Andersen Global

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Andersen Privacy Policy

Effective as of October 23, 2019

I. INTRODUCTION

Andersen Tax LLC ("Andersen" or "we") is a member firm of Andersen Global ("Andersen Global"), which is a Swiss verein comprised of legally separate, independent member firms located throughout the world providing services under their own name or the brand "Andersen,"" "Andersen Tax," "Andersen Tax & Legal," or "Andersen Legal." Andersen Global does not provide any services and has no responsibility for any actions of the member firms, and the member firms have no responsibility for any actions of Andersen Global or any other member firm. For purposes of this Privacy Policy, the other member firms of Andersen Global are referred to as Member Firms.

This privacy policy ("Privacy Policy") describes how Andersen will collect, use and share your personal information and other information, including information related to the use of our website at andersen.com (the "Website"), which includes the U.S. Client Portal located on the Website, and information that is provided to us offline (e.g., information provided to an Andersen advisor electronically, over the phone or in person), including Andersen and Andersen Global communications, such as newsletters, that reference this Privacy Policy.

For purposes of this Privacy Policy, "Personal Information" is data specifically about you, which you typically provide on a voluntary basis. Personal Information may include personal data that is subject to the EU General Data Protection Regulation ("GDPR") and other applicable European data protection laws and, to the extent applicable, "personally identifiable information" under the Gramm-Leach-Bliley Act ("GLB Act") and its implementing regulations. Personal Information does not include aggregated or combined information, which includes data that is related to you but studied as a group and is anonymised so that it does not identify you specifically.

II. INFORMATION COLLECTED BY ANDERSEN

In order to provide you with the benefits of using our Website, Andersen collects certain information from you and your devices. By using the Website or otherwise providing Personal Information to Andersen, you consent to Andersen"s collection, use and sharing of the data as described in this Privacy Policy. Under applicable data protection laws that recognize the concept of a controller of Personal Information, Andersen is the controller responsible for the processing of Personal Information that we collect as described in this Section.

1. Information that You Provide to Andersen

You may provide information to Andersen in a number of ways. When you use the Website, you may provide certain Personal Information to us, such as when you register for an account on the U.S. Client Portal, complete forms on the Website, use the QSBS Calculator or other calculation tools, communicate with us, subscribe to our mailing lists, or apply for a job. You may also provide certain Personal Information to Andersen offline, such as when you provide information to an Andersen advisor over the phone, electronically, or in person. This Personal Information may include your (and your family members and/or employees, service providers and others, as applicable) name, contact information, identification numbers, financial information, and employment information. This Personal Information may also include special categories of Personal Information in connection with our performance of tax, consulting and other advisory services, such as your racial or ethnic origin or your religion.

2. Information Collected from Third Party Sources

In addition to Personal Information that you provide to Andersen, you may also affirmatively authorize or direct third parties to provide us with information, such as through your family members or advisors. We may also collect information about you from the Member Firms and firms with whom Andersen Global collaborates ("Collaborating Firms") that have contractual relationships with Andersen Global. This Personal Information may include your (and your family members and/or employees, service providers and others, as applicable) name, contact information, identification numbers, financial information, and employment information. This Personal Information may also include special categories of Personal Information in connection with our performance of tax, consulting and other advisory services, such as your racial or ethnic origin or your religion.

We may also collect other information about you from third parties. For example, third parties may provide us with your contact information as part of a referral. We may also collect publicly available information about you in public and private databases, such as through Lexis-Nexis or other search engines.

3. Information Collected from Your Browser or Device

In addition to the information that you provide to Andersen, when you visit the Website, we may automatically gather and store certain information (including Personal Information) about your visit from your browser or device, such as your IP address, geographical information, browser type and version, operating system, referral sources, and other information relating to your usage of the Website ("Website Data"). We may collect this information through the use of browser information, log files, and other methods.

4. Information Collected Using Cookies

For further information on our use of cookies, please visit our Cookie Notice.

III. USE AND SHARING OF COLLECTED INFORMATION; PURPOSES FOR COLLECTION

1. Use of Collected Information

Andersen may use your Personal Information (including the categories of Personal Information described above) and Website Data (collectively, the "Collected Information") in a variety of ways as permitted by applicable law, which include those set out below. For example, where your Collected Information is subject to the GDPR, such Collected Information may only be used by Andersen for a lawful purpose as set out in the GDPR. We continue to use your Personal Information and Website data as described in this in this Privacy Policy when you are no longer a client of Andersen.

