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Advisor

If you are an advisor, wealth manager, an employee of an existing or potential institutional client, or are exercising investment control for an institutional client:

  • Personal information about you, e.g. name, age, gender, title, date of birth
  • Contact information, e.g. email, phone number, address, postcode
  • Company information, e.g. employer company name, company registration number, company address, job title at company
  • Event attendance information (where applicable), e.g. attendance at events, special dietary requirements
  • Online technical information automatically captured when you visit the Website, e.g. IP address, traffic data, location data, weblogs and other communication data. We will not store or use this information except as required for system administration of our web server. See the section “Cookies and other technical information” in our Privacy Policy for further details
  • Verification/identification information e.g. passport/driving licence numbers, tax certificate records and any other personal information contained within these documents (e.g. photos, gender, age, nationality, date of birth). This includes copies of any electronic checks we have, with your consent, completed or that have been completed by third parties on our behalf, for example by a Custodian
  • Contractual information, e.g. details about your client’s products and benefits, such as your investment requests, investment allocation data, amount invested

Purpose for processing

Legal basis

Processing your investment application

Performance of a contract

Verifying your identity and preventing fraud (e.g. KYC and AML checks)

Compliance with our legal obligations

Fulfilling any legal or regulatory obligations (e.g. producing HMRC or international tax reports, performing suspicious transactions checks, and providing bi-annual investment reports to the FCA)

Compliance with our legal obligations

Completing any requests you make

Performance of a contract

Keeping you updated about your investment with regular reports

Performance of a contract

Maintaining a backup of the investment register for business continuity purposes

Our legitimate interests (business continuity)

Managing our relationship with our institutional clients

Performance of a contract

Assessing and developing our products, systems, prices and brand, including by researching our customers’ opinions and exploring new ways to meet their needs

Our legitimate interests (market research and improving our business offering)

Sending you marketing emails and contacting you about our products and services

Our legitimate interests (direct marketing to corporate recipients)

Your consent (if the institutional client is a sole trader or partnership)

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