Last updated: January 1, 2026
IssuerOne LLC (“[IssuerOne”, “we”, “us”, or “our”) respects your privacy and is committed to protecting personal information entrusted to us. This Privacy Policy explains how we collect, use, disclose, and protect information when you visit our websites, use our online services, or otherwise interact with us (collectively, the “Services”).
1. Information we collect
The information we collect depends on how you interact with us and the Services. We may collect:
- Information you provide directly
- Contact details, such as name, email address, postal address, phone number.
- Account and onboarding information, such as username, password, security questions, government‑issued identifiers (for KYC/AML where applicable), date of birth, taxpayer identification numbers, and financial account information.
- Investor or customer relationship information, such as holdings, transaction history, instructions, and other information related to securities or accounts we administer.
- Communications, such as support requests, comments, and other information you choose to provide via forms, email, or phone.
- Information collected automatically
- Device and usage data, such as IP address, browser type, operating system, referring URLs, pages viewed, links clicked, and access times.
- Cookie and similar technologies data, such as identifiers associated with your browser or device, and analytics information generated by tools like Google Analytics.
- Information from third parties
- Identity verification, sanctions‑screening, and fraud‑prevention data from service providers and consumer reporting agencies (where permitted by law).
- Information from affiliates, business partners, or issuers with whom you maintain a relationship, to allow us to provide our Services.
We may aggregate or de‑identify information so it can no longer reasonably be linked to a particular individual; such data is not treated as personal information under this Policy.
2. How we use information
We use the information described above for the following purposes:
- To provide, operate, and maintain the Services, including processing transactions, maintaining accounts, and administering securities records.
- To comply with legal, regulatory, and contractual obligations, including those imposed by securities, AML, sanctions, tax, and consumer‑protection laws.
- To verify identity, prevent fraud, manage risk, and protect the security and integrity of our systems.
- To respond to inquiries, provide customer support, and communicate about your relationship with us.
- To send administrative information, such as notices about changes to this Privacy Policy, our terms, or important transaction or security updates.
- To improve, analyze, and develop the Services, including through aggregated analytics about how the Services are used.
- To market our products and services to you in accordance with applicable law and your communication preferences.
We will use personal information only as permitted by applicable law and, where required, will rely on a valid legal basis (such as performance of a contract, compliance with legal obligations, legitimate interests, or your consent).
3. How we share information
We may share personal information as follows, subject to applicable law and any rights you may have to limit sharing under GLBA, Regulation S‑P, or other laws:
- Service providers
With third‑party vendors that perform services on our behalf, such as IT hosting, data storage, analytics, identity verification, payment processing, customer support, printing, or mailing. These parties are required to protect personal information and use it only as instructed by us.
- Affiliates
With our affiliates for everyday business purposes, such as servicing accounts, maintaining records, risk management, and compliance, and where permitted, for internal analytics and product development.
- Business partners, issuers, and intermediaries
With issuers, custodians, intermediaries, and other financial institutions as necessary to process transactions, maintain accounts, administer securities, and fulfill contractual obligations.
- Legal and regulatory disclosures
With regulators, law‑enforcement authorities, courts, self‑regulatory organizations, and other parties where we believe disclosure is necessary or appropriate to:
- Comply with applicable law, regulation, legal process, or supervisory request.
- Protect the rights, property, or safety of [Company], our users, or others.
- Corporate transactions
In connection with a merger, acquisition, reorganization, sale of assets, or similar corporate event, in which case personal information may be transferred as part of the transaction, subject to applicable confidentiality and data‑protection requirements.
We do not sell personal information as that term is defined under certain state privacy laws, and we do not share personal information with non‑affiliated third parties for their own marketing purposes without offering any required opt‑out rights.
4. Cookies and analytics
We use cookies and similar technologies to operate and improve the Services.
- Cookies may remember your preferences, help secure your account, and measure use of our pages.
- Third‑party analytics providers (such as Google Analytics) may collect information about your online activities over time and across different websites when you use our Services.
You can manage cookies through your browser settings, which may allow you to block or delete cookies. If you choose to disable cookies, some features of the Services may not function properly.
Where required by law (e.g., in the EU/UK under GDPR), we will seek your consent before placing non‑essential cookies and will honor your choices.
5. Your privacy rights
Your rights depend on where you reside and how you interact with us.
- State privacy rights (e.g., California)
Residents of certain states (such as California, Colorado, Virginia, and others) may have rights to:
- Access and obtain a copy of certain personal information.
- Request deletion of certain personal information.
- Correct inaccurate personal information.
- Opt out of certain processing, such as targeted advertising or “sale” or “sharing” of personal information, where applicable.
To exercise these rights, you may contact us using the information in the “Contact us” section below. We will not discriminate against you for exercising your privacy rights.
- GDPR / international rights (if applicable)
If you are in the European Economic Area, United Kingdom, or another jurisdiction with similar laws, you may have additional rights, such as data portability, objection to processing, and restriction of processing. We will honor these rights where we are subject to such laws.
We may need to verify your identity before fulfilling certain requests and may deny requests as permitted by law (for example, where fulfilling the request would conflict with our legal obligations or legitimate business needs).
6. Data security
We maintain administrative, technical, and physical safeguards designed to protect personal information against unauthorized access, use, loss, theft, or disclosure, consistent with our obligations under GLBA, Regulation S‑P, and other applicable laws.
Our information‑security program includes risk‑based controls, employee training, access controls, vendor oversight, and procedures to detect, respond to, and recover from data security incidents.
Where required by law, we will notify you of a data breach involving your personal information without unreasonable delay and in accordance with applicable regulatory timelines.
7. Data retention
We retain personal information for as long as necessary to:
- Provide the Services and maintain your relationship with us.
- Comply with applicable legal, regulatory, tax, accounting, and record‑keeping requirements.
- Resolve disputes, enforce our rights, and manage risk.
When information is no longer needed for these purposes, we will delete, de‑identify, or otherwise dispose of it securely, consistent with our data‑retention and disposal policies.
8. Children’s privacy
The Services are not directed to children under the age of 13, and we do not knowingly collect personal information from children under 13 without verifiable parental consent.
If we become aware that we have collected personal information from a child under 13 in violation of applicable law, we will take steps to delete that information.
9. Third‑party websites and services
The Services may contain links to websites or services operated by third parties. This Privacy Policy does not apply to those third‑party websites or services, and we are not responsible for their privacy or security practices.
You should review the privacy policies of those third parties to understand how they handle your information.
10. Changes to this Privacy Policy
We may update this Privacy Policy from time to time to reflect changes in our practices, technology, legal requirements, or other factors.
When we make material changes, we will update the “Last updated” date at the top of this Policy and, where required by law, provide additional notice (such as by posting a notice on our website or sending you a communication).
11. Contact us
If you have questions about this Privacy Policy or our privacy practices, or if you wish to exercise your privacy rights, please contact us at:
IssuerOne LLC
101 Hudson Street, 21st Flr
Jersey City, NJ 07302
[email protected]
