Organization Information:

Duff & Phelps
55 East 52nd Street, 31st floor
New York, New York - NY 1055
Phone: 212-450-2810
Fax: 212-450-2801
Contact Information:

Contact Office: Duff & Phelps
Contact Name: Catherine Makstenieks, Chief Compliance Officer
Phone: 312-697-4523 Fax: 312-361-0701 Email: catherine.makstenieks@duffandphelps.com

Corporate Officer Information:

Corporate Officer: Edward Forman, Executive Vice President
Phone: 212-250-2810 Fax: 212-450-2801 Email: edward.forman@duffandphelps.com

Safe Harbor Information:

Signed up to safe harbor 07/28/2009 02:12:46 PM
Next certification 07/28/2010
EU/EEA Countries From Which Personal Information Is Received: France, Netherlands, Germany, United Kingdom
Industry Sector: Financial Services - (FNS)
Personal Information Received From the EU: D&P uses personal infomration regarding:

1. Current, former, and prospective employees (“personnel”) in order to provide services and benefits to personnel and the promotion and delivery of services to clients and prospective clients;
2. Third parties (such as service providers and contractors) and their personnel in connection with the management and administration of the business relationships with such third parties or in connection with the promotion and delivery of services to clients and prospective clients;
3. Compliance with or response to governmental, professional and legal obligations or inquiries in the jurisdictions in which we operate, including investigation, preparation and defense of legal claims of or against D&P.
4. Additionally, D&P may from time to time, collect personal information from the general public in order to answer inquiries or provide information as outlined in the Privacy Statement.
Privacy Policy Effective: May 19, 2009
Location: http://www.duffandphelps.com/Pages/LegalNoticesandPrivacyPolicies.aspx
Regulated by: Federal Trade Commission
Privacy Programs: None
Verification: In-house self assessment
Dispute Resolution: EU Data Protection Authorities
Personal Data Covered: Human resources, off- and on-line data
Human Resource Data Covered: Yes

Do you agree to cooperate and comply with the European Data Protection Authorities? Yes

Certification Status: Current
Compliance Status:

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