Effective as of July 7, 2022

The Securities Industry and Financial Markets Association (“SIFMA”) has created this statement so that you understand our information gathering and dissemination practices both on and off the website. Updates to our policy are posted to this webpage.

SIFMA is a member trade association of the Global Financial Markets Association (GFMA) alliance. GFMA currently has three members: the Association for Financial Markets in Europe (AFME) and the Asia Securities Industry & Financial Markets Association (ASIFMA), and, in North America, SIFMA. Although independent organizations, the members of GFMA operate cooperatively. This privacy policy applies to all members of GFMA.

What Personal Information We Collect
The SIFMA website does not collect any personal information about you unless you specifically and knowingly provide such information.

We collect personal information from you when you register for or participate in our events and committees and for other transactions. We maintain contact information (such as name, title, firm, mailing and e-mail address, phone and fax number), and information about which specific markets, functional areas, and types of information are pertinent to you. When relevant to events and other transactions, we also collect and process bank details and maintain payment history for our own purposes.

We like to keep you informed of developments, publications or details of events or seminars of interest to you, and so maintain records about your participation in events and committees, as well as your interests.

We retain varying amounts of personal information for as long as necessary for our legitimate interests in pursuing the purposes outlined in this Privacy Policy.

When We Collect It
We collect information when we interact with you in person regarding conference or committees, as well as when you fill out an online form, or respond to one of our email notices. We may collect information from various public sources and social networking platforms such as LinkedIn. The data we receive from these third-party platforms is dependent upon that third-party’s policies and your privacy settings on that third party site. We may also collect information from your employer in some circumstances.

Submitting personal information is not required to use the SIFMA website except to access password-protected portions of the website.

What We Do With It
We use your information for the purposes of connecting you with SIFMA and the other parts of GFMA, in order to provide you with information about issues and events that may interest you.
On the website, we keep track of your address so that it is easier for you to reregister or reorder. Other information is gathered so that we can bill you or ship the products to you. If you are asked for some information when you apply for a password to secure pages, it is used to generate a password and communicate password and other pertinent information to you. When you subscribe to a page, we use your email address only to send you a notice when the page is updated.

SIFMA does not subject data subjects to decisions that have legal effects on them due solely to automated processing of personal data.

For United States residents, we will send you information about events that may be of interest to you, but you can opt-out of any electronic mailings about future events. We undertake marketing only in compliance with the CAN-SPAM Act, the Telephone Consumer Protection Act (TCPA), the California Consumer Privacy Act (CCPA), Canada’s Anti-Spam Legislation (CASL), the General Data Protection Regulation (GDPR) and other applicable law.

For European Union and Canadian residents, we undertake marketing only with your expressive affirmative consent and in compliance with applicable data privacy laws. EU and Canadian residents are added to the marketing lists only when they provide express affirmative consent consistent with applicable data protection laws, so be sure to let know what information is most useful.

Disclosure and Transfer of Personal Information
We may disclose personal information to outside companies that help us bring you the services we offer. For example, we may work with an outside company to: (a) manage our databases; (b) assist us in distributing emails; (c) assist us with direct marketing and data collection; (d) provide us storage and analysis; (d) provide fraud prevention; and (e) provide other services designed to assist us in maximizing our business potential. We require that these outside companies agree to keep confidential all information we share with them and to use the information only to perform their obligations in our agreements with them.

We may also share your personal information with the member trade associations of the GFMA.

We do not disclose any personal information collected from unrelated third parties except in limited circumstances. Such circumstances include disclosures of your business contact information to third party vendors that are sponsors or exhibitors at SIFMA events. In addition, your business contact information may be used to send you information about SIFMA or any of its events or activities. You can choose to “opt out” of any electronic mailings for future events, although we may need to contact you regarding membership issues.

We may disclose information to comply with applicable laws and regulations, such as to respond to a subpoena or similar legal process, to protect against misuse or unauthorized use of our website, to limit our legal liability, and to protect our rights or to protect the rights, property, or safety of visitors of this website or the public, and to otherwise cooperate with law enforcement or regulatory authorities.

We may transfer or share a copy of personal information about you in the event that SIFMA or one of its properties, affiliates, or subsidiaries goes through a business transition, such as a merger, being acquired by another company, or selling a portion of its assets. You will be notified via email or prominent notice on our website prior to a change of ownership or control of your personal information, if your personal information will be used contrary to this policy.
Nothing in this Privacy Policy is intended to interfere with the ability of SIFMA to transfer all or part of its business and/or assets to an affiliate or independent third party at any time, for any purpose, without any limitation. SIFMA specifically reserves the right to transfer or share a copy of personally identifiable information collected from its websites to the buyer of that portion of its business relating to that information.

