YORK CAPITAL MANAGEMENT GLOBAL ADVISORS, LLC
Effective Date: April 1, 2023
It is important that the personal data we hold about you is accurate and current. Please keep us informed if your personal data changes during your relationship with us.
2. THE DATA WE COLLECT ABOUT YOU
Personal data about you is information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with you or your household. Listed below are the types of personal data that we may have collected about you within the past 12 months. It is unlikely that we would have collected personal data about you about in all of these categories, and each type of information listed below is personal data only if the information identifies, relates to, describes, references, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with you or your household.
- Identifiers such as: your name, postal address, email address, phone number, or other similar identifiers.
- “Customer Records” information (some of which may be identifiers or professional/employment-related information as well), such as your name, signature, Social Security number, address, telephone number, driver’s license or state identification card number, insurance policy number, or bank account number.
- Commercial information, such as records of products or services purchased, obtained, or considered, or other purchasing or consuming histories or tendencies.
- Sensory data, such as audio, electronic, visual, or similar information, such as if we record a phone call with you.
- Professional or employment-related information, such as your current or past job history.
- Educational records, such as school transcripts if you are applying for a job with us.
- Personal characteristics that are related to classifications legally protected from discrimination, such as marital status, age, and gender.
- Sensitive personal information, such as your Social Security number.
We do not collect any “Special Categories of Personal Data” about you (meaning details about your race or ethnicity, religious or philosophical beliefs, sex life, sexual orientation, political opinions, trade union membership, information about your health and genetic and biometric data). Nor do we collect any information about criminal convictions and offences.
3. HOW WE COLLECT YOUR PERSONAL DATA
We use different methods to collect data from and about you including through:
Direct interactions. You may give us your personal data by filling in forms or by corresponding with us by post, phone, email or otherwise. This includes personal data you provide when you:
- apply for our products or services;
- create an account on our website;
- enter into a transaction with us; or
- enter into a Subscription Agreement.
4. HOW WE USE YOUR PERSONAL DATA
We will only use your personal data when the law allows us to. Most commonly, we will use your personal data in the following circumstances:
- Where we need to perform the contract we are about to enter into or have entered into with you.
- Where it is necessary for our legitimate interests (or those of a third party) and your interests and fundamental rights do not override those interests.
- Where we need to comply with a legal or regulatory obligation.
Purposes for which we will use your personal data
We have set out below, in a table format, a description of all the ways we plan to use your personal data, and which of the legal bases we rely on to do so. We have also identified what our legitimate interests are where appropriate, as required under the data protection laws of the European Union and the United Kingdom.
|Purpose/Activity||Type of data||Lawful basis for processing including basis of legitimate interest|
|To register your details as a potential investor|| ||Legitimate interests: |
|To document meetings with you as a potential investor|| ||Legitimate interests: |
|To carry out background checks||Required by law: |
|To process and deliver transactions||Legitimate interests: |
|To manage your investor account||Necessary for Performance of Contract: |
|To conduct transactions with your organization||Legitimate interests: |
|To administer and protect our business and this website||Legitimate interests: |
Change of purpose
We will only use your personal data for the purposes for which we collected it, unless we reasonably consider that we need to use it for another reason and that reason is compatible with the original purpose. If you wish to get an explanation as to how the processing for the new purpose is compatible with the original purpose, please contact us as indicated in Section 12 below.
If we need to use your personal data for an unrelated purpose, we will notify you and we will explain the legal basis which allows us to do so.
Please note that we may process your personal data without your knowledge or consent, in compliance with the above rules, where this is required or permitted by law.
5. DISCLOSURES WE MAY MAKE OF YOUR PERSONAL DATA
We may have to share your personal data with our affiliated group entities and with unaffiliated third parties for the following purposes:
- Service Providers – we share your personal data with third parties that we engage to perform services for us that require access to your personal data, such as:
- Cloud services – we may disclose your personal data to cloud service provider(s) located in the USA in order to store, back up and recover data.
- IT services – we may disclose your personal data to IT service providers in the USA to provide us with services such as website hosting.
- Customer Relationship Management services – we may disclose your personal data to Customer Relationship Management service providers in the USA to manage investor engagements, store information, manage investments, service activities and information across the group.
- Tax service providers – we may disclose your personal data to third party tax services in the USA to carry out tax services with regards to your investments.
- Third-party administrators – we may disclose your personal information to third party administrators in the USA, the Cayman Islands and Canada to carry out administrative duties such as the processing of your subscriptions and redemptions and complying with anti-money laundering laws and regulations.
We prohibit our third-party service providers from using your personal data for their own purposes and permit them to process your personal data only for specified purposes and in accordance with our instructions.
