Privacy Policy
1. Introduction
Wealth Compliance Limited (“we”, “us”, or “our”) respects your privacy and is committed to protecting your personal data. This Privacy Notice explains how we collect, use, store, and protect your personal information in accordance with the UK General Data Protection Regulation (UK GDPR), the Data Protection Act 2018, and other applicable data protection laws in the United Kingdom.
2. Data Controller
Wealth Compliance Limited is the Data Controller responsible for your personal data.
Registered Office:
9-11 New Broadway, Ealing, London, W5 5AW
Website: www.wealthcompliance.co.uk
Email: nick.hunt@wealthcompliance.co.uk
Telephone: 07718 190949
ICO Registration Number: C1603609
3. Data Protection Officer (DPO)
Our appointed Data Protection Officer is:
Name: Nick Hunt
Email: nick.hunt@wealthcompliance.co.uk
The DPO oversees all matters relating to data protection and privacy compliance. If you have any questions about this Privacy Notice or wish to exercise your rights, please contact Nick Hunt using the details above.
4. Personal Data We Collect
We may collect and process the following types of personal data:
Identity Data: Full name, title, date of birth, and gender.
Contact Data: Home address, email address, and telephone numbers.
Financial Data: Bank account details, investment and transaction information.
Professional Data: Employment details, qualifications, and regulatory credentials.
Technical Data: Internet Protocol (IP) address, browser type, and online identifiers (if interacting with our website).
Marketing and Communications Data: Preferences for receiving marketing materials and communication preferences.
5. How We Collect Your Data
We may collect your personal data through the following means:
Direct interactions (e.g., completing forms, correspondence via email, phone, or post).
Automated technologies (e.g., website cookies or analytics tools).
Third-party sources, including regulatory authorities, professional partners, or publicly available databases.
6. How We Use Your Personal Data
We process your personal data for the following purposes:
To provide and manage our services.
To meet our legal and regulatory obligations.
To maintain accurate client and compliance records.
To communicate with you and manage your relationship with us.
To detect and prevent fraud or financial crime.
To improve our services and ensure website security.
To send relevant marketing communications (where lawful and with your consent where required).
7. Legal Bases for Processing
We process your personal data under one or more of the following lawful bases:
Contractual necessity – To perform our contract with you.
Legal obligation – To comply with our regulatory or statutory duties.
Legitimate interests – To pursue our legitimate business purposes, such as service improvement or compliance monitoring, where your rights do not override those interests.
Consent – Where you have provided explicit consent, such as for marketing communications.
8. Data Sharing
We may share your personal data with:
Regulatory authorities such as the Financial Conduct Authority (FCA) and the Information Commissioner’s Office (ICO).
Professional advisers including auditors, legal counsel, and consultants.
IT and cloud service providers who support our systems and infrastructure.
Third parties in the event of a merger, restructuring, or sale of our business.
All third-party processors are required to treat your data in accordance with the law and only for specified purposes.
9. International Transfers
We primarily store and process your data within the United Kingdom. If it becomes necessary to transfer data outside the UK, we will ensure appropriate safeguards are in place, such as adequacy regulations or standard contractual clauses approved by the ICO.
10. Data Retention
We retain your personal data only as long as necessary to fulfil the purposes we collected it for, including to satisfy legal, regulatory, accounting, or reporting obligations. Retention periods vary depending on the nature of the data and our regulatory duties.
11. Your Legal Rights
Under the UK GDPR, you have the following rights regarding your personal data:
Access – Request access to your personal data.
Rectification – Request correction of inaccurate or incomplete data.
Erasure – Request deletion of your personal data (“right to be forgotten”).
Restriction – Request restriction of how we process your data.
Data Portability – Request a copy of your data in a structured, machine-readable format.
Objection – Object to processing based on legitimate interests or direct marketing.
Withdraw Consent – Withdraw consent where processing is based on your consent.
To exercise these rights, please email nick.hunt@wealthcompliance.co.uk.
12. Data Security
We implement appropriate technical and organisational measures to safeguard your personal data against unauthorised access, loss, misuse, or alteration. Access to personal data is restricted to authorised employees and third parties who are bound by confidentiality obligations.
13. Complaints
If you have any concerns about how we handle your personal data, please contact our DPO, Nick Hunt, in the first instance at nick.hunt@wealthcompliance.co.uk.
You also have the right to lodge a complaint with the Information Commissioner’s Office (ICO):
Website: https://www.ico.org.uk
Telephone: 0303 123 1113
14. Changes to This Notice
We may update this Privacy Notice from time to time. The latest version will always be available on our website at
www.wealthcompliancelimited.co.uk.
Significant updates will be communicated directly to you where appropriate.