Acquisition Regulatory Compliance LLC ("we," "us," "our," or "the Company") is an investment, trust, and securities services firm headquartered at 1908 THOMES AVE STE 300, CHEYENNE, 82001, United States. We provide investment management, trust administration, securities transfer, financial planning, venture capital, mineral royalties dealing, mortgage dealing, tax liens dealing, viatical settlements, and virtual currency trading exchange clearinghouse services. Because we operate across the full spectrum of investment, trust, and securities services, we handle sensitive financial information about our clients, their investments, their trusts, and the parties to the transactions we facilitate.
This Privacy Policy describes how we collect, use, disclose, retain, and protect information in the course of providing our services. Because we provide investment, trust, and securities services, we handle information that is subject to the Investment Advisers Act, the Securities Exchange Act, state securities regulations, state trust regulations, and other applicable federal and state regulations.
We respect your privacy and are committed to protecting the information you share with us. This policy explains what we collect, why we collect it, how we use it, and the choices you have regarding your information.
If you have questions about this policy or about how we handle your information, you can contact us using the details in Section 14 below.
We collect information necessary to provide our investment, trust, and securities services, comply with applicable law, and manage engagements. The categories of information we collect include:
When you engage us for any service, we collect your name, address, email, phone, and other contact information. We use this information to communicate with you about your engagement and to manage your account.
For investment management services — including managing investment funds, mutual funds, pension funds, portfolio funds, and private equity funds — we collect investment objectives, risk tolerance, portfolio holdings, performance history, and other information necessary to manage the investment. We handle this information under applicable investment management regulations.
For trust administration services — including trust companies, bank trust offices, fiduciary agencies, and personal investment trust administration — we collect trust documents, beneficiary information, trust assets, and distribution instructions. We handle this information under applicable trust and fiduciary regulations.
For securities transfer and clearing services — including securities transfer agencies, stock transfer agencies, clearinghouses, and quotation services — we collect securities holder information, transfer instructions, and transaction details. We handle this information under applicable securities and clearing regulations.
For financial planning and investment advice services — including certified financial planners, investment advisory, and financial planning — we collect financial statements, income, assets, liabilities, goals, and other information necessary to provide customized advice. We handle this information under applicable investment adviser regulations.
For venture capital and investment services — including venture capital companies, investment clubs, and securities speculators for own account — we collect investment terms, capital commitments, and transaction details. We handle this information under applicable venture capital and securities regulations.
For royalties dealing, mortgage dealing, and tax liens dealing services — including mineral royalties dealing, oil royalty dealing, mortgage dealers, and tax liens dealing — we collect royalty terms, mortgage terms, lien terms, and transaction details. We handle this information under applicable dealing and securities regulations.
For viatical settlement and crowdfunding services — including viatical settlement companies and business start-up fundraising using a crowdfunding platform — we collect settlement terms, campaign details, and investor information. We handle this information under applicable viatical and crowdfunding regulations.
For virtual currency and securities services — including virtual currency trading exchange clearinghouses, deposit brokers, and security holders' protective services — we collect virtual currency transaction details, deposit terms, and securities holder information. We handle this information under applicable virtual currency and securities regulations.
When you visit our website, we collect basic technical information including IP address, browser type, device type, pages visited, and referring URLs. We use this information to operate and improve our website and to understand how clients find us online.
If you sign up for our marketing communications, we collect your email address and any preferences you share regarding the services you are interested in. We use this information to send you relevant offers and updates.
We use the information we collect to provide our investment, trust, and securities services, manage engagements, comply with applicable law, and operate our business. Specifically, we use information to:
We do not sell personal information to third parties for marketing purposes. We share information as described in Section 5 below.
To the extent we process personal data of individuals located in the European Economic Area, the United Kingdom, or other jurisdictions with similar data protection laws, we rely on the following legal bases:
We share information with third parties only as necessary to provide our services, comply with the law, and manage engagements. The categories of recipients include:
For investment management and trust administration services, we share information with custodians, broker-dealers, and counterparties as necessary to execute transactions and manage assets.
For securities transfer and clearing services, we share information with transfer agents, clearinghouses, and quotation services as necessary to process transfers and clear transactions.
We disclose information to the SEC, FINRA, state securities regulators, state trust regulators, and other regulators as required by applicable law.
We share information with service providers who help us provide our services, including custodians, fund administrators, transfer agents, and clearinghouses. These providers handle information under appropriate confidentiality and security obligations.
We share information with legal counsel, accountants, and tax advisors who support our business, under appropriate confidentiality and professional responsibility obligations.
If we reorganize, merge, or sell all or part of our business, we may transfer information to the successor entity, subject to the protections of this policy and applicable law.
We retain information for as long as necessary to provide our services, comply with legal obligations, and resolve disputes. The retention periods that apply include:
When information is no longer needed, we delete it or render it de-identified, subject to any legal hold or retention requirement that applies.
We protect information using administrative, technical, and physical safeguards appropriate to the sensitivity of financial and client data. These safeguards include:
No system is perfectly secure. If a breach occurs that affects client information, we will notify affected parties and regulators as required by applicable law, including state breach notification laws and securities regulations.
Depending on your jurisdiction, you may have rights regarding your personal information. These rights may include:
To exercise any of these rights, contact us at support@acquisitionreg.shop. We will respond within the timeframe required by applicable law — typically within 30 days.
Our website uses minimal cookies and tracking technologies. We do not use advertising cookies or third-party tracking pixels for cross-site advertising. The technologies we may use include:
You can control cookies through your browser settings. Disabling essential cookies may affect website functionality.
Because we may serve clients across state and national borders, information may be transferred between jurisdictions. When we transfer information internationally, we do so under appropriate safeguards, which may include standard contractual clauses or other transfer mechanisms recognized by applicable law.
If you are located in a jurisdiction with data protection laws, your information may be transferred to a jurisdiction with different privacy laws. We take steps to ensure that your information receives equivalent protection wherever it is processed.
Our investment, trust, and securities services are not directed at children under 18. We do not knowingly collect personal information from children. If you believe a child has provided us with information, please contact us and we will delete it.
Our website may contain links to third-party websites — such as custodians, transfer agents, clearinghouses, or industry resources. We are not responsible for the privacy practices of those websites. We encourage you to review the privacy policies of any third-party site you visit.
We may update this Privacy Policy from time to time to reflect changes in our business, the regulatory landscape, or applicable law. When we make material changes, we will update the "Effective Date" at the top of this policy and, where appropriate, provide notice to clients. We encourage you to review this policy periodically.
If you have questions about this Privacy Policy, about how we handle your information, or to exercise any of your rights, please contact us:
We will make every reasonable effort to respond to your inquiry promptly and in accordance with applicable law.