2022-03-22 GDD

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Your personal data and privacy New laws protecting the personal privacy of UK citizens came into force in May 2018. These increase the existing duties on businesses and organisations to ensure your personal information is protected and fairly processed. When you first approach us to become a client, we will obtain information about you directly and from other sources. Typically, these sources will include those financial services providers with whom you have existing arrangements, and those services necessary to determine your identity for the purposes of complying with our statutory obligations. The information we collect will include details of your personal circumstances, financial affairs, and your goals and objectives. Where relevant, we may also collect sensitive information such as details of your health, medical history, religious considerations and ethical preferences. We hold your information in both paper and electronic formats. Typically, we will maintain a paper file with your most recent information, which is used for day-today servicing of your affairs. These files are periodically updated and electronically archived to our computer server. Unless we receive your consent, we process your information only in relation to those services we have agreed to provide to you, and which are set out in the Customer Agreement you have signed and agreed to. Where you have given your consent, we will use your contact information to provide you with regular copies of our newsletter, birthday and Christmas cards, or to contact you from time to time on matters we reasonably believe will be of relevance and interest to you. We will not, at any time, release your information to any other source for the purposes of marketing to you. We will only share your information with another party where necessary to fulfil the contractual obligations set out in our Customer Agreement, or where subject to a statutory obligation. Page 16 of 34 General Disclosure Document 23/3/2022
Those sources with whom we will share data will usually be your existing and potential new financial service providers, as well as: https://www.smartsearchuk.com https://www.intelliflo.com/financ ial-adviser-software https://www.xero.com/uk/ Our identity verification service provider Our back office administration and investment valuation provider Our online accounting system provider https://products.office.com/enus/sharepoint/collaboration Our online data sharing platform https://www.financialexpress.net /analytics Our investment data provider. https://www.ev.uk/ Our client risk tolerance profiling system provider https://www.thegooditcompany. co.uk/ Our IT management provider https://asana.com/ Our online project management provider https://doc-safe.co.uk/ Our secure online customer portal provider https://www.thecabinetofficewale s.co.uk/ Our data capture contractor Page 17 of 34 General Disclosure Document 23/3/2022
Page 1 and 2: General Disclosure Document About u
Page 3 and 4: Purpose of this document Financial
Page 5 and 6: Where are we based? Our offices are
Page 7 and 8: To reach us by rail ‣ Arriva Trai
Page 9 and 10: Our approach to advice We believe i
Page 11 and 12: What financial matters do we advise
Page 13 and 14: • The costs and charges you will
Page 15: Where we provide services to you as
Page 19 and 20: How we are paid Before we agree to
Page 21 and 22: Our customer proposition for ‘Inv
Page 23 and 24: Our customer proposition for ‘Sin
Page 25 and 26: Our customer proposition for ‘Pen
Page 27 and 28: Our customer proposition for ‘Pen
Page 29 and 30: As an example - Let us say you have
Page 31 and 32: How much does it cost? Value of est
Page 33 and 34: How much does it cost? Value of est

2022-03-22 GDD

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