Privacy Statement

Your privacy is essential to Kieger AG (“Kieger”). Kieger and its appointed agents employ reasonable means and procedures, within the limits laid out under this Privacy Statement («Statement») and applicable laws and regulations, in order for your personal data collected, processed and used during your visits to the Kieger Website or otherwise to be kept secured.

If you do not agree with this Statement, please do not proceed to visiting this web page. You should note that this Statement may be amended and updated from time to time. Kieger therefore asks you to consult it on a regular basis.

What is the purpose and the scope of this Statement?

Kieger is committed to safeguarding the personal data it collects from individuals who visit the Kieger Website and otherwise. Accordingly, Kieger has prepared this Statement to describe what type of data, when and how such data will be collected from users of the Kieger Website and the purposes for which Kieger may collect, share or disclose the data. Please read it carefully to learn more about your data protection rights and whom to contact in relation to your personal data in case of queries or concerns.

The Website may contain links to other websites. Please note that Kieger has no control over how your data is collected, stored, or used by other websites and you should check the privacy policies of any such websites before accessing them.

When do we collect your personal data?

Kieger typically collects or obtains personal data directly from you, your authorized representatives or third parties in the following situations:

• When you visit our website;
• When you visit our premises or participate in our events;
• When Kieger exhibits at an event;
• When we establish a business relationship with you;
• When you subscribe to one of our newsletters or product news;
• When we provide a product or service to you;
• When we work or interact with a company or authority you work for;
• When we are involved in administrative or judicial proceedings;
• When you apply for a vacancy at Kieger’s;
• Through personal service providers: e.g. recruitment agencies, background check agencies, former employers, benefit providers and other third parties;
• When you communicate with our employees or authorized representatives;
• Through publicly available sources (websites, public directories e.g. commercial registers, newspaper articles, sanction lists online searches etc.).
• Through online social or professional networks: when you use a social media account (e.g. LinkedIn, Google or Twitter).

What personal data does Kieger collect from you?

The following types of personal data may be collected by us, whether through direct interaction with us or through third parties. The nature of our relationship with you will determine the categories of personal data that we might ask for or that you will provide to us. This is information we collect from you or generate about you or information we obtain from other sources.

Kindly note also that when you visit the Kieger Website, the Kieger web server automatically records your IP address, the website from which you visit the Kieger Website, the type of browser software used, the Kieger web pages you actually visit including the date and duration.

Personal data that we typically collect in the course of our business activities are the following:

• Contact details (e.g. first name, family name, company name, occupation and job title, business and personal telephone numbers, business and personal e-mail addresses, postal address including city postcode and country);
• Professional data (e.g professional background, educational background and memberships in professional associations, publications);
• Financial data (e.g investment interests, pensions, investments, banking information, insolvency documents);

We may also collect and process sensitive personal data, thus only with the consent of the data subject, unless the data has been transferred to us indirectly and for lawful purposes. Examples of sensitive personal data we receive may include:

• Personal identification documents, which may also provide information about nationality, date and place of birth, health related information, disability status, racial or ethnic origin, religious and ideological beliefs, social security measures, biometric data of private individuals, applicants or beneficial owners of legal persons;
• Negative information about potential employees who provide information about administrative or criminal proceedings or sanctions;
• Data that our clients provide to us as part of a business cooperation;
• Food preferences when registering for one of our events that may provide information about religious beliefs or health status.
• Any other personal data that you choose to share with us.

Third party data: We also process personal data that you provide to us about any individual on whose behalf you act (or who works with a company on whose behalf you act) or who is otherwise related to you, for example investment beneficiaries, beneficial owners, family members, representatives, attorneys, co-workers, etc. By providing us with their personal data, you confirm that this personal data is accurate and that you have provided these persons with the information set out in this Privacy Statement, and we may assume that you are authorised to make such disclosure.

Location-based data: We may process location-based data, for example when you use the location search function on our website.

On what basis does Kieger process personal data?

Kieger will rely on one or more of the following lawful bases for processing personal data:

• where it is necessary for the fulfilment of our contractual obligations;
• where it is necessary for compliance with and fulfilment of a legal obligation to which we are subject;
• in relation to the prevention of money laundering and terrorism financing and the prevention and detection of crime and fraud;
• to disclose information to service providers which are required by law to perform checks in relation to the prevention of money laundering and terrorism financing;
• to disclose information to regulators, government bodies and tax authorities. This includes the disclosure to the Swiss Financial Market Supervisory Authority (“FINMA”), foreign regulators, Commercial Registry;
• to disclose information to authorities as may be required from time to time in case of the automatic exchange of information with other countries in the field of taxation.
• where you have voluntarily consented to the processing at the time of providing your personal data.
• where it is necessary for the purposes of the legitimate interests pursued by us or a third party, except where such interests are overridden by the interests or fundamental rights and freedom of our data subjects, which require their protection. These interests include:
  • To provide the services and products commissioned by our clients;
  • To provide timely market insights and expertise, as well as to submit offers and invitations that we believe are of interest to our clients, prospects, readers and others;
  • To search for qualified applicants.

How does Kieger use your personal data?

Kieger will use your personal data within the scope of its activities and/or the fulfilment of its contractual or statutory obligations.