Where the relevant lawful purpose under the GDPR is that it is necessary for our legitimate interests to use your Collected Information, we have made sure to check that such legitimate interests are not overridden by your interests or fundamental rights and freedoms. You can obtain further information about how we assess these legitimate interests against any potential impact on your interests or fundamental rights and freedoms by contacting us using the information in the "Contact Us" section below.

  • To Provide You with the Website and Related Services: We may use your Collected Information to provide you with the Website, maintain your U.S. Client Portal account, verify your identity to use the Website, provide you with customer service, and for troubleshooting, support services, and maintenance. We may do this because it is in our legitimate interests to provide you with the Website and related services, and to verify your identity. We may also do this because we may be subject to legal obligations which require us to verify your identity before allowing you to use the Website.
  • To Provide You with Professional Services: We may use your Collected Information to provide you with professional services, such as tax consulting services, advisory services, valuation services, and investment consulting services, and to perform our obligations under the applicable corresponding agreement. We may also use your Collected Information for the purposes of offering other services to you. We do this because it is in our legitimate interests to provide you with professional services. We may also do this because it is necessary for the performance of our obligations under the applicable corresponding agreement.
  • To Fulfill Your Requests and Provide You with Other Services: We may use your Collected Information to fulfill your specific requests or provide the service for which you provided the information, such as signing you up for our Andersen Alumnus program or providing you with your requested calculation from our QSBS Calculator. We also do this because it is in our legitimate interests to fulfill your specific requests and provide you with the services for which you provided the information.
  • To Process Your Employment Application: If you complete an employment application form on the Website, we may use your Collected Information to process your application and consider you for employment. We may do this because it is in our legitimate interests to consider your suitability for any of our employment vacancies.
  • For Other Uses Identified in Agreements: We may also use your Collected Information for the specific uses identified in any agreements you may have with us. We may do this because it is necessary for the performance of the relevant agreement in which the specific use is identified.
  • To Contact You and Send You Materials:  We may use your Collected Information to contact you. We may also use your Collected Information to fulfill your requests for information or services, including requests to receive our For the Record newsletter and other newsletters, information regarding Andersen Alumni News and Events, and other materials, to invite you to events, to send you marketing or promotional communications, and to ask you for your feedback. Where you are an individual subscriber, we will process your Collected Information in this way where you have consented to receive these marketing or promotional communications from us. Should you no longer wish to receive these marketing or promotional communications, you may withdraw your consent at any time by opting out as described in the "Opting-Out" section below. If you withdraw consent, this will not affect our use of the Collected Information processed on the basis of such consent, prior to your withdrawal of consent. Where you are a corporate subscriber, we will process your Collected Information in this way because it is in our legitimate interests to process your information in this way. Should you no longer wish to receive these marketing or promotional communications, you may opt out at any time as described in the "Opting-Out" section below.
  • To Confirm Your Identity: We may use your Collected Information to confirm your identity, including in connection with any requests made in connection with the "Your Rights to Your Personal Information" section below. We may do this because it is in our legitimate interests to make sure that our counterparties are genuine and relationships are not being established for fraudulent or other illegal reasons. We may also do this because we may be subject to legal obligations which require us to confirm the details that you provide to us before entering into a relationship with you.
  • To Manage Our Business: We may use your Collected Information to manage our business, including to perform accounting, auditing and other internal and administrative purposes, and to fulfill our regulatory obligations relating to our professional obligations. We may do this because it is in our legitimate interests to manage our business. We may also do this because we may be subject to legal obligations that require us to use the information for these purposes.
  • To Improve Our Products and Services: We may use your Collected Information to evaluate and improve our products and services (including our Website), because it is in our legitimate interests to improve our products and services, and to operate our Website and keep our Website secure. We may also use your Collected Information to conduct research and perform analysis, learn more about our users and customers and identify new customers, and enhance the customer experience (including to better optimize and target our marketing and services). We may also use your Collected Information to personalize your experience on the Website and to improve the security, design, and functionality of our Website. We may do this if you have consented to our use of essential and tracking cookies, as further explained above in Section II.4.

