Privacy Policy

Carl Marks Securities LLC Privacy Policy

Effective April 22, 2019

Carl Marks Securities LLC (collectively, “Company,” “us,” or “we”) is/are committed to protecting the privacy of certain data that may be collected from you and/or that you submit when you access this website or websites, or other online media under our operation and control (collectively, the “Site”).

This Privacy Policy (“Policy”) describes our policies and practices regarding the collection, use and disclosure of information you submit or we obtain in connection with your use of this Site. This Privacy Policy governs your use of this Site and by accessing or visiting the Site you are indicating your understanding that the collection, use, and sharing of your information is subject to this Privacy. Please read this Policy carefully before using the Site or submitting information to us.

Changes to this Policy

We reserve the right to change this Policy at any time. Changes will be effective immediately upon posting to the Site and will apply to your use of the Site after the “effective date” listed above. You understand and agree that your continued use of the Site after the effective date, means that the collection, use, and sharing of your information is subject to the updated Policy.

Except to the extent we receive your authorization or as permitted or required by applicable law, we will handle your data in accordance with the terms of the Policy in effect at the time of the collection.

Information We Collect

We may collect information from a variety of sources to operate the Site, carry out our business, comply with law and other purposes described herein.

  • Information You Provide.  You may provide personal information in the following instances.
      • Contacting us. To do so, you may provide information including the following:
        • Your name
        • Email Address
        • Phone number
        • Company contact information
      • Subscribing to our mailing list or promotional e-mails. To do so, you may provide information including the following:
        • Your name
        • Email Address
        • Company contact information
        • Phone number
      • Appling for a Job. To do so, you may provide information including the following:
        • Your name
        • Email address
        • Phone number
        • Information contained in cover note
        • Information contained in resume

You do not have to provide the above information to access or use other sections of the Site.

  • Information On Your Use of Our Site.  We may collect information about and log your visits and use of the Site.  This includes, for example, when you view or click on embedded content.  We may use cookies and internet protocol (“IP”) addresses to identify you and log your use of the Site.
  • Statistical Data.  To monitor utilization of the Site and continuously improve its quality, we may compile statistical information concerning the usage of the Site using analytics services, such as those provided by Google Analytics. Examples of this information would include: the number of visitors to the Site, or to sections or pages within the Site, patterns of traffic flowing through the Site, length of time spent on the Site, or in sections or pages of the Site, the other sites that refer visitors to the Site, the pages of the Site that visitors frequently use as entry and exit points, utilization of the browser and operating systems and versions used by visitors to the Site. The analytics services may transfer this information to third parties in case of a legal obligation or if a third-party processes data on behalf of that service. To compile this information, we may collect and store:
    • Your IP address
    • The pages you visit within the Site
    • The length of time you spend on pages within the Site
    • The site from which you linked to ours
    • Search terms you used in search engines which resulted in you linking to the Site, etc.

While all of this information can be associated with the IP address your computer had while you visited the Site, it will not be associated with you as an individual, or associated with any other information you may submit through the Site, or that we may store about you for any other purposes.

  • Cookies and Similar Technology.  We, or certain vendors that we work with, may use technologies such as cookies, pixel tags, browser analysis tools, server logs and web beacons to recognize you when you return to the Site, track visitor activity on the Site, and to help us improve the quality of our service when you visit our Site. We do not link your URL or IP address to any personal information.  You may control cookies, including preventing or stopping the installation and storage of cookies, through your browser settings and other tools.  If you do so, our Site may not function correctly. Please refer to the Help feature of your browser for information on disabling cookies.

IMPORTANT: By using the Site, you consent to the processing of any personal data for the analytics purposes and functions described above.

How We Use Your Data

In general, we will use the information we collect about you only for the purpose it was collected, for compatible purposes, as permitted or required by law, as necessary to carry out our contractual duties and obligations, and as otherwise provided in this Policy. For example, we may use your data to:

  • Respond to your requests for information.
  • Process your application for employment with us.
  • Communicate with you.  We will send you messages about the availability of our Site, security, or other service-related issues. You may change your communication preferences at any time. Please be aware that you cannot opt-out of receiving service messages from us, including security and legal notices.
  • For other everyday business purposes. By way of example, IT and website administration, analytics, fraud prevention, corporate governance, reporting and legal compliance.
  • Provide you with the services you have requested.
  • Market our services that we think may be of interest to you. For example, to send you newsletters using any communications preferences you have expressed. We may provide these communications via email, postal mail, online advertising, and social media.

Ensure your information is accurate and to personalize our services. For example, we may aggregate your personal information with data from third-party sources for purposes of keeping information up to date.

Disclosure of Information. In general, we will not disclose your data except with your consent and as described in this Policy. We may disclose your data for the same reasons that we may use it as described in this Policy, which includes disclosing it to our affiliates and non-affiliated entities, as we deem necessary to carry out those purposes.

