Topor & Co. TCL Privacy policy Public Disclosure of Personal Information Policy (pdf) In this Policy, "TCL", "we", "us" and "our", refer to Topor & Co. Limited, registered in the United Kingdom with its registered office at 20 Thayer Street, 1st Floor, London, W1D 2DD. Topor & Co. Limited's company registration number is 07151311. TCL is committed to safeguarding information provided to us by any third parties ("you") (including its clients and all visitors to the website www.topor.co.uk (the "Website")) from which any individual can be identified, such as names, contact details and ID data ("Personal Information"). To the extent that any Personal Information is collected, it will be held in confidence in accordance with the Data Protection Legislation (as defined below). Please read the following Privacy Policy for an explanation of how we use and protect your information. We will only use Personal Information which is provided to us, or otherwise obtained by us, as set out in this Policy. We will ensure that your Personal Information is handled in accordance with the "Data Protection Legislation" (meaning any law applicable from time to time relating to the processing of Personal Information and/or privacy as the same may be re-enacted, applied, amended, superseded, repealed or consolidated, including without limitation, the UK Data Protection Act 1998, (with effect from 25 May 2018) the General Data Protection Regulation (EU) 2016/679, and the Privacy and Electronic Communications (EC Directive) Regulations 2003, in each case including any legally binding regulations, directions and orders issued from time to time under or in connection with any such law). By visiting and/or contacting us through the Website (or otherwise engaging with us, such as for investor relations purposes), you acknowledge that we may collect, use and transfer your Personal Information as set out in this Policy. TCL reserves the right to change this Policy from time to time and you should therefore check this page frequently to ensure that you are happy with any changes. For the purposes of the Data Protection Legislation, TCL is deemed to be the "data controllers" in respect of any Personal Information that you provide to us or we otherwise obtain about you. 1. PERSONAL INFORMATION THAT WE COLLECT FROM YOU When you engage with us (e.g. sending us emails, contacting us via telephone or visiting or making an enquiry through the Website), you may provide Personal Information about yourself including your name and contact details (e.g. your address, email address and telephone number) and your job title and CV where you apply for a role with us. If you consider investing with us, you may also provide us with your financial information and various other necessary Personal Information (e.g. your social security or tax payer identification number, investment history and bank details). Where you make use of our Website we may also collect information about your use of the Website (e.g. your IP address and choice of web browser). Some of this Personal Information is collected and processed so we can perform a contract with you, some for the purpose of legal compliance and some for the purposes of our legitimate business interests (namely to carry out and improve our business, analyse the use of our Website and services and support our staff and clients). In order to comply with our legal obligations, we record all calls made on certain employees' landline and mobile telephone lines. Where this is in effect, we will make this clear by a spoken notice at the point of connection of the call. Where you apply for a job with us, we may collect from you and third parties (where relevant) additional Personal Information such as your CV and any references. Unless you agree that we can keep such information on file for future opportunities or we need to retain such information for compliance with our legal obligations, in the event that you are unsuccessful, we will only retain this Personal Information for as long as is reasonably necessary to process your application. Where you provide Personal Information on behalf of another individual, you are responsible for notifying that individual that you have provided their Personal Information to us and directing them to this Policy as to how we will process their Personal Information. 2. PERSONAL INFORMATION THAT WE RECEIVE FROM OTHER SOURCES We may receive information from third parties who collect Personal Information from you and pass it on to us. For example: (i) where we are conducting due diligence on prospective investee companies or deciding whether to invest in third parties we may also receive Personal Information concerning key personnel; (ii) our staff may also give us emergency contact information as part of our emergency scenario planning and may give us details of their dependents and of other people in relation to their employee benefits arrangements; (iii) where another individual makes an investment on your behalf, they may provide us with certain Personal Information to effect the transfer of the investment to you, such as your name and contact details; (iv) your employer may provide your Personal Information to us in connection with a service they provide to us or in connection with services that we provide to our clients; and (v) we may receive information from past employers and others concerning your employment history where you apply for a job with us. Where this is the case the third party is responsible for informing you that they have shared your Personal Information with us, directing you to this Policy as to how we will process your Personal Information and obtaining any relevant consents from you to ensure you are happy with the ways in which your Personal Information will be used, but once we are holding it, we will only handle it in accordance with this Policy. 3. SENSITIVE PERSONAL INFORMATION "Sensitive Personal Information" is Personal Information concerning an individual's (i) racial or ethnic origin, (ii) political opinions, (iii) religious beliefs or other beliefs of a similar nature, (iv) membership of a trade union, (v) physical or mental health or condition, (vi) sexual life or orientation, (vii) commission or alleged commission of any offence or any proceedings for any offence committed or alleged to have been committed by him/her, the disposal of such proceedings or the sentence of any court in such proceedings. You may provide us with Sensitive Personal Information from time to time in connection with your application to invest with us, our provision of investment services to you, where you apply for a job with us or otherwise. In such cases, the provision of this information is entirely voluntary and subject to your express consent, however, we may be unable to carry out some activities necessary to process your application, instructions or other requests without the provision of such information, including that we may be unable to process shareholder application forms or similar requests. Where necessary, we may also process such information in the establishment, exercise or defence of legal claims. Where we do receive Sensitive Personal Information, we