Privacy Policy
RegComp Financial ("RegComp," "we," "our," or "us") is committed to protecting the confidentiality, integrity, and appropriate use of personal information entrusted to us. As a national compliance, governance, and regulatory advisory firm serving investment advisers, private funds, broker-dealers, and other financial services organizations, we recognize the importance of maintaining robust privacy and information security practices. This Privacy Policy describes how we collect, use, disclose, and safeguard information obtained through our website and related communications. This Privacy Policy applies solely to information collected through our website and electronic communications and should be read in conjunction with any engagement agreements, confidentiality agreements, or other contractual arrangements that may govern our relationship with clients. By accessing or using this website, you acknowledge the practices described in this Privacy Policy.
We may collect information that you voluntarily provide when interacting with our website, subscribing to publications, registering for events, requesting information regarding our services, or otherwise communicating with RegComp Financial. Such information may include your name, email address, telephone number, employer, professional title, and any other information you choose to provide through website forms, electronic communications, or other interactions with us.In addition, when you access or use our website, certain technical and usage information may be collected automatically through standard internet technologies. This information may include your Internet Protocol (IP) address, browser type and version, operating system, device identifiers, referring websites, pages visited, date and time of access, and other information regarding your interaction with our website and online services.We collect and use this information to operate, maintain, and improve our website; enhance user experience; administer subscriptions and communications; monitor website performance and security; analyze usage trends; and support our business, legal, and regulatory obligations.
RegComp Financial may offer certain communications through text messaging, including service-related notifications, event reminders, regulatory updates, and other business communications requested by the recipient. Participation in such communications is voluntary, and individuals may opt out at any time by following the instructions provided in the applicable message. No Mobile information will be shared with third parties/affiliates for marketing/promotional purposes. All the above categories exclude text messaging originator opt-in data and consent; this information will not be shared with any third parties. You can opt out at any time by replying STOP. Message and data rates may apply. Messaging frequency may vary.
RegComp Financial does not sell personal information.We may disclose information to third-party service providers, professional advisers, technology vendors, or other parties that support our business operations, provided such parties are subject to appropriate contractual, confidentiality, or legal obligations. We may also disclose information where required by applicable law, regulation, court order, subpoena, governmental request, or where we believe such disclosure is necessary to protect the rights, property, security, or operations of RegComp Financial, our clients, or other affected parties.In the event of a merger, acquisition, corporate reorganization, or similar transaction, information may be transferred as part of the associated business assets, subject to applicable legal requirements.
Protecting confidential information is fundamental to RegComp Financial's business and professional responsibilities.We maintain administrative, technical, and physical safeguards designed to protect personal information against unauthorized access, disclosure, alteration, misuse, or destruction. These safeguards may include access controls, authentication procedures, encryption technologies where appropriate, vendor oversight practices, cybersecurity controls, business continuity measures, and incident response procedures.Although no method of transmission or storage can be guaranteed to be completely secure, RegComp Financial employs measures reasonably designed to protect information consistent with the nature of our business and applicable legal, regulatory, and industry standards.
Like many professional services organizations, RegComp Financial uses cookies and similar technologies to support website functionality, improve user experience, analyze website performance, and enhance security.Cookies are small data files that may be stored on your device when you visit our website. These technologies allow us to understand how visitors interact with our website, maintain user preferences, improve website performance, and support the administration and security of our online services.Certain third-party analytics or technology providers may also use cookies or similar technologies in connection with services provided to RegComp Financial. Such providers may collect information regarding website usage in accordance with their own privacy practices.
Most web browsers permit users to manage cookie preferences through browser settings. You may configure your browser to refuse certain cookies or to notify you when cookies are being placed on your device. Please note that disabling certain cookies may affect the functionality or performance of portions of the website. This website may contain links to third-party websites or resources. RegComp Financial does not control and is not responsible for the privacy practices, content, security, or operation of third-party websites. We encourage users to review the privacy policies of any external websites they choose to visit.
RegComp Financial reserves the right to modify or update this Privacy Policy from time to time. Any changes will become effective upon posting to this website unless otherwise indicated. We encourage visitors to review this Privacy Policy periodically to remain informed regarding our information practices. Questions regarding this Privacy Policy or RegComp Financial's privacy practices may be directed to: RegComp Financial Email: info@regcompfinancial.com Telephone: (713) 565-8733 Website: www.regcompfinancial.com
