Disclaimers that govern entire website

This website is communicated by Global Group Capital Management Limited (‘GGCM’). GGCM is authorised and regulated by the Financial Conduct Authority (‘FCA’) and is listed on the latter’s Register: http://www.fca.org.uk/ under Firm Reference Number: 766639. GGCM is a wholly owned subsidiary of Global Group International Holdings Limited, a private Hong Kong based company.

There are pages on this website (‘relevant pages’) that relate to the services provided by GGCM in the areas of investment banking.  These services constitute designated investment business in respect of which GGCM is authorised and regulated by the FCA.  These pages do not purport to give investment, legal, tax or other advice and are not to be relied on in making an investment or other decision.

The material in the relevant pages is directed solely at Eligible Counterparties and Professional Clients as those terms are defined by the rules of the FCA. The material is not directed at, may not be suitable for and should not be relied on by Retail Clients as such term is defined by the rules of the FCA. GGCM does not provide investment advisory services to Retail Clients. By accessing the relevant pages you acknowledge that you are not a Retail Client.

The material in the relevant pages is not an offer or a solicitation to buy or sell any security.  Neither GGCM nor any of its directors, officers, employees or agents shall have any liability, howsoever arising, for any error or incompleteness of fact or opinion in it or lack of care in its preparation or publication; provided that this shall not exclude liability to the extent that this is impermissible under the law relating to financial services.  All statements and opinions are liable to change without notice.

GGCM, a director or employee of GGCM or one or more of its associates, may from time to time have a position, or may have undertaken or may undertake an own account transaction, in a security or in a related security referred to in the relevant pages. GGCM or one or more of its associates may from time to time have an advisory or other relationship with a company the subject of or referred to in the material in the relevant pages, including the provision of corporate finance, or other financial services.

Unless otherwise stated, all material on this website is copyright Global Group Capital Management Limited. GGCM hereby asserts its rights under the Copyright, Designs and Patents Act 1988 to be identified as the author of this work. All rights to the material in this website are reserved to GGCM. By using the pages of this website, and/or by reading the material within it, you agree that you will use the information only for your internal business purposes and that you will not otherwise download, copy, transmit or distribute in any way any of this material in whole or in part.

The display of any trade names or trademarks within this website should not be interpreted that any licence has been granted to any third-party in respect of the same.

This website contains hyperlinks that are provided for your information only. By clicking on such a hyperlink, you will leave this website and GGCM is not responsible for and accepts no liability whatsoever for the content of any website that you access from such a hyperlink or for any reliance placed by you or any other person on the information contained therein.  Any such website may be subject to its own disclaimers and copyright restrictions.

The material on this website is designed for use by persons in the UK only and is not directed at, nor intended for distribution or use by, any person or entity in any jurisdiction or country where the publication or availability of this website or such distribution or use would be contrary to local law or regulation.  If you choose to access information on this website, it is your responsibility to comply with the applicable local, national or international laws and any use of this website outside the UK is entirely at your own risk. For guidance relating to your specific situation, please contact your legal adviser.  GGCM accepts no responsibility whatsoever for any failure by a person resident outside the United Kingdom to observe the foregoing.

English Law

The website and its contents are governed by English law and was last updated in May 2018.

GGCM is registered in England and Wales, registered company no: 07050340.  Registered office: 42 Brook Street, London W1K 5DB, United Kingdom.  VAT number: 2 14 06 16 53.

Financial Services Compensation Scheme

GGCM is covered by The Financial Services Compensation Scheme (‘FSCS’) which can, in certain cases (depending on the type of business and the circumstances of the claim) where an FCA regulated firm has ceased to do business and cannot meet its liabilities, give compensation. In relation to investments such compensation is currently limited to £50,000.  Further information is available from the FSCS, 10th Floor, Beaufort House, 15 St Botolph Street, London EC3A or from their website: www.fscs.org.uk.  Please note that this scheme is not normally available to clients categorised as Professional Clients or Eligible Counterparties under the Financial Conduct Authority rules.

Cookies and Privacy Statement

Your personal data – what is it?

Personal data relates to a living individual who can be identified from that data. Identification can be by the information alone or in conjunction with any other information in the data controllers’ possession or likely to come into such possession. The processing of personal data is governed by the General Data Protection Regulation 2016/679 (the ‘GDPR’) which comes into effect on 25^th May 2018.

