NCCI

 National Compliance Consultants, Inc.

Privacy Policy

Effective Date: July 6, 2026
Last Updated: July 6, 2026

National Compliance Consultants, Inc. (“NCCI,” “we,” “us,” or “our”) respects your privacy. This Privacy Policy explains how we collect, use, disclose, and protect personal information through our website, www.national-compliance.com, and through related business communications with prospective clients, clients, vendors, referral sources, and other professional contacts.

This Privacy Policy applies to our website and general business communications. It does not replace any separate confidentiality agreement, consulting agreement, engagement letter, regulatory obligation, or other written agreement that may apply to information we receive in connection with a client engagement.

1.     About NCCI

NCCI provides compliance, registration, and consulting services to broker-dealers, registered investment advisers, exempt reporting advisers, applicants, and other financial-services industry participants. NCCI is headquartered in Bothell, Washington.

Information We Collect

We may collect the following categories of information:

Information you provide to us

We collect information that you choose to provide, including:

·       Name;

·       Company name;

·       Job title or role;

·       Business email address;

·       Business telephone number;

·       Mailing address;

·       Information contained in emails, phone calls, web inquiries, forms, attachments, or other communications;

·       Information related to a current or prospective engagement, including business, regulatory, compliance, registration, or operational information; and

·       Any other information you choose to provide to us.

Please do not submit sensitive personal information, customer nonpublic personal information, protected health information, account credentials, or other confidential information through our website unless we have specifically instructed you to do so through an agreed secure method.

2.     Information collected automatically

When you visit our website, we and our website service providers may collect certain information automatically, such as:

·       IP address;

·       Browser type and version;

·       Device type;

·       Operating system;

·       Referring website;

·       Pages viewed;

·       Date and time of visit;

·       Approximate location derived from IP address;

·       Cookie identifiers and similar technologies;

·       Website interaction and usage data.

We use Squarespace to host and operate our website. Squarespace and related service providers may use cookies and similar technologies as described in our Cookie Policy.

3.     How We Use Information

We may use information for the following purposes:

·       To respond to inquiries;

·       To evaluate whether we may provide services;

·       To provide compliance, registration, consulting, and related services;

·       To communicate with clients, prospective clients, vendors, referral sources, and other professional contacts;

·       To manage client relationships and business operations;

·       To prepare, perform, document, and administer engagements;

·       To maintain internal records;

·       To improve our website, services, and communications;

·       To monitor website performance and usage;

·       To protect the security, integrity, and availability of our website and business systems;

·       To prevent fraud, misuse, or unauthorized access;

·       To comply with legal, regulatory, contractual, and professional obligations;

·       To enforce agreements and protect our rights; and

·       For other purposes disclosed at the time information is collected or with your consent.

4.     Cookies and Similar Technologies

Our website uses cookies and similar technologies to operate the site, remember visitor preferences, understand website traffic, and improve website performance. Some cookies are necessary for the website to function. Other cookies, such as analytics cookies, may be optional depending on your cookie choices.

For more information, please review our Cookie Policy.

5.     How We Share Information

We do not sell personal information.

We may disclose information to the following categories of recipients:

·       Website hosting and technology providers, including Squarespace;

·       Email, communications, document-management, cloud-storage, billing, or administrative service providers;

·       Professional advisers, including attorneys, accountants, consultants, and insurers;

·       Regulators, government agencies, courts, arbitrators, or other parties when required or permitted by law;

·       Counterparties or third parties as necessary to perform a client engagement, where authorized by the client or otherwise appropriate under the circumstances;

·       Vendors and service providers that support our business operations;

·       A successor or potential successor in connection with a merger, sale, reorganization, transfer, financing, or similar business transaction; and

·       Other parties with your consent or at your direction.

We may also disclose information when we believe disclosure is necessary or appropriate to protect our rights, protect the rights of others, investigate suspected misconduct, prevent harm, or comply with applicable law.

6.     Client and Regulatory Information

In the course of providing services, NCCI may receive confidential business, compliance, registration, regulatory, financial, operational, or personnel information from clients or prospective clients. Such information may include information about broker-dealer or investment adviser personnel, representatives, associated persons, owners, control persons, customers, investors, vendors, or other third parties.

Information received in connection with an engagement is handled in accordance with applicable engagement terms, confidentiality obligations, regulatory requirements, and business-record retention practices. This Privacy Policy is intended to describe our general privacy practices and should not be read to limit any separate confidentiality, contractual, legal, or regulatory obligation.

7.     Consumer Health Data

NCCI does not operate a health-care, wellness, reproductive health, telehealth, pharmacy, fitness, biometric, health-tracking, or similar consumer health service. We do not intentionally collect consumer health data through our website.

Please do not submit health, medical, biometric, or similar sensitive health-related information through our website. If we receive such information inadvertently, we will use it only as reasonably necessary to handle the communication, protect our rights, comply with law, or delete or restrict it as appropriate.

8.     Your Choices

You may have the following choices:

·       Cookies: You may accept, decline, or manage non-essential cookies through our website cookie banner or cookie preference tool.

·       Browser controls: You may block or delete cookies through your browser settings.

·       Email communications: You may ask us to stop sending non-essential business or marketing communications.

·       Corrections: You may ask us to correct inaccurate contact or business information.

·       Access or deletion requests: You may contact us to request access to, deletion of, or information about personal information we maintain about you, subject to applicable legal, contractual, regulatory, and record-retention limitations.

We may need to verify your identity or authority before responding to certain requests.

9.     Do Not Track and Global Privacy Signals

Some browsers or tools may send “Do Not Track” or similar signals. Because there is not a single accepted standard for responding to all such signals, our website may not respond to every such signal. Where our website or service providers are configured to recognize legally required opt-out preference signals, we will process them as required by applicable law.

10.  Data Retention

We retain information for as long as reasonably necessary for the purposes described in this Privacy Policy, including to provide services, maintain business records, comply with legal or regulatory obligations, resolve disputes, enforce agreements, and maintain security.

The retention period may vary depending on the nature of the information, the context in which it was collected, the applicable engagement terms, regulatory considerations, and legal requirements.

11.  Security

We use reasonable administrative, technical, and physical safeguards designed to protect information in our possession. However, no website, email system, transmission method, or storage system is completely secure. You should use caution when sending confidential or sensitive information electronically.

12.  Third-Party Websites and Services

Our website may link to third-party websites, platforms, or services, such as LinkedIn or other external resources. We are not responsible for the privacy practices, security, or content of third-party websites or services. Your use of third-party websites and services is subject to their own terms and privacy policies.

13.  Children’s Privacy

Our website and services are intended for business and professional audiences. They are not directed to children, and we do not knowingly collect personal information from children under 13.

14.  International Visitors

NCCI is based in the United States. If you access our website from outside the United States, information may be processed in the United States or other jurisdictions where our service providers operate. Those jurisdictions may have privacy laws that differ from those in your location.

15.  Changes to This Privacy Policy

We may update this Privacy Policy from time to time. If we make material changes, we will update the effective date or last updated date above. Your continued use of the website after an update means that the updated Privacy Policy applies to your use of the website after the effective date.

16.  Contact Us

If you have questions about this Privacy Policy or our privacy practices, please contact us:

National Compliance Consultants, Inc.
12318 Northeast 164th Street
Bothell, Washington 98011
Phone: 312-421-5050
Email: matt@national-compliance.com