Privacy Policy Privacy Policy Marshall Wace LLP, Marshall Wace North America LP and Marshall Wace Asia Limited (together “we”, “us”, “our” or “Marshall Wace”) are committed to respecting your privacy. Addresses: Marshall Wace LLP: 131 Sloane Street, London, SW1X 9AT. Marshall Wace North America LP: 350 Park Avenue, 18th Floor, New York, NY 10022-6022. Marshall Wace Asia Limited: 23/F, LHT Tower, 31 Queen’s Road Central, Hong Kong. About this privacy notice For the purposes of data protection law, we are a data controller in respect of your personal data. Marshall Wace is responsible for ensuring that it uses any personal data provided by you in compliance with data protection law. This privacy notice applies if you are an existing client, a prospective client, or job applicant. This privacy notice sets out the basis on which any personal data that you provide to us, that we create, or that we obtain about you from other sources, will be processed by us. Please take the time to read and understand this privacy notice. Personal data that we collect about you We will collect and process the following personal data about you: • Information that you provide to us or one of our affiliates. This includes information about you that you give us by filling in forms (including those on our website) or by communicating with us, whether face-to-face, by phone, e-mail or otherwise. This information may include: o Identifiers such as your name, address, email address, telephone number, any financial information and other information provided by you in connection with: (i) any due diligence, (ii) a prospective investment in any funds managed by us, (iii) completing any forms or other materials sent by or on behalf of us to you in relation to any prospective investment or investment made, (iv) any ongoing communications with us regarding any prospective investment or investment made, or (v) any related matters. o When you apply for a job we collect professional, educational, and employment related information about you such as information about your employers, awards, associations, schools attended, degrees awarded, and academic status. • Information we collect or generate about you. This includes: o Information in any client relationship management notes, any telephone conversations (whether recorded or not), meetings, information you provide to us in the completion of any documentation, the use of our website, by email or at any conferences, meetings or other events. • Information we obtain from other sources. This includes: o information received from any distributor, placement agent, custodian, fund of funds or management or other company acting on your behalf. o For job applicants and prospective employees this also includes information from recruiting agencies, events, employers, educational institutions, online platforms including professional and social networks and forums, service providers, financial institutions and other individuals. o Geolocation information such as IP address when you use the website and from our service providers. Uses of your personal data Your personal data may be stored and processed by Marshall Wace in the following ways and for the following purposes: • Sending you information in relation to the funds we act as investment manager for, facilitating an assessment of your eligibility to invest, processing any subscription, redemption, withdrawal, exchange or transfer request, communicating with any third parties you may ask us to communicate with. • For job applicants and prospective employees – processing, evaluating, and communicating with you about your job application, including to check references or your background, and communicate with you about other jobs that may interest you. We are entitled to use your personal data in these ways because the use of your personal data as described is necessary: • To perform the obligations set out in any subscription, redemption or withdrawal, exchange or transfer request (a contract between you as the data subject and the fund we act as investment manager for as data controller); • For our legitimate business interests (or the legitimate interests of one or more of our affiliates), such as maintenance of client records and communicating with clients in relation to funds we act as investment manager for that clients or prospective clients have expressed an interest in; and • For us to comply with our legal and regulatory obligations, or in order to establish, exercise or defend our legal rights or for the purpose of any legal proceedings. Disclosure of your information to third parties • We may disclose, have in the previous 12 months disclosed, your personal data to our affiliates in order for us to discharge our obligations as investment manager for the funds, and/or in order for us to communicate effectively between related parts of our business. We will take steps to ensure that personal data is accessed only by staff that have a need to do so for the purposes described in this notice. We may also share, and have in the previous 12 months shared, your personal data outside of Marshall Wace and our affiliates: • With the board of the funds we act as investment manager for, any regulators applicable to our business or to the funds, the administrator and/or custodian of the relevant fund, and any third parties you ask us to communicate with; • With charities with which Marshall Wace may work • With third party agents or contractors (for example, the providers of our electronic data storage services) for the purpose of providing services to us. These third parties will be subject to confidentiality requirements and they will only use your personal data as described in this privacy notice; and • To the extent required by law, for example if we are under a duty to disclose your personal data in order to comply with any legal obligation, or to establish, exercise or defend our legal rights. We do not sell your personal data to third parties, and have not previously sold your personal data. Transfers of personal data outside the European Economic Area Please note that this section only applies to you if EU data protection laws apply to our handling of your personal data. The personal data that we collect from you may be transferred to, and stored at, a destination outside the European Economic Area (“EEA”). It may also be processed by staff operating outside of the EEA who work for our affiliates or for one of our third-party agents or contractors. Where we transfer your personal data outside the EEA, we will ensure that it is protected in a manner that is consistent with how your personal data will be protected by us in the EEA. This can be done in a number of ways, for example: • the country that we send the data to might be approved by the European Commission; • the recipient might have signed up to a contract based on “model contractual clauses” approved by the European Commission, obliging them to protect your personal data; or • where the recipient is located in the US, it might be a certified member of the EU-US Privacy Shield scheme. In other circumstances, the law may permit us to otherwise transfer your personal data outside the EEA. However, in all cases, we will ensure that any transfer of your personal data is compliant with data protection law. You can obtain more details of the protection given to your personal data when it is transferred outside the EEA by contacting us in accordance with the “Contacting us” section below. Retention of personal data How long we hold