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European Union Privacy Policy

Connor, Clark & Lunn Financial Group Ltd. (the "Company")

The Company is committed to protecting your privacy and maintaining the confidentiality and security of your personal information. Any personal information processed by the Company is controlled by the Company and the Company is the data controller of your personal information. Where your details are provided to the Company as a consequence of becoming a client of the Company or your investment (or potential investment), then the Company, acting as a data controller, may itself (or through a third party) process your personal information or, if you are an entity, that of your (i) beneficial owner(s), (ii) employees, and (iii) directors, officers, trustees, general partners, managers, or other persons serving in a similar capacity (the foregoing collectively, “Your Personal Information”). When processing Your Personal Information, there may also be times when an administrator will act as a data controller.

This policy (the “EU Privacy Policy”) explains the manner in which the Company collects, utilizes and maintains nonpublic personal information about investors and potential investors (“Investors”) based in the European Union (“EU”) or the European Economic Area (“EEA”), as required under the General Data Protection Regulation (EU) 2016/679 (“GDPR”). This EU Privacy Policy applies to your investment or potential investment in the Fund.

Collection of Your Personal Information

The Company collects Your Personal Information from the following sources, as applicable:

  1. Subscription documents and other information provided by the Investor in writing, in person, by telephone, electronically or by any other means (this information includes (i) name, address, income, financial and investment qualifications, and tax-related information and (ii) in the case of individuals, birth date, nationality, passport or other identification number, and employment information, or in the case of entities, date and jurisdiction of formation, entity type, tax identification number, and business information);
  2. Transactions within a private investment fund (each a “Fund”), including account balances, investments, redemptions and management fees and performance allocations; and
  3. Other interactions with the Company (for example, discussions with our staff).

Why We Use Your Personal Information

Your Personal Information may be processed by the Company and/or the Administrator (or any of their affiliates, agents, employees, delegates or sub-contractors) for the following purposes, as applicable:

  1. to facilitate your investment in a Fund and the management and administration of your investment in the Fund on an ongoing basis (the “Services”) which are necessary to fulfill all contractual and regulatory obligations related to your investment in the Fund, including without limitation the acceptance and processing of subscription documents and redemption and transfer requests;
  2. in order to carry out anti-money laundering checks and related actions which the Company and/or Administrator considers appropriate or necessary to fulfill any of their legal obligations on an ongoing basis (i) with respect to the prevention and/or detection of fraud, money laundering, terrorist financing, bribery, corruption, and/or tax evasion and (ii) to prevent the provision of financial and other services to persons who may be subject to economic or trade sanctions, all of the foregoing in accordance with the Company’s and the Administrator’s anti-money laundering policies and procedures;
  3. to comply with their legal obligations and, in particular, to report tax-related information to tax authorities;
  4. to disclose information to other third parties such as service providers of the Company and/or Administrator (including, for example, attorneys, accountants, auditors, or other professionals), regulatory authorities and technology providers in order to comply with any legal obligation imposed on the Company and/or Administrator or in order to pursue the legitimate interests of the Company and/or Administrator;
  5. to monitor and record electronic communications and if applicable, calls, for any of the purposes specified herein; and/or
  6. to otherwise pursue the legitimate interests of the Company and/or Administrator relating to your investment or your potential investment in the Fund, and/or where the processing of Your Personal Information would be in the public interest.

Countries Having Access to Your Personal Information

The Company’s servers, which store and keep Your Personal Information, are located in Canada and England.

The Company also has service providers whose personnel will have access to Your Personal Information and that are located in other jurisdictions. Transfers to these service providers are necessary for the performance of the contract between the Company and the Investor. These jurisdictions either (i) afford an adequate level of protection for Your Personal Information (as declared by the European Commission) or, (ii) if they do not, then the Company has entered into an agreement with these service providers incorporating clauses the same or substantially similar to the standard contractual clauses, as well as other relevant provisions contained in the GDPR, and obligations no less onerous than those contained in this EU Privacy Policy.

Collecting Investor Information Legally

The Company and the Administrator are able to legally collect and use Your Personal Information either because:

  1. you have consented to their doing so;
  2. collecting and using Your Personal Information is necessary for the Company and/or the Administrator to fulfill their legitimate business interests, which may include (i) to fulfill contractual obligations to Fund Investors or otherwise perform the Services; or (ii) to investigate, defend against, or prosecute any actual, threatened, or potential claim in a court of law or other judicial or regulatory forum, or otherwise protect their legal rights; and/or
  3. it is necessary to comply with any applicable regulatory, judicial or other legal obligation.

