Privacy Policy

Privacy Notice

Zenith Compliance Ltd is committed to protecting your personal information and your privacy.

At all times we will act in accordance with the requirements of the Data Protection Act 2018 and the EU General Data Protection Regulation, as amended, extended, re-enacted or consolidated from time to time.

This Privacy Notice tells you how we will handle your personal information when you make contact with us, or you or your financial advisers use one of our services.

We’ll tell you:

  • The type of information we process;
  • How we get the personal information and the reasons we have it;
  • How we store personal information;
  • How we may Sharing personal information;
  • Your rights;
  • How to complain

We keep our data protection arrangements under regular review.  This notice was last updated in February 2021.

Zenith Compliance Ltd is the controller for the personal information we process.

You can contact us, including by phone, email and post.

Telephone: 07746 752185             E-mail: [email protected]                    

Post: 20 Kingsmead Business Park, Gillingham  Dorset  SP8 5FB

The type of information we process We gather information about financial advice firms in order to provide our services.  This may include: Names and contact details for relevant employees, self-employed individuals or Appointed Representatives;Dates of birth, education and employment details and credit references;Records of your contact with us (phone/meeting notes, video calls, reports, emails, letters) Where we have agreed to provide services to Financial Advice firms, we may be provided with information about their individual clients as part of these services. This is likely to include: Personal identifiers including contact details, National Insurance number and date of birth;Personal and financial information“Special Category” data, for example details of health etc. Information relating to usage of our website may be collected using cookies. These are text files placed on your computer to collect standard internet log information and visitor behaviour information. We do not currently use any information collected from the website to personalise your repeat visits to our site.
How we get the personal information and the reasons we have it; Most of the information we process is provided directly by Financial Advice firms who have an agreement for our services and the primary legal basis for processing date is for the performance of our contract with them, i.e. it is necessary in order for us to be able to deliver the services. Financial Advice firms who have agreements for services with Zenith Compliance Ltd are responsible for the personal information they hold for their clients and staff, and must hold a formal contract or agreement to share personal data including Client Information with us. Where Financial Advice firms share “Special Category Data” (including race, ethnic origin, politics, religion, trade union membership, genetics, biometrics, health, sex life or sexual orientation) with us, they must themselves obtain explicit consent from the individual for processing this data.  This consent must be for a specific purpose and may be withdrawn by the data subject (the individual) at any time.
How we store your personal information We take the security of personal data extremely seriously.  Your information is securely stored on our computer systems.  Any paper records will be held securely and shredded at the earliest opportunity.  We have arrangements in place to ensure that personal &/or confidential information is protected so as to minimise the threat of loss or damage. Client personal data will be anonymised such that clients cannot be individually identified.  Client file information will be deleted after 2 years. Records of audit, training and consultancy services to firms will be held while you are a client of Zenith Consultancy Ltd, however we reserve the right to retain data for longer than this due to the possibility that it may be required to defend a future claim against or if required by legal or regulatory obligations. Where you request us to delete any personal date, we will comply with requests subject to the restrictions of any regulatory obligations and legitimate interests as noted above.
Sharing your personal information We will not share personal data with any third parties for the purposes of direct marketing.  We may use data processors who are third parties who provide elements of service for us.  We have contracts in place with such data processors.  This means that they cannot do anything with your personal information unless we have instructed them to do it.  They will not share your personal information with any organisation apart from Zenith Compliance Ltd.  They will hold this securely and retain it for the period we instruct. We may be required to pass on your personal information to the Financial Conduct Authority (FCA), Financial Ombudsman Service (FOS), the Financial Services Compensation Scheme (FSCS) or the Information Commissioner’s Office (ICO) to help with an investigation or complaint; or to other authorities as required by the law. Our websites, reports, newsletters and other services may contain links to websites that are not operated by us. If you click on a third-party link, you will be directed to that third party’s site. We strongly advise you to review the privacy policy of every site you visit. We have no control over and assume no responsibility for the content, privacy policies or practices of any third-party sites or services.
Your rights Under data protection law, you have rights including: Your right of access – You have the right to ask us for copies of your personal information. Your right to rectification – You have the right to ask us to rectify personal information you think is inaccurate. You also have the right to ask us to complete information you think is incomplete. Your right to erasure – You have the right to ask us to erase your personal information in certain circumstances. Your right to restriction of processing – You have the right to ask us to restrict the processing of your personal information in certain circumstances. Your right to object to processing – You have the the right to object to the processing of your personal information in certain circumstances. Your right to data portability – You have the right to ask that we transfer the personal information you gave us to another organisation, or to you, in certain circumstances. You are not required to pay any charge for exercising your rights. If you make a request, we have one month to respond to you. Please contact us at Zenith Compliance Ltd  if you wish to make a request. Telephone: 07746 752185             E-mail: [email protected]                     Post: 20 Kingsmead Business Park, Gillingham  Dorset  SP8 5FB 
How to complain If you have any concerns about our use of your personal information, you can make a complaint to us by: Telephone: 07746 752185                             E-mail: [email protected]                     Post: 20 Kingsmead Business Park, Gillingham  Dorset  SP8 5FB   You can also complain to the ICO if you are unhappy with how we have used your data. The ICO’s address:            Information Commissioner’s Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF   Helpline number: 0303 123 1113 ICO website:
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