Privacy Policy

Collection of Information

Waterfield, its officers, employees and agents collect information (which can include sensitive personal information) to assist us in our relationship with you. If you are unable to provide the information we need we may not be able to provide you with the service you have requested. We may also be required by law to collect information. The types of information

collected can include:

• Personal identity information such as postal address, email address, etc
• Information which relates to your financial affairs, business, employment, income or assets
• Information which arises or is required in connection with the transactions you do with Waterfield or through Waterfield
• Information which helps Waterfield process applications made by you for particular products and services
• Information relevant for product marketing
• Information from Brokerage Agreements, Managed Account Agreements and other Subscription and Account Opening Documents;
• Information in the course of establishing a customer relationship including, but not limited to, applications, forms, and questionnaires;
• Information about your transactions with Waterfield or others

Distribution of Information

While we will not generally disclose your personal information, we may do so if we are

• Required to do so by law, any Government authority, any court order, decree or award,
• Trying to protect against or prevent actual or potential fraud or unauthorized transactions,
• Investigating fraud which has already taken place, or
• Required to do so to market intermediaries, agents, product developers in relation to investments made by you.

Confidentiality and Security

Waterfield employees understand the requirement to respect the confidentiality of customers’ non-public personal information and Waterfield periodically trains and educates employees in the handling and safeguarding of personal information in accordance with applicable laws, rules, and regulations. Additionally, Waterfield maintains physical, procedural and electronic safeguards in an effort to ensure the security and confidentiality of customer records and to protect the information from access by unauthorized parties. Employees who violate these policies are subject to disciplinary action, up to and including termination.

Commitment to Information Security

Your personal information is kept secure. We comply with the relevant security principles set out in the applicable privacy laws of India. We are not bound by privacy laws of any jurisdiction other than India. Only employees of Waterfield, its authorised agents and advisors (who have agreed to maintain confidentiality in relation to the information) and market intermediaries and product developers with respect to investments made by you will have access to this information.

Delivery of Privacy Policy

Waterfield will provide clients an initial privacy policy notice at the time the relationship is established. Periodically, Waterfield may revise the privacy policy and will publish the revised policy on its website.

Contact Information

In case of any complaints / grievances / disputes, please contact our Compliance Officer

Mr.Kartik Kini

Email: [email protected]

Postal address: 142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai 400021, India.

Contact No.: +91 22 6621 0700