Safety First
Data Protection Privacy Notice
Please read this privacy policy carefully as it contains important collection, storage, use and sharing of your personal data. It also explains your rights in relation to your personal data and how to contact us or supervisory authorities in the event you have a complaint.
Personal data is any information relating to an identified or identifiable individual. Personal data you provide is governed by the General Data Protection Regulation (GDPR) which applies across the European Union (including in the United Kingdom).
Personal data that may be collected
The table below sets out the personal data which may be collected in the course of your contact with James Caan or information submitted via www.james-caan.com.
Personal data that may be collected |
| · Your name, address and telephone number · Information to check and verify your identity, eg your date of birth or passport details · Electronic contact details, eg your email address and mobile phone number · Information to enable a credit or other financial checks on you · Your financial details so far as relevant to your matter, eg the source of your funds relating to an investment · Information about your use of IT, communication and other systems, and other monitoring information, (eg if using the website or a secure online portal) · Your National Insurance and tax details · Your bank and/or building society details · Details of your professional online presence, eg LinkedIn profile · Details of your spouse/partner and dependants or other family members, eg if relevant to an investment or KYC checks · Your employment status and details including salary and benefits · Your nationality and immigration status and information from related documents, such as your passport or other identification, and immigration information · Details of your pension arrangements · Your employment records including, eg if relevant to an investment or KYC checks · Other information relevant to the conduct of due diligence or KYC checks · Information about your use of information and communications systems |
This personal data is required to enable James Caan to provide services to you or for related services or investment discussions following submission of information on the website. If you do not provide personal data requested, it may delay or prevent James Caan from providing services to you or it may delay or prevent relevant investment discussions.
How your personal data is collected
Information is mostly collected from you direct. However, information may also be collected:
- from publicly accessible sources, eg Companies House, HM Land Registry, LinkedIn or an employer’s corporate website;
- directly from a third party, eg:
- sanctions screening providers;
- credit reference agencies;
- client due diligence providers;
- from a third party with your consent, eg:
- your bank or building society, another financial institution or advisor;
- consultants and other professionals which may be engaged in relation to services to you or relevant to an investment discussion;
- via the website; and
- via information technology (IT) systems.
How and why your personal data is used
Under data protection legislation, your personal data can only be used if there is a proper reason for doing so, eg:
- to comply with legal and regulatory obligations;
- to take steps at your request prior to entering into a contract;
- for the performance of a contract with you; or
- for James Caan’s or www.james-caan.com’s legitimate interests or those of a third party and your interests and fundamental rights do not override those interests.
The table below explains the reasons for using (processing) your data:
What your personal data is used for | The reasons |
| To provide professional services to you | For the performance of a contract with you or to take steps at your request before entering into a contract |
| Conducting identity checks Screening for financial and other sanctions or embargoes Other processing necessary to comply with professional, legal and regulatory obligations | To comply with legal and regulatory obligations |
| Gathering and providing information required by or relating to audits, enquiries or regulatory bodies | To comply with legal and regulatory obligations |
| Ensuring business policies are adhered to | For legitimate interests or those of a third party, i.e. to make sure internal procedures are being followed so you can receive the best service |
| Operational reasons, such as improving efficiency, training and quality control | For legitimate interests or those of a third party, i.e. to maximise efficiency so you can receive the best service |
| Ensuring the confidentiality of commercially sensitive information | For legitimate interests or those of a third party, i.e. to protect intellectual property and other commercially valuable information To comply with legal and regulatory obligations |
| Statistical analysis, eg in relation to financial performance, client base, work type or other efficiency measures | For legitimate interests or those of a third party, i.e. to maximise efficiency and to deliver the best service at the best price |
| Preventing unauthorised access and modifications to systems | For legitimate interests or those of a third party, i.e. to prevent and detect criminal activity To comply with legal and regulatory obligations |
| Updating and enhancing client records | For the performance of a contract with you or to take steps at your request before entering into a contract To comply with legal and regulatory obligations For legitimate interests or those of a third party, eg making sure that recipients can be contacted about existing and new services |
| Statutory returns | To comply with legal and regulatory obligations |
| Ensuring safe working practices, staff administration and assessments | To comply with legal and regulatory obligations For legitimate interests or those of a third party, i.e. to make sure internal procedures are being followed so you can receive the best service |
| Marketing services to: —existing and former clients; —third parties who have previously expressed an interest in James Caan’s services; —third parties with whom James Caan has had no previous dealings. | For legitimate interests or those of a third party, i.e. to make sure internal procedures are being followed so you can receive the best service |
| Credit reference checks via external credit reference agencies | To comply with legal and regulatory obligations
For legitimate interests or those of a third party, eg as part of background checks prior to an investment
For the performance of a contract with you or to take steps at your request before entering into a contract |
| Preventing fraud | To comply with legal and regulatory obligations
For legitimate interests or those of a third party, eg as part of background checks prior to an investment
For the performance of a contract with you or to take steps at your request before entering into a contract |
| Processing invoices and payments | To comply with legal and regulatory obligations For the performance of a contract with you or to take steps at your request before entering into a contract |
The above table does not apply to special category personal data, which will only be processed with your explicit consent.
