European and UK Privacy Policy of NinjaTrader

General Information and Introduction

In compliance with the United Kingdom’s and European Union’s General Data Protections Regulation No. 2472/1999 Law no 3471/200 (GDPR), this Privacy Policy is written to provide you with a clear description of NinjaTrader LLC’s and its affiliates, NinjaTrader Clearing, LLC and NinjaTrader LLC (“NinjaTrader” “us” and “we”) collect and use your personal data. This personal data may be gathered from you both directly, when you complete an application, provide us with documents or respond to an inquiry, as well as indirectly when you access our websites and trading services. This Policy supplements our other policies and specific privacy notices and therefore should be read in conjunction with them. This privacy policy is not intended to govern any other privacy policies we may disseminate. Despite that this is our European and UK privacy policy, we are a U.S. entity and if you are or become a client of ours, in conformity with your contractual Customer Agreement with us, this supplemental Privacy Policy is governed by the laws of the State of Illinois. If you have any questions, please contact us, so that we may help answer any queries you may have regarding how and why we use your data. Trading financial products is not suitable for children. Our services are not marketed towards children and we do not knowingly collect data of children. NinjaTrader is the controller of any personal information that you provide us. That means we decide the purposes and means of the processing of that information and as a global service provider, we may transfer data abroad in connection with providing services to you. This could include countries outside the European Economic Area and UK.. NinjaTrader does not and will not sell your personal information.

What Types of Personal Information We Collect:

• Contact Information includes physical address, email, phone numbers (if you apply for an account with us).
• Identification Information includes your full name, copies of identification, date of birth, gender, and marital status (if you apply for an account).
• Technical Information includes data related to your use of our website and services. Specifically, it includes Internet protocol (IP address), browser, browser version and plugins, and system details, cookie ID, and other information related to the devices you use to access our services and settings/technology on those devices.
• Financial Information including net worth, income, banking and payment information, and credit reporting agencies reports.
• Profile Information including user ID and login information, trading experience, occupation and product interests.
• Usage Information including information related to how you use our websites, products and services. This can include information pertaining to your use of demo trading accounts, educational videos and learning resources.
• Aggregated Data includes statistical and demographic data that may be derived from your personal information, but aggregated data is not personal data because it does not reveal or disclose your identity in any way.

How We Collect Your Personal Data

Your personal information may be collected in a variety of ways.

• Direct Interaction - In this case you voluntarily provide us your personal information by completing account application forms, via phone calls, or by sending us documents both electronic means including via email or regular post. This is generally information you provide when subscribing for or purchasing products, create an account, respond to queries, or request material or information from us.
• Automated Collection - As you use our website or trading platforms and through our use of cookies, we may automatically collect data about you, including the Technical Information described above as well as web browsing statistics and patterns.
• Third parties and public information - We may receive information about you from third parties such as credit reporting agencies, background check providers, payment agents, and Introducing brokers. Technical data analysis firms like Google may also provide us with personal data regarding you.

How We Use Your Personal Data

We will only use your data as allowed by law. We may, where permitted by law, use your personal information without your knowledge or consent if in compliance with the laws. In compliance with anti-money laundering laws and for the purpose of enforcing regulatory required identity theft policies, sanctions screening, and regulatory requests, as well as “know your customer” regulatory requirements, we must confirm your name, address and other information before opening an account for you. As a highly regulated financial institution, we do not rely solely on your consent to collect and use your person information. Under the GDPR, the legal basis for all our collection and use of personal data are as follows, (in some instances more than one legal basis may apply):

• Performance of a contract with you.
• Necessary to comply with a legal obligation.
• Necessary for our legitimate interests (to keep records updated, prevent fraud, for provision of administration of services, network security, to run and develop our business services, for marketing development).

We also use your personal information to submit trade reporting to exchanges and regulators where required exchange rules and regulatory authorities.

As a potential client or client of ours we may use your personal information to contact you regarding your account status or responding to your questions or for marketing purposes.

If you are a client, we may use personal information to process your orders, facilitate payments to and from your account, manage your fees, collect debts, perform risk assessments, investigate complaints and disclose material we are required to report.

Marketing

Marketing is a legitimate business purpose one type of usage that we would like to provide details about. NinjaTrader will not sell your personal information for any reason. This includes trading you information for anything of value not just receiving money payment. We may however use your personal information (contact information, usage data, and technical information gathered) to determine what we think may be of interest or helpful to you. This is a way we assess which service, products or offers may be useful to you.

Disclosure and Why

We may share your personal information with the following parties:

• Our auditors and agents for the purpose of completing financial and regulatory audits and reviews, identity verification, credit checks, regulatory compliance reporting as we deem reasonable or necessary.
• The Commodity Futures Trading Commission and National Futures Association in order to comply with laws and regulations of the industry.
• The courts order to comply with legal requirements or enforce agreements with you.
• Exchanges by virtue of your trading on futures exchanges, you have consented to the rules of those exchanges and as such we may be required to disclose your personal data to those exchanges for clearing and reporting.
• **Affiliates ** Each NinjaTrader affiliated company may share your personal information with the others in order to service your account, execute orders, and provide technical and trade support to you.
• Buyer or potential buyer of part or all of our businesses If we were to entertain the sale of all or part of our businesses, we may share your personal information with the buyer and its advisors.
• Third parties that analyze and help improve platform functionality optimize the customer experience, measure the effectiveness of marketing initiatives, and otherwise process data. YOU WILL BE AFFORDED THE OPPORTUNITY TO OPT OUT OF THIS SPECIFIC SHARING -HOWEVER ALL OTHER SHARING MENTIONED IN THIS PRIVACY POLICY IS EITHER REQUIRED BY LAW OR NECESSARY TO PROVIDE THE SERVICES TO YOU AND THEREFORE CAN NOT BE OPTED OUT OF.
• Anyone you authorize us to with proper notice, we may discuss or share your personal information with those parties you ask us to (for example, your attorney, financial advisor etc…).
• We require all third parties

We require all third parties to be respectful and careful with your personal information. We require they comply with data protection and privacy principles. Some third parties may reside outside the UK and EU. If we transfer data to them, we will ensure that only jurisdiction deemed to have sufficient personal data protection laws and regulations will be allowed.

Security

NinjaTrader has security measures in place to help prevent your information from being shared or accessed in an unauthorized manner, lost, or altered. Your personal information is accessible only to authorized employees of NinjaTrader and our authorized agents as disclosed above who have a need to know and use your information. With respect to your personal information, we require our employees and agents be subject to confidentiality requirements. If there is a data breach, we have a written policy governing a proper response, including notification to you and applicable authorities when legally required.

How long do we keep your personal information?

As a financial institution providing products and service to you under somewhat heavy regulation, we are required to keep your personal information, including identity, contact, transaction and financial information for a minimum of 5 years after you stop being a client. Some data maybe be kept longer due to court or regulatory order. We strive to keep your information only as long as necessary to comply with legal and financial reporting and retention requirements. Request to delete your information may be sent to compliance@ninjatrader.com for consideration.

Your rights

Generally, subject to regulation and law, under the data protection laws, you have the following rights:

• To request access to your personal information.
• To request deletion of your personal information (subject to regulatory retention rules).
• To object to or restrict processing of your personal information.
• To request corrections to your personal information (we may need to verify changes).
• To withdraw your consent related to our collection and processing of your personal information. (This will not affect information previously collected and processed and likely could involve our ability to continue servicing your account.)

If you wish to exercise any of these rights, please contact us at compliance@ninjatrader.com

We will strive to accommodate reasonable and legal requests within a reasonable amount of time and generally in less than one month.