1. Who We Are

1.1 Montreux Capital Management (UK) Ltd. (‘we’ or ‘us’ or ‘our’) gather and process your personal information in accordance with this privacy notice and in compliance with the relevant data protection Regulation and laws. This notice provides you with the necessary information regarding your rights and our obligations, and explains how, why and when we process your personal data.

1.2 Montreux Capital Management (UK) Ltd. registered office is at Thameside House, Hurst Road, Hampton Court, Surrey, KT8 9AY. We are a company registered in England and Wales. We are registered on the Information Commissioner’s Office Register; registration number 09467365.

2. Information That We Collect

2.1 Montreux Capital Management (UK) Ltd. processes your personal information to meet our legal, statutory and contractual obligations and to provide you with our products and services. We will never collect any unnecessary personal data from you and do not process your information in any way, other than as specified in this notice.

2.2 The personal data that we collect from is: –

• personal details (e.g. name, previous names, gender, date and place of birth, occupation and/or source of wealth);
• identification materials we may need for our compliance obligations (e.g. a copy of your passport or national identity card, national insurance number, utility bills, financial details etc.);
• contact details (e.g. address, email address, position in company, landline and mobile numbers);
• other information about you which you may have provided us with during the course of our relationship with you (e.g. by filling out forms or during face-to-face contact, telephone, email and the like);
• financial information and information about your relationship with us, including your ways of interacting with us, your investments and interactions with the Fund, sort code and account numbers of relevant accounts or payments made by us into your account;
• information about you which is a matter of public record or readily obtainable and which we deem relevant in relation to your dealings with the Fund (media, court judgments, credit checks etc.);
• records of correspondence and other communications between you and your representatives and the Fund, including email, phone calls, letters etc;
• information that we need to support our regulatory obligations (e.g. information about transaction details, detection of any suspicious and unusual activity and information about parties connected to you or these activities);
• information from third party providers who assist us to combat fraud, money laundering and other crimes; and
• information you asked and authorised us to collect for or about you, such as information about your accounts from your bankers.

2.3 We may also collect certain types of sensitive or special category data about you, such as information relating to criminal sanctions (including offences and alleged offences and any caution, court sentence or criminal conviction). The use of information about criminal sanctions is in the substantial public interest and is necessary for us to comply with screening obligations for anti-money laundering purposes.

3. How We Use Your Personal Data (Legal Basis for Processing)

3.1 Montreux Capital Management (UK) Ltd. takes your privacy very seriously and will never disclose, share or sell your data without your consent; unless required to do so by law. We only retain your data for as long as is necessary and for the purpose(s) specified in this notice. Where you have consented to us providing you with promotional offers and marketing, you are free to withdraw this consent at any time. The purposes and reasons for processing your personal data are detailed below: –

• We collect and store your personal data as part of our legal obligation for business accounting and tax purposes
• We have a regulatory obligation to share your personal data with World Check who are an anti-money laundering (AML) checking agency who provide us with background checks prior to your subscription into the Fund
• We will occasionally send you marketing information where we have assessed that it is beneficial to you as an existing or prospective investor and in our interests. Such information will be non-intrusive and is processed on the grounds of legitimate interests
• it is necessary to comply with our contractual obligations or with your instructions;
• we are obligated to in connection with regulatory reporting, litigation or asserting or defending legal rights and interests;
• we have asked you if we can share it, and you gave consent.

3.2 We do not share or disclose any of your personal information without your consent, other than for the purposes specified in this notice or where there is a legal requirement. Montreux Capital Management (UK) Ltd. uses third-parties to provide services and business functions; however, all processors acting on our behalf only process your data in accordance with instructions from us and comply fully with this privacy notice, the data protection laws and any other appropriate confidentiality and security measures.