Marketing communications
Your personal data may be used to send you updates (by email, text message, telephone or post) about market developments, updates or information about services that might be of interest to you such as market analyses, offers, promotions or new services.
There is a legitimate interest in processing your personal data for marketing purposes (see above ‘What your personal data is used for’). This means that your consent to send you promotional communications is not needed. However, where consent is needed, you will be asked for this consent separately and clearly. All additional regulations, such as the Privacy and Electronic Communications (EC Directive) Regulations 2003, will be complied with.
Your personal data will always be treated with the utmost respect and it will never be sold or shared with other organisations for marketing purposes.
You have the right to opt out of receiving promotional communications at any time by:
- contacting us by emailing privacy@james-caan.com
- using the ‘unsubscribe’ link in emails
- communicating your preference clearly in any other way
Who personal data is shared with
So far as is necessary, your personal data may be shared with:
- professional advisers where this is relevant to services, such as accountants, tax advisors or other experts;
- other third parties where necessary to carry out your instructions or relevant to an investment discussion;
- professional advisers (eg accountants, lawyers);
- credit reference agencies;
- insurers and brokers;
- external auditors;
- banks; and
- external service suppliers, representatives and agents that are used for the supply of services.
Service providers are only permitted to handle your personal data if they take appropriate measures to protect your personal data. They will also have contractual obligations to ensure they can only use your personal data to provide the relevant services and not for any other reasons.
Information may be disclosed with law enforcement agencies and regulatory bodies to comply with legal and regulatory obligations.
Where your personal data is held
Information may be held on servers, at offices of James Caan and his related companies, third party agencies, service providers, representatives and agents as described above (see ‘Who your personal data is shared with’).
Some of these third parties may be based outside the European Economic Area. For more information, including on how your personal data is safeguarded when this occurs, see below: ‘Transferring your personal data out of the EEA’.
How long your personal data will be kept
Your personal data may kept until after completion of services for these reasons:
- to respond to any questions, complaints or claims made by you or on your behalf;
- to show that you were treated fairly;
- to keep records required by legal or regulatory obligations.
Your data will not be retained for longer than necessary for the purposes set out in this notice. Different retention periods apply for different types of data.
When it is no longer necessary to retain your personal data, it will be deleted or anonymised.
Transferring your personal data out of the EEA
To deliver services to you, it is sometimes necessary for your personal data to be shared outside the European Economic Area (EEA), eg:
- with investment partners and service providers located outside the EEA;
- if you are based outside the EEA;
- where there is an international dimension to the services provided to you.
These transfers are subject to special rules under European and UK data protection law.
Any transfer shall comply with data protection laws and that relevant contracts contain appropriate clauses to confirm this. All personal data will be kept secure.
Your rights
You have the following rights, which you can exercise free of charge:
| Access | The right to be provided with a copy of your personal data |
| Rectification | The right to require any mistakes in your personal data to be corrected |
| To be forgotten | The right to require your personal data to be deleted – in certain situations |
| Restriction of processing | The right to restrict processing of your personal data – in certain circumstances, eg if you contest the accuracy of the data |
| Data portability | The right to receive the personal data you provide, in a structured, commonly used and machine-readable format and/or transmit that data to a third party – in certain situations |
| To object | The right to object: — at any time to your personal data being processed for direct marketing (including profiling); —in certain other situations to any continued processing of your personal data, eg processing carried out for the purpose of legitimate interests. |
| Not to be subject to automated individual decision-making | The right not to be subject to a decision based solely on automated processing (including profiling) that produces legal effects concerning you or similarly significantly affects you |
If you would like to exercise any of those rights, please:
- email privacy@james-caan.com or write to James Caan at Hamilton Bradshaw, 3rd Floor, 60 Sloane Avenue, London SW3 3DD
- provide enough information to identify you (eg your full name, address and email or telephone number);
- provide proof of your identity and address (eg a copy of your driving licence or passport and a recent utility or credit card bill); and
- explain what right you want to exercise and the information to which your request relates.
Keeping your personal data secure
There are appropriate security measures to prevent personal data from being accidentally lost, or used or accessed unlawfully. Access to your personal data will be limited to those who have a genuine business need to access it. Those processing your information will do so only in an authorised manner and are subject to a duty of confidentiality.
There are also procedures in place to deal with any suspected data security breach. You will be notified, together with any applicable regulator, of a suspected data security breach where there is a legal obligation to do so.
Changes to this privacy policy
This notice may be amended from time to time. The latest version will be available on www.james-caan.com.
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