Legal & FSG
Regal Partners Limited (ACN 129 188 450) (collectively with its related bodies corporate, Regal Partners) provides the information on its website (Information) for general information purposes only and it is only intended as a limited and preliminary introduction to Regal Partners. By using this website, you agree to the following terms and conditions and acknowledge reading them:
The Information is not investment advice or financial product advice and has been prepared without taking into account your investment objectives, financial situation or particular circumstances (including financial and taxation issues).
The Information does not (and does not intend to) contain a recommendation or statement of opinion intended to be investment advice or to influence a decision to deal with any financial product nor does it constitute an offer, solicitation or commitment by Regal Partners.
The Information is liable to change and while Regal Partners will attempt to ensure that it is current, Regal Partners does not represent or warrant that the Information is accurate, complete or up to date and accepts no liability if it is not, as there may be delays, errors or omissions.
To the full extent permitted by law, Regal Partners excludes any liability for any loss or damage however caused that arises directly or indirectly (including loss of opportunity, lost revenue, lost profits, loss of data and interruption to business) from:
- the use of all or any part of this website;
- the use of all or any part of the Information;
- any security failure;
- the disclosure of confidential information by other parties;
- viruses; or
- using or downloading any software (third party or otherwise) accessible via this website.
This website may contain links to other websites. The inclusion of any link on this website does not imply any relationship or association between Regal Partners and the person sponsoring or hosting the linked site nor does it constitute or imply an endorsement or recommendation of any information, good or services referred to. Regal Partners makes no representation or warranty as to the accuracy or any other aspect of any information on any linked site (including that it does not infringe the intellectual property rights of any person anywhere in the world).
All trademarks mentioned on this website belong to their respective owners. Unless otherwise indicated, the copyright in the content of this website (including all Information) is owned or licensed to Regal Partners. No part of the content may be copied, adapted, reproduced, stored, uploaded, republished, linked, framed, posted, broadcasted, transmitted or distributed in any form or by any means without the prior written permission of Regal Partners.
Regal Partners Limited is committed to respecting your privacy and protecting the security of your personal information and complies with the Privacy Act 1988 (Cth) (the Act) and the Australian Privacy Principles under that Act. We take the protection of your personal information very seriously.
You are not required to provide personal information to us. However, if you do not provide us with all the information we request, the services we provide to you may be affected.
- the types of personal information we may collect;
- how we collect and handle personal information;
- purpose of collection, use and disclosure of personal information;
- storage and security of personal information;
- reporting data breaches;
- how you can gain access to your personal information and seek correction if required; and
- how you may complain or inquire about our collection, handling, use or disclosure of your personal information and how that complaint or concern will be handled.
Personal information we may collect
The types of personal information that Regal Partners may collect includes information that is reasonably necessary for Regal Partners to conduct its business, communicate with you, consider any investment applications and/or approaches that you make to us or provide you with appropriate services and may include:
- Personal Information: your full name, residential address, date of birth, contact details, copies of identification documentation, source of funds, nature of your business, if you are an entity such as a corporation or trust, your governing documents and details related to certain of your direct and indirect members and authorised signatories, your income, net assets or other relevant information related to your status as a wholesale investor, your country of residence, information relating to your status as a US investor, your tax file number, your bank account details and banking details.
- Sensitive information: Regulatory and other laws may also mandate us to collect additional information from you, for example membership of a political association, membership of a professional or trade association, or criminal record.
In respect of listed investment companies, listed investment trusts, funds or individually managed accounts managed or advised by Regal Partners, personal information including your bank account details and tax file number (TFN) are collected by the relevant share or unit registries or administrators and may be provided to Regal Partners. Please refer to the privacy details of the relevant share or unit registry or administrators on how they manage the privacy of this information.
How we collect Personal Information
We may collect personal information about you via:
- any messages or comments you submit to Regal Partners via its website or a website of a member of Regal Partners, through the ‘Contact Us’ page, and via email including the firstname.lastname@example.org email address;
- application forms, identification documentation or other documents that you may complete or provide to Regal Partners;
- face to face meetings, interviews and telephone conversations;
- attending our investor presentations or conferences;
- publicly available information;
- information that we receive from third parties, including share registry(s), administrators, custodians, brokers or from your legal, tax or financial advisers (where you have authorised them to provide this information to Regal Partners); or
- an employment application with Regal Partners.
Links and Cookies
The Regal Partners website (www.regalpartners.com) may contain links to other websites. Such websites are responsible for their own privacy practices and you should review the respective privacy policies or statements of those websites.
Regal Partners may use third parties to analyse traffic at its website and may use ‘cookies’ (a packet of information placed on a user’s computer by a website for record keeping purposes) to do this, however, the information collected to conduct such analysis is anonymous.
Unsolicited Personal Information
We may be provided with personal information without having sought it through our normal means of collection. This is known as “unsolicited information” and is often collected by:
- misdirected postal mail – Letters, Notes, Documents;
- misdirected electronic mail – Emails, electronic messages;
- employment applications sent to us that are not in response to an advertised vacancy; or
- additional information provided to us which was not requested.
