PRIVACY

CORLYTICS is dedicated to protecting the confidentiality and privacy of information entrusted to it. As part of this fundamental obligation, CORLYTICS is committed to the appropriate protection and use of personal information (sometimes referred to as “personally identifiable information” or “PII”) that has been collected online.

Generally, our intent is to collect only the personal information that is provided voluntarily by online visitors so that we can offer information and/or services to those individuals or offer information about employment opportunities. Please review this Privacy Statement (“Privacy Statement”) to learn more about how we collect, use, share and protect the PII that we have obtained.

 

COLLECTION AND USE OF PERSONAL INFORMATION

We obtain personal information about you if you choose to provide it — for example, to contact mailboxes or to register for certain services. In some cases, you may have previously provided your PII to CORLYTICS (if, for example, you are a former employee). By registering and/or submitting personal information to CORLYTICS, you are also agreeing to the use of this information in accordance with this Privacy Statement. Your personal information is not used for other purposes, unless we obtain your permission, or unless otherwise required or permitted by law or professional standards. For example, if you send us an email message requesting information about CORLYTICS, we will use your email address and other information you supply to respond to your request. If you send us a resume or curriculum vitae (CV) to apply online for a position with CORLYTICS, we will use the information that you provide to match you with available CORLYTICS job opportunities.

In some cases where you have registered for certain services we may store your email address temporarily until we receive confirmation of the information you provided via an email (i.e. where we send an email to the email address provided as part of your registration to confirm a subscription request).

CORLYTICS generally collects only the personal information necessary to fulfil your request. Where additional, optional information is sought, you will be notified of this at the point of collection.

Corlytics core products use publicly available information from regulatory enforcement notices to inform future risk management for the financial services industry. This information includes regulatory enforcements that may be levied against individuals. Therefore, this information constitutes personal information. This publicly available personal information is used to inform Corlytics risk intelligence and is then categorised for global comparison to make the data relevant to any financial institution. This data and its analysis are provided as part of Corlytics Solutions to clients made up financial and educational institutions.

 

Data included in regulatory enforcements against individuals can include name, occupation, employer organisation, offence, penalty, period of misconduct, job function, jurisdiction/city, solvency status, extenuating circumstance and prior disciplinary history.

The data sources are listed here below:

Securities and Exchange Commission (SEC)
https://www.sec.gov/litigation.shtml
New York State Department of Financial Services (NYDFS)
http://www.dfs.ny.gov/about/enforceact.htm
Commodities Furures Training Commission (CFTC)
http://www.cftc.gov/LawRegulation/Enforcement/EnforcementActions/index.htm
Consumer Financial Protection Bureau (CFPB)
https://www.consumerfinance.gov/policy-compliance/enforcement/actions/
The Board of Governors of the Federal Reserve System (FRB)

https://www.federalreserve.gov/apps/enforcementactions/search.aspx

Financial Crimes Enforcement Network (FinCEN)
https://www.fincen.gov/news-room/enforcement-actions
Financial Conduct Authority (FCA)
https://www.fca.org.uk/about/enforcement
Prudential Regulation Authority (FRA)
http://www.bankofengland.co.uk/pra/Pages/supervision/regulatoryaction/enforcementnotices.aspx
ASIC
http://asic.gov.au/about-asic/asic-investigations-and-enforcement/
HK Futures and Securities Commission (SFC)

http://www.sfc.hk/web/EN/regulatory-functions/enforcement/enforcement-actions/

Hong Kong Monetary Authority (HKMA)

http://www.hkma.gov.hk/eng/key-information/press-releases/2017/20170411-4.shtml

Monetary Authority of Singapore (MAS)
http://www.mas.gov.sg/news-and-publications/enforcement-actions.aspx
Office of the Comptroller of Currency   (OCC)

https://www.occ.gov/news-issuances/news-releases/index.html

Central Bank Of Ireland (CBI)
https://www.centralbank.ie/news-media/legal-notices/settlement-agreements
Serious Fraud Office (SFO)
https://www.sfo.gov.uk/our-cases/
Federal Financial Supervisory Authority (BaFin)

https://www.bafin.de/EN/Willkommen/willkommen_node_en.html

Autorité des Marchés Financiers (AMF)
http://www.amf-france.org/en_US/Actualites/Communiques-de-presse/Comission-des-sanctions

 

CORLYTICS only collects “sensitive” personal information when the relevant individuals voluntarily provide us with this information or where such information is required or permitted to be collected by law or professional standards. Sensitive information includes personal information regarding a person’s race, ethnicity, political beliefs, trade union membership, religious or similar beliefs, physical or mental health, sexual life or criminal record. Please use your discretion when providing sensitive information to CORLYTICS, and under any circumstances, do not provide sensitive information to CORLYTICS, unless you thereby consent to CORLYTICS’s use of that information for its legitimate business purposes and consent to the transfer and storage of such information to and in CORLYTICS databases.

If you have any questions about whether the provision of sensitive information to CORLYTICS is, or may be, necessary or appropriate for particular purposes, please contact CORLYTICS at privacy@corlytics.com