PRIVACY NOTICE

This privacy notice (“Privacy Notice”) informs our customers and business partners (or persons acting on behalf of our customers and business partners), investors (or persons acting on their behalf), job applicants, newsletter subscribers and event participants (“you”) about how Aegeri Capital GmbH and/or Aegeri Capital LLC (“we”, “us”) treat personal data (“Data”) in accordance with the Swiss Federal Act on Data Protection (“FADP”) and the EU General Data Protection Regulation (“GDPR”), as applicable, when receiving information about any of our investment management services or other services or about our products (“Services”), entering into a contractual relationship with us, communicating with us, applying for a job vacancy, subscribing to our newsletters, registering for and participating in events or in any of the other situations set out in Section 3 below. Within the scope of the FADP, references in this Privacy Notice to the GDPR shall be understood as references to the corresponding provisions in the FADP.

  1. Controller and Contact Details

    Controllers are Aegeri Capital GmbH, Landis + Gyr Strasse 1, 6300 Zug, Switzerland and Aegeri Capital LLC, 410 Park Avenue, New York, NY 10022, USA (e-mail address: info@aegericapital.com).

  2. Obligation to Provide Data and Your Sharing of Third-Party Data

    You are in general under no obligation to provide us with any Data. However, if you do not provide the required information regarding certain use cases set out in Section 3, we may not be able to process your corresponding request, get in contact with you, provide the Services to you or perform our contractual obligations.

    If you share with us Data regarding any other individual (e.g. regarding your employer/employees, relatives, family members, colleagues, ultimate beneficial owners, etc.), we assume that this Data is correct. By sharing such Data with us, you confirm that you are authorized to do so and that you have informed the affected individuals about this Privacy Notice and our processing of their Data.

  3. Processed Data, Purpose and Legal Basis

    3.1. Communication
    We may be in contact with you by use of different channels, e.g. if you send us e-mails or by using other electronic or hardcopy communication means, whereby Data may be exchanged (“Communication Data”).

    Categories of Data: If you send us an e-mail or another form of electronic message (or a hardcopy message, e.g. a letter), we may collect such information as your name, e-mail address, phone number, subject matter, message content, related metadata and any other information you choose to disclose in your communication to us.

    Purpose and legal basis: We use Communication Data to process your inquiry and any possible further questions you might have in relation to the performance of our Services (GDPR 6.1.1.b) and any other related questions and matters based on the content of your communication with us (GDPR 6.1.1.a). We may keep this data to document our communication with you, for training purposes, for quality assurance, for follow-up inquiries (GDPR 6.1.1.f) and for regulatory purposes (GDPR 6.1.1.c).

    3.2. Information Services for Investors
    When promoting our Services to you as an investor, we may collect and process your Data (“Information Services Data”).

    Categories of Data: When we promote and inform you about our Services, we may collect your name, address, email-address and further contact information from you as well as your interest in our Services. We may also analyze your use of our Services in order to get to know you better and tailor our Services to you, by collecting data about your preferences, including supplementing such data with third-party information, e.g. from public sources.

    Purpose and legal basis: In general, Information Services Data will be used to inform you about our Services upon your request (GDPR 6.1.1.a) and to comply with the applicable legal requirements and our internal regulations (GDPR 6.1.1.c and 6.1.1.f). We may also process Information Services Data to document our Services performance, for training purposes or for quality assurance as well as for market research to improve our Services and operations and for product development, based on our legitimate interest (GDPR 6.1.1.f).

    3.3. Contracts with Funds and Other Third Parties
    If we enter into a contract with you in connection with the provision and/or performance of the Services, or into negotiations regarding such contract, we may collect Data in relation to the conclusion and performance of such a contract (“Contract Data”). In general, we collect this Data from you or other contractual partners and from third parties involved in the performance of the contract, but may also use Data from third-party or public sources (for example fraud prevention agencies and government registries).

