Kroll Privacy Policy

• INTRODUCTION
• WHO IS COLLECTING DATA
• DATA WE COLLECT
• PROCESSING OF PERSONAL DATA
• HOW DATA IS PROCESSED
• STORAGE OF PERSONAL DATA
• DISCLOSURE/SHARING OF PERSONAL DATA
• CROSS-BORDER TRANSFERS
• YOUR RIGHTS
• AUTOMATED DECISION MAKING
• PROVIDING INFORMATION TO KROLL
• THIRD PARTY WEBSITES OR SERVICES
• CONTACT US 

Introduction

Kroll, LLC (formerly Duff & Phelps LLC), including all affiliates and subsidiaries (collectively "Kroll"), is committed to complying with the applicable data privacy and security requirements in the countries in which it operates. Kroll complies with internationally recognized standards of privacy protection, and with various privacy laws globally including, but not limited to, the EU General Data Protection Regulation (GDPR). This Privacy Notice applies when providing valuation advisory, corporate finance, restructuring, governance, risk, investigations, disputes, intelligence, diligence, compliance and regulatory consulting, cyber risk, or other services (the "services") to its customers.

Please see separate privacy policies regarding the below services:

• Restructuring Advisory Privacy Notice which applies when an insolvency practitioner of Kroll is appointed as office holder and data processing is carried out as part of their statutory duties.
• Restructuring Administration Privacy Notice which applies when Kroll provides Restructuring Administration Services.
• Settlement Administration Privacy Notice which applies when Kroll provides Settlement Administration Services

If you are a California resident, please see our CCPA Privacy Policy to learn about your rights under the California Consumer Privacy Act.

If you are a Virginia resident, please see our Virginia Privacy Notice to learn about your rights under the Virginia Consumer Data Protection Act.

Who is Collecting Data?

Data will be collected by Kroll LLC (or its affiliates and subsidiaries, collectively "Kroll"). This policy applies to personal data which is collected and/or used by Kroll in its capacity as a data controller as that term is defined in the GDPR and similar privacy laws, for the purposes set out below under Processing of Personal Data.

When Kroll provides services to clients, we sometimes process personal data as a data processor, meaning that we process the data solely on the instructions of our clients, who determine the purpose and means of processing and exercise overall control of the data (for example, the hosting of client data on our web-based due diligence portal). Therefore, if you have questions or wish to exercise your rights relating to your personal data, you may need to contact the client (and controller) on whose behalf the processing of your data is carried out. If we receive a request from you relating to data controlled by a client, we will pass the request to the appropriate client (and controller) where permitted by applicable privacy law.

Data We Collect

Kroll collects the following categories of personal data:

Contact data: We may collect information about data subjects such as name and contact details (email, phone number, etc.) in order to communicate and facilitate the provision of our services with our clients or potential clients. For example, contact details of individuals who work for or on behalf of the clients, in order to carry out the client’s engagement with Kroll.

Services data: Personal data may be provided to us by clients to the extent required to perform the services. Kroll may also acquire personal data from a third party at the direction of our client as required to perform services.

Marketing information: We may collect information to respond to inquiries regarding our products and services or to provide you with information, reports, or updates.

Website visitor information: when you visit our website, we may collect information about your visit such as your IP address and the pages you visited and when you use our services we may collect information on how you use those services. Please see our Website Use and Cookies Policy for additional information.

Clients and other Third parties who provide personal information to Kroll must do so in compliance with applicable data privacy regulations.

Processing of Personal Data

We collect personal data to offer and administer our services and products. These include valuation advisory, corporate finance, restructuring, governance, risk, investigations, disputes, intelligence, diligence, compliance and regulatory consulting, and cyber risk services.

