LAST UPDATED: June 24, 2020
This Privacy Policy describes our practices in connection with information that we collect through websites operated by ALPS Holdings, Inc. and its subsidiaries (“us” or “ALPS”) from which you are accessing this Privacy Policy (the “Websites”), through the software applications made available by us for use on or through computers and mobile devices (the “Apps”), through our social media pages (collectively, our “Social Media Pages”) (collectively, including the Websites, the Apps and our Social Media Pages, the “Services”). By using the Services, you agree to this Privacy Policy. The Privacy Policy also describes our practices in connection with information that we collect in person, over the phone, via email and from affiliates and third parties. Fund investors should refer to a fund’s privacy policy.
“Personal Information” is information that identifies you as an individual or relates to an identifiable individual, including but not limited to:
We may need to collect and process these types of Personal Information in order to provide the requested Services to you, or because we are legally required to do so. If you do not provide the information that we request, we may not be able to provide you with the requested Services.
We and our service providers may collect Personal Information in a variety of ways, including:
If you disclose any Personal Information relating to other people to us or to our service providers in connection with the Services, you represent that you have the authority to do so and to permit us to use the information in accordance with this Privacy Policy.
Your Personal Information may be disclosed to our affiliates and is subject to the following policy: https://www.ssctech.com/about-us/privacy. Additionally, personal information may be shared by us to:
We may also use and disclose your Personal Information as we believe to be necessary or appropriate: (a) to comply with applicable law, which may include laws outside your country of residence, to respond to requests from public and government authorities, which may include authorities outside your country of residence, to cooperate with law enforcement, or for other legal reasons; (b) to enforce our terms and conditions; and (c) to protect our rights, privacy, safety or property, and/or that of our affiliates, you or others.
In addition, we may use, disclose or transfer your information to a third party in the event of any reorganization, merger, sale, joint venture, assignment, transfer or other disposition of all or any portion of our business, assets or stock (including in connection with any bankruptcy or similar proceedings).
“Other Information” is any information that does not reveal your specific identity or does not directly relate to an identifiable individual, such as:
If we are required to treat Other Information as Personal Information under applicable law, then we may use and disclose it for the purposes for which we use and disclose Personal Information as detailed in this Policy.
Through your browser or device: Certain information is collected by most browsers or automatically through your device, such as your Media Access Control (MAC) address, computer type (Windows or Mac), screen resolution, operating system name and version, device manufacturer and model, language, Internet browser type and version and the name and version of the Services (such as the App) you are using. We use this information to ensure that the Services function properly.
Through your use of the App: When you download and use the App, we and our service providers may track and collect App usage data, such as the date and time the App on your device accesses our servers and what information and files have been downloaded to the App based on your device number.
Using cookies: Cookies are pieces of information stored directly on the computer that you are using. Cookies allow us to collect information such as browser type, time spent on the Services, pages visited, language preferences, and other anonymous traffic data. We and our service providers use the information for security purposes, to facilitate navigation, to display information more effectively, and to personalize your experience. We also gather statistical information about use of the Services in order to continually improve their design and functionality, understand how they are used and assist us with resolving questions regarding them. We do not currently respond to browser do-not-track signals. If you do not want information collected through the use of cookies, most browsers allow you to automatically decline cookies or be given the choice of declining or accepting a particular cookie (or cookies) from a particular website. You may also wish to refer to http://www.allaboutcookies.org/manage-cookies/index.html for general information about cookies, and to your browser’s help files for browser-specific directions related to cookies. If, however, you do not accept cookies, you may experience some inconvenience in your use of the Services. You also may not receive advertising or other offers from us that are relevant to your interests and needs.
Using pixel tags and other similar technologies: Pixel tags (also known as web beacons and clear GIFs) may be used to, among other things, track the actions of users of the Services (including email recipients), measure the success of our marketing campaigns and compile statistics about usage of the Services and response rates.
Analytics: We use Adobe Analytics, which uses cookies and similar technologies to collect and analyze information about use of the Services and report on activities and trends. This service may also collect information regarding the use of other websites, apps and online resources. You can learn about Adobe’s practices by going to http://www.adobe.com/privacy/policy.html.
IP Address: Your IP address is automatically assigned to your computer by your Internet Service Provider. An IP address may be identified and logged automatically in our server log files whenever a user accesses the Services, along with the time of the visit and the page(s) that were visited. Collecting IP addresses is standard practice and is done automatically by many websites, applications and other services. We use IP addresses for purposes such as calculating usage levels, diagnosing server problems and administering the Services. We may also derive your approximate location from your IP address.
We may use and disclose Other Information for any purpose, except where we are required to do otherwise under applicable law. In some instances, we may combine Other Information with Personal Information. If we do, we will treat the combined information as Personal Information as long as it is combined.
This Privacy Policy does not address, and we are not responsible for, the privacy, information or other practices of any third parties, including any third party operating any website or service to which the Services link. The inclusion of a link on the Services does not imply endorsement of the linked site or service by us or by our affiliates.
We are not responsible for the information collection, use, disclosure or security policies or practices of other organizations, such as LinkedIn or any other app developer, app provider, social media platform provider, operating system provider, wireless service provider or device manufacturer, including with respect to any Personal Information you disclose to other organizations through or in connection with the Apps or our Social Media Pages.
We seek to use reasonable organizational, technical and administrative measures to protect Personal Information within our organization. Unfortunately, no data transmission or storage system can be guaranteed to be 100% secure. If you have reason to believe that your interaction with us is no longer secure, please immediately notify us in accordance with the “Contacting Us” section below.