    Categories of Data: Contract Data may include the name, address and email address of the person acting on your behalf as well as further information we may require from you in order to be able to perform the contract, including information from third parties and public sources (e.g. from fraud prevention or government agencies, internet sites and government registries).

    Purpose and legal basis: We use Contract Data for the preparation, conclusion, performance and administration of our contractual relationships and any questions or inquiries that might arise in that relation (GDPR 6.1.1.b). Such processing may be required to comply with legal requirements and internal regulations, including Know Your Customer processes (GDPR 6.1.1.c and 6.1.1.f). We may keep this Data to document our communication with you, for training purposes, for quality assurance and for follow-up inquiries (GDPR 6.1.1.f).

    3.4. Job Applications
    We may process the Data you provide to us in connection with an application for a job vacancy (“Application Data”).

    Categories of Data: Application Data may in particular include your contact information, information about your working permit situation, your education and professional experience and any other information you choose to provide to us in connection with your application.

    Purpose and legal basis: We process Application Data for the assessment of your application and potential negotiation, preparation, conclusion and performance of an employment contract with you (GDPR 6.1.1.b). In case no employment contract is concluded, but you provide us with your consent to retain your application for further job vacancies, we may do so based on your consent (GDPR 6.1.1.a).

    3.5. Marketing, Events and Newsletter
    We may process your Data for marketing purposes and relationship management, including events and newsletters (altogether “Marketing Data”).

    Categories of Data: Marketing Data may in particular include your contact information (e.g. name, company type and name, business function/title, e-mail, address, etc.), such further data categories as your preferences (e.g. your areas of interest), information relating to your participation in events (e.g. investor meetings) and use of our newsletters as well as Communication Data.

    Purpose and Legal Basis: We process Marketing Data for marketing purposes and relationship management, for example, to send personalized advertising for our services and products, e.g. in the form of newsletters or other regular contacts either in person, via e-mail or other electronic form, by phone or any other communication channel for which we have contact information from you and by any other marketing means (e.g. through events, fairs, etc.). We do so based on our legitimate interest to keep you informed about our products and services (Art. 6 para. 1 lit. f GDPR), to the extent permitted by applicable marketing regulation, or, where required, based upon your consent in this regard (Art. 6 para. 1 lit. a GDPR). In either case, you can object at any time or refuse or withdraw your consent to be contacted for marketing purposes.

  4. Disclosure and Transfer of Data

    We may disclose your Data to recipients as set out in Section 4.1, which may include cross-border data transfers as further described in Section 4.2.

    4.1. Categories of Recipients
    We may make your Data available to the following recipients (in compliance with the applicable legal requirements):

    1. our group companies;
    2. external service providers (e.g. IT services providers, business information providers, regulatory and compliance support services providers, marketing and newsletter service providers, design providers, FCMs, etc.);
    3. contractual partners (to the extent the disclosure results from such contracts);
    4. competent authorities, including tax authorities and courts (in Switzerland and abroad, if we are legally obliged or entitled to such disclosure or if it appears necessary to protect our interests);
    5. legal and professional advisors, including accountants and auditors;
    6. transaction partners and advisors (e.g. in relation to mergers, acquisitions or other business transactions involving us or our group companies).

    4.2. Cross-Border Transfer of Data
    We may transfer your Data to countries within the EEA or to the UK and to the following countries outside of Switzerland or the EEA/UK, provided that (a) such countries provide for an adequate level of data protection according to the assessment of the competent authority, (b) we ensure an adequate level of data protection based on appropriate safeguards, such as the EU Standard Contractual Clauses adapted to Swiss law to the extent required, or (c) it is relied on a statutory exemption (e.g. if you have given your consent to the transfer, or if the transfer is directly connected with the conclusion or performance of a contract with you): USA. For a copy of the Standard Contractual Clauses, please contact us as indicated in Section 1.

