, provided that such interests are not overridden by your rights and freedoms. Where CMG relies on legitimate interests to share your business contact information with other platform users, CMG has determined that such sharing is reasonably expected by business professionals in the capital markets industry and is limited to the professional context in which the information was provided.
• Consent: where you have given your consent to specific processing activities, which you may withdraw at any time by contacting us at [email protected].
• Legal obligation: where processing is necessary to comply with applicable law or regulation.

INTERNATIONAL DATA TRANSFERS (WHERE THE GDPR APPLIES)

CMG is primarily based in the United States. Your personal information will be processed in the United States and potentially other countries outside the European Economic Area (EEA) and the United Kingdom (UK). Where the EU GDPR or UK GDPR applies to our processing of your personal information and we transfer your personal information to countries outside the EEA or UK which have not been recognised by the European Commission or the UK Secretary of State (as applicable) as providing an adequate level of protection for personal data, we ensure appropriate safeguards are in place to protect your personal information in accordance with applicable data protection law, such as by using the European Commission’s Standard Contractual Clauses (or the UK equivalent). You may request a copy of the relevant safeguards by contacting us at [email protected].

YOUR CHOICES

You can always choose not to provide information, even though it might be needed to take advantage of features of the CMG Services.

You can set your browser to block cookies or erase CMG’s cookies from your computer, though doing so may prevent some or all aspects of the CMG Services from working properly.

If you no longer want to receive emails or other mail from CMG, please press the unsubscribe button on our emails or contact us at [email protected].

If your business contact information has been provided to CMG by your organization or by another platform participant, you may request that CMG cease sharing your contact information with other users by contacting us at [email protected]. Please note that such a request may limit your organization’s ability to participate in certain transaction-related activities through the CMG Services.

If you have any questions about your data or our privacy policies, please email us at [email protected].

RETENTION OF YOUR INFORMATION

CMG retains your personal data for as long as necessary for the purposes for which we collected it, unless a longer retention period is required by law or our contractual obligations. The criteria we use to determine retention periods include: the duration of our contractual relationship with you or your organization; whether there is a legal obligation to retain the data (such as recordkeeping rules); and whether retention is necessary for the establishment, exercise, or defence of legal claims.

ACCESSING OR CORRECTING YOUR INFORMATION

You have the right to request access to, correct, or delete any personal information that you have provided to us. We may not accommodate a request to change or delete information for a number of reasons including but not limited to, if it is believed that the change would violate any law or legal requirement or contractual obligation, cause the information to be incorrect, or if we can’t verify your identity.

Where the EU GDPR or UK GDPR applies to CMG’s processing of your personal information, you also have the following rights:

• to request that we restrict the processing of your personal information in certain circumstances;
• to receive your personal information or to request its transfer to another controller, in certain circumstances;
• to object to processing in certain circumstances;
• to withdraw your consent to any processing based on your consent, at any time.

You also have the right to lodge a complaint with your local data protection supervisory authority.

To exercise any of these rights, please contact us at [email protected].

CHANGES TO OUR ENTERPRISE PRIVACY POLICY

It is CMG’s policy to post any changes it makes to its Enterprise Privacy Policy on this page with a notice that the Enterprise Privacy Policy has been updated on the CMG enterprise sites or applications from which the CMG Services may be accessed. In certain circumstances, CMG may notify you via email of updates to our Enterprise Privacy Policy. The date the Enterprise Privacy Policy was last revised is identified at the top of the page. You are responsible for ensuring that we have an up-to-date, active, and deliverable email address for you, and for periodically reviewing this Enterprise Privacy Policy to check for any changes.

CONTACT US

To ask questions or comment about this Enterprise Privacy Policy and CMG’s privacy practices, contact us at [email protected].