INTRODUCTION AND DEFINITIONS
We are providing you with this Disclosure Notice because you have a business relationship with Harmonic (as defined below) as Harmonic’s client (“Client Relationship”) pursuant to a services agreement (howsoever called, for example, administration agreement) between Harmonic and you (“Services Agreement”).
In this Disclosure Notice certain other defined terms appear, whose meaning is as follows:
THE DATA PROTECTION LAW, 2017 OF THE CAYMAN ISLANDS AND EFFECT ON HARMONIC GROUP
The DPL will enter into effect from 30 September 2019. The DPL will affect any operating entity of Harmonic Cayman which controls or processes Personal Data in the course of its business.
In the course of its business activities Harmonic is required to receive and handle a wide range of data and information. Some of that data and information will be Personal Data and accordingly the DPL will apply to the collection, use and retention of that Personal Data. In certain limited circumstances that Personal Data may also be Sensitive Personal Data as defined above. This Disclosure Notice outlines Harmonic Group’s policy statement as to its data protection obligations and your data protection rights as they relate to your Client Relationship with Harmonic under the DPL.
THE DATA PROTECTION PRINCIPLES
Harmonic is committed to complying with the data protection principles enshrined in the DPL, summarised as follows:
ROLE OF HARMONIC
In Harmonic’s use of Personal Data, Harmonic will be characterised either as a “data controller” (meaning the person who, alone or jointly with others determines the purposes, conditions and manner in which Personal Data is, or is to be, processed) or as a “data processor” (meaning any person who processes Personal Data on behalf of a data controller) under the DPL.
A. HARMONIC AS DATA CONTROLLER
Harmonic is data controller in respect of Personal Data of or provided by its clients but only in respect of Personal Data in relation to the client provided by the client to satisfy Harmonic’s own obligations to verify identity of its client under applicable AML/ATF/APF laws and regulations.
You understand that by virtue of your Client Relationship with Harmonic and your associated interactions with Harmonic (including the recording of electronic communications or phone calls where applicable) or by virtue of you otherwise providing Harmonic with personal information on individuals connected with you, for AML/ATF/APF or other reasons, (for example directors, trustees, employees, representatives, shareholders, investors, clients, beneficial owners or agents), you will provide Harmonic with certain personal information which constitutes Personal Data. This includes, but is not restricted to, data such as name, residential address, email address, telephone number, place of birth, date of birth, passport number, social security number, tax ID number, bank account details, personal details required to complete background checks and personal details required to complete AML/ATF/APF checks (including but not limited to identification verification information, source of funds information and source of wealth information).
Harmonic processes this Personal Data for the following purposes: (i) the performance of the Services Agreement; and (ii) compliance with legal obligations to which Harmonic is subject (such as AML/ATF/APF obligations).
Harmonic may from time to time provide you with information on products and services that may be of interest. Personal Data is also processed by Harmonic for quality control, business and statistical analysis, tracking fees and costs, training and related purposes. It should be noted that any such use of your Personal Data in either of these two ways would of course be subject to any relevant overriding prohibitions or restrictions in such use by Harmonic in the Services Agreement.
Accordingly, you understand and consent that Harmonic may use your Personal Data for such purposes as described above, provided that Harmonic is acting fairly and in accordance with the conditions under the DPL and also noting your right to withdraw your consent at any time, as discussed below.
Your continuation of the Client Relationship with Harmonic shall constitute signification of your agreement to Harmonic’s processing of your Personal Data as indicated above. Should Harmonic wish to use your Personal Data for other specific purposes that require your consent, Harmonic will of course contact you to request this.
B. HARMONIC AS DATA PROCESSOR
Harmonic’s clients provide Harmonic with certain Personal Data in the course of their Client Relationship, including in respect of investors in a fund client. Harmonic is data processor in respect of Personal Data provided by its clients (other than Personal Data provided by the client to satisfy Harmonic’s own obligations to verify identity of its client under applicable AML/ATF/APF laws and regulations) in the performance of Harmonic’s obligations under the Services Agreement. The Services Agreement contains data processing/protection obligations on both Harmonic and the client, and the client remains the data controller who determines the purposes, conditions and manner in which the Personal Data transmitted to Harmonic is processed. The obligations of Harmonic and rights of Data Subjects described in this Disclosure Notice only apply to Personal Data processed by Harmonic as data controller.
HARMONIC’S DISCLOSURE/TRANSFER AND STORAGE OF PERSONAL DATA
It may be necessary for Harmonic to transfer Personal Data for processing, back-up or storage to an agent, delegate, subcontractor or other representative of Harmonic appointed by Harmonic (pursuant to authority in the terms of the Services Agreement, if applicable) to carry out sub-processing activities on behalf of Harmonic (each a “Permitted Processor”) under an appropriate written agreement between the Permitted Processor and Harmonic. Such Permitted Processors may be in the Cayman Islands or outside the Cayman Islands and may be Harmonic Group affiliates or unaffiliated with Harmonic Group. The current list of Permitted Processors for Harmonic Cayman is attached as Appendix 1 and such list may be revised from time to time and will be posted on Harmonic’s website.