will only keep such information for as long as strictly necessary in order to comply with our obligations under the law. 4. WHAT WE DO WITH YOUR PERSONAL INFORMATION We will only use your Personal Information in order to (a) manage and administer your investment or proposed investment and any related accounts on an ongoing basis, in accordance with the contract between you and us, (b) provide investor relations and support to you in respect of these services, (c) improve our Website and services, (d) comply with our own legal and regulatory obligations, including in relation to financial promotion, applicable anti-money laundering and counter terrorist financial legislation, the Common Reporting Standard and FATCA, (e) for our internal business processes, including providing support to our staff and our assessments of prospective investee companies, and (f) where relevant, process your application for employment. Where you have explicitly consented at the time we collected your Personal Information or where we otherwise have a right to do so, we may also use your Personal Information to let you know about any of our services that may be of interest to you and/or inform you about important changes or developments to our services by email. Where you or your employer (or any other entity you work for) provides services to us, you and/or they may provide us with some of your Personal Information in connection with the provision of the services, such as your name, business contact details and other ID information. We will only process such Personal Information in connection with the provision of the services (such as using your contact details to discuss the services) and in accordance with this Policy. In addition, where necessary, we may also share your Personal Information with our investors or other third parties in order to provide our services (e.g. if you or your business provides investor administration services, we may share your business contact details with our investors so that they can contact you). 5. HOW WE SHARE YOUR PERSONAL INFORMATION Where it is necessary for the performance of our contract with you or for our internal business processes, we may share your Personal Information with certain third parties, such as the account custodians, service providers, regulatory bodies, auditors, technology providers and any duly authorised agents or related, associated or affiliated companies of the foregoing for the same purposes. By submitting your Personal Information to us, you acknowledge that such third parties may receive and process your Personal Information. We ask all third parties to treat your Personal Information securely and in accordance with this Policy and will take reasonable steps to enforce this. We will never sell your data. In addition, it may be necessary to disclose your Personal Information if we are under a duty to disclose your Personal Information in order to comply with any legal obligation (such as anti-money laundering or anti-terrorist financing obligations), carry out an internal investigation, enforce our Terms and Conditions on our Website and any other agreement, or protect the rights, property, or safety of TCL, our group companies and our clients, directors, employees or other personnel. This includes exchanging information with other companies and organisations for the purposes of fraud protection and prevention. In particular, in order to comply with the Common Reporting Standard and FATCA, Personal Information may be shared with the tax authority of the jurisdiction in which the relevant account is domiciled. It in turn may exchange information (including Personal Information and financial information) with foreign tax authorities (including the U.S. Internal Revenue Service and foreign tax authorities located outside the European Economic Area). In exceptional circumstances, if we are sold or merged with another company we may disclose your information to a potential buyer, including your Personal Information and other information concerning your relationship with us, so that they can continue to provide the services you have requested. 6. OUR SECURITY MEASURES AND INFORMATION ABOUT WHEN WE DELETE DATA We will only keep your Personal Information for as long as we reasonably require for business or other purposes and, in any event, only for as long as the Data Protection Legislation allows. Unfortunately, the transmission of information via the internet is not completely secure and, although we will take steps to protect your Personal Information, we cannot guarantee the security of your Personal Information transmitted via the Website; any transmission is therefore at your own risk. Some of our premises use CCTV for the purpose of crime prevention, however, this is under the control of a third party and therefore you should consult any notices they display and their privacy statements for more information. 7. ACCESSING AND UPDATING YOUR PERSONAL INFORMATION You have the right to ask us not to process your Personal Information for marketing or research purposes. If you have given us your express consent, or where we otherwise have the right to do so, we may use your Personal Information for marketing purposes. If we intend to disclose your Personal Information to any third party for marketing purposes, we will seek your explicit consent prior to any such transfer. You can exercise your right to prevent such processing by checking certain boxes on the forms we use to collect your Personal Information. You are entitled to know some details about the Personal Information we hold about you and how that information is processed. If you would like to request this, please contact us at tdelnobile@topor.co.uk and we will provide you with the information to which you are entitled. You can also ask us to: (a) make any changes to ensure that any Personal Information we hold about you is accurate and up to date; (b) erase or stop processing any Personal Information we hold about you where there is no longer a legal ground for us to hold it; or (c) in some circumstances, transfer any information we hold about you to a specified third party. If you wish to exercise any of these rights, please contact us at tdelnobile@topor.co.uk 8. COMPLAINTS Should you have any queries or complaints in relation to how we use your Personal Information, please contact us at tdelnobile@topor.co.uk. Should you wish to take any complaints or queries further, you have the right to contact the Information Commissioner's Office regarding such issues. 9. CHANGES TO THIS PRIVACY POLICY TCL may amend this Policy at any time without notice. By continuing to use the Website and making use of our services you acknowledge that we shall process your Personal Information in accordance with the updated Policy. If you are not happy with any changes that we make, you should not use or access (or continue to use or access) the Website and/or our services. Any changes to this Policy will be posted on the Website. 10. OUR CONTACT INFORMATION If you have any questions (including relating to transfers of your Personal Information outside the EEA), please feel free to contact us by email at: tdelnobile@topor.co.uk.