  1. Storage Periods and Erasure

    We process and retain Data for as long as our processing purposes, the legal retention periods and our legitimate interests regarding documentation require it or for reasons of limited technical feasibility. Except in case of contrary legal or contractual obligations, we will erase or anonymize your Data once the storage or processing period has expired. Regarding specific use/Data categories, we will in general retain your Data as follows:

    • Communication Data: Communication Data will be deleted after responding to/completing your inquiry if and to the extent (a) we are not legally obliged to retain such Data (e.g. for accounting or document retention purposes) and (b) we do not have an overriding legitimate interest to retain such data for documentation, quality assurance or similar business purposes or for the assessment or exercise of, or defense against, legal claims.
    • Information Services Data: We generally keep Information Services Data as long as you are accessing/receiving our Services, and such Data will be deleted after termination of our relationship if and to the extent (a) we are not legally obliged to retain such Data (e.g. for accounting or document retention purposes) and (b) we do not have an overriding legitimate interest to retain such data for documentation, quality assurance or similar business purposes or for the assessment or exercise of, or defense against, legal claims.
    • Contract Data: We generally keep Contract Data for the duration of the statute of limitations duration regarding contractual claims, as calculated from the end of the contractual relationship if and to the extent (a) we are not legally obliged to retain such Data (e.g. for accounting or document retention purposes) for a longer period and (b) we do not have an overriding legitimate interest to retain such Data for documentation, quality assurance or similar business purposes or for the assessment or exercise of, or defense against, legal claims.
    • Application Data: We generally keep Application Data for the duration of the application process and 3 months thereafter, unless you ask or allow us to retain your application for a longer time. We may retain Application Data for longer for the assessment or exercise of, or defense against, legal claims.
    • Marketing Data: We generally keep Marketing Data for as long as necessary to achieve the respective purposes. Such Data will be deleted thereafter if and to the extent (a) we are not legally obliged to retain such Data (e.g. for accounting or document retention purposes) and (b) we do not have an overriding legitimate interest to retain such data for documentation, quality assurance or similar business purposes or for the assessment or exercise of, or defense against, legal claims.
  2. Your Rights as Affected Data Subject

    You have the right to request information about your Data we process and further rights regarding such data processing. In particular, you have – or may have, depending on the circumstances – the right to:

    1. Information, i.e. to ask us whether we are processing Data about you, and if so, to provide you with further information related thereto.
    2. Correction, i.e. to ask us to correct or complement your Data if it is incorrect or incomplete.
    3. Deletion, i.e. to delete your Data (to the extent we are not under a legal obligation or have an overriding legitimate interest to retain such Data).
    4. Object, i.e. right to object to the processing of your Data based on our legitimate interest by explaining your particular reasons and specific circumstances on which your objection is based.
    5. Restrict processing, i.e. to ask us to temporarily restrict our processing of your Data.
    6. Data portability, i.e. to ask us to provide you in electronic form (to the extent technically feasible) the Data you have provided to us.
    7. Withdraw your consent, i.e. to withdraw your consent if and to the extent you have previously given your consent to any specific purpose of processing of your Data. This will not affect the lawfulness of any processing carried out before you have withdrawn your consent (or any processing based on any legal basis other than your consent) and it may mean that we will no longer be able to provide our Services to you.

    In case you wish to exercise any of these rights, please contact us as specified in Section 1. Before responding to your request, we may ask for proof of identity. This helps us to ensure that your Data is not disclosed to any unauthorized person.

  1. Data Security
    We have put appropriate technical and organizational security policies and procedures in place to protect your Data from loss, misuse, alteration or destruction. We limit access to personal data in general.

  2. Complaints/Regulatory Authority
    If you believe that our processing of your Data contradicts the applicable data protection laws, you have the possibility to lodge a complaint with the appropriate data protection authority.

    The data protection authority for Aegeri Capital GmbH is the Swiss Federal Data Protection and Information Commissioner (FDPIC), Feldeggweg 1, 3003 Berne, Switzerland (https://www.edoeb.admin.ch).

  3. Changes to this Privacy Notice
    This Privacy Notice does not form part of any contract with you, and we may amend it at any time. The version published on our website is the version that currently applies.

Last update: 08/05/2024