Legal & Regulatory


Website

This website contains information about the range of services offered by Axio Capital Solutions Limited. The following information should be read in conjunction with the information contained in the rest of the website, which set out the legal and regulatory provisions applicable to the website. By accessing the website, you agree to be bound by these terms and conditions.

The materials contained in this website are provided for general information purposes only and do not constitute legal or other professional advice. We accept no responsibility for loss which may arise from reliance on information contained in this site.

While every effort has been made to ensure that the information contained on this website is complete and accurate at the date of publication, Axio Capital Solutions Limited does not warrant the adequacy, accuracy or completeness of the information contained on this website, and does not accept any liability arising from any inaccuracy or omissions in or the use of or reliance on the information contained within this website.



Copyright

The copyright in this website is owned by Axio Capital Solutions Limited.



Regulatory

Axio Capital Solutions Limited is regulated by the Jersey Financial Services Commission.



Data Protection Privacy Policy

1 ) This policy

This policy is issued by the Axio Group and is applicable to all persons with whom we interact, including clients and their employees (together, “you”).

2 ) Processing of personal data

Axio collects information about an individual, from which an individual is identifiable (“Personal Data”) when it is provided to us either by you, your representatives, a third party or from public sources, including the internet and subscription databases.

2.1 ) The categories of Personal Data that we process include:

• Personal Details: names, dates of birth, copies of passport and other identification documents and tax identification numbers;

• Contact Details: residential addresses, telephone numbers and e-mail addresses; and

• Financial Details: bank account numbers and transaction records.

2.2 ) Axio does not routinely seek to collect or otherwise process data consisting of racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, genetic data, biometric data, data concerning health or data concerning a natural person's sex life or sexual orientation (“Sensitive Personal Data”) unless:

• It is necessary for compliance with a legal obligation, including anti money laundering or the combating of the financing of terrorism;

• You have made the Sensitive Personal Data public; or

• We have obtained your prior consent.


2.3 ) The purposes for which we may process your Personal Data are:

2.3.1 ) Fulfilling our or your legal and regulatory compliance obligations, including those in relation to employment and for the prevention of market abuse, tax evasion and money laundering, such as ‘Know Your Customer’ checks, confirming and verifying identify, and screening against subscription databases (for example, for sanctions and adverse media checks).

Legal basis for processing:

• To comply with a legal obligation; or

• Necessary in connection with an engagement letter or other contract that you have entered into with Axio; or

• We have a legitimate interest for the prevention of market abuse, tax evasion, money laundering, sanctions violations and protection against fraud; or

• We have obtained your prior consent.

2.3.2 ) Business take on

Legal basis for processing:

• To comply with a legal obligation; or

• Necessary in connection with an engagement letter or other contract that you have entered into with Axio; or

• We have a legitimate interest in order to take on new business; or

• We have obtained your prior consent.

2.3.3 ) Provision of services

Legal basis for processing:

• To comply with a legal obligation; or

• Necessary in connection with an engagement letter or other contract that you have entered into with Axio; or

• We have a legitimate interest in order to provide services to you; or

• We have obtained your prior consent.

2.3.4 ) Audit, compliance or other risk management procedures

Legal basis for processing:

• To comply with a legal obligation; or

• We have a legitimate interest in order to manage the risks to which we are exposed.

2.3.5 ) Recruitment

Legal basis for processing:

• To comply with a legal obligation; or

• We have a legitimate interest in order to carry out recruitment; or

• We have obtained your prior consent.

2.3.6 ) Providing physical access to our premises or electronic access to our systems

Legal basis for processing:

• To comply with a legal obligation; or

• Necessary in connection with an engagement letter or other contract that you have entered into with Axio; or

• We have a legitimate interest in order to ensure the physical and electronic security of our business, premises and assets; or

• We have obtained your prior consent.

3 ) Disclosure of Personal Data within the Axio Group and to third parties

We may disclose your Personal Data to other entities within the Axio Group for legitimate business purposes, in accordance with applicable law. In addition, we may disclose your Personal Data to:

• Clients and their professional advisors;

• Third parties (for example, banking institutions) who provide services to Axio’s clients;

• Service providers to Axio (for example, auditors, legal counsel, IT providers);

• Governmental, legal, regulatory or similar authorities upon request; and

• Other parties, if required to comply with legal or regulatory requirements.

4 ) Data security

We have implemented appropriate security measures designed to protect your Personal Data.

5 ) Data accuracy

We take reasonable steps designed to ensure the Personal Data we process is up to date. You should inform us of any changes to your Personal Data.

6 ) Data retention

We take reasonable steps to only retain hard and/or electronic copies of your Personal Data for as long as necessary in connection with the lawful purposes set out in this policy and for the duration required under applicable law. Once the retention periods have concluded, we will permanently delete or destroy the relevant Personal Data, archive it so that it is beyond use, or anonymise it.

7 ) Website tracking

We reserve the right to track numbers who visit the site, but any tracking will not include personally identifiable information. We log user IP addresses - the location of your computer on the internet - for basic analytics, systems administration and trouble-shooting purposes only. We do not link IP addresses to anything personally identifiable. Your browser will also inform us of the type of computer or operating system being used by you.

8 ) Cookies

This website does not use cookies, but we reserve the right to introduce the use of cookies in the future without prior notice. Most browsers are initially set to accept cookies, but can be set to refuse cookies at your discretion. However, choosing to do so you might impair your ability to use certain site functionality.

9 ) Your legal rights

9.1 ) The right of access to obtain a copy of your Personal Data held by Axio;

9.2 ) The right to have inaccurate Personal Data rectified, or completed if it is incomplete;

9.3 ) The right to have your Personal Data erased, unless the data is necessary for Axio to comply with a legal or regulatory obligation, or for the establishment, exercise or defence of legal claims;

9.4 ) The right to request the restriction or suppression of your Personal Data;

9.5 ) The right to data portability in order for you to obtain and reuse your Personal Data for your own purposes across different services;

9.6 ) The right to object to the processing of your Personal Data, unless there are compelling legitimate grounds for the processing, which override the interests, rights and freedoms of the individual; or the processing is for the establishment, exercise or defence of legal claims;

9.7 ) The right to withdraw your consent to the processing of your Personal Data at any time, where this is the sole legal basis for the processing; and

9.8 ) The right to lodge complaints with the Jersey Data Protection Authority regarding our processing of your Personal Data.

10 ) Contact details

The Axio Group’s data controllers are Axio Capital Solutions Limited and Axio Capital Solutions (UK) Limited.

If you have any comments, questions or concerns about any information in this policy, or any other issues relating to the processing of Personal Data by the Axio Group, please contact your regular Axio contact or stevebriddon@axiocs.com.