If you contact Kieger and Kieger obtains your personal data, Kieger may use them as follows:

• To communicate with you in relation to your current or planned investment (these communications may take place in various forms, including telephone, email and mail);
• To provide continuous service to you (such as the transmission of information or marketing materials that may be of interest for you);
• To promote our professional services, products and offers to you;
• To send invitations and admission of guests to our events and webinars or to events sponsored by us;
• To personalize our online landing page and communications that we deem relevant due to the ability to interact with you;
• To administer, maintain, develop and ensure the security and functionality of our IT systems, applications and websites;
• To process your online enquiries, including responding to communications you as well as your product news requests;
• To comply with legal or regulatory obligations regarding sanctions, the assessment of embargoes, the fight against money laundering, terrorist financing, fraud and other financial offences;
• To prevent fraud or criminal activity, securing our IT systems and handling claims;
• To implement personnel and work processes;
• To search for qualified applicants and check their suitability for a job opening;

How and where does Kieger store your personal data?

We retain personal information in order to provide our continuous services to you, to meet any of our contractual obligations, to stay in touch with you, and comply with applicable laws and regulations and professional obligations to which we are subject. We retain personal data for as long as it is used for the purpose for which it was collected or for a period of time to which we are obliged by applicable laws and regulations or contractual agreements.

Your data will only be stored in Switzerland and/or within the European Economic Area (“the EEA”).

How does Kieger protect your personal data?

In order to keep your personal data secure, Kieger has put in place appropriate physical, technical and organizational safeguards to protect your personal data from misuse, loss, interference, unauthorized access, modification or disclosure. We use safeguards such as firewalls, intrusion detection, anti-virus technology and password log-in to prevent unauthorized access. The effectiveness of these safeguards is periodically tested. We also have appropriate controls and mechanisms in place to detect, respond and recover in case of adverse events.

Access to and the use of personal data is restricted to authorized personnel and regulated to prevent misuse or unlawful disclosure of such data. Persons who have access to the data are obliged to maintain the confidentiality of the data accessed.

Transfer of personal data to third parties

Your personal data can also be shared with trusted third parties that are not part of Kieger for the purpose of providing efficient and high-quality services and products or that provide technical or organisational services on behalf of Kieger. We may further share personal data with third parties, for example in the context of reasonable anti money laundering, KYC or our investor due diligence requirements or those of third parties.

These third-party service providers are contractually bound to process your personal data exclusively on Kieger's behalf and as instructed by Kieger, and to guarantee that the appropriate technical or organisational security measures are in place to guarantee your personal data is protected.

Such third parties may include:

• Business partners of ours where they are contractually obliged to comply with appropriate data protection obligations;
• Representatives, agents, custodians, intermediaries and/or other third-party product providers appointed by a client or prospective client (such as accountants, professional advisors, custody service providers and product providers);
• Depository, stock exchange, clearing or settlement system, counterparties, dealers and others where disclosure of your personal data is reasonably intended for the purpose of effecting, managing or reporting transactions or establishing a relationship with a view to such transactions;
• Enforcement authorities or supervisory authorities (e.g. FINMA) as well as other third parties, if this serves to comply with applicable laws and regulations;
• Other governmental authorities and auditors, to the extent required by law or regulation, for example if we are under a duty to disclose your personal data in order to comply with any legal obligation (including, without limitation, in order to comply with tax reporting requirements and other disclosure requirements);
• Courts and other persons involved in administrative or legal proceedings;
• External service providers and agents who assist us in providing services (such as IT services companies, telecommunications system providers, post office management, IT system support, document creation services, cloud-based software services, printing and scanning services);
• External advisors (such as accountants, lawyers, consultants, auditors etc.);
• Providers of marketing services;
• Providers of personnel services;

If a service provider is located in a country that does not ensure a level of personal data protection comparable with that found in Switzerland, Kieger enter contractual agreements with these providers to ensure compliance with Swiss standards of data protection. In doing so, Kieger use standard contractual clauses issued by the European Commission and/or the Swiss transborder data flow agreement issued by the FDPIC.

Your personal data shall not otherwise be passed on, transmitted or sold to third parties outside the Kieger group unless you have expressly consented to it.

This notwithstanding, Kieger may disclose personal data for legal reasons; for example, to law enforcement agencies for the purpose of prosecuting and detecting illegal activities or to tax authorities.

Your rights

As a data subject, you have the following rights under the DPA and/or GDPR:

• The right to be informed about Kieger's collection and use of personal data;
• The right of access to the personal data Kieger holds about you (see section 5);
• The right to rectification if any personal data Kieger holds about you is inaccurate or incomplete;
• The right to temporarily restrict (i.e. prevent) the processing of your personal data;
• The right to data portability (obtaining a copy of your personal data to re-use with another service or organisation);
• The right to withdraw consent previously given to the processing of your personal data for one or more specific purposes. This does not affect the lawfulness of processing operations that took place before the revocation.
• The right to object to Kieger using your personal data for particular purposes; and
• Rights with respect to automated decision making and profiling.

Whom to contact in case of questions or concern?

If you have any cause for complaint about Kieger's use of your personal data, please use the contact information below and Kieger will do its best to solve the problem for you. If Kieger is unable to help, you also have the right to lodge a complaint with the Swiss Federal Data Protection and Information Officer ("FDPIC") and/or any competent EEA supervisory authority (as the case may be).

Contact

If you have any questions about the Website or this Policy, please contact Kieger by email at info@kieger.com

Law and Jurisdiction

This Statement shall be governed by and construed in accordance with Swiss law. Any disputes concerning this Statement shall be subject to the exclusive jurisdiction of the competent courts in Zurich, Switzerland, at the seat of Kieger, unless applicable mandatory data protection law states otherwise.

Changes to this Privacy Statement

We reserve the right to change this privacy policy as we may deem necessary from time to time or as may be required by law. Any changes will be posted on the website and you are deemed to have accepted the terms of this Privacy Statement on your first use of the website following the alterations.

This Privacy Statement was last updated on June 8, 2022.

Copyright 2022 Kieger AG