Harmonic may only transmit Personal Data (a) to Permitted Processors with the prior written consent of the counterparty to the Services Agreement (“Counterparty”); or (b) where required to do so under applicable law.
In addition, it may be necessary for Harmonic to transfer Personal Data to certain third parties, upon the instruction of the Counterparty, whose involvement is necessary to carry out all or part of Harmonic’s duties and obligations contemplated under the Services Agreement and in accordance with Harmonic’s internal written procedures. In such instances any such third party will not be a Permitted Processor of Harmonic and will instead be engaged directly by the Counterparty as a processor. Finally, where Harmonic is required to transfer Personal Data to a legal, regulatory or taxation authority under applicable law any such transfer shall not constitute the engagement of a Permitted Processor by Harmonic.
You understand that in certain circumstances and at all times in compliance with applicable law Harmonic and/or Permitted Processors may be legally obliged to share your Personal Data and other financial information with respect to your Services Agreement with their local authorities including regulatory, law enforcement or other governmental authorities (including tax authorities) or courts (collectively “Government Bodies”) and the local Government Bodies, in turn, may exchange this information with foreign Government Bodies including Government Bodies located in the Cayman Islands or elsewhere through automatic reporting, information exchange or otherwise.
As is evident from Appendix 1, certain Harmonic Group operating entities (including of course Harmonic Cayman) and Permitted Processors are located in the Cayman Islands and so Personal Data will be stored on servers in the Cayman Islands, and certain Harmonic Group operating entities and certain Permitted Processors are located outside the Cayman Islands and in that case Personal Data will be stored on servers outside the Cayman Islands.
Subject to applicable provisions of the DPL, the Personal Data shall not be shared other than as described herein. In this context then, it is important for you to note that Personal Data may be transmitted, stored and processed on systems located outside of the Cayman Islands, which systems are or may be operated by a Permitted Processor (and therefore authorities including regulatory or governmental authorities or courts in a jurisdiction (including jurisdictions where these parties are established or hold or process Personal Data) may obtain access to Personal Data which may be held or processed in such a jurisdiction or accessed through automatic reporting, information exchange or otherwise in accordance with the laws and regulations applicable in such jurisdiction).
THE DATA PROTECTION MEASURES HARMONIC TAKES
Any transmission of Personal Data by Harmonic to a Permitted Processor shall be in accordance with the conditions in the DPL.
Harmonic applies and contractually obligates Permitted Processors to apply appropriate information security measures designed to protect Personal Data in Harmonic’s/Permitted Processors’ possession from unauthorized or unlawful processing and against accidental loss, destruction, or damage.
YOUR DATA PROTECTION RIGHTS
Where Harmonic is acting as data controller, you understand that you have certain rights under the DPL regarding Harmonic’s use of Personal Data such as:
Please note that the right to request that your Personal Data cease being processed, not begin to be processed or cease being processed for a specified purpose or in a specified manner is not likely to be applicable to most, if not all, of the Personal Data provided to Harmonic, given the specific nature of the purposes for which Harmonic uses the Personal Data, as described above.
Harmonic shall notify you of any Personal Data breach affecting you, meaning a breach of security leading to the accidental or unlawful destruction, loss, alternation, unauthorized disclosure of or access to, Personal Data transmitted, stored or otherwise processed. The DPL sets out the procedure to be followed for such notification.
HARMONIC’S RETENTION OF YOUR PERSONAL DATA
Harmonic or Permitted Processors may retain your Personal Data following the conclusion of your Client Relationship with Harmonic for such minimum period as may be required by applicable laws.