  • Third Party Vendors.  We may need to use or disclose this information with our third-party vendors:
    • With your consent or as you direct;
    • To manage the Site;
    • For marketing purposes;
    • To enhance our services by, among other methods, obtaining assistance with providing more personalized services to you through analytics and other technologies;
    • To protect our interests and legal rights, such as through responding to subpoenas and defending litigation; and
    • To protect against and prevent fraud, illegal activity (such as identifying and responding to incidents of hacking or misuse of our websites and mobile applications), and claims and other liabilities.

We endeavor to choose affiliates and non-affiliates with similar standards to ours regarding the protection of data.

  • Legal Process, Security, Defense, Protection. It is possible that we will need to disclose information about you if required by law, subpoena, or other legal process.  Additionally, we may disclose information about you if we have a good faith belief that disclosure is reasonably necessary to:
    • demonstrate our relationship with you;
    • investigate, prevent, or take action regarding suspected or actual illegal activities or to assist law enforcement agencies;
    • protect the security or integrity of the Site;
    • investigate and defend ourselves against any third-party allegations or claims; or
    • protect the rights and safety of others.
  • Change in Control or Sale.  We can share, sell, assign, or license your personal data in connection with certain business transactions, such as a sale, acquisition, merger, or change in control, or in preparation for any of these events. In such cases, we will take appropriate steps under the circumstances and to the extent possible to ensure that the recipient agrees to provide privacy protections substantially similar to those established by this Policy.  Any entity that acquires all or substantially all of the Company’s assets will have the right to continue using your data consistent with this Policy or as otherwise agreed to by you.

In no case will we sell or license your data to third parties, except as set forth above or as required or permitted by law.

  • Social Media Plugins.  This Site uses social media plugins (e.g., LinkedIn) to enable you to easily share information with others.  When you visit our Site, the operator of the social plugin can place a cookie on your computer, enabling that operator to recognize individuals who have previously visited our Site.  If you are logged into the social media website (e.g. LinkedIn) while browsing our Site, the social plugins allow that social media website to share data about your activities on our Site with other users of their social media website.  For more information about social plugins from other media websites, you should refer to those sites’ privacy and data/information sharing statements/policies.

Safeguarding of Information. No system for safeguarding personal or other information is 100% secure and even though we have taken steps to protect your personal information from being intercepted, accessed, used or disclosed by unauthorized persons, we cannot fully eliminate security risks associated with personal information.  However, we take a number of steps to safeguard the security of personal information obtained through the Site. For example, we have implemented a security program that contains administrative, technical and physical controls that are designed to reasonably safeguard your data from unlawful use, unauthorized access or disclosure.  There is no guarantee that data may not be accessed, disclosed, altered, or destroyed by breach of any of our administrative, physical, or technical safeguards.

Do Not Track.  “Do Not Track” is a privacy preference that you can set in your Internet search browser that sends a signal to a website that you do not want the website operator to track certain browsing information about you.  However, because our Site is not configured to detect Do Not Track signals from a user’s computer, we are unable to respond to Do Not Track requests.

Links to Third Parties’ Sites.  We may provide links to websites or resources outside of our Site for your informational purposes only.  You acknowledge and agree we are not responsible for the availability of such sites or resources, and does not endorse and is not responsible or liable for any content, advertising, goods, services or other materials on, available through or provided by such sites or resources.  We are not responsible for the privacy or other practices of such sites and cannot guarantee the security of any of your personal information that you provide or is collected by such sites.  We encourage you to review the privacy policies and terms and conditions on those linked sites.

Information of Children. The Site is not directed to children as the products and services on this Site are intended for persons 18 years of age and older. The Company does not knowingly collect, use or disclose any personal information from children. If you are a parent or guardian of a child under the age of 18 and believe he or she has provided Personal Information to us please notify us at privacy@carlmarks.com. If you are concerned about your child’s use of the Site, you may use web-filtering technology to supervise or limit access to the Site.

Applicable law. This Policy is governed by the internal substantive laws of New York, without regard to its conflict of laws principles. Jurisdiction for any claims arising under or out of this Privacy Policy shall lie exclusively with the state and federal courts within New York. If any provision of this Policy is found to be invalid by a court having competent jurisdiction, the invalidity of such provision shall not affect the validity of the remaining provisions of this Policy, which shall remain in full force and effect.

California Residents.  If you are a California resident, please read the following:

  • California Civil Code Section 1798.83 permits you to request information regarding the disclosure of your personal information by certain members of the Company to third parties for the third parties’ direct marketing purposes. Requests may be made one time per calendar year. If applicable, this information would include the categories of customer information and the names and addresses of those businesses with which we shared customer information for the immediately prior calendar year (e.g., requests made in 2018 will receive information regarding 2017 sharing activities). We do not disclose your personal information to third parties for their direct marketing purposes.

If you reside outside of the United States you consent to having your personal data transferred to and processed in the United States.

Your Choices Regarding Your Personal Information.  You can limit the communications that we may send you by following the instructions in our emails to opt-out of receiving future communications.

Please note that even if you opt-out of communications, we may still need to contact you with information about site operations.

How to Contact Us.

If you have any questions regarding this Policy, your privacy, or our policies in the event of a compromise of your information, you may contact us at:

Carl Marks Securities LLC
900 Third Avenue, 33rd Floor
New York, NY 10022
privacy@carlmarks.com

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