Such transfers may involve the transfer of your information between jurisdictions and outside of the jurisdiction in which you submitted your information, including to jurisdictions that the European Union may not deem to provide “adequate” data protection. Please do not provide us any information that you do not wish to be transferred between these entities.

Cookies and Other Tracking Technologies
We may track users by IP address, by cookies (e.g., pieces of code or text placed on your computer by us or third-parties when you browse our websites), by web beacons and other data collection methods for broad demographic data, as well as to help make sure that we are delivering the information you want. Our website sends cookies to your web browser (if your browser’s preferences allow it) to collect data when you browse our website(s). Cookie settings can be controlled in your Internet browser to automatically reject some forms of cookies. If you view our website without changing your cookie settings, you are indicating your consent to receive all cookies from our website(s). If you do not allow cookies, some features and functionality of our website(s) may not operate as expected. In addition to cookies, we place technological tools (and allow certain third parties to place technological tools) such as tags and beacons (e.g., code scripts that are primarily used to track visitors’ activities on our website(s) by web analytics software), Internet Protocol (IP) addresses, and other tools, to collect your data for the purposes listed in this Privacy Policy.

“Do Not Track” signals are options available on your browser to tell operators of websites that you do not wish to have your online activity tracked. Our websites operate no differently if these “Do Not Track” signals are enabled or disabled. We maintain a Communications Preference Center that may be accessed by clicking the link in the bottom of any email or by visiting www.my.sifma.org.

Children
In order to respect the privacy of minors, the firm does not knowingly collect, maintain or process Personal Information submitted online via our Internet Services by anyone under the age of 18.

California Privacy Rights
Under California Civil Code Section 1798.83, California customers are entitled to request information relating to whether a business has disclosed personal information to any third parties for the third parties’ direct marketing purposes. That notice will identify the categories of information shared and will include a list of the third parties and affiliates with which it was shared, along with their names and addresses. If you are a California resident and would like to make such a request, please submit your request in writing at the address information below.

Canada Anti-Spam
SIFMA collects personal information from Canadians pursuant to the Freedom of Information and Protection of Privacy Act (“FIPPA”). SIFMA will use your information to send you informational and marketing emails. Your information will remain confidential, and will only be used or disclosed as authorized under the FIPPA. Should you have any questions about the collection of information, please contact SIFMA at [email protected].

EU Data Storage, Access, The Right to be Forgotten, and Dispute Resolution
We store personal data for different periods of time consistent with the purposes for which they were originally collected, as subsequently further authorized, or when required or allowed under applicable law.

Individuals in Europe have certain data subject rights which may be subject to limitations and/or restrictions. These rights may include the right to: (i) request access to and rectification or erasure of their personal data; (ii) obtain restriction of processing or to object to processing of their personal data; and (iii) the right to data portability. If you wish to exercise one of the above mentioned rights, please send us your request via email to [email protected]. Individuals in Europe may also have the right to lodge a complaint about the processing of their personal data with their local data protection authority.

In addition to the rights above, SIFMA is committed to providing all individuals with access to their personal data. If you believe that SIFMA may be processing data about you and wish to have access to that information, we can provide you with that data or at least an explanation of why we cannot do so in the particular context, such as if responding to the request would be unreasonably expensive. Please also let us know if you have any questions, concerns, disputes, or issues. We are always open to dialogue to resolve issues. If your concerns cannot be resolved, we can enter into appropriate third-party neutral dispute resolution. If you need to reach us about a privacy or data protection issue, please contact us at the information below.

Data Security
SIFMA has safeguards in place that help ensure that personal data stored with us are secure and are protected in accordance with our Privacy Policy. We maintain strict security standards and procedures with a view to preventing unauthorized access to personal data by anyone, including our staff. We use leading technologies such as (but not limited to) data encryption, firewalls and server authentication to protect the security of personal data. All SIFMA employees are required to observe our privacy standards and are audited for compliance.

How to Contact Us About Privacy
If you have any questions about our privacy policy, the information we have collected from you online, the practices of this website or your interaction with this website, please send an email to [email protected] or call 212.313.1000 or write us at 140 Broadway, Floor 35, New York, NY 10005.