EPE Special Opportunities Limited - Privacy Policy

 

1          Introduction

 

This Privacy Notice sets out how personal information is collected, processed and disclosed in connection with EPE Special Opportunities Limited (the “Company”). The Company is an AIM-quoted, private equity investment company.

As a result of a proposed or actual investment in the Company made by you or by a firm or entity with which you have a connection (the “Investor ”), your personal information may be provided to the Company which will act as data controller in respect of its use of that personal information. In this Privacy Notice, "we" or “us” refers to the Company.

Service providers appointed by the Company Company’s (including the Company administrator, R&H Fund Services (Jersey) Limited, the Company’s advisor, EPIC Private Equity LLP and/or the Company’s registrar, Conyers Corporate Services (Bermuda) Limited) may also process your personal information when conducting administrative and other activities relating to the Company. Where they are required to do so in order to comply with their own legal and regulatory obligations, they will do so as data controllers in their own right.

 

2              The personal information we process

 

We may collect various types of personal data, including:

  • Identification information (which may include name, ID card and passport numbers, nationality, place and date of birth, gender, photograph and/or IP address and personal data relating to claims, court cases and convictions, politically exposed person (PEP) status, personal data available in the public domain and such other information as may be necessary for the Company and its service providers to perform their functions and comply with their CDD processes and discharge AML/CFT obligations);
  • Tax statusinformation (which may include tax residency, tax ID and/or tax status);
  • Your contact information (which may include postal address and e-mail address and your home and mobile telephone numbers);
  • Family relationships (which may include marital status, the identity of spouse and the number of children that have);
  • Professional and employment information (which may include level of education and professional qualifications, employment, employer’s name and details of directorships and other offices which you may hold);
  • Financial information, sources of wealth and assets (which may include details of assets, sources of wealth, shareholdings and beneficial interest in assets,  your bank details and your credit history);

We may also collect and process personal data regarding people connected to you, either by way of professional (or other) association or by way of family relationship.

 

3              Where we obtain your personal information:

 

We collect personal information from the following sources:

 

3.1.1 personal information which data subjects provide to us or which is given to us by an Investor, including but not limited to:

(a) such forms and documents as we may request that are completed in relation to the administration/management of any investment in the Company;

(b) information gathered through client due diligence carried out as part of our compliance with regulatory requirements; or

(c) any personal information provided by way of correspondence with us by phone, e-mail or otherwise;

 

3.1.2 personal information we receive from third party sources, such as:

(a) entities in which you or someone connected you to has an interest;

(b) your legal and/or financial advisors;

(c) other financial institutions who hold and process your personal information; and

(d) credit reference agencies and financial crime databases for the purposes of complying with our regulatory requirements; and

 

3.1.3 personal information received in the course of dealing with advisors, regulators, official authorities and service providers by whom you are employed or engaged or for whom you act.

 

4              Why we collect your personal information:

 

Lawful grounds for processing:

4.1 We may hold and process your personal information on the following lawful grounds:

4.1.1 the processing is necessary for our legitimate interests, provided your interests and fundamental rights do not override those interests;

4.1.2 the processing is necessary to comply with our legal and regulatory obligations;

4.1.3 on rare occasions where we have obtained consent to processing personal information for a specific purpose; and

4.1.4 on rare occasions, where it is needed in the public interest.

 

Purposes of processing

4.2 Pursuant to paragraph 4.1 above, personal information may be processed for the purposes set out below (“Purposes”). The Purposes based on our legitimate interests are set out in paragraphs 4.2.1 to 4.2.4 inclusive):

4.2.1 facilitating the administration of the Company and its service providers;

4.2.2 communicating with data subjects as necessary in connection with the Investor’s investment in the Company;

4.2.3 monitoring and recording telephone and electronic communications and transactions:

(a) for quality, business analysis, training and related purposes in order to improve service delivery; and