Retention of Investor Information

The Company and the Administrator will retain Your Personal Information for as long as required for the purposes described above.

Your Rights

You have the right to:

  1. be informed about Your Personal Information that the Company and/or the Administrator collects from you, uses, and retains, which this EU Privacy Policy seeks to do;
  2. obtain confirmation from the Company that Your Personal Information is being collected, used, and retained as described above and to access Your Personal Information held by the Company;
  3. have Your Personal Information corrected if it is inaccurate or incomplete at any time;
  4. erasure, or the right to be forgotten, which means you can request deletion or removal of any of Your Personal Information the Company holds about you at any time, subject to the Company’s or the Administrator’s rights to retain Your Personal Information for legitimate business purposes;
  5. block or suppress the Company collecting and using Your Personal Information, which means the Company can continue to store Your Personal Information but cannot further collect or use it in any way;
  6. obtain and reuse any of Your Personal Information that the Company holds about you for your own purposes across different services, which allows you to move, copy or transfer Your Personal Information easily from the Company to another place identified by you to the Company in a safe and secure way without hindrance to the usability of Your Personal Information;
  7. object to the Company collecting, using or retaining Your Personal Information where this is based on:
    1. your legitimate interest or the performance of a task in the public interest; or
    2. direct marketing even if otherwise legally permitted; and
  8. withdraw your consent to the use of Your Personal Information at any time, as described below.

To make any requests as listed above, please contact the Company at the address set out under Contact Details below.

The Company will confirm any requests relating to your rights above within one month of receipt of your request, or within two months of receipt of your request where this request is more complex.

Withdrawal of Your Consent

You can tell the Company to stop collecting, using and retaining Your Personal Information at any time by emailing the Company at the email address set out under Contact Details below. You should note that notwithstanding your withdrawal of consent, the Company may be legally required to retain some or all of Your Personal Information.

Where the Company or the Administrator requires Your Personal Information to comply with AML or other legal requirements, failure to provide this information will mean that you will be unable to be accepted as an investor and/or may be mandatorily redeemed from a Fund if you are already an Investor.

Protection of Investor Information

The Company maintains appropriate technical and organizational measures to ensure a level of security appropriate to potential risks, including physical, electronic and procedural safeguards that comply with the GDPR to protect customer information, including:

  1. the pseudonymization and encryption of Your Personal Information where appropriate;
  2. ensuring ongoing confidentiality, integrity, availability and resilience of processing systems and services;
  3. ensuring the Company can restore access to Your Personal Information in a timely manner if a physical or technical incident occurs; and
  4. regular testing, assessment and evaluation of the effectiveness of its technical and organizational measures to attempt to ensure Your Personal Information is secure.

The Company restricts access to the personal and account information of Investors to those employees who need to know that information in the course of their job responsibilities. The Company will destroy, erase or make unreadable data, computer files and documents containing Your Personal Information that is non-public prior to disposal.

Making a Complaint

If you would like to make a complaint about the way the Company has collected, used or retained Your Personal Information, please contact us at the email address set out under Contact Details below.

You have the right to lodge a complaint with a supervisory authority in the EU Member State of your habitual residence or place of work or in the place of the alleged infringement if you consider that the processing of personal data relating to you carried out by the Company or its service providers infringes the GDPR.

Former Customers and Investors

This EU Privacy Policy also applies to former Investors in the EU and the EEA.

Further Information

The Company reserves the right to change this EU Privacy Policy at any time and without prior notification. The examples contained within this EU Privacy Policy are illustrations and are not intended to be exclusive. This EU Privacy Policy is intended to comply with the GDPR regarding privacy. You may have additional rights under other foreign or domestic privacy laws. If you have any questions about this EU Privacy Policy, please call or email us at the email address set out under Contact Details below. No further action is required on your part. This EU Privacy Policy is in addition to the Company’s existing Privacy Policy adopted under Canadian law, a copy of which is available on this website.

Contact Details

Connor, Clark & Lunn Financial Group Ltd.
Attention: Chief Compliance Officer
2300-1111 West Georgia Street
Vancouver, BC  V6E 4M3
Email: compliance@cclgroup.com
Telephone: 604-685-2020

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