This privacy notice is to let you know how companies within the Group will look after your personal data. This includes what you tell us about yourself, what we learn by having you as a customer, and the choices you give us about what marketing information you want us to send you.
At Bateman Financial Management Limited we respect your privacy and the confidentiality of your personal information.
Bateman Financial Management Limited is a an appointed representative of Lighthouse Advisory Services Limited who is part of the Quilter Group of companies.
For further details on the companies in our group, please visit
This Privacy Notice explains:
Bateman Financial Management Limited provide financial planning solutions and advice through experienced and qualified advisers based in the UK.
Currently, Bateman Financial Management Limited and Quilter Financial Planning (Quilter) jointly determine the purposes and means of processing personal client data relating to giving advice. This means we’re joint data controllers for these core advice giving activities and therefore responsible for managing this client data and ensuring compliance.
However, Bateman Financial Management Limited is solely responsible for some activities, for example any direct marketing that we undertake.
Personal information includes your name, address, or phone number and other information that isn’t otherwise publicly available. We collect personal information about you when you contact us about products and services, visit a financial advisor, visit a website we may have or register to
receive one of our newsletters (if applicable).
The type of personal information we collect will depend on the purpose for which it is collected and includes:
We collect personal information directly from you. For example, we ask for personal information at the start of our relationship and in subsequent communications, in order to check your identity and protect you from fraud. This is a legal requirement and is important to help safeguard you against potential crime.
In some instances, it is necessary to collect more sensitive information (such as health or lifestyle information) which is called special category data. This is to allow us to provide our financial advice service to you. We will always obtain your consent during the advice process to gather this data and explain what information we require and why it is needed. Sensitive personal information will always be processed and stored securely. You can withdraw your consent at any time to us processing this data, however, this may mean that you can no longer access the service or product the information was gathered for.
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’re 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.
We keep your personal information only as long as is necessary for the purpose for which it was collected and to meet regulatory or legislative requirements.
Advice data is retained for 50 years to meet our regulatory requirements.
Personal information will be securely disposed of when it’s no longer required, in accordance with our Data Retention and Disposal Schedule. A copy of this is available using the contact details below.
The processing of your personal data is allowed under a number of lawful bases. The data required for the provision of products and services is processed on the basis there’s 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, as listed below, which impact how we can use and process your data.
We process your information in order to support and maintain our contractual relationship with you and to comply with legal and regulatory requirements. This includes the following:
We also process your data for specific business purposes to enable us to give you the best products and services and the best and most secure experience. For example, we process your information to send you marketing that is tailored to your interests.
Our business purposes include the following:
You have the right to object to this processing if you wish, please see “YOUR RIGHTS” section below. Please bear in mind that if you object this may affect our ability to carry out the tasks above for your benefit.
We may also process your personal data as part of an acquisition or sale. Should this happen, you will be notified about any change to processing or data controller arising as a result of this activity.
We share your information with trusted third parties who perform tasks for us and help us to provide the services you require these include:
We’re 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 Commission 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 ensure there are appropriate information security measures in place to safeguard your information.
Basic identifiers about you (e.g. your name and address) is matched with information from Experian Marketing Services to create demographics and infer customer ‘types’ so that Quilter Financial Planning and the Quilter group of companies can define groups based on factors like interests, age, location and more. This helps Quilter Financial Planning and the Quilter group of companies better understand our customers in order to adapt and improve our products and services.
If you would like to know more about the information we receive from Experian Marketing Services, you can visit their website (www.experian.co.uk/privacy/consumer-information-portal) which explains who Experian Marketing Services are, what they do and why.
Bateman Financial Management Limited 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/
You have the right to opt out of receiving marketing information and tell us what your communication preferences are by contacting Quilter Financial Planning using the details provided at the end of this notice or by using the opt out option below or on any email marketing. You may opt out at any time if you don’t want to receive any further communications of this nature.
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 number/address listed below.
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 us using the following details. Quilter will liaise with Bateman Financial Management Limited on your behalf to effect your requests.
The Office of Data Protection
Quilter Financial Planning Limited
0161 488 3559
If you wish to raise a complaint about how we have handled your personal data, you can contact The Office of Data Protection who’ll investigate the matter.
If you’re not satisfied with our response, or believe we’re not processing your personal data in accordance with the law, you can complain to our regulator:
Information Governance Department
Information Commissioner’s Office
0303 123 1113
If you are unhappy with our service
If you have a complaint about your adviser, or any financial advice you have received from your adviser, please contact us:
Quilter Financial Planning Complaints Department
Newcastle upon Tyne
Tel: 0191 241 0700
You can find more information by visiting the Quilter Financial Planning website:
If you cannot settle your complaint with us, you may be entitled to refer it to the Financial Ombudsman Service (www.financial-ombudsman.org.uk)