(b) for investigation and fraud prevention purposes, for crime detection, prevention, investigation and prosecution of any unlawful act (or omission to act);

4.2.4 to carry out statistical analysis or market research;

4.2.5 to comply with the listing, legal, regulatory, reporting and/or financial obligations of the Company or any legal or regulatory obligations of any service provider or functionary (or his/her employer) of the Company;

4.2.6 to enforce or defend the rights of the Company, or those of third parties to whom we may delegate such responsibilities;

4.2.7 to comply with a legal or regulatory obligations imposed on the Company;

4.2.8 collecting, processing, transferring and storing customer due diligence, source of funds information and verification data under applicable anti-money laundering and terrorist financing laws and regulations; and

4.2.9 liaising with or reporting to any regulatory authority (including tax authorities) with whom we are either required to cooperate or report to, or with whom we decide or deem it is appropriate to cooperate in relation to an investment, and which has jurisdiction over the Company or its investments.

 

5              Sharing personal information

 

5.1 We may share your personal information with our group companies and third parties, including banks, financial institutions or other third party lenders, IT service providers, auditors and legal professionals) to facilitate the running of the Company.  

 

5.2 Where we share your information with a third party, we require the recipients of that personal information to put in place adequate measures to protect it.

 

5.3 Where we transfer your personal information outside the European Economic Area, we will ensure that it is protected and transferred in a manner consistent with legal requirements applicable to the information. This can be done in a number of different ways, for instance:

5.3.1 the country to which we send the personal information may be approved by the European Commission as providing adequate protection for personal data;

5.3.2 by utilizing a contract based on “model contractual clauses” approved by the European Commission; or

5.3.3 where the recipient is located in the US, it may belong to the EU-US Privacy Shield scheme.

 

5.4 In other circumstances, the law may permit us to otherwise transfer your personal information outside the EEA.

 

5.5 If you would like further information about the safeguards we have in place to protect personal information, please contact the Company’s administrator, R&H Fund Services (Jersey) Limited.

 

6              Retention of personal information

 

Your personal information will be retained for as long as required:

6.1.1      for the Purposes for which the personal information was collected;

6.1.2      in order to establish or defend legal rights or obligations or to satisfy any reporting or accounting obligations; and/or

6.1.3      as required by data protection laws and any other applicable laws or regulatory requirements.

 

7              Access to and control of personal information

 

7.1 You have the following rights in respect of the personal information about you that we process:

7.1.1 the right to access and port personal information;

7.1.2 the right to rectify personal information;

7.1.3 the right to restrict the use of personal information;

7.1.4 the right to request that personal information is erased; and

7.1.5 the right to object to processing of personal information.

 

7.2 You also have the right to lodge a complaint about the processing of your personal information either with us, with the Office of the Data Protection Commissioner in Jersey (www.oicjersey.org) or the data protection authority in the EU member state of your usual residence or place of work.

 

7.3 Where we have relied on consent to process your personal information, you have the right to withdraw consent at any time.

 

7.4 If you wish to exercise any of the rights set out in this paragraph 7, please contact the Company’s administrator, R&H Fund Services (Jersey) Limited.

 

8              Inaccurate or amended information

 

Please let us know as soon as possible if any of your personal information changes (including your correspondence details). Failure to provide accurate information or to update information when it changes may have a detrimental impact upon the Investor's investment in the Company, including the processing of any subscription or redemption instructions or the suspension of the Applicant’s account. Failure to provide information where it is required for anti-money laundering or other legal requirements means that we may not be able to accept the Applicant as an investor in the Company and/or to make subsequent distributions from it.

 

9              Questions

 

If you have any questions about this Privacy Statement or how we handle your personal information (e.g. our retention procedures or the security measures we have in place), or if you would like to make a complaint, please contact the Company’s administrator, R&H Fund Services (Jersey) Limited.

This Privacy Statement is up-to-date as of 14 June 2019. If it is updated, we will publish an updated version on our website at 14 January 2019.