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CCPA Privacy Notice

Important Information for California Residents

Updated April 2024

This document is provided by AlphaSimplex Group, LLC (“AlphaSimplex”) for use by California residents to submit requests under the California Consumer Privacy Act of 2018 (“CCPA”). If you are not a California resident, or if you are a California resident but also our client, please contact us with any questions or concerns about your personal financial information at 866-287-6084. Any terms defined in the CCPA have the same meaning when used in this notice.

California law grants California residents certain rights, including the right to opt out of our sale of their personal information.  We do not sell personal information about consumers. To exercise your opt-out rights, please click on this link.

Categories of Personal Information that We Collect

We collect personal information in connection with our services for various purposes. For example, we use personal information to:

We obtain personal information from the following sources:

Please read below to learn about the categories of personal information we collect about you and the purposes for which we use that personal information.

Categories of personal information

Do we collect?

Have we disclosed for business purpose in the last 12 months?

Have we shared or sold in the last 12 months?

Identifiers such as a real name, alias, postal address, unique personal identifier, online identifier, Internet Protocol address, email address, account name, social security number, driver’s license number, passport number, or other similar identifiers.




Signature, physical characteristics or description, telephone number, education, employment, financial information, medical information, or health insurance information.




Professional or employment-related information.




Disclosure of Personal Information

We may disclose your personal information to the following categories of third parties:

Service Providers. We may share your personal information with Service Providers that perform services for us, such as a broker, but only for the purpose of and to the extent necessary to perform those services.

Affiliates. We may share your personal information with our parent, subsidiaries, affiliates and other related entities, and our advisors, including lawyers, consultants, accountants, auditors, and others.

Marketing Communications. We may use your personal information to communicate with you about services offered by us.

Health, Safety, and Legal Requests. We may share your personal information for purposes of health, safety, and other matters in the public interest. We may also share your personal information to cooperate with official investigations or legal proceedings brought by or otherwise involving governmental and/or law enforcement officials, as well as private parties, including, for example, in response to subpoenas, search warrants, court orders, or other legal process. We may also use personal information to protect our rights and property and those of our agents, clients, and others including to enforce our agreements, policies, and terms of use.

Transfer or Sale of Our Business. If we, or our parent, subsidiaries, affiliates or other related entities, are involved in a business transaction, including the purchase, sale, lease, merger, amalgamation or any other type of acquisition, disposal, securitization or financing involving us or our parent, subsidiaries, affiliates or other related entities, we may share your personal information in connection with such transaction. We may also share your personal information to legal, financial, insurance, or other advisors in connection with such business transaction or management of all or part of our business or operations.

California Residents’ Rights

California law grants California residents certain rights and imposes restrictions on particular business practices as set forth below.

Do-Not-Sell: California residents have the right to opt-out of our sale of their personal information at any time.  We do not sell personal information about residents. Opt-out rights can be exercised here or calling at 866-287-6084. If you opt out of the sale of your Personal Information, we may still share your Personal Information with third parties if those transfers are not sales, such as with our Affiliates or our Service Providers.

Requests for Copy, Deletion and Right to Know

Subject to certain exceptions, California residents have the right to make the following requests, at no charge, up to twice every 12 months:

Deletion: the right to request deletion of their personal information that we have collected about them, subject to certain exemptions (for example, where the information is used by us to detect security incidents, for debugging, or to comply with a legal obligation).

Copy: the right to request a copy of the specific pieces of personal information that we have collected about them in the prior 12 months. 

Right to know: the right to request that we provide them certain information about how we have handled their personal information in the prior 12 months, including:

Request: the right to request specific pieces of personal information that we hold.

Correct: the right to request that we correct inaccurate personal information that we have about you.

Limit: the right to request that we limit the use and disclosure of sensitive Personal Information collected about you.

Incentives and Discrimination

The CCPA prohibits discrimination against California residents for exercising their rights under the CCPA and imposes requirements on any financial incentives offered to California residents related to their personal information.

Discrimination: businesses may not discriminate against residents who exercise their rights under CCPA. Discrimination may exist where a business denies or provides a different level or quality of goods or services, or charges (or suggests that it will charge) different prices or rates or impose penalties on residents who exercise their CCPA rights, unless doing so is reasonably related to the value provided to the residents by the residents’ data.

Disclosure of Incentives: if businesses offer any financial incentives for the collection, sale or deletion of their personal information, residents have the right to be notified of any financial incentives offers and their material terms, the right not be included in such offers without prior informed opt-in consent, and the right to be able to opt-out of such offers at any time. Businesses may not offer unjust, unreasonable, coercive or usurious financial incentives.  We do not offer incentives to California residents.

Submitting Requests

Requests to exercise the right to a copy, the right to deletion and / or the right-to-know may be exercised here or by calling 866-287-6084. We will need to verify your identity before processing your request, which may require us to request additional personal information from you. We will only use personal information provided in connection with a California Privacy Rights request to review and comply with your request. You may also designate an authorized agent to make requests on your behalf. In order to be able to act, authorized agents must provide sufficient evidence to demonstrate that the requestor is an authorized agent with written permission to act on your behalf.

In certain circumstances, we may decline a request to exercise the Right to Know or Right to Delete described above, particularly where we are unable to verify your identity. We may also ask for supplemental information as needed to establish your identity. If we are unable to comply with all or a portion of your request, we will explain the reasons for declining to comply with the request.

Response Timing and Procedures

We endeavor to respond to a verifiable consumer request within forty-five (45) days of its receipt. If we require more time (up to 90 days), we will inform you of the reason and extension period in writing. We will deliver our written response by mail or electronically, at your option.

Any disclosures we provide will only cover the 12-month period preceding the verifiable consumer request's receipt. The response we provide will also explain the reasons we cannot comply with a request, if applicable. For data portability requests, we will select a format to provide your Personal Information that is readily useable and should allow you to transmit the information from one entity to another entity without hindrance.

We do not charge a fee to process or respond to your verifiable consumer request unless it is excessive, repetitive, or manifestly unfounded. If we determine that the request warrants a fee, we will tell you why we made that decision and provide you with a cost estimate before completing your request.

Protection of Your Personal Information

Security Measures: We take reasonable security measures to protect against unauthorized access to, or unauthorized alteration, disclosure or destruction of, Personal Information.

No Liability for Breach: Because no security system is impenetrable, we cannot guarantee the security of your Personal Information. By using our services, you agree to assume all risk in connection with your Personal Information. We are not responsible for any loss of such Personal Information or the consequences thereof.

Breach Notification: If we believe the security of your Personal Information in our possession or control may have been compromised, we may seek to notify you subject to applicable laws and regulations governing such notifications.

Retention: We will retain your Personal Information for as long as it is reasonably useful for commercial purposes. We will retain and use your Personal Information as necessary to comply with our legal obligations or data retention policies, resolve disputes and enforce our agreements.

We don’t sell your data

We do not sell or pass on your personal information to third parties for their own marketing purposes.  

Important Information for AlphaSimplex Clients

If you are a client of AlphaSimplex who obtains financial products or services which are to be used primarily for your personal, family, or household purposes, or if you are the legal representative of such a client, federal law grants certain specific protections to your personal financial information, and the collection, disclosure or sale of your personal financial information may not be subject to California privacy laws. Any question, concern or request about your personal financial information should be sent to [email protected].

Contact Us

If you have any concerns or complaints as to how we have handled your personal information, or if you have any questions about this privacy policy, please don’t hesitate to get in touch at [email protected] or calling at 866-287-6084.