Where your Collected Information is subject to the GDPR and includes special categories of Personal Information, such as your racial or ethnic origin or your religion, such Personal Information can only be processed under strict conditions. Where Andersen is processing special categories of Personal Information (other than Personal Information relating to criminal convictions and offences), unless another specified lawful purpose set out in applicable data protection laws applies, your explicit consent must be obtained before any such Personal Information is processed. Personal Information relating to criminal convictions and offences will only be processed if such processing is authorised under applicable data protection laws. It is possible that a data privacy impact assessment may need to be carried out before special categories of Personal Information can be processed.

2. Sharing and Disclosure of Collected Information

Andersen may share your Collected Information for the following reasons with third parties who have agreed in writing to provide an adequate level of privacy protection:

  • With Our Vendors: Andersen may share certain Collected Information with third parties acting on our behalf, such as consultants, professional advisers, data analytics providers, and other service providers and vendors.
  • With Our Member Firms and Collaborating Firms: Andersen may share your Collected Information with the other Member Firms or Collaborating Firms in Andersen Global for the purposes described in this Privacy Policy.
  • With Other Third Parties: We may also share your Collected Information with third parties, including our Member Firms, Collaborating Firms, vendors, in other circumstances, including but not limited to the following:
    • If you consent or direct us to share your information with a third party provided that the consent or direction has not been revoked.
    • If permitted by applicable law or you authorize us to share information with a third party as part of our provision of professional services to you.
    • If permitted by applicable law or you authorize us to share information with a third party as part of fulfilling your request for other services.
    • To share or transfer your information when conducting a business deal (for example, a merger or acquisition, financing, sale of assets, transition of service to another provider, insolvency, receivership, or a bankruptcy transaction or proceeding).
    • If we determine a policy violation has occurred, including to enforce the Andersen Terms and Conditions and any other agreements you may have with us.
    • To identify, contact or bring legal action regarding injury or interference with our rights and property, including to enforce our rights against unauthorized access or attempted unauthorized access to our information technology assets or against other inappropriate use of our Website.
    • For safety purposes, including to respond to an emergency.
    • To protect the rights, property, safety and security of you and others.
    • To comply with laws and regulations (including to fulfill our regulatory obligations relating to our professional obligations), court orders and subpoenas or similar requests for information by authorities, or as otherwise required by law.
    • To assist us in fraud, security or technical issues prevention or investigation or otherwise manage risks.
    • To someone acting in a fiduciary or representative capacity.
    • For required institutional risk control or for resolving client disputes and inquiries.

We will let you know where you must provide us with Personal Information so that we can use it and/or share it with third parties to comply with a legal obligation. If you do not provide us with the Personal Information in these circumstances, we will be unable to fulfill your request or provide the applicable service to you.

3. Website Data

In addition to the uses described above, Andersen may use Website Data to improve the Website and to help Andersen understand how users are using the Website. This information is also collected for statistical analysis, to improve the utility of the Website, and for other purposes described in this Privacy Policy. To the extent the Website Data constitutes Personal Information, we use this Personal Information if you have consented to our use of essential and tracking cookies, as further explained above in Section II.4. We may also use this Personal Information to ensure that content from the Website is presented in the most effective manner for you because it is in our legitimate interests to improve our customers' online experience in relation to the Website.

IV. YOUR RIGHTS TO YOUR PERSONAL INFORMATION

1. Right to Review, Correct, Update and Delete Personal Information

You may review, correct and update certain of your Personal Information that we have about you. For example, where your Personal Information is inaccurate or incomplete, you may ask for your Personal Information to be rectified or completed. In addition, in certain circumstances, you may request deletion of certain of your Personal Information. You may exercise these rights by contacting us using the information in the "Contact Us" section below. We may ask you to verify your identity and to provide other details before we provide access to, update or delete any of your information. Your right to delete information is subject to our record retention policy, including any retention requirements under applicable laws, and to exceptions to this right under applicable laws.

2. Right to Disclosure and Access

Depending on your applicable jurisdiction, including if you live in California or if your Personal Information is subject to the GDPR, you may have additional rights with respect to your Personal Information.