Who are we?

Global Group Capital Management (“GGCM”) is based in London, England and is a subsidiary of Global Group International Holdings Ltd (the “Global Group”), the latter being based in Hong Kong. GGCM provides boutique investment banking services to a variety of international companies and institutions, and offers mergers and acquisition, capital raising, strategic advice and management services to a range of clients worldwide, including deep relationships with Chinese economic stakeholders.

GGCM is authorised and regulated by the UK Financial Conduct Authority (FRN 766639) and is both a data controller and data processor under the relevant legislation. GGCM’s UK Information Commissioner’s Office (ICO) registration number is ZA312947. This means that we decide how your personal data is processed, and for what purposes we process your personal data.

Data may be shared with the Global Group in Hong Kong in order for them to, for example, participate in any relevant co-investments, and other related business activities in which they possess the relevant expertise. Due to the nature of their involvement Global Group can also be a data controller and processor in relevant activities and transactions.

GGCM’s registered offices are located at 42 Brook Street, London, W1K 5DB, and is registered in England and Wales under registration No. 07050340.

How do we process your personal data?

GGCM complies with its obligations under the GDPR by keeping personal data up to date, by storing and destroying it securely; by not collecting or retaining excessive amounts of data; by protecting personal data from loss, misuse, unauthorised access and disclosure and by ensuring that appropriate technical measures are in place to protect personal data.

GGCM will collect personal data directly from you as the data subject and may on occasion also collect relevant data from 3^rd parties. We may monitor, record, store and use any telephone, email or other communication with you. Any new information you provide may be used to update an existing record we hold for you.

We may use your personal data for a number of different purposes including the following:

• To look at advising you on any relevant listings, mergers and acquisitions, capital raising or re-structuring, strategic advice, or providing sector or Chinese specific advice;
• To generate, manage and administer any contract you may have with GGCM or the Global Group;
• To keep you informed (by mail, email, telephone or otherwise) of relevant offers and products and services we consider may be of interest to you, unless you have opted out of receiving these;
• To obtain any relevant quotations for you where appropriate;
• To comply with our legal obligations, co-operate with the court service, our regulators and law enforcement agencies and to prevent and detect crime;
• To transfer information to the Official Receiver or appointed insolvency practitioner if we receive notification of any bankruptcy or insolvency proceedings:
• To check instructions, you have provided or resolve disputes and complaints;
• To obtain your feedback on a product or service;
• To improve the quality of the service we provide and train our staff;
• Aggregating data for analysis and research and to provide management information internally or to the Global Group.

What is the legal basis for processing your personal data?

Under Article 6 of the GDPR, the legal basis that GGCM employs for processing your personal data may include one of the following:

• Where contractually it is needed to provide you with our products or services;
• Where it is in our legitimate interests to do so;
• To comply with our legal obligations;
• With your consent.

Usually the legal basis will be contractual in that the processing of your personal data is necessary for the performance of a contract to which you, the ‘data subject’ is party, or in order to take preparatory steps at your request prior to entering into such a contract.

Sharing your personal data

Your personal data will be treated as being strictly confidential and will never be shared without your consent with anybody other than the Global Group in Hong Kong who may be responsible for generating any appropriate documentation and relevant terms and conditions for any contracts and other financial services that might be provided to you.

All the personal data that we hold about you will be processed by our staff in the United Kingdom, and no third parties (other than the Global Group in Hong Kong) will have access to your personal data without your consent, or unless there is a legal obligation for us to provide them with this information. Please be aware however, that your personal data may be stored on cloud-based systems whose servers may or may not be located within the European Union.

Processing personal data outside of the EU

Where possible, we only process your information within the European Union (EU), which includes the UK, as we share similar standards of legal protection. We may send your data outside of the EU; however, we will always ensure it is processed and handled in line with the UK Data Protection Act 1998.
Instances where we will transfer your data outside of the EU include:

• processing international payments; or
• disclosures to foreign authorities to reduce financial crime and terrorism.

How long do we keep your personal data for?

We will keep your personal information for as long as you are a customer of GGCM and/or the Global Group. After you stop being a customer, we may keep your data for one of these reasons:

• To respond to any questions or complaints;
• To maintain records according to rules that apply to us.