Unsolicited information obtained by us will only be held, used and or disclosed if it is considered as personal information that could have been collected by normal means or the collection would be reasonably expected by you. If that unsolicited information could not have been collected by normal means or the collection would not reasonably be expected by you, then we will destroy, permanently delete or de-identify the personal information as appropriate.
Purpose of collection, use and disclosure of Personal Information
Regal Partners collects your personal information primarily for the purpose of processing applications (including identifying you and confirming your eligibility to invest in the product or to utilise the service), managing and administering your investments and/or to providing services to you, and providing you with investment related communications.
Regal Partners will only use or disclose your personal information:
- for the purpose for which you provided it or for a related purpose that would be reasonably expected by you;
- where you have consented to the use or disclosure; or
- to the extent that Regal Partners is required or permitted to do so by law, including to comply with anti-money laundering and counter-terrorism financing, taxation or any other regulatory reporting requirements.
We may disclose your personal information to Regal Partners’ related bodies corporate, to regulators to the extent required or permitted by law, and to other companies and individuals who assist us in providing services or who perform functions on our behalf such as administrators and custodians. These related bodies corporate and service providers may be located or operate overseas and therefore your information may be held outside Australia. Regal Partners has contractual arrangements in place with its service providers which are designed to ensure that your personal information is kept confidential and secure. Regal Partners will take all reasonable steps to not disclose an individual’s personal information to overseas recipients unless we have satisfied ourselves that the overseas recipient is compliant with the Australian Privacy Principles, or a similar privacy regime.
Regal Partners may also use your personal information to keep you informed of our services, events and investment opportunities. We may contact you by mail, telephone, email or SMS to keep you informed. We will always give you the opportunity to “opt out” of receiving any information and may subject to the nature of the information provided seek specific consent. Please contact us via email@example.com if you do not wish to be contacted for these purposes.
Regal Partners does not sell personal information to other companies or individuals and will not disclose your personal information to any third-party marketing company.
Storage, Security and Integrity of Personal Information
Regal Partners regards the security of your personal information as paramount and takes reasonable steps to protect the security of personal information that it holds. Regal Partners also takes reasonable steps to protect such information from misuse, loss and unauthorised access, modification or unlawful disclosure.
If Regal Partners determines that it was not entitled to collect the personal information when it was collected or if required by applicable laws, Regal Partners will take reasonable steps to destroy the personal information. These steps may vary depending on the nature of the information, the way it was collected and how it was stored.
Your personal information is stored in secure buildings and systems in written and/or electronic form. Personal information is protected from misuse and loss and from unauthorised access by such measures as (including but not limited to):
- use of physical security, network security, password protection, restricted access depending on staff role and responsibilities;
- ensuring staff comply with internal policies and procedures; and
- confidentiality agreements in place to bind staff and third-party providers (e.g. share registry, administrators, custodians).
Although Regal Partners endeavours to provide a secure environment, and restricts Regal Partners personnel access to personal information, the Internet by nature is not a secure environment. Information transmitted to Regal Partners over the Internet cannot be guaranteed to be completely secure or error free, and as such Regal Partners is not responsible for them. If you send an e-mail to Regal Partners over the Internet, you are accepting the associated risks.
Reporting Notifiable Data Breaches
We will take appropriate, prompt action if we have reasonable grounds to believe that a data breach may have or is suspected to have occurred. Depending on the type of data breach, this may include a review of our internal security procedures, taking remedial internal action, and if there is an eligible data breach notifying affected individuals and the Office of the Australian Information Commissioner (OAIC).
Accessing and Correcting Personal Information
Regal Partners endeavours to ensure that the personal information it holds is accurate, up to date and complete. To assist us, please make sure that the information you provide to use is accurate, up-to-date, and complete. You may contact us via firstname.lastname@example.org and request a correction if you feel the information we hold about you is inaccurate, incomplete, out of date or misleading. If we are satisfied that any personal information we hold about you is inaccurate, out of date or incomplete (having regard to the purpose for which it is held) we will take such steps (if any) as are reasonable in the circumstances to correct that personal information. This may include notifying third parties to whom we have disclosed that personal information. If we do not agree that personal information we hold about you is inaccurate, incomplete, out of date, misleading or not relevant you may ask that we attach a statement to this effect to our record.
How to Contact Us
- emailing email@example.com
- calling +61 2 8197 4333 or
- writing to us at Level 47, 1 Macquarie Place, Sydney NSW 2000
If practical, you can contact us anonymously (i.e. without identifying yourself) or by using a pseudonym. However, if you choose not to identify yourself, we may not be able to give you the information or assistance you might otherwise receive.
Privacy Concerns or Complaints
If you have any concerns or complaints about your privacy, please contact us in writing via firstname.lastname@example.org as soon as possible. Regal Partners will use its best endeavours to resolve your concern or complaint within a reasonable time and we may seek further information from you in order to provide you with a full and complete response.
If we are unable to satisfactorily resolve your concern or complaint, you can contact the Office of the Australian Information Commissioner (OAIC) by using their contact details at www.oaic.gov.au. The OAIC has the power to investigate and make a determination.
Updates to this Policy
Last updated: 06 June 2022
Financial services guide
You can download a copy of our Financial Services Guide here.
Last updated: 25 July 2022