GETTING IN TOUCH
A member of staff has been designated as Responsible Person Group-wide for each of (i) the receipt of any queries relating to data protection under the DPL or in the event a Data Subject wishes to discuss his/her data protection rights under the DPL with Harmonic (“General Queries”), and (ii) communicating with the Cayman Islands Ombudsman. As at the date of this Disclosure Notice the following is the email address for General Queries: GDPR@harmonic.ky
1) Permitted Processors who are Harmonic Affiliates
| Harmonic Affiliates | Location |
|---|---|
| Wavelength Financial Technology Ltd. | Cayman Islands |
| Harmonic Corporate Services Limited. | Cayman Islands |
| Ancova Limited. | Cayman Islands |
| Harmonic Fund Services Canada Inc. | Toronto, Canada |
| Harmonic Fund Services Ireland Limited. | Dublin, Ireland |
| Harmonic Consulting Ireland Limited. | Dublin, Ireland |
| Harmonic Fund Services Luxembourg S.A. | Luxembourg |
| Harmonic Fund Services (Shanghai) Co. Ltd. | Shanghai, China |
| Harmonic S.A. | Geneva, Switzerland |
2)Permitted Processors who are not Harmonic Affiliates
| Entity | Purpose | Country | Website |
|---|---|---|---|
| KPMG (Cayman Islands) LLP | Harmonic’s External Auditor | Cayman Islands | https://home.kpmg/ky/en/home.html |
| Cayshred | Document Shredding Services | Cayman Islands | http://www.cayshred.com/ |
| Filesafe | Document Archiving | Cayman Islands | |
| Lexis Nexis | KYC and AML processing | USA | https://internationalsales.lexisnexis.com |
| Microsoft Corporation | Cloud Services provider | USA | www.microsoft.com |
1) Permitted Processors who are Harmonic Affiliates
| Harmonic Affiliates | Location |
|---|---|
| Wavelength Financial Technology Ltd. | Cayman Islands |
| Harmonic Fund Services. | Cayman Islands |
| Ancova Limited. | Cayman Islands |
| Harmonic Fund Services Canada Inc. | Toronto, Canada |
| Harmonic Fund Services Ireland Limited. | Dublin, Ireland |
| Harmonic Consulting Ireland Limited. | Dublin, Ireland |
| Harmonic Fund Services Luxembourg S.A. | Luxembourg |
| Harmonic Fund Services (Shanghai) Co. Ltd. | Shanghai, China |
| Harmonic S.A. | Geneva, Switzerland |
2) Permitted Processors who are not Harmonic Affiliates
| Entity | Purpose | Country | Website |
|---|---|---|---|
| KPMG (Cayman Islands) LLP | Harmonic’s External Auditor | Cayman Islands | https://home.kpmg/ky/en/home.html |
| Cayshred | Document Shredding Services | Cayman Islands | http://www.cayshred.com/ |
| Filesafe | Document Archiving | Cayman Islands | |
| Lexis Nexis | KYC and AML processing | USA | https://internationalsales.lexisnexis.com |
| Microsoft Corporation | Cloud Services provider | USA | www.microsoft.com |
1) Permitted Processors who are Harmonic Affiliates
| Harmonic Affiliates | Location |
|---|---|
| Wavelength Financial Technology Ltd. | Cayman Islands |
| Harmonic Corporate Services Limited. | Cayman Islands |
| Harmonic Fund Services. | Cayman Islands |
| Harmonic Fund Services Canada Inc. | Toronto, Canada |
| Harmonic Fund Services Ireland Limited. | Dublin, Ireland |
| Harmonic Consulting Ireland Limited. | Dublin, Ireland |
| Harmonic Fund Services Luxembourg S.A. | Luxembourg |
| Harmonic Fund Services (Shanghai) Co. Ltd. | Shanghai, China |
| Harmonic S.A. | Geneva, Switzerland |
2) Permitted Processors who are not Harmonic Affiliates
| Entity | Purpose | Country | Website |
|---|---|---|---|
| KPMG (Cayman Islands) LLP | Harmonic’s External Auditor | Cayman Islands | https://home.kpmg/ky/en/home.html |
| Cayshred | Document Shredding Services | Cayman Islands | http://www.cayshred.com/ |
| Filesafe | Document Archiving | Cayman Islands | |
| Lexis Nexis | KYC and AML processing | USA | https://internationalsales.lexisnexis.com |
| Microsoft Corporation | Cloud Services provider | USA | www.microsoft.com |
1) Permitted Processors who are Harmonic Affiliates
| Harmonic Affiliates | Location |
|---|---|
| Harmonic Fund Services. | Cayman Islands |
| Harmonic Corporate Services Limited. | Cayman Islands |
| Ancova Limited. | Cayman Islands |
| Harmonic Fund Services Canada Inc. | Toronto, Canada |
| Harmonic Fund Services Ireland Limited. | Dublin, Ireland |
| Harmonic Consulting Ireland Limited. | Dublin, Ireland |
| Harmonic Fund Services Luxembourg S.A. | Luxembourg |
| Harmonic Fund Services (Shanghai) Co. Ltd. | Shanghai, China |
| Harmonic S.A. | Geneva, Switzerland |
2) Permitted Processors who are not Harmonic Affiliates
| Entity | Purpose | Country | Website |
|---|---|---|---|
| KPMG (Cayman Islands) LLP | Harmonic’s External Auditor | Cayman Islands | https://home.kpmg/ky/en/home.html |
| Cayshred | Document Shredding Services | Cayman Islands | http://www.cayshred.com/ |
| Filesafe | Document Archiving | Cayman Islands | |
| Lexis Nexis | KYC and AML processing | USA | https://internationalsales.lexisnexis.com |
| Microsoft Corporation | Cloud Services provider | USA | www.microsoft.com |