California Consumer Privacy Act Disclosure
Your privacy is important to us. This California Consumer Privacy Act Disclosure explains how SWS Capital Management, LLC and its affiliates (the “Company,” “we,” or “us”) collect, use, and disclose personal information relating to California residents covered by the California Consumer Privacy Act of 2018 (“CCPA”). This notice is provided pursuant to the CCPA.
Under the CCPA, “Personal Information” is information that identifies, relates to, or could reasonably be linked directly or indirectly with a particular California resident. The CCPA, however, does not apply to certain information, such as information subject to the Gramm-Leach-Bliley Act (“GLBA”). It also does not currently apply to certain information received by the Company relating to a consumer who is acting as an employee, owner, director, officer, or contractor of a company, partnership, sole proprietorship, non-profit, or government agency and whose communications or transaction with the Company occur solely within the context of the Company conducting due diligence regarding, or providing or receiving a product or service to such company, partnership, sole proprietorship, non-profit, or government agency.
Keeping Personal Information secure is a priority. Consistent with our obligations under applicable laws and regulations, we maintain physical, technical, electronic, procedural and organizational safeguards and security measures that are designed to protect personal data against accidental, unlawful, or unauthorized destruction, loss, alteration, disclosure, or access.
Collection and Disclosure of Personal Information
In the past 12 months, we have collected for our business purposes, the following categories of Personal Information relating to California residents covered by this disclosure (including the Company’s employees and those seeking employment with the Company):
The categories of sources from which we collected this Personal Information are:
Directly from a California resident or the individual’s representatives;
Service providers and other third parties;
Public record sources (federal, state or local government sources);
Websites/social media; and
Information from corporate clients about individuals associated with the clients (e.g., an employee or board member).
The categories of third parties to whom we disclosed Personal Information for our business purposes described in this privacy disclosure are:
Vendors and Service Providers who provide services such as email delivery, auditing, marketing, and background checks;
Third Parties who provide services such as payment, banking and communication infrastructure, storage, legal expertise, tax expertise, notaries and auditors;
Clearing firms and other Third Parties who enable customers to conduct transactions; and
Government agencies as required by law, rule, or regulation.
Use of Personal Information
In the past 12 months, we have used Personal Information relating to California residents to operate, manage, and maintain our business, to provide our services and to accomplish our business purposes and objectives, including the following:
Performing services, including maintaining or servicing accounts, providing customer service, processing or fulfilling orders and transactions, verifying customer information, processing payments, or providing similar services; and
Complying with laws and regulations and to comply with other legal process and law enforcement requirements (including any internal policy based on or reflecting legal or regulatory guidance, codes or opinions).
Sale of Personal Information
The Company does not and will not sell personal information.
Rights under the CCPA
If you are a California resident, you have the right to:
Request we disclose to you free of charge the following information covering the 12 months preceding your request:
the categories of sources from which the Personal Information was collected;
the purpose for collecting Personal Information about you;
the categories of third parties to whom we disclosed Personal Information about you and the categories of Personal Information that was disclosed (if applicable) and the purpose for disclosing the Personal Information about you; and
the specific pieces of Personal Information we collected about you;
the categories of Personal Information about you that we collected;
Request we delete Personal Information we collected from you, unless the CCPA recognizes an exception; and
Be free from unlawful discrimination for exercising your rights under the CCPA.
We will acknowledge receipt of your request and advise you how long we expect it will take to respond if we are able to verify your identity. Requests for specific pieces of Personal Information will require additional information to verify your identity.
If you submit a request on behalf of another person, we may require proof of authorization and verification of identity directly from the person for whom you are submitting a request.
In some instances, we may not be able to honor your request. For example, we will not honor your request if we cannot verify your identity or if we cannot verify that you have the authority to make a request on behalf of another individual. Additionally, we will not honor your request where an exception applies, such as where the disclosure of Personal Information would adversely affect the rights and freedoms of another consumer or where the Personal Information that we maintain about you is not subject to the CCPA’s access or deletion rights (including pursuant to the business-to-business exception).
We will advise you in our response if we are not able to honor your request. We will not provide social security numbers, driver’s license numbers or government issued identification numbers, financial account numbers, health care or medical identification numbers, account passwords or security questions and answers, or any specific pieces of information if the disclosure presents the possibility of unauthorized access that could result in identity theft or fraud or unreasonable risk to data or systems and network security.
We will work to process all verified requests within 45 days pursuant to the CCPA. If we need an extension for up to an additional 45 days in order to process your request, we will provide you with an explanation for the delay.
How to Exercise Your Rights
If you are a California resident, you may submit a request by:
Sending an email to email@example.com
Calling (212) 373-4239
CCPA Data Rights Are Not Available for Certain Personal Information
CCPA data rights are not available for personal information we collect about you in the course of you acting as a job applicant to or an employee, owner, director, officer, or contractor of the Company, including, in these contexts, your emergency contact information and personal information that is necessary for us to retain to administer benefits for another person relating to you acting as a job applicant to or an employee, owner, director, officer, or contractor of the Company. Any personal information we collect and use will only be used within the context of your role or former role in these capacities.