Overview
DIO Management and its affiliates (collectively, “DIO”, “we”, “us”, or “our”) are committed to safeguarding the personal information that you provide us. DIO is the data controller of the personal data collected and is responsible for the processing of your personal data.
The privacy policy (the “Policy“) explains how we collect, use, and protect the information you may provide to us via this website and other domains owned and/or operated by DIO. The Policy also informs you about your privacy rights and how the law protects you. Certain other DIO websites may be operated under separate agreements having additional terms and conditions.
It is important that you read this Policy together with any other notice we may provide on specific occasions when we are collecting or processing personal data about you so that you are fully aware of how and why we are using your data. This Policy supplements the other policies and is not intended to override them. In the event of a conflict between this Policy and another policy which applies to a specific site or engagement, the latter shall prevail over this Policy to the extent of the conflict.
Please review the following to understand how we process and safeguard personal data about you. By using this website or otherwise obtaining investment products and services from us, and/or by voluntarily providing personal data to us, you acknowledge that you have read and understand the practices contained in this Policy. This Policy may be revised from time to time, so please ensure that you check this Policy periodically to remain fully informed.
What Information Do We Collect?
We collect a variety of personal data (meaning information about an individual from which that person can be identified) from and about you, in a number of situations. What data we collect will depend on the specific circumstances:
- When you provide your personal data to us in direct communications with us through our website, by email, phone, or otherwise, such as when you subscribe to receive publications or product updates, including your name, employer information, and contact details;
- When you instruct us in connection with the provision of investment products and services, you may provide us with personal data, including your name, contact details, and such other information as may be appropriate in context;
- We may also ask you to provide, in certain circumstances, additional personal data in order for you to make an investment or to comply with legal obligations to which we are subject;
- Automatically through logging and analytics tools, cookies, and as a result of your use of and access to our website. We utilize commonly-used logging and analytics tools to collect information about your device, the network used to access the website, and occasionally about your use of the website (such as how you navigate and move around the website).
You have choices about certain information we collect. When you are asked to provide information, you may decline to do so; but if you choose not to provide information that is necessary for us to collect by law or to perform a contract, we may not be able to enter into or perform such contract or perform other obligations with respect to you. In addition, as noted below in the section captioned “Your Choices” it is possible to change your browser settings to block the automatic collection of certain information.
We also collect data that is not identifiable to you or otherwise associated with you, such as aggregated data, and is not personal data. To the extent this data is stored or associated with personal data, it will be treated as personal data; otherwise, that data is not subject to this Policy.
In the event that you provide us with information about another person, you must ensure that you have the right to provide that information and, you agree to provide the disclosures set out in this Policy to the individuals whose personal information you have provided.
How Do We Process Personal Data?
We process personal data as follows:
Operational and Marketing Uses.
We process your personal data as part of our business operations and for marketing, which include:
- Providing you with information tailored to your requests, responding to inquiries, and delivering and managing investment products and services;
- Screening and other activities in connection with employment or other engagement by us of you;
- Communications with you regarding our investment products and services;
- Compliance with our legal obligations, including compliance checks, and related record-keeping;
- Endeavoring to protect our rights, property, or safety, and the rights, property, and safety of our users and other third parties; and
- In connection with the exercise or defense of our legal rights, as well as in response to court orders.
Legal Bases for Processing
We process personal data for, or based on, one or more of the following legal bases:
To facilitate your investment in products and services offed by DIO on an ongoing basis which are necessary to fulfill all contractual and regulatory obligations related to your investment;
- As is necessary for our legitimate interests, including direct marketing;
- To comply with the law and our legal obligations, as well as to protect you and other individuals from certain harms; and
- In certain circumstances, based on your express consent.
Sharing of Personal Data
Some of the above processing involves sharing collected personal data with third parties, including service providers and affiliates. This occurs in the following circumstances:
- We share personal data with third parties when you ask us to do so;
- We share personal data among our affiliated entities;
- We share personal data with our service providers, including, as applicable, IT service providers, commercial email providers, security consultants, and other vendors we engage so that they may provide services to us or on our behalf; and
- We share personal data with third parties when we believe it is required by, or necessary to comply with, applicable law.
Protecting Personal Data
Because security is important to both DIO and you, we employ reasonable and appropriate physical, technical, and organizational safeguards designed to promote the security of our systems and protect the confidentiality, integrity, availability, and resilience of personal data. If you suspect unauthorized access to your information, you should contact DIO immediately as provided in the section captioned “Additional Information and Assistance” below.
No method of safeguarding information is completely secure. While we use measures designed to protect personal data, we cannot guarantee that our safeguards will be effective or sufficient. In addition, you should be aware that Internet data transmission is not always secure, and we cannot warrant that information you transmit to us through the Internet is or will be secure.
Retention of Personal Data
We will not retain your personal information for longer than is necessary in relation to the purposes for which your personal information is processed and in accordance with regulatory requirements. Generally, we will retain your personal information concerning your investments for 5 years after the end of any relevant contractual relationship. Personal information may be retained for longer if it is required by law, or by a tax or regulatory authority, a law enforcement agency or other governmental or public body, or considered necessary in order to allow us to act in accordance with a specific set of circumstances, for example, in light of an actual or a potential legal action or a regulatory investigation.
Your Rights Regarding Personal Data
You have a variety of legal rights regarding the collection and processing of personal data. You may exercise these rights, to the extent they apply to you, by contacting us as provided in the section captioned “Additional Information and Assistance” below, or by following the instructions provided in this Privacy Policy or in communications we send to you. Please be prepared to provide reasonable information to identify yourself and authenticate your requests. Note, however, that we may request certain reasonable additional information (that may include personal data) to help us authenticate the request and/or to clarify or understand the scope of such requests.