You may have the right to request that a business that collects Personal Information about you to disclose to you the categories of Personal Information it has collected about you, the categories of sources from which the Personal Information is collected, the business or commercial purpose for collecting or selling the Personal Information, and the categories of third parties with whom the business shares Personal Information.

In addition, you may have the right to request that a business that discloses your Personal Information for a business purpose to disclose to you the categories of Personal Information that the business collected about you and the categories of Personal Information that the business disclosed about you for a business purpose.

You may also have the right to request that a business that collects Personal Information about you to disclose to you the specific pieces of Personal Information that it has collected about you. In some jurisdictions, you may request that this information be provided in a structured, commonly used and machine-readable format so that you may share it with others.

If you have these rights, a business may not discriminate against you for exercising these rights, including by denying goods or services to you.

A general list of the categories of Personal Information that we have collected, the categories of sources from which the Personal Information was collected, the business or commercial purposes for collecting the Personal Information, and the categories of third parties with whom we share Personal Information is described in this Privacy Policy. To obtain a list of this information that is specific to you, or to obtain the specific pieces of Personal Information that we have collected about you (which may be limited to certain information that we collected in a specific timeframe, depending on your jurisdiction), please contact us using the information in the "Contact Us" section below. We may ask you to verify your identity and to provide other details before we provide such information to you.

3. Right to Transfer; Right to Object to Processing; Right to Restrict Processing; Right to Withdraw Consent

Depending on your applicable jurisdiction, including if your Personal Information is subject to the GDPR, you may have the right to request the transfer of your Personal Information to another party. You may also have the right to object to us processing your Personal Information by asking for the processing of that Personal Information to be restricted or stopped. You may also have the right to ask us to restrict the processing of your Personal Information, for example, if you want us to establish its accuracy or the reason for processing it. You may also have the right to withdraw your consent to us processing your Personal Information, where you have previously provided consent. You may exercise these rights by contacting us using the information in the "Contact Us" section below. We may ask you to verify your identity and to provide other details before we fulfill your request.

4. Right to Make a Complaint

Depending on your applicable jurisdiction, you may make a complaint to your applicable data protection authority (or the equivalent regulator in your jurisdiction) about the manner in which Andersen is processing your Personal Information. For more information, or if you believe that Andersen has not complied with this Privacy Policy or the applicable law, please contact us using the information in the "Contact Us" section below. If you are not satisfied with the outcome of Andersen"s assessment of your complaint, you may be able to refer your complaint to the relevant regulator under applicable law.

5. No Sale of Personal Information

Andersen does not sell your Personal Information to non-affiliated third parties (including for their own direct marketing purposes) without your consent. In addition, Andersen has not sold your Personal Information to non-affiliated third parties in the last 12 months. If you are entitled to any disclosure rights in your jurisdiction regarding our sale of your Personal Information to non-affiliated third parties or our disclosure of your Personal Information to third parties for their own direct marketing purposes, this disclosure satisfies those requirements. If you still wish to learn more about our compliance with this requirement, please contact us using the information provided in the "Contact Us" section below.

V. OPTING-OUT

You may receive email communications from Andersen, including communications regarding the Website or our services, marketing or promotions, and/or other topics. To contact you, Andersen may use the information you provide to us, including email, address, fax or phone. You may, at any time, inform us that you do not want Andersen to contact you for marketing purposes by sending your request to us using the contact information in the "Contact Us" section below or by sending an e-mail to andersenprivacy@andersen.com. You may also opt-out of promotional email communications by clicking on a link provided in the promotional email message or through the use of Section 7216 Consent to Use forms in relation to tax returns information (if such is applicable to you). After opting-out, you will no longer receive marketing or promotional communications but will continue to receive other non-marketing-related messages, such as emails relating to our provision of professional services to you, your account or your use of the Website.

VI. TRACKING; THIRD PARTY ANALYTICS PROVIDERS

1. Do Not Track Disclosure

Certain web browsers may provide a do-not-track ("DNT") option. You may be able to ask your browser to inform websites that you do not wish your activities to be tracked, either with cookies or other persistent identifiers, commonly called "DNT signals." The Website currently does not respond to DNT signals.

2. Third Party Analytics Provider

For further information on our use of Third Party Analytics, please visit our Cookie Notice.

