This privacy notice explains how Rocq Capital (‘we’, ‘us’ ‘our’) handle any personal information about you and how we may be required to disclose to all companies within the group in order to facilitate the provision of Services to you.

Rocq Capital (“Rocq Capital” or “we/ us/ our”) includes Rocq Capital Management Limited (“RCM”), Rocq Capital Securities Limited (“RCS”), Rocq Capital Holdings Limited (“RCH”) and Rocq Capital Limited (“RC”). RCM and RCS are both regulated and licensed to carry out controlled investment business by the Guernsey Financial Services Commission (“GFSC”) pursuant to the Protection of Investors (Bailiwick of Guernsey) Law 2020 (the ‘POI Law’) and the) Licensees (Conduct of Business) Rules 2021 (the “COB Rules”) and any subsequent variation or amendment thereof.

Rocq Capital is a data controller of your personal data and is subject to the Data Protection (Bailiwick of Guernsey) Law, 2017 (the “Data Protection Law”). Rocq Capital is committed to protecting your personal information and being transparent about what information we hold. The purpose of this notice is to give you a clear explanation about how Rocq Capital collects and uses the personal information you provide to us, whether online, via phone, email, in letters in any other correspondence or from third parties.

 

Why - Purpose of processing

Rocq Capital may process your personal data for the following reasons:

• To provide Services to you and/ or for Rocq Capital’s internal administration which shall include processing your application to use our Services, undertaking identification verification checks (on-boarding) and to inform you of any changes to Rocq Capitals Terms of Business and Privacy Notice
• To notify you of changes to our Services, to help improve our Services and / or provide additional Services
• To satisfy any legal obligation imposed on Rocq Capital which may involve monitoring and recording calls and electronic communications for investigation and prosecution
• To pursue the legitimate interests of Rocq Capital
• To process certain information about you, your directors, officers, employees and beneficial owners (as applicable) in order to carry out anti-money laundering checks and related actions which Rocq Capital considers appropriate to meet legal obligations imposed on them to prevent fraud, money laundering, terrorist financing, bribery, corruption or tax evasion in accordance with Rocq Capital’s anti-money laundering procedures

Unless otherwise stated in this Privacy Notice, the legal basis for our use of your personal data will be that this information is required to be processed on the lawful grounds described above.

 

When is personal data collected

We may collect personal information about you when you:

• Register with Rocq Capital for information, use our Services, ensure our Services are suitable for you, confirm your contact details, process and deliver your orders, subscribe for publications, marketing information or newsletters, telephone, write, contact us online, or otherwise provide us with your personal information
• Interact with us or agents or third parties with whom we work (including providers of technical, payment and delivery services) and we receive information about you

We supplement what we know about you with information that is available to the public including internet search engines, public media sites, commercially available subscription-based sources and sources such as Companies House, the Guernsey Registry or electoral registers.

 

What Information do we collect

In order to provide Services to you, we need to collect certain personal information as required by law or as a consequence of any contractual relationship we have. The following information is collected:

• Your contact details (name, address, telephone number, email address)
• Your date of birth, nationality, country of birth, country of residence, employment status (and professional details, such as your job title and work experience, and your knowledge of and experience in investment matters) and tax identification number
• Passport details, driving licence, ID cards and utility bills
• Financial information – source of income and source of wealth including payment and transaction records and information about your assets and tax-related information
• Any data provided by you via a direct interaction including survey feedback, use and frequency of website access, use of products and services, communication preferences and marketing

If you do not provide this information it may prevent or delay us fulfilling our obligations or performing Services.  Before we provide our Services, we need to verify your identity in order for us to meet our obligations under the Criminal Justice (Proceeds of Crime) (Bailiwick of Guernsey) Regulations 2007 and any other applicable legislation for the purposes of crime and fraud prevention. We may also collect information about your business partners (including other shareholders or beneficial owners), dependents or family members, representatives, and agents.