your personal data for will vary. The retention period will be determined by various criteria including: • the purpose for which we are using it – we will need to keep the data for as long as is necessary for that purpose; and • legal obligations – laws or regulation may set a minimum period for which we have to keep your personal data. Your rights Please note that this section only applies to you if EU data protection laws apply to our handling of your personal data. You have a number of legal rights in relation to the personal data that we hold about you. These rights include: • the right to obtain information regarding the processing of your personal data and access to the personal data which we hold about you; • the right to withdraw your consent to our processing of your personal data at any time. However, please note that we may still be entitled to process your personal data if we have another legitimate reason (other than consent) for doing so; • in some circumstances, the right to receive some personal data in a structured, commonly used and machine-readable format and/or request that we transmit those data to a third party where this is technically feasible. Please note that this right only applies to personal data which you have provided to us; • the right to request that we rectify your personal data if it is inaccurate or incomplete; • the right to request that we erase your personal data in certain circumstances. However, please note that there may be circumstances in which you ask us to erase your personal data but we are legally entitled to retain it; • the right to object to, and the right to request that we restrict our processing of your personal data in certain circumstances. Again, there may be circumstances where you object to, or ask us to restrict, our processing of your personal data but we are legally entitled to either continue processing your personal data and / or to refuse that request; and • the right to lodge a complaint with the data protection regulator (details of which are provided below) if you think that any of your rights have been infringed by us. You can exercise your rights by contacting us using the details set out in the “Contacting us” section below. You can find out more information about your rights by contacting the Information Commissioner’s Office, or by searching their website at https://ico.org.uk/. Please note that this section only applies to you if the California Consumer Privacy Act of 2018 (the “CCPA”) applies to our handling of your personal data (i.e, if you are a California, U.S.A. resident). Right to Know • Subject to certain exceptions set out below, on receipt of a verifiable request from you, we will provide you with: o The categories of personal information we have collected about you;o The categories of sources from which the personal information is collected; o Our business or commercial purpose for collecting or selling personal information; o The categories of third parties with whom we share personal information, if any; ando The specific pieces of personal information we have collected about you. • Please note that we are not required to: o Retain any personal information about you that was collected for a single one-time transaction if, in the ordinary course of business, that information about you is not retained; o Reidentify or otherwise link any data that, in the ordinary course of business, is not maintained in a manner that would be considered personal information; or o Provide the personal information to you more than twice in a 12-month period. Right to Deletion • Subject to certain exceptions set out below, on receipt of a verifiable request from you, we will: o Delete your personal information from our records; ando Direct any service providers to delete your personal information from their records. • Please note that we may not delete your personal information if allowed under the CCPA, including if retaining your personal information is necessary to: o Complete the transaction for which the personal information was collected, provide a service requested by you, or reasonably anticipated within the context of our ongoing business relationship with you, or otherwise perform a contract between you and us; o Detect security incidents, protect against malicious, deceptive, fraudulent, or illegal activity; or prosecute those responsible for that activity; o Debug to identify and repair errors that impair existing intended functionality;o Comply with the California Electronic Communications Privacy Act; o Enable solely internal uses that are compatible with the context in which you provided the information or reasonably aligned with your expectations based on your relationship with us; or o Comply with an existing legal obligation. Protection Against Discrimination • You have the right to not be discriminated against by us because you exercised any of your rights under the CCPA. This means we cannot, among other things: o Deny services to you; o Charge different prices or rates for services, including through the use of discounts or other benefits or imposing penalties; o Provide a different level or quality of services to you; oro Suggest that you will receive a different price or rate for services or a different level or quality of services. • Please note that we may charge a different price or rate, or provide a different level or quality of services to you, if that difference is reasonably related to the value provided to us by your personal information. • You can exercise your rights by contacting us using the details set out in the “Contacting us” section below. If you choose to exercise any of the rights you have under the CCPA, you will need to provide us with: o Enough information to identify you [(e.g., your full name, address and customer or matter reference number))]; o Proof of your identity and address (e.g., a copy of your driving license or passport and a recent utility or credit card bill); and o A description of what right you want to exercise and the information to which your request relates. • We are not obligated to make a data access or data portability disclosure if we cannot verify that the person making the request is the person about whom we collected information, or is someone authorized to act on such person’s behalf. • Any personal information we collect from you to verify your identity in connection with you request will be used solely for the purposes of verification. • You have the right to appoint an authorized agent to exercise your rights on your behalf. If you want your authorized agent to exercise your rights on your behalf, we reserve the right to require that you: o Provide the authorized agent to act for you; and o Verify your own identity directly with us as described above. Contacting us If you would like further information on the collection, use, disclosure, transfer or processing of your personal data or the exercise of any of the rights listed above, please send your query to your usual Marshall Wace contact or email privacy@mwam.com. For CCPA requests you may also call +1 212 235 2845. Accessibility Information For consumers with disabilities who need to access this Policy in an alternative format, please contact: +1 212 235 2845. ABOUT US JOIN US RESPONSIBILITY TEAMS INVESTOR LOGIN © 2021 Marshall Wace Marshall Wace LLP is a limited liability partnership registered in England and Wales under no. OC302228. Authorised and regulated by the Financial Conduct Authority. 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