We may keep your data if we cannot delete it for legal or regulatory reasons. We may also keep it for statistical purposes. If we do, we will make sure that privacy is protected, and the data only used for those purposes.

We will keep your personal data securely, and it will be destroyed securely if it is no longer needed for the lawful purposes for which it was obtained. In some limited cases, it may be necessary to retain your personal data for longer if we need to hold it for liability claim purposes (e.g. if any complaints were to be made the Financial Ombudsman Service), and for example to hold and provide to our regulatory body in the UK, the Financial Conduct Authority.

If you consent to receiving marketing from us, any information we use for this purpose will be held by us until such time as you notify us that you no longer wish to receive marketing information from us.

Your rights and your personal data

Unless subject to an exemption under the GDPR relating to a particular lawful basis used, you may have the following rights with respect to your personal data:

• to request a copy of your personal data which GGCM holds about you;
• to request that GGCM corrects any of your personal data if it is found to be inaccurate or out of date;
• to request your personal data to be erased where it is no longer necessary for GGCM to retain such data;
• to withdraw your consent to the processing of your personal data at any time;
• to request that GGCM provides you with your personal data, and where possible, to transmit the data directly to another data controller (known as the right to data portability);
• where there is a dispute in relation to the accuracy or processing of your personal data, to request a restriction is placed on further processing;
• to object to the processing of your personal data with regards to Direct Marketing;
• to lodge a complaint with the Information Commissioner’s Office (ICO).

Access to your information and correction

You have the right to request a copy of the information that we hold about you. This is called a Subject Access Request. If you would like a copy of all or some of your personal information, please email or write to us at the addresses provided in the “Contact Details” section of this Data Privacy Notice. In some exceptional cases, we may make a small charge for this service (for example multiple claims for the same information) but usually this data will be provided free of charge.

We want to make sure that your personal information is accurate and up to date. You may ask us to correct or remove information you think is inaccurate.

Marketing

We would like to send you information about products and services of ours and other companies within our group which may be of interest to you. If you have consented to receive marketing, you may opt out at a later date.

You have a right at any time to stop us from contacting you for marketing purposes or giving your information to other entities within our group. If you no longer wish to be contacted for marketing purposes, please email or write to us at the addresses provided in the ‘Contact Details’ section of this Data Privacy Notice.

Automated Decision Making

We do not use automated decision making to segment and target product offers based on our customers’ demands and needs. For further details, you may contact our Data Protection Officer whose details are provided in the ‘Contact Details’ section of this Data Privacy Notice.

Further processing

If we wish to use your personal data for a new purpose, not defined by this Data Privacy Notice, then we will provide you with a new notice explaining this new use prior to the commencement of the new processing and setting out the relevant purposes and processing conditions. Where and whenever necessary, we will seek your prior consent to the new processing.

Contact Details

To exercise all relevant rights, or to raise queries or complaints, please in the first instance contact: The Data Protection Officer, Mike Manthorpe.

By email: mike.manthorpe@global.hk

By post:

The Data Protection Officer
42 Brook Street
London
W1K 5DB

By telephone:  +44 (0) 20 3178 7618

You can contact the Information Commissioner’s Office on 0303 123 1113 or via email https://ico.org.uk/global/contact-us/email/ or by post at The Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF

Cookies policy

Introduction

1.1 – Our website uses cookies.

1.2 – We will ask you to consent to our use of cookies in accordance with the terms of this policy when you first visit our website. If you continue to use the website, then we will understand that you consent to our use of cookies on your device.

About cookies

2.1 – A cookie is a small data file containing an identifier (a string of letters and numbers) that is sent by a web server to a web browser and is stored by the browser. The identifier is then sent back to the server each time the browser requests a page from the server. Most website operators place cookies on the browser or hard drive of their user’s computer.

2.2 – Cookies may be either “persistent” cookies or “session” cookies: a persistent cookie will be stored by a web browser and will remain valid until its set expiry date, unless deleted by the user before the expiry date; a session cookie, on the other hand, will expire at the end of the user session, when the web browser is closed.

2.3 – Cookies do not typically contain any information that personally identifies a user, but personal information that we store about you may be linked to the information stored in and obtained from cookies and can give you a more personalised web experience.