Except as otherwise stated in the privacy policy applicable to the affiliate providing the services,(Kroll Restructuring Administration’s policy is available here  and Kroll Settlement Administration’s policy is available here ) , the data you provide to us will be processed in accordance with the purposes specified in this notice, namely:

• For complying with obligations provided by laws, current regulations and legislation (e.g. tax regulations, anti-money laundering regulations)
• Where the processing is necessary for the performance of a contract or in order to take steps at your request prior to entering into a contract (e.g. where you request certain Services as an individual client, or perform certain services as an individual service provider)
• where the processing is necessary for our legitimate business interests in conducting and managing our business, including:

  To provide the products or perform the services requested by clients and individuals pursuant to a letter of engagement, statement of work, or similar

  To provide the products or perform the services requested by clients and individuals using our website or web applications

  Where permitted by applicable law, to advise you through e-mail, phone call, or post, in the framework of our ordinary commercial relationship, about other products or services similar to the products or services we have provided to you and that we think will be of interest to you

  For hosting of events (including webinars). We may use your data to manage your registration to a Kroll event, including sharing data with event co-hosts and tracking and facilitating event attendance.

  For improving Kroll’s communications with you. Emails sent to you by Kroll may include standard tracking, including open and click activities. Kroll may collect information about your activity as you interact with our email messages and related content.

  For operating and improving Kroll’s website and your customer experience. For example, we may collect and analyze data on your use of our website and process it for the purpose of improving our online experience. Please see our Website Use and Cookies Policy for additional information.

  For security purposes. For example, we may use your data to protect Kroll and its third parties against security breaches and to prevent fraud and violation of Kroll’s applicable agreements

• For marketing purposes. For example, we may use your information to further discuss your interest in the Services and to send you information regarding Kroll and its group companies such as information about promotions, events, products or services.

  If you are located in the EU, UK, Australia, Japan, or Singapore, we will only send you marketing communications and updates about our products, services and events with your prior consent or based on our and your legitimate interests where permitted. In either case, you can withdraw your consent or opt-out or receiving such communications at any time.

  If you are not located in the EU, UK, Australia, Japan, or Singapore, you may opt-out of receiving marketing communications and updates at any time.

  You can manage your receipt of marketing and non-transactional communications by clicking on the «unsubscribe» link located on the bottom of Kroll’s marketing emails. Additionally, you may send a request to Kroll.privacy@kroll.com.

• With your consent. Kroll also processes your data for other purposes if you have provided us consent for such specified purposes, where such other purposes will be clearly provided at the time you provide consent.

Whenever we process your personal data for our legitimate interests, we make sure to consider and balance any potential impact on you and your rights under data protection laws. Our legitimate business interests do not automatically override your interests - we will not use your personal data for activities where our interests are overridden by the impact on you (unless we have your consent or are otherwise required or permitted to by law). You have the right to object to this processing if you wish.

How data is processed

Personal data is processed both manually and electronically in accordance with the above-mentioned purposes and in compliance with current regulations. We permit only authorized Kroll employees and Third-Party processors to have access to your information. Such employees and Third-Party processors are appropriately designated and trained to process data only according to the instructions we provide them.

Storage of Personal Data

Kroll will retain personal data for a reasonable period, taking into account legitimate business needs to capture and retain such information. Information will also be retained for a period necessary to comply with state, local, federal regulations, or country specific regulations and requirements, and in accordance with Kroll’s Document Retention Schedule.

Disclosure/Sharing of Personal Data

We only share your personal data with your consent or in accordance with this policy. We will not otherwise share, sell or distribute any of the information you provide to us except as described in this Privacy Notice.

• We share personal data among Kroll-controlled affiliates and subsidiaries who act for Kroll for the purposes set out in this notice.
• Kroll may share your information with external third parties, such as vendors, consultants and other service providers who are performing certain services on behalf of Kroll. Such third parties have access to personal data solely for the purposes of performing the services specified in the applicable service contract, and not for any other purpose. Kroll requires these third parties to undertake security measures consistent with the protections specified in this notice.
• Kroll may be required to disclose personal data in response to lawful requests by public authorities, including meeting national security or law enforcement requirements.
• If Kroll’s business enters into a joint venture with or is merged with another business entity, your information may be disclosed to our new business partners.

Cross – Border Transfers of Personal Data

Kroll is a global firm with operations in over 30 countries. Personal information may be transferred, accessed and stored globally as necessary for the uses stated above in accordance with this notice, and in compliance with local regulations.

Personal Data may be transferred to or processed in locations outside of the European Economic Area (EEA), some of which have not been determined by the European Commission to have an adequate level of data protection. In that case, for personal data subject to European data protection laws, we take measures designed to provide the level of data protection required in the EU, including ensuring transfers are governed by the requirements of the Standard Contractual Clauses adopted by the European Commission, or another adequate transfer mechanism. Kroll entities have entered into intragroup transfer agreements based on the Standard Contractual Clauses which allows for the processing and transfer of personal data.