These rights vary depending on the particular laws of the jurisdiction applicable to you, but may include:
- The right to know whether, and for what purposes, we process personal data about you;
- The right to be informed about the personal data we collect and/or process about you;
- The right to access, modify, and correct personal data about you (as set forth in more detail below under “Accessing, Modifying, Rectifying, and Correcting Collected Personal Data”);
- The right to know with whom we have shared personal data about you, for what purposes, and what personal data has been shared (including whether personal data was disclosed to third parties for their own direct marketing purposes);
- Where processing of personal data about you is based on consent, the right to withdraw your consent to such processing; and
- The right to lodge a complaint with a supervisory authority located in the jurisdiction of your habitual residence, place of work, or where an alleged violation of law occurred
For additional information, please see “Your California Privacy Rights” and “Your European Union Privacy Rights,” if applicable,
for more information about certain legal rights.
Accessing, Modifying, Rectifying, and Correcting Collected Personal Data.
We strive to maintain the accuracy of any personal data collected from you, and will use commercially reasonable efforts to respond promptly to update our database when you tell us the information in our database is not accurate. However, we must rely upon you to ensure that the information you provide to us is complete, accurate, and up-to-date, and to inform us of any changes. Please review all of your information carefully before submitting it to us, and please notify us as soon as possible of any updates or corrections.
In accordance with applicable law, you may obtain from us certain personal data that we process about you. If you wish to access, review, or make any changes to personal data you have provided to us through our website or related services, you may do so at any time by contacting us as provided below. Please note, however, that we reserve the right to deny access as permitted or required by applicable law.
Accessing, Modifying, Rectifying, and Correcting Collected Personal Data.
California Civil Code Section 1798.83, known as the “Shine the Light” law, permits our users who are California residents to request and obtain from us a list of what personal data (if any) we disclosed to third parties for their own direct marketing purposes in the preceding calendar year and the names and addresses of those third parties. Requests may be made only once per year per person, must be sent to the email address below, and are free of charge.
We do not disclose personal data protected under the “Shine the Light” law to third parties for their own direct marketing purposes.
Your European Union Privacy Rights.
In addition to the above-listed rights, European Union privacy law provides individuals with enhanced rights in respect of their personal data. These rights may include, depending on the circumstances surrounding the processing of personal data:
- The right to object to decisions based on profiling or automated decision making that produce legal or similarly significant effects on you;
- The right to request restriction of processing of personal data or object to processing of personal data carried out pursuant to (i) a legitimate interest or (ii) performance of a task in the public interest (including processing for direct marketing purposes);
- In certain circumstances, the right to data portability, which means that you can request that we provide certain personal data about you that we process in a machine-readable format; and
- In certain circumstances, the right to erasure, which means that you can request deletion or removal of certain personal data we process about you.
- Note that we may need to request additional information from you to validate a request relating to the exercise of any of the rights above.
Your Choices
In addition to your choices with respect to the collection of personal data (see “What Information Do We Collect?” above), you have the ability to make certain choices about how we communicate with you, and how we process certain personal data.
Third-Party Websites and Services
As a convenience, we may reference or provide links to third-party websites and services, including those of unaffiliated third parties, our affiliates, service providers, and third parties with which we do business. When you access these third-party services, you leave our website, and we are not responsible for, and do not control, the content, security, or privacy practices employed by any third-party websites and services. You access these third-party services at your own risk and this Privacy Policy does not apply to any third-party services; please refer to the privacy notices or policies for such third-party services for information about how they collect, use, and process personal data.
Business Transfer
We may, in the future, sell or otherwise transfer some or all of our business, operations or assets to a third party, whether by merger, acquisition or otherwise. Personal data we obtain from or about you via the website or through investment products and services we provide to you may be disclosed to any potential or actual third-party acquirers and may be among those assets transferred.
Do Not Track
We use analytics systems and providers that may process personal data about your online activities over time and across third-party websites or online services. We do not currently process or comply with any web browser’s “do not track” signal or similar mechanisms. Note, however, that you may find information about how to block or reject certain tracking technologies by visiting www.aboutcookies.org.
International Transfers
We may share your personal data as noted in the section “Sharing of Personal Data” with third parties, including service providers and affiliates, and this may involve the transfer of your personal data to jurisdictions outside of the United States. Also, if you are using the website from outside the United States, by your use you acknowledge that we will transfer your data to, and store your personal data in, the United States.
Modifications and Updates to this Privacy Policy
This Privacy Policy replaces all previous disclosures we may have provided to you about our information practices with respect to the website and any publications or services which are otherwise available through our website. We reserve the right, at any time, to modify, alter, and/or update this Privacy Policy, and any such modifications, alterations, or updates will be effective upon our posting of the revised Privacy Policy. We will use reasonable efforts to notify you in the event material changes are made to our processing activities and/or this Privacy Policy, such as by sending you an email or posting a notice for a period of time on the website. Your continued use of the website and any publications or services which are otherwise available through our website following our posting of any revised Privacy Policy will constitute your acknowledgement of the amended Privacy Policy.
Applicability of this Privacy Policy
By using this website and voluntarily providing your personal data to us, you acknowledge the processing of your personal data in accordance with this Privacy Policy.
Additional Information and Assistance
If you have any questions, concerns, or complaints regarding the processing of your personal information, or would like to exercise any of the legal rights set forth above, please contact us at:
DIO Management LLC
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