AR Privacy Notice
Guidance Owner: Data Guardian
Quilter Financial Planning Client Privacy Notice
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:
In this document, “We”, “Us” and refers to Bateman Financial Management Limited., Quilter Financial Planning and its subsidiary companies.
At Bateman Financial Management Limited we respect your privacy and the confidentiality of your personal information.
Bateman Financial Management Limited. is a firm of professional financial advisers and an appointed representative of Lighthouse Advisory Services Limited, which is authorised and regulated by the Financial Conduct Authority (FCA). The FCA firm registration number of Lighthouse Advisory Services Limited is 195199
Lighthouse Advisory Services Limited, are wholly, owned subsidiaries of the Lighthouse Group plc, which is part of the Quilter Group of companies.
For further details on the companies in our group, please visit
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.
We will comply with relevant data protection law. Such laws require that the personal information we hold about you must be:
We try 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
You have the right to ask us:
In certain circumstances you also have the right to:
For information about your individual rights, including how to correct, restrict, delete, make changes to your personal information or if you wish to request a copy of the personal information we hold about you, please contact us by emailing us at QFPDataGuardian@quilter.com.
More information about your data protection rights can be found on the Information Commissioner’s Office (ICO) website.as well as on other regulators’ websites.
If you would like to write to us, our postal address for data protection matters is:
The Office of Data Protection
Quilter Financial Planning
85 Queen Victoria Street
However, we have adopted a flexible model for working so please note that written communications will take longer to respond to.
This privacy notice was drafted with brevity and clarity in mind, however further information can be obtained by contacting us using the details in the “How to contact us” section. More information about your data protection rights can be found via:
Personal data means information by which you may be personally identified directly or indirectly.
We collect certain personal information about you, this includes your name, address, or phone number and other information. We collect this information about you when you:
The type of personal information we collect will depend on the purpose for which it is collected and may include:
We collect personal information directly from you. For example, we ask for personal information at the start of our relationship (e.g. when you apply for a policy or service) and in subsequent communications in order to manage our relationship.
If we provide a service to your employees or a scheme, then personal data in relation to those employees or members of the scheme isn’t processed by Us as part of the standard corporate advice process. This information is normally provided directly to the product provider.
In limited circumstances, we may need to collect employee personal data, and where we do, we act as data processer and it’s therefore provided to Us by yourself, with the knowledge and consent of your employees.
Where we provide our services to trusts, we collect the personal information listed for the settler, beneficiaries and trustees of that trust. Where we provide our services to companies we may collect personal information for Directors, Shareholders and Beneficial Owners of the company. Where we provide our services to charities, we may collect personal information about the trustees or directors of that charity.
We may also collect information about you from other sources such as:
We keep your personal information only as long as is necessary for the purpose for which it was collected, or for legal or regulatory reasons. Personal information will be securely disposed of when it is no longer required in accordance with our Personal Data Retention Standard.
Advice data is retained for 50 years to meet our regulatory requirements.
We may also gather more sensitive personal data, called special category data, 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. In such cases, we will always explain this during the process and explain what information we require and why it is needed. Where we do require it, we will always seek your consent. Special category data will always be processed and stored securely.
Where it is necessary, we may also collect information relating to an individual’s criminal convictions. If this is the case we will explain what information we require, why it is needed and where required, will ask you for consent.
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.
More information about the cookies we use on our website can be found here: https://www.quilterfinancialadvisers.co.uk/cookie-notice/.
We process your information for the following purposes.
We may also process your personal data as part of an acquisition or sale. Should this happen, you’ll be notified about any change to processing or data controller arising as a result of this activity.
You have the right to object to us processing your personal information for some of the business purposes listed above but, if you do so, this may impact on our ability to provide some or all of our services to you.
We won’t process your employee’s data for the business purposes above. Our contractual relationship is with you and therefore any processing of data for business purposes will be undertaken with your data, not your employee’s.
Profiling involves the use of basic identifiers about you such as your name and address and matching this with information from Experian Marketing Services to create demographics and infer customer ‘types’. This helps us define groups based on factors like interests, age, location and more so we can better understand our customers to adapt and improve our products and services. If you would like to know more about the information we get from Experian Marketing Services, you can visit their Consumer Information Portal which explains who Experian Marketing Services are, what they do and why.
We operate under a number of legal bases as required under the regulations. These include:
We share your information with trusted third parties and service providers who perform tasks for us and help us to provide our products and/or services to you, and with other agencies where required by law, court order or regulation. These may include:
If you would like further information regarding the specific named recipients that we share data with, please contact us using the information in the “How to contact us” section.
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 and prevented from unauthorised or accidental access, processing, copying, modification, erasure, loss or use.
If we work with third parties in countries outside the United Kingdom, we ensure these are countries that the UK Government and 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 and agrees to treat your information with the same level of protection as we would.
We also utilise UK International Data Transfer Agreements and EU Standard Contractual Clauses for transfers outside of the United Kingdom or European Economic Area.
In limited circumstances, data may be accessed outside of the UK i.e. by employees when they travel. In these circumstances, we ensure there are appropriate information security measures in place to safeguard your information.
You may give and withdraw consent to the receipt of marketing information at any time. If you wish to change your preferences regarding the receipt of marketing or other communications from us, the simplest way is to use the ‘unsubscribe’ link at the bottom of any marketing communication.
Alternatively, you can contact us using any of the mechanisms included in the ‘How to contact us” section of this notice.
If you have questions about this notice, or need further information about our privacy practices, or wish to raise a complaint about how we have handled your personal data, you can contact our Data Protection team who will investigate the matter.
|Quilter Financial Planning|
|The Office of Data Protection
Quilter Financial Planning
85 Queen Victoria Street
If you are not satisfied with our response you can complain to our regulator:
|The Information Commissioner’s Office (ICO)
Tel: 0303 123 1113
We may want to send you relevant marketing electronically from time to time. If you don’t wish to receive electronic marketing, then please tick the box below to opt out.
|I do not wish to receive electronic marketing of relevant marketing information|
Consent to gather special category data
As detailed above, in some instances, it is necessary for us 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. This is where we need to gather your consent to the collection and processing of this data. 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.
|By signing this box, you are giving consent for special category personal data to be collected, stored and used in order for your adviser to provide you with a tailored advice service.|
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)