Our affiliated group entities
We may disclose your personal data to our other group entities (affiliated companies) in order to provide you with tailored services and communications, or in accordance with our business administrative practices.
Others, for legal reasons — We may use or disclose your personal data as we deem necessary or appropriate under applicable laws; to respond to requests from public, governmental; and regulatory authorities; to comply with court orders, litigation procedures, and other legal processes; to obtain legal remedies or limit our damages; to protect the operations of our group entities; and to protect the rights, safety, or property of our employees, you, or others.
We do not:
- share personal data with unaffiliated third parties for their own marketing uses;
- share personal data for purposes of cross-context behavioral advertising; or
- sell personal data.
7. DATA SECURITY
We have put in place security measures to prevent your personal data from being accidentally lost, used or accessed in an unauthorized way, altered or disclosed. In addition, we limit access to your personal data to those employees, agents and service providers who need to know that information in order to provide services to us and yourself. We maintain physical, electronic and procedural safeguards to protect your personal data.
We have put in place procedures to respond to a suspected personal data security breach and to notify you and any applicable regulator of a breach where we are legally required to do so.
8. DATA RETENTION
We retain your personal data only for as long as is necessary for our relationship with you, in accordance with applicable laws and in accordance with the following retention periods:
- 7 years for personal data retained in relation to front office services; and
- 10 years for personal data retained in relation to back office services.
9. PERSONAL DATA ABOUT MINORS
York Capital’s services are directed solely at adults. We do not knowingly collect personal data from any individual who is under the age of sixteen (or if being a ‘minor’ is defined as a younger age in a specific jurisdiction, that relevant age).
10. FOR RESIDENTS OF THE EU OR THE UNITED KINGDOM
If you reside in a country that is a member of the European Union (EU) or a country within the United Kingdom (UK), the processing of your personal data will involve a transfer of data outside those jurisdictions. When we conduct such transfers, we implement measures, generally specific contracts approved by the European Commission and the UK Information Commissioner’s Office, that serve to protect the privacy and security of the data after its transfer to the same extent as under the laws applicable in the EU and the UK. Please contact us as indicated in Section 12 below if you want further information on such data protection measures. York Capital Management Global Advisors, LLC is the “controller” (as defined under EU and UK data protection law) of the personal data that we collect about you.
As a resident of the EU or the UK, you have the following rights under the data protection laws of those jurisdictions:
- Request access to your personal data. This enables you to receive a copy of the personal data we hold about you and to check that we are lawfully processing it.
- Request correction of your personal data. This enables you to have any incomplete or inaccurate data we hold about you corrected, though we may need to verify the accuracy of the new data you provide to us.
- Request erasure of your personal data. This enables you to ask us to delete or remove personal data where there is no good reason for us continuing to process it. You also have the right to ask us to delete or remove your personal data where you have successfully exercised your right to object to processing (see below), where we may have processed your information unlawfully or where we are required to erase your personal data to comply with local law. Note, however, that we may not always be able to comply with your request of erasure for specific legal reasons which will be notified to you, if applicable, at the time of your request.
- Object to processing of your personal data. Where we are relying on a legitimate interest (or those of a third party) and there is something about your particular situation which makes you want to object to processing on this ground as you feel it impacts on your fundamental rights and freedoms.
- Request restriction of processing your personal data. This enables you to ask us to suspend the processing of your personal data in the following scenarios: (a) if you want us to establish the data’s accuracy; (b) where our use of the data is unlawful but you do not want us to erase it; (c) where you need us to hold the data even if we no longer require it as you need it to establish, exercise or defend legal claims; or (d) you have objected to our use of your data but we need to verify whether we have overriding legitimate grounds to use it.
- Request transfer of your personal data. We will provide to you, or a third party you have chosen, your personal data in a structured, commonly used, machine-readable format.
- Right to withdraw consent. If we rely on this as the legal basis of lawful processing, you may withdraw at any time.
- Right to lodge a complaint with the supervisor authority. If you reside in a county within the EU, you have the right to make a complaint to your national data protection authority. If you reside in the UK, you have the right to make a complaint to the Information Commissioner’s Office (ICO), the UK supervisory authority for data protection issues (www.ico.org.uk). We would, however, appreciate the chance to deal with your concerns before you make any such complaints, so please contact us in the first instance.
If you wish to exercise any of the rights set out above, please contact us as indicated in Section 12 below.
No fee usually required
You will not have to pay a fee to access your personal data (or to exercise any of the other rights). However, we may charge a reasonable fee if your request is clearly unfounded, repetitive or excessive. Alternatively, we may refuse to comply with your request in these circumstances.