Where we receive requests to disclose personal data from law enforcement or regulators, we carefully validate these requests, including reviewing the legality of any order and challenging the order if there are grounds under the law to do so, before any personal data is disclosed.

Your Rights

Depending on the laws of the jurisdiction governing the processing of your personal data, you may have certain rights under applicable data protection laws including:

• Access: You have the right to access personal information that Kroll holds about you.
• Rectification: You have the right to ask us to rectify information Kroll holds about you if it is inaccurate or not complete.
• Erasure: You can request that Kroll erase your personal data. We will keep basic data to identify you and retain it solely for preventing further unwanted processing.
• Restrict Processing: You have the right to ask Kroll to restrict how we process your data. This means we are permitted to store the data but not further process it. We keep just enough data to make sure we respect your request in the future.
• Object to processing: Where processing is based on legitimate interests, you have the right to object to Kroll processing your data. Kroll will discontinue processing your data, unless we can demonstrate compelling legitimate grounds for the processing. We will keep basic data to identify you and retain it solely for preventing further unwanted processing.
• Portability: Where processing is based on consent or performance of a contract, you have the right to data portability. Kroll must allow you to obtain and reuse your personal data for your own purposes in a safe and secure way without this effecting the usability of your data. This right only applies to personal data that you have provided to Kroll as the Data Controller.

Please contact kroll.privacy@kroll.com to request access, rectification, or erasure, or to restrict processing, to object to processing, to request data portability. Please note that Kroll cannot facilitate the exercise of your rights without proper verification of your identity.

Subject to legal considerations or certain exemptions, we may not always be able to address your request, for example if it would impact the duty of confidentiality we owe to others, or if we are legally entitled to deal with the request in a different way.

Requests received via post may be delayed due to limited office access during the Covid-19 pandemic. Please contact us by email to ensure your request is received in a timely manner.

Automated Decision Making

Automated decisions are defined as decisions about individuals that are based solely on the automated processing of data and that produce legal effects that significantly affect the individuals involved.

Kroll does not make automated decisions using personal data. If automated decisions are to be made, affected persons will be given an opportunity to express their views on the automated decision in question and object to it.

Providing Information to Kroll

If you choose not to provide certain personal information, it may be an impediment to the exchange of information necessary for the execution of the contract or provision of services, and we may not be able to provide you with some services and you may not be able to participate in some of the activities on our website(s).

Third Party Websites or Other Services

We are not responsible for the privacy practices of any non-Kroll operated websites, mobile apps or other digital services, including those that may be linked through Kroll websites or services, and we encourage you to review the privacy policies or notices published thereon.

Contact Us

Please contact us at Kroll with questions, concerns, or complaints:

Requests received via post may be delayed due to limited office access during the Covid-19 pandemic. Please contact us by email to ensure your request is received in a timely manner.

Kroll Corporate Headquarters
55 E 52 Street
New York, NY 10055
kroll.privacy@kroll.com

If you are in the EU:

Kroll EU Data Protection Officer: Daniela Mosca

• Email: daniela.mosca@kroll.com
• Telephone +39.039.64.23.812
• Post: Daniela Mosca at Kroll Advisory Holding SpA, Centro Direzionale Colleoni, Palazzo Cassiopea 3, 7th Floor, Via Paracelso 26, 20864 Agrate Brianza (MB) - Italy 

For data subjects located in the EU: if we are not able to satisfactorily resolve your questions, concerns, or complaints, or if you believe that the processing of your personal data infringes on your rights under applicable data protection laws, you have the right, without prejudice to any other administrative or judicial remedies, to lodge a complaint with a supervisory authority, in particular, in the Member State of your habitual residence, place of work or place of the alleged infringement. Contact information for the supervisory authorities may be found here: EU Data Protection Authorities

Kroll Cayman Islands Representative

Where Kroll processes personal data in the Cayman Islands, the Cayman Islands local representative, pursuant to the Cayman Islands Data Protection Act will be  Kroll Advisory (Cayman) Ltd.