This document covers:
In accordance with the terms of our service contract with the Issuer, we are appointed (as their agent) to maintain the Issuer’s register(s) of holders of shares, debentures or other securities and to carry out all specified registration, transfer, receiving or settlement agent services on the Issuer’s behalf and in accordance with applicable laws and regulations.
It is of the essence of the agency relationship which we have with our Issuers that the information which we are given belongs to our Issuers and is received and stored by us on their behalf: conversely, any relevant register information received by our Issuers is made available by them to us.
Our function as a registration agent is to keep and maintain the statutory register of members on the Issuer’s behalf. Every Issuer is required to keep and maintain a register of its members (under section 113, Companies Act 2006) and the register is evidence of who the members of the Issuer are and the shares, debentures or other securities they hold. Register entries for former members may be removed after 10 years from the date they cease to be members.
In addition to the register of members, we may also hold information about members that has been provided to us either directly by members, or by the Issuer.
We receive information about members:
We will only hold (and process) member information in line with relevant regulations and law and our service contract with the Issuer, for the purpose of administering the register of members.
We process the information we hold about members for the following purposes:
As a registration agent, our role is to keep and maintain the register of members on behalf of the Issuer. As such, we share member information with the Issuer, its professional advisers (as instructed from time to time by the Issuer) and in order to comply with any imposed legal or regulatory requirements, all in accordance with our service contract with the Issuer.
We do not, under any circumstances, share member data with third parties for advertising, marketing or sales purposes.
All information that we hold is stored securely in an access-limited and audited database. We take appropriate security measures to protect such information from unauthorised access, including utilisation of data encryption.
We retain information only for as long as necessary to meet our contractual and legal obligations as a registration, transfer, receiving or settlement agent.
When member data is transferred we use only secure methods of transmission, so that the data can be retrieved in an audited and limited manner by the recipient(s).
If you have any additional questions about the security or retention of member data, you can contact us at firstname.lastname@example.org.
Individuals have rights to their data which we will respect and comply with to the best of our ability. Individuals can exercise their rights in the following ways:
Alternatively, you may contact us either:
We will respond to all requests, enquiries or concerns within thirty (30) days.