Your choices regarding our use and disclosure of your Personal Information
We give you choices regarding our use and disclosure of your Personal Information for marketing purposes. You may opt-out from:
Receiving electronic communications from us: If you no longer want to receive marketing-related emails from us on a going-forward basis, you may opt-out by clicking the applicable link provided within such marketing-related email and following the instructions for updating your preferences as provided therein.
Our sharing of your Personal Information with affiliates for their direct marketing purposes: If you would prefer that we not share your Personal Information on a going-forward basis with our affiliates for their direct marketing purposes, you may opt-out of this sharing by clicking the applicable link provided within such marketing-related email and following the instructions for updating your preferences as provided therein.
We will try to comply with your request(s) as soon as reasonably practicable. Please note that if you opt-out of receiving marketing-related emails from us, we may still send you important administrative messages, from which you cannot opt-out.
How you can access, change or suppress your Personal Information
If you would like to review, correct, update, suppress, restrict or delete Personal Information that you have previously provided to us, you may do so by using the self-service functionality within the applicable Service.
We will retain your Personal Information for as long as needed or permitted in light of the purpose(s) for which it was obtained. The criteria used to determine our retention periods include: (i) the length of time we have an ongoing relationship with you and provide the Services to you; (ii) whether there is a legal obligation to which we are subject; or (iii) whether retention is advisable in light of our legal position (such as in regard to applicable statutes of limitations, litigation or regulatory investigations).
The Services are not directed to individuals under the age of eighteen (18), and we do not knowingly collect Personal Information from individuals under 18.
The Services are controlled and operated by us from the United States and are not intended to subject us to the laws or jurisdiction of any state, country or territory other than that of the United States. Your Personal Information may be stored and processed in any country where we have facilities or in which we engage service providers, and by using the Services you consent to the transfer of information to countries outside of your country of residence, including the United States, which may have data protection rules that are different from those of your country. In certain circumstances, courts, law enforcement agencies, regulatory agencies or security authorities in those other countries may be entitled to access your Personal Information.
We ask that you not send us, and you not disclose, any sensitive Personal Information (e.g., social security numbers, information related to racial or ethnic origin, political opinions, religion or other beliefs, health, biometrics or genetic characteristics, or criminal background) on or through the Services or otherwise to us.
We may change this Privacy Policy. The “LAST UPDATED” legend at the top of this Privacy Policy indicates when this Privacy Policy was last revised. Any changes will become effective when we post the revised Privacy Policy on the Services. Your use of the Services following these changes means that you accept the revised Privacy Policy.
This California Consumer Privacy Act Notice provides information for certain California residents in connection with the California Consumer Privacy Act of 2018 (“CCPA”). Under the CCPA, and for purposes of this California Consumer Privacy Act Notice, “Personal Information” generally means information that identifies, relates to, or describes a California resident or household and includes the categories listed below. Below are details about the categories of Personal Information of California residents that we have collected or disclosed during the last 12 months.
Categories of Personal Information Collected: We collected the following categories of Personal Information:
Sources of Personal Information. We collected Personal Information directly from California residents themselves in person, over the phone, via email, via the Services and separately from affiliates and third parties.
Purposes. We may use this Personal Information to respond to your requests, provide our products and services, and to accomplish our business purposes and objectives, including, for example, to market our products and services and those of our clients, conduct analytics, comply with law, legal process, and internal policies, and maintain records.
Disclosures of Personal Information. We disclosed the following Personal Information to our affiliates and service providers for our operational business purposes:
“Sales” of Personal Information. The CCPA defines a “sale” as the disclosure of Personal Information in exchange for monetary or other valuable consideration. We have not “sold” Personal Information for purposes of the CCPA. The CCPA definition of “sale” does not include, for example, the transfer of Personal Information as an asset that is part of a merger, bankruptcy, or other disposition of all or any portion of our business.
If you are a California resident, you have the following rights:
(1) Right to Know. You have the right to request that we disclose to you the following information covering the 12 months preceding your request:
(2) Right to Request Deletion. You have the right to request that we delete Personal Information we collected from you.
To make a request for the disclosures or deletion described above, please contact us at DSTPrivacyOfficer@DSTSystems.com or call us at (866) 759-5679. We will respond to your request consistent with applicable law.
In order to verify your identity, ALPS will provide you with a CCPA request document, which will include a request for information including your name, your home and work addresses, your home and work email addresses and your home (or cell) and work phone numbers. We will also ask you to provide information about your relationship with ALPS.
If you are requesting disclosure of specific pieces of information maintained by ALPS, we will ask you to provide a signed declaration under penalty of perjury that you are the “Consumer” whose personal information is the subject of the request.
If you are an “Authorized Agent” making a request on behalf of a Consumer, in addition to the above information regarding the Consumer, we will ask you to provide a copy of a document permitting you to act on behalf of the Consumer, signed by you and the Consumer. ALPS will also require that the Consumer confirm directly to ALPS that they provided you permission to submit the request.
(3) Right to Be Free from Discrimination. You have the right to be free from unlawful discrimination for exercising your rights under the CCPA.
DST Systems, Inc., a wholly-owned subsidiary of SS&C Technologies, Inc, located at 333 W 11th Street, Kansas City, Missouri 64105, is the company responsible for collection, use and disclosure of your Personal Information under this Privacy Policy. If you have any questions about this Privacy Policy, please contact us at DSTPrivacyOfficer@DSTSystems.com. Because email communications are not always secure, please do not include sensitive information in your emails to us.