3.3 Parties we might share your personal information with can include (without limitation):

• banks you instruct us to make payments to and receive payments from;
• other financial institutions, lenders and holders of security over any property or assets, tax authorities, stock market authorities, trade associations, credit reference agencies, payment service providers and debt recovery agents;
• any people or companies where required in connection with potential or actual corporate restructuring, merger, acquisition or takeover, including any transfer or potential transfer of any of our rights or duties under our agreement with you;
• law enforcement, government, courts, dispute resolution bodies, our regulators, auditors and any party appointed or requested by our regulators to carry out investigations or audits of our activities;
• fraud prevention agencies who’ll also use personal data to detect and prevent fraud and other financial crime and to verify your identity;
• anyone who provides instructions to us on your behalf (e.g. under a power of attorney, solicitors, intermediaries, investment managers etc.); and
• anybody else that you instructed us to share your information with by you.

4. Your Rights

4.1 You have the right to access any personal information that Montreux Capital Management (UK) Ltd. processes about you and to request information about: –

• What personal data we hold about you
• The purposes of the processing
• The categories of personal data concerned
• The recipients to whom the personal data has/will be disclosed
• How long we intend to store your personal data for
• If we did not collect the data directly from you, information about the source

4.2 If you believe that we hold any incomplete or inaccurate data about you, you have the right to ask us to correct and/or complete the information and we will strive to do so as quickly as possible; unless there is a valid reason for not doing so, at which point you will be notified.

4.3 You also have the right to request erasure of your personal data or to restrict processing (where applicable) in accordance with the data protection laws; as well as to object to any direct marketing from us. Where applicable, you have the right to data portability of your information and the right to be informed about any automated decision-making we may use.

4.4 If we receive a request from you to exercise any of the above rights, we may ask you to verify your identity before acting on the request; this is to ensure that your data is protected and kept secure.

5. Safeguarding Measures

5.1 Montreux Capital Management (UK) Ltd. takes your privacy seriously and takes every reasonable measure and precaution to protect and secure your personal data. We work hard to protect you and your information from unauthorised access, alteration, disclosure or destruction and have several layers of security measures in place.

6. Transfers Outside the EU

6.1 Personal data in the European Union is protected by the General Data Protection Regulation (GDPR) but some other countries may not necessarily have the same high standard of protection for your personal data.

6.2 Should we have to transfer personal data outside of the UK or the European Economic Area (EEA), we will ensure that the transfer is lawful and that the data is appropriately secure and protected. Where necessary, we will ensure that separate and appropriate legal agreements are put in place, such as the European Union Model Clauses or equivalent agreements.

7. Consequences of Not Providing Your Data

7.1 You are not obligated to provide your personal information to Montreux Capital Management (UK) Ltd., however, as this information is required for us to provide you with our services/deliver your products/legitimate interests, we will not be able to offer some/all our services without it.

8. Legitimate Interests

8.1 As noted in the ‘How We Use Your Personal Data’ section of this notice, we occasionally process your personal information under the legitimate interests’ legal basis. Where this is the case, we have carried out a thorough Legitimate Interests’ Assessment (LIA) to ensure that we have weighed your interests and any risk posed to you against our own interests; ensuring that they are proportionate and appropriate.

9. How Long We Keep Your Data

9.1 Montreux Capital Management (UK) Ltd. only ever retains personal information for as long as is necessary and we have strict review and retention policies in place to meet these obligations. We are required under UK tax law to keep your basic personal data (name, address, contact details) for a minimum of 6 years after which time it will be destroyed.

Where you have consented to us using your details for direct marketing, we will keep such data until you notify us otherwise and/or withdraw your consent.

10. Miscellaneous

10.1 We reserve the right to make changes to this Privacy Policy, for example, as the result of government regulation, new technologies, or other developments in data protection law or privacy generally.

11. Lodging A Complaint

11.1 Montreux Capital Management (UK) Ltd. only processes your personal information in compliance with this privacy notice and in accordance with the relevant data protection laws. If, however you wish to raise a complaint regarding the processing of your personal data or are unsatisfied with how we have handled your information, you have the right to lodge a complaint with the supervisory authority.

12. Contact Us

12.1 For any further questions or queries in relation to this Privacy Notice you can contact us via post at: Thameside House, Hurst Road, Hampton Court, Surrey, KT8 9AY or via telephone on: 01932 860140 or via email on: info@montreuxcm.com.