Legal

Privacy Policy

Effective date: July 1, 2026

1. Introduction

Catena Clearing, Inc. ("the Company," "we," "us," or "our") operates the website getcatenaclearing.com and the Catena post-trade clearing and reconciliation platform (together, the "Service"). This Privacy Policy explains what information the Company collects from visitors and prospective clients, how it is used, and the rights available to you.

Catena's core service processes trade confirmation data submitted by operations desk personnel at buy-side and sell-side firms. That data is processed to generate reconciled records, break alerts, and settlement status reports. This policy governs how the Company handles personal information on the marketing site and through the demo-request and account workflows. Information processed on behalf of client firms as a data processor is governed by the data processing agreement between Catena and that client, not by this policy.

The Company is based at 40 Wall Street, Floor 28, New York, NY 10005. You can reach us at [email protected].

2. Information We Collect

2.1 Information You Provide

We collect information you submit directly, including:

  • Contact details (name, work email address, phone number) when you fill out a demo-request form, send a direct inquiry, or subscribe to updates;
  • Firm information you choose to share (employer name, role or title, approximate trading volume, instrument categories your desk handles);
  • The content of messages you send us through forms or email.

When you create an account on the Catena platform, we also collect login credentials (email address and a hashed password) and profile information you choose to add. Account data is subject to the data processing agreement with the subscribing firm.

2.2 Information Collected Automatically

When you visit getcatenaclearing.com, we automatically collect limited technical information:

  • IP address and approximate location (city or region level);
  • Browser type, operating system, and device class;
  • Pages visited, referring URLs, and time on page;
  • Cookie and similar identifiers (see Section 5 and our Cookie Notice).

This information is used for site operations and aggregate analytics. We do not profile individual visitors for advertising.

2.3 Trade Confirmation and Client Data (Processor Role)

When an ops desk uses the Catena platform, it submits trade confirmation data -- including instrument identifiers (ISIN, CUSIP, SEDOL), quantity, price, settlement date, and counterparty identifiers -- for matching and reconciliation. This data belongs to the client firm. Catena processes it solely to provide the reconciliation service and does not use trade content to train models or for any purpose outside the contracted service. Data processing under the platform subscription is governed by the applicable data processing agreement.

2.4 We Do Not Knowingly Collect Children's Data

getcatenaclearing.com is a business-to-business platform directed at financial services professionals. We do not knowingly collect personal information from individuals under 13. If you believe a child has provided us information, contact [email protected] and we will delete it promptly.

3. How We Use Information

We use the information we collect to:

  • Respond to demo requests and provide requested information about the Catena platform;
  • Operate, maintain, and improve the Service, including matching accuracy and parsing coverage;
  • Send service updates and, where required, obtain consent before sending marketing communications;
  • Detect, investigate, and prevent fraudulent activity or misuse of the Service;
  • Comply with legal obligations applicable to us as a financial technology service provider in New York.

We do not sell personal information for monetary value. We do not use personal information collected through this site to train machine-learning models. Where applicable state law treats certain advertising arrangements as a "sale" or "share," see the state residents section below.

4. Sharing of Information

We share personal information only with:

  • Service providers acting on our behalf (for example, cloud hosting, transactional email delivery, and self-hosted analytics) under written confidentiality obligations that restrict further use;
  • Regulatory authorities or law enforcement when required by applicable law or to protect our rights, the safety of individuals, or the integrity of our systems;
  • A successor entity in the event of a merger, acquisition, or asset sale, subject to this Policy.

We do not sell personal information to third parties. We do not share personal information for cross-context behavioral advertising.

5. Cookies and Tracking

We use cookies and similar technologies to operate the site, remember preferences, and measure aggregate usage. We do not use third-party advertising trackers. For details and choices, see our Cookie Notice.

6. Data Retention

Demo-request and contact-form submissions are retained for 24 months following last contact, then deleted. Marketing-list records for individuals who have not engaged are purged after 24 months. Server access logs are retained 90 days, then aggregated without individual identifiers. Platform account data retention is governed by the applicable data processing agreement with the subscribing firm.

7. Security

The Company applies administrative, technical, and physical safeguards to protect personal information, including TLS encryption in transit, restricted-access databases with least-privilege access controls, and audit logging for platform data access. No system is perfectly secure; we cannot guarantee absolute security. If you believe you have discovered a security concern, contact us at [email protected].

8. Your General Rights

Depending on your jurisdiction, you may have rights including access, correction, deletion, and the ability to limit certain processing. To make a request, email [email protected] with a description of your request and sufficient detail for us to verify your identity. We will respond within the timeframe required by applicable law.

9. New York Residents

New York does not currently have a comprehensive consumer privacy statute. As a matter of policy, the Company extends the following baseline rights to all U.S. residents regardless of state of residence. New York financial services regulations (including requirements administered by the New York Department of Financial Services) apply to regulated entities; Catena is a software service provider and is not itself a regulated financial institution.

9.1 Baseline Rights

  • Right to Know: request the categories of personal information we have collected about you.
  • Right to Delete: request deletion of personal information you have provided.
  • Right to Correct: request correction of inaccurate personal information.
  • Right to Opt Out of Marketing: unsubscribe from marketing emails or opt out via the link in each marketing message.

9.2 How to Exercise

Email [email protected] with a description of your request and enough detail for us to verify your identity. We respond within 45 days.

9.3 Sector-Specific Rights

If you are protected by federal sector laws (for example, the Gramm-Leach-Bliley Act applicable to certain financial institutions), those laws may give you additional rights with respect to data covered by them. Catena's subscribing clients that are regulated financial institutions remain responsible for their own obligations under applicable sector rules.

9.4 California Visitors

If you are a California resident, you may also exercise the rights granted under the California Consumer Privacy Act and the California Privacy Rights Act, including the right to know, the right to delete, the right to correct, and the right to opt out of sale or sharing. We do not sell personal information and do not share personal information for cross-context behavioral advertising.

To submit a request, email [email protected] with the subject line "California Privacy Request."

10. Changes to This Policy

We may update this Policy from time to time. Material changes will be reflected by a new effective date and, where appropriate, a notice on the Service.

11. Contact

Questions, requests, or complaints can be sent to:

Catena Clearing, Inc.
40 Wall Street, Floor 28, New York, NY 10005
Email: [email protected]
Phone: +1 (646) 552-0137