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Privacy Notice

CAERUS Financial Limited (CAERUS) is committed to protecting your privacy and ensuring that your personal information is collected and used appropriately, lawfully and transparently. This notice sets out the basis on which any personal data we collect from you, or that you provide to us, will be processed by us. Please read the following carefully to understand our views and practices regarding your personal data and how we will treat it.

This Privacy Notice explains: 

WHO WE ARE

CAERUS is a network of adviser firms based in the UK who provide financial planning solutions; financial advice; wealth management products and services; pension advice; asset management solutions and discretionary investment management to customers.

CAERUS is owned by Intrinsic Financial Services Limited which is part of the Quilter Group of Companies. For further details on the companies in our group, please click here.

We deliver service, supported by a comprehensive range of compliance, governance and training solutions which enables member firms to provide and create financial plans that can adapt to your client’s financial objectives, circumstances and changing needs.

WHAT PERSONAL INFORMATION WE COLLECT

We collect personal information about you when you use our website, contact us about joining CAERUS and about our services, visit or contact our recruitment managers, complete our application form or register to receive our newsletters.  We will also gather information about you when you join our network to allow us to undertake our role as Principal.

The type of personal information we may collect will depend on the purpose for which it is collected but may include:

We may ask for personal information at the start of our relationship and in subsequent communications (such as periodic “Fit and Proper” or competency checks) in order to check your identity, provide network support as Principal and to undertake compliance and monitoring activities. This is a regulatory requirement imposed by the Financial Conduct Authority (FCA).

SPECIAL CATEGORIES DATA

CAERUS may also gather more sensitive personal data, called special category data, as part of our role of Principal firm, for example, as part of recruitment.  This type of data can include racial or ethnic origin, genetic or health information or sexual orientation.  The processing of some of this data is necessary for us to fulfil the obligations on us as Principal.  In such cases, we will always explain this during the onboarding process and explain what information we require and why it is needed.  Where we do require it, we will always get consent.  Special category data will always be processed and stored securely.

COOKIES

We also collect information about you from other sources. For example, our website automatically collects information from your computer using “cookies” which provides us with limited personal information.  Cookies are small text files that are placed on your computer by websites that you visit. They are widely used in order to make websites work, or work more efficiently, as well as to provide information to the website owners. For further information visit www.aboutcookies.org or www.allaboutcookies.org.

You can set your browser not to accept cookies and the above websites tell you how to remove cookies from your browser. However, in a few cases some of our website features may not function as a result.

DATA RETENTION

We keep your personal information only as long as is necessary for the purpose for which it was collected to meet regulatory or legislative requirements. Personal information will be securely disposed of when it is no longer required in accordance with our Data Retention and Disposal Schedule.  A copy of this is available using the contact details below.

ON WHAT BASIS DO WE COLLECT DATA

The processing of your personal data is allowed under a number of lawful bases.  The data required for the provision of our network services is processed on the basis there is a contract with you to do so.  Any relevant marketing activity we undertake is done because as a firm we have a legitimate interest to do so however, you have rights to object to this as per the “YOUR RIGHTS” section below.

HOW WE USE YOUR PERSONAL INFORMATION

We process your information in order to support and maintain our contractual relationship with you as a Director or Principal of a member firm, and to comply with legal and regulatory requirements.  This includes the following:

We also process your personal data for specific business purposes, for example to send you updates of our services and information from our panel of lenders/providers.

Our business purposes include the following:

You have the right to object to this processing if you wish, please see “YOUR RIGHTS” section below.

We may also process your personal data as part of an acquisition or sale.  Should this happen, you will notified about any change to processing or data controller arising as a result of this activity.

WHO WE SHARE YOUR INFORMATION WITH AND WHY

We share your information with trusted third parties who perform tasks for us and help us to provide the services you require. These include:

HOW WE KEEP YOUR INFORMATION SECURE

We are committed to ensuring the confidentiality of the personal information that we hold and we continue to review our security controls and related policies and procedures to ensure that your personal information remains secure.

When we contract with third parties, we impose appropriate security, privacy and confidentiality obligations on them to ensure that personal information is kept secure.

If we work with third parties in countries outside the EU, we ensure these are countries that the European Union has confirmed have an adequate level of protection for personal information, or the organisation receiving the personal data has provided adequate safeguards.

In limited circumstances, data may be accessed outside of the EEA, i.e., by employees when they travel. In these circumstances, we have appropriate information security measures in place to safeguard this information.

YOUR RIGHTS

CAERUS tries to be as open as it can be in terms of giving people access to their personal information and therefore have outlined your rights below.  This privacy notice was drafted with brevity and clarity in mind, therefore further information can be gathered by contacting us using the details below, or more information about your data protection rights can be found here: https://ico.org.uk/for-organisations/guide-to-the-general-data-protection-regulation-gdpr/individual-rights/

MARKETING

You have the right to opt out of receiving marketing information and tell us what your communication preferences are by contacting us using the details provided at the end of this notice or by using the opt out option on any email marketing. You may opt out at any time if you don’t want to receive any further marketing information.

INDIVIDUAL DATA RIGHTS AND REQUESTS

As a data subject you have the right to make the following requests:

If you wish to correct, restrict, delete or make changes to your personal information, or any of the data subject rights listed above, please contact us at the numbers/addresses listed below.

HOW TO CONTACT US

If you have questions about this notice, need further information about our privacy practices, or wish to give or withdraw consent, exercise preferences or correct your personal information, please contact Intrinsic Financial Services Limited using the following details. 

The Office of Data Protection,
Intrinsic Financial Services,
Wiltshire Court
Farnsby Street,
Swindon
Wiltshire
SN1 5AH

0161 488 3559

DataGuardian@intrinsicfs.com

HOW TO COMPLAIN

If you wish to raise a complaint about how we have handled your personal data, you can contact The Office of Data Protection who will investigate the matter.

If you are not satisfied with our response or believe we are not processing your personal data in accordance with the law you can complain to our regulator:

Information Governance Department
Information Commissioner's Office
Wycliffe House
Water Lane
Wilmslow
Cheshire
SK9 5AF

0303 123 1113

www.ico.org.uk/concerns