VII. SAFEGUARDING YOUR INFORMATION

Andersen is committed to maintaining the security of the data you provide us. To protect your personal information from unauthorized access and use, we use security measure that comply with applicable law. These measures include computer safeguards and secured files and buildings. If your Personal Information is subject to the GDPR, then we will protect such information in accordance with Article 32 of the GDPR. However, please note that there is always some risk in transmitting information over the Internet. Because the Website is provided through the Internet, when you use the Website, your communications may be intercepted by others. For this reason, Andersen cannot guarantee the security and privacy of transmissions via the Internet, and we will not be liable for any lack of security relating to the use of the Website, electronic communications, or U.S. Client Portal by you. You agree that you will not hold Andersen liable for any damages resulting from any loss of privacy or security occurring in connection with any communications over such networks.

VIII. RECORDS OF PERSONAL INFORMATION

Andersen has in place a policy regarding the storage of your Personal Information and will only store the Personal Information as long as Andersen considers it necessary or beneficial for the purposes set out in this Privacy Policy or for regulatory, audit or record-keeping purposes.

The following paragraph applies if your Personal Information is subject to the GDPR. We will keep a record of the Personal Information that we receive from you in order to answer your inquiry or request. We will keep a copy of your Personal Information held for the specific purpose for which it was provided (such as to provide professional services to you), until such purpose has come to an end and we no longer need to comply with a legal obligation that requires us to retain your Personal Information. We will delete our copy of your Personal Information in accordance with Andersen"s document retention policy, although we may retain a record of certain Personal Information to the extent that and for so long as we are required to do so by applicable law. For example, if you have contacted us to ask for the processing of your Personal Information to be erased, we will retain a record of your request in order to ensure that we comply with your wishes. More information on our retention policy can be obtained upon request in accordance with Section XI.

IX. Storage and Transfer of Personal Information to Other Countries

If you are located in the EEA, the UK and/or Switzerland and provide data or information to Andersen, it may be transferred to, processed in, stored at or accessible from a destination outside the EEA, the UK and/or Switzerland, such as the United States. By providing your Personal Information, you agree to this transfer, processing and storing. We will take all steps reasonably necessary to ensure your data is treated securely and in accordance with this Privacy Policy.

Where we pass your Personal Information from a location inside the EEA, UK or Switzerland to parties located outside the EEA, UK or Switzerland that do not offer adequate protection as determined by the European Commission, the UK and/or Swiss authorities, if they are not subscribed to an approved data protection framework, such as the EU-U.S. Privacy Shield, that permits us to transfer the Personal Information to them from a location inside the EEA, UK or Switzerland, we will enter into agreements which enable us to transfer the Personal Information to them and that enable you to exercise your rights in accordance with the GDPR. A copy of the applicable terms of these agreements can be obtained by contacting us using the information in the "Contact Us" section below.

Please do not provide your Personal Information to Andersen if you do not want this information to be transferred to the United States or to other countries, or if the laws in your country restrict these types of transfers. Your provision of Personal Information to Andersen means that you agree to the terms of this Privacy Policy.

X. EXCLUSIONS

The Website may contain links to websites owned by other companies. Because Andersen has no control over the privacy practices or content of these linked sites, we recommend that you carefully review the privacy policy of each website you visit. Andersen is not responsible for the content or privacy practices of websites owned by other companies.

As a professional services provider, Andersen does not seek to, nor do we knowingly collect, information directly from children under the age of 16. If a child has directly provided us with Personal Information, a parent or guardian of that child may contact us to have the information deleted from our records. To do so, contact Andersen through the information provided below in the "Contact Us" section.

XI. CONTACT US

For questions or comments regarding this Privacy Policy, including to exercise your rights pursuant to the "Your Rights to Personal Information" section above, please contact us at:

By Phone:
1.888.731.2080

By Postal Mail:
Andersen Tax LLC
71 S. Wacker Drive, Ste. 2600
Chicago, Illinois 60605
Attn: Privacy Team

By E-mail:
andersenprivacy@andersen.com

XII. UPDATES TO PRIVACY POLICY

From time to time, we may update this Privacy Policy. If we do, we will note near the top of this page the date that any changes are made and/or when they become effective. If the changes being made are material, we may alert you to the changes in a more prominent way. Your inaction or continued use of the Website or provision of Personal Information after any such notices, will tell us that you agree to these changes.