We do not normally request personal data which would be categorised as ’sensitive personal data’ for example racial, ethnic origin, religious beliefs, however you may voluntarily provide us with such sensitive personal data or we may elicit this during open searches which we will only process with your consent or if required by law and would only collect if there is a clear reason for doing so.

 

Sharing your personal data

We make all reasonable efforts to keep your details secure and will only share them with third parties working on our behalf, or on a need to know basis for legal reasons. We carefully select third parties and will only share information with them if we have confirmation that they will protect it and have an agreement in place that assures this.

We will only ever share or disclose your details for use if:

• We are required by law or by the GFSC
• We deem it necessary and appropriate to respond to a legitimate request of assistance from law enforcement agencies, public authorities and other government agencies for the purpose (amongst others) of preventing fraud and crime investigation and for internal investigations and reporting
• We are seeking legal, financial or professional advice for example in connection with litigation or suspected fraud, in the recovery of fees due to us and / or in seeking specialist advice on matters relating to you
• Third parties need to process the data (such as IT providers, brokers, dealers, hosting providers, marketing providers) to comply with their legal obligations
• We deem it necessary for the provision of Services that we are engaged to provide to you including reporting transaction details to market, in the on-boarding process, analysis of Rocq Capital’s products and Services to further develop Rocq Capital’s business and for prudent operational management to enforce Rocq Capital’s rights and its employees (if appropriate)
• Requested by underwriters to maintain appropriate insurance coverage
• In provision of information on our website, we seek to promote our services and carry out analysis and so collect domain names, IP addresses of visitors, usage statistics, analytics and browsing history
• Third parties (acting on your behalf) in a transaction with or for you, require the data to carry out any service, including but not limited to a party acquiring interest in, or assuming risk in or in connection with, any transaction.

Some of the recipients referred to above may be located outside the European Economic Area and the Island of Guernsey. In those cases, Rocq Capital requires such recipients to comply with appropriate measures and take appropriate steps to safeguard your personal information and ensure it is treated securely to protect your personal data. Please contact Rocq Capital’s Data Protection Officer (see below) for further details if applicable.

 

Retention of personal information

Your personal information will be retained for as long as required:

• For the purpose for which personal information was collected and the longevity of our relationship
• As required by data protection laws and other applicable laws or regulatory requirements to maintain effective records, (being 6 years retention period unless otherwise agreed in excess of this for legal or regulatory reasons) and / or
• In order to satisfy Rocq Capital’s reporting or accounting obligations

All personal information held securely subject to appropriate security measures.

 

Your data protection rights

Please note that you have the following rights (in specific circumstances) under the Data Protection Law in relation to your personal information. If you wish to exercise any of these rights, please contact our Data Protection Officer (see below). In each case, the exercise of these rights is subject to the provisions of the Data Protection Law:

• Right to Access your personal data & obtain a copy of it
• Right to rectify your personal data or completion of such personal which is inaccurate or incomplete
• Right to restrict the use of your personal data
• Right to request your personal data is erased
• Right to object to processing of your personal data where processing is for marketing purposes or for legitimate interests.
• Right to data portability
• Right to lodge a complaint with your local supervisory authority or the Office of Data Protection Authority in Guernsey  

Where you have provided your consent to processing, you may withdraw your consent at any time by contacting our Data Protection Officer stating that you withdraw your consent. Where Rocq Capital requires your personal data to comply with our legal or regulatory requirements, failure to provide this information means that Rocq Capital may not be able to provide any Services to you.

 

Direct Marketing

Rocq Capital may ask you whether you wish to receive marketing from us via your Client Agreement or via our website. We may contact you by email or other means to inform you about our services or events of interest to you. You have the right to stop us contacting you for marketing purposes. If you wish to do so, please either unsubscribe or contact our Data Protection Officer (see below).

 

Data Protection Officer

If you have any questions about our use of your personal data, please contact the Data Protection Officer, Rocq Capital, 2^nd Floor Suite,1 Le Truchot, St Peter Port, Guernsey, GY1 1WD.

 

Changes to this policy

We may change this policy from time to time by updating this page. Please check from time to time to ensure you are happy with the changes.