2.4 – Cookies gather information about the user’s use of the website or enable the website to identify and track users as they navigate different pages on a website and identify users returning to a website. Cookies can also be used to collect information about the user which allows the website operator or a third party to create a profile of the user, their preferences and their interests for the purpose of serving the user with targeted, interest-based advertising.

Our cookies

3.1 – Cookies help us to provide customised services and information. We use cookies on our website to tell us, in general terms, how and when pages in our website are visited, what our users’ technology preferences are and whether our website is functioning properly. If you are using one of our password-protected sites, then the website may use cookies or other technology to help us authenticate you, store and recognise your configuration and user attributes, facilitate your navigation of the website and customised its content so that the information made available is likely to be of more interest to you.

3.2 – If you wish to know the retention period for data captured through these cookies, please contact the data protection officer.

3.3 – Please note that third parties (such as providers of external services like web traffic analysis services) may also use cookies over which we have no control. These cookies are likely to be analytical / performance cookies or targeting cookies.

3.4 – We may collect non-personal identification information about visitors whenever they interact with our website. Non-personal identification information may include the browser name, the type of computer and technical information about visitors means of connection to our site, such as the operating system and the Internet service providers utilized and other similar information.

3.4 – We do not sell, trade, or rent users personal identification information to others. We may share generic aggregated demographic information not linked to any personal identification information regarding visitors and users with our business partners, trusted affiliates and advertisers for the purposes outlined above.

3.5 – Reasonable steps have been taken to protect this website by antivirus software, but all visitors are advised to take all necessary steps to ensure that no virus contamination occurs. No responsibility can be accepted for any loss or damage sustained as a consequence of any virus transmission

Analytics cookies

4.1 – We use Google Analytics to analyse the use of our website.

4.2 – Our analytics service provider generates statistical and other information about website use by means of cookies.

4.4 – The information generated relating to our website is used to create reports about the use of our website.

4.5 – Our analytics service provider’s privacy policy is available at: https://www.google.com/policies/privacy/.

Blocking cookies

5.1 – Most browsers allow you to refuse to accept cookies; for example:

(a)  in Internet Explorer (version 10) you can block cookies using the cookie handling override settings available by clicking “Tools”, “Internet Options”, “Privacy” and then “Advanced”.

5.2 – Blocking all cookies will have a negative impact upon the usability of many websites.

Deleting cookies

6.1 – If you wish to remove cookies set by our website from your browser in the future, you may delete them.  The instructions for removing cookies from your computer or mobile device depends on the operating system and web browser you use.  You can delete cookies already stored on your computer; for example:

(a) in Internet Explorer (version 10), you must manually delete cookie files (you can find instructions for doing so at https://support.microsoft.com/kb/278835).

6.2 – Please note, however, that withdrawing your agreement to the use of cookies on our sites will impair the functionality of the website.

Our details

7.1 – This website is owned and operated by Global Group Capital Management Limited.

7.2 – Global Group Capital Management Limited is authorised and regulated by the Financial Conduct Authority in the UK, reference number 766639 and is registered in England and Wales, company registration number 07050340. Registered office and principal place of business is at 42 Brook Street, London W1K 5DB. Global Group Capital Management Limited is a data controller and processer and registered with the UK’s Information Commissioner’s Office under registration number ZA312947.

7.3 – Our contact details are:

To exercise all relevant rights, or to raise queries or complaints, please in the first instance contact: The Data Protection / Compliance Officer, Mike Manthorpe.

By email: mike.manthorpe@global.hk

By post:

The Data Protection Officer
42 Brook Street
London
W1K 5DB

By telephone:  +44 (0) 20 3178 7618

Complaints

Any cause for complaint regarding our services should be raised in the first instance with the individual you normally deal with at GGCM.

If your complaint cannot be resolved immediately and to your satisfaction, please contact the GGCM Compliance Officer, preferably in writing.  Provided you are an ‘eligible complainant’ under the Financial Conduct Authority rules, the Compliance Officer will have a duty to investigate and respond to you within 8 weeks.

If you are dissatisfied with our final response you are entitled to refer your complaint to the Financial Ombudsman Service: by post, Exchange Tower, London, E14 9SR, by email: complaint.info@financial-ombudsman.org.uk, or by telephone: 020 7964 1000 and whose website is www.financial-ombudsman.org.uk.