What we may need from you
We may need to request specific information from you to help us confirm your identity and ensure your right to access your personal data (or to exercise any of your other rights). This is a security measure to ensure that personal data is not disclosed to any person who has no right to receive it. We may also contact you to ask you for further information in relation to your request to speed up our response.
Time limit to respond
We try to respond to all legitimate requests within one month. Occasionally it may take us longer than a month if your request is particularly complex or you have made a number of requests. In this case, we will notify you and keep you updated.
11. FOR RESIDENTS OF CALIFORNIA
If you are a resident of California, you have certain privacy rights under the California Consumer Privacy Act (“CCPA”). We honor those rights, as described below, and we are prohibited by law from discriminating against you for exercising any of those rights. If you have applied for or have an existing personal, family, or household financial relationship with us, you are protected under our separate financial Privacy Notice and the federal Gramm-Leach-Bliley Act instead, and so the sections below do not apply to you to the extent of your personal, family, or household financial relationship with us.
Right to Know
If you are a California resident, you have the right to know what personal data we have collected about you, why we collected it, and the categories of third parties (excluding service providers) with whom we have shared the personal data during the past 12 months. (See below on “How to Submit a Request.”) You may request that we provide a description of the categories of personal data we have collected (a “Categories Request”) or a request for access to the specific pieces of personal data we have collected (a “Specific Pieces Request.”)
If you make a Categories Request, and you do not have any type of account with us, we will need you to provide us with at least two data elements specific to you, such as your cell phone number or driver’s license number (depending on the data elements we already maintain about you), so that we can verify your identity. After we confirm that your request is a verifiable request, we will disclose to you:
- The categories of personal data we collected about you.
- The categories of sources for the personal data we collected about you (e.g., social media websites, government records available to the public, etc.).
- Our business or commercial purpose for collecting that personal data.
- The categories of third parties other than service providers (if any) with whom we shared the personal data.
If you make a Specific Pieces Request, we need to be sure we have verified your identity with great certainty to safeguard the privacy of the personal data we have collected. If you do not have any type of account with us, you will need to provide to us at least three data elements specific to you, together with a signed declaration under penalty of perjury that you are the individual to whom the personal data you are requesting pertains. After we confirm that your request is a verifiable consumer request, we will, consistent with the CCPA, disclose to you the specific pieces of personal data we collected about you that you requested.
Right to Request Correction or Deletion
You have the right to request that we correct any inaccuracies in the personal data that we maintain about you. You also have the right to request that we delete any of your personal data that we maintain. However, we are not obligated to comply with your request for deletion if we have a legal basis to retain the personal data. We will not correct or delete any personal data pursuant to your request unless we are able to verify that you are the individual to whom that personal data pertains.
If you make a request for us to correct or delete personal data, we may need you to provide us with at least two data elements specific to you so that we can verify your identity. Once we receive and confirm that your request is a verifiable request, we will inform you whether we have corrected or deleted (and have directed our service providers to correct or delete) your personal data, or if we are declining to grant your request to correct or delete due to a legal basis for us to do so.
How to Submit a Request
To request access to or correction or deletion of your personal data as described above, please submit a request to us by either:
- Calling us at our Privacy Rights toll-free number: (888) 909-8425
- Completing the request form here: https://yorkcapital.com/ccpa-consumer-rights-request-form/
You may make a request on your own behalf, or you may designate an authorized agent to make a request on your behalf. If you designate an agent to submit a request for you, please provide us with a signed declaration stating that your intent is to permit that individual to act on your behalf and include such individual’s full name, address, email address, and phone number. That way we will be sure you have fully authorized us to act in accordance with the requests of that individual.
As indicated above, in order to protect your personal data from unauthorized disclosure or deletion at the request of someone other than you or your legal representative, York Capital requires identification verification before granting any request to provide copies of, know more about, or correct or delete your personal data. We take special precautions to help ensure this. We cannot fulfill your request if we cannot verify your identity or authority to make the request and confirm that the personal data relates to you. We will only use personal data collected in connection with a verifiable request to verify the requestor’s identity or authority to make the request.
We endeavor to respond to a verifiable consumer request within forty-five (45) days of its receipt. If we require more time (up to forty-five (45) additional days), we will inform you of the reason and extension period in writing.
12. CONTACTING US
Our full contact details are:
Full name of legal entity: York Capital Management Global Advisors, LLC
Email address: [email protected]
Business address: 1330 Avenue of the Americas, 20th Floor, New York, NY 10019, USA
Telephone number: +1-212-300-1311