Privacy Policy Soleal Unternehmenskapital AG

Version as of 30.08.2023

In this privacy policy, we, Soleal Unternehmenskapital AG (hereinafter referred to as Soleal, we or us), explain how we collect and otherwise process personal data. This is not an exhaustive description; other data protection declarations [or general terms and conditions, conditions of participation and similar documents] may regulate specific matters. Personal data means all information relating to an identified or identifiable natural person.

If you provide us with personal data of other persons (e.g. family members, data of colleagues), please make sure that these persons are aware of this data protection declaration and only provide us with their personal data if you are allowed to do so and if this personal data is correct.

This Privacy Policy is designed to comply with the requirements of the EU General Data Protection Regulation (“GDPR”), the Swiss Data Protection Act (“DPA”) and the revised Swiss Data Protection Act (“revDSG”). Whether and to what extent these laws are applicable, however, depends on the individual case.

1. person responsible / data protection officer / representative

The person responsible for the data processing described here is

Soleal Corporate Capital AG

Hardturmstrasse 133

8005 Zurich

info@soleal.ch

Tel: 0041 44 271 55 54

unless otherwise stated in the individual case. If you have any data protection concerns, you can communicate them to us at the following contact address, info@soleal.ch.

Our representative in the EEA according to Art. 27 DSGVO (if required) is: Reto Furrer, Hardturm-strasse 133 8005 Zürich

2. collection and processing of personal data

We primarily process the personal data that we receive from our customers and other business partners in the course of our business relationship with them and other persons involved, or that we collect from their users in the course of operating our websites and other applications.

To the extent permitted, we also take certain data from publicly accessible sources (e.g. debt enforcement registers, land registers, commercial registers, press, Internet) or receive such data from other companies, authorities and other third parties. In addition to the data about you that you give us directly, the categories of personal data that we receive about you from third parties include, in particular, data from public registers, data that we learn in connection with official and legal proceedings, data in connection with your professional functions and activities (so that we can, for example, conclude transactions with your employer with your help), and data that we obtain from your employer. (e.g. so that we can conclude and process transactions with your employer with your help), information about you in correspondence and meetings with third parties, creditworthiness information (insofar as we process transactions with you personally), information about you which people close to you (family, advisors, legal representatives, etc.) provide to us so that we can conclude or process contracts with you or involving you (e.g. references, your address for deliveries, full details of your creditworthiness). References, your address for deliveries, powers of attorney, information on compliance with legal requirements such as anti-money laundering and export restrictions, information from banks, insurance companies, sales and other contractual partners of ours on the utilisation or provision of services by you (e.g. payments made, purchases made), information from the media and Internet about you (insofar as this is appropriate in the specific case, e.g. in the context of an application, press release, etc.). Your addresses and, if applicable, interests and other socio-demographic data (for marketing), data in connection with the use of the website (e.g. IP address, MAC address of the smartphone or computer, details of your device and settings, cookies, date and time of the visit, pages and content accessed, functions used, referring website, location details).

3. purposes of data processing and legal basis

We use the personal data we collect primarily to conclude and process our contracts with our customers and business partners, in particular in the context of our investment transactions and the economic analysis with our customers and the purchase of products and services from our suppliers and subcontractors, as well as to comply with our legal obligations at home and abroad. If you work for such a customer or business partner, your personal data may of course also be affected in this capacity.

In addition, we process personal data of you and other persons, insofar as this is permitted and appears to us to be appropriate, for the following purposes, in which we (and sometimes also third parties) have a legitimate interest corresponding to the purpose:

¾ Offer and further development of our offers, services and websites and other platforms on which we are present;

¾ Communication with third parties and processing of their enquiries (e.g. applications, media enquiries);

¾ Testing and optimisation of procedures for needs analysis for the purpose of direct customer contact as well as collection of personal data from publicly accessible sources for the purpose of customer acquisition;

¾ Advertising and marketing (including the organisation of events), insofar as you have not objected to the use of your data (if we send you advertising as an existing customer, you can object to this at any time and we will then place you on a blocking list against further advertising mailings);

¾ Market and opinion research, media monitoring;

¾ Assertion of legal claims and defence in connection with legal disputes and official proceedings;

¾ Prevention and investigation of criminal offences and other misconduct (e.g. conducting internal investigations, data analysis to combat fraud);

¾ Guarantees of our operations, in particular IT, our websites, apps and other platforms;

¾ Video surveillance to maintain house rules and other measures for IT, building and facility security and protection of our employees and other persons and assets belonging to or entrusted to us (such as access controls, visitor lists, network and mail scanners, telephone records);

¾ the purchase and sale of businesses, companies or parts of companies and other corporate transactions and the related transfer of personal data as well as business management measures and where necessary to comply with legal and regulatory obligations and Soleal’s internal rules.

If you have given us consent to process your personal data for certain purposes (for example, when you register to receive newsletters or carry out a background check), we process your personal data within the scope of and based on this consent, unless we have another legal basis and we require such a basis. Consent given can be revoked at any time, but this has no effect on data processing that has already taken place..

4. cookies / tracking and other technologies related to the use of our website

We typically use “cookies” and similar technologies on our websites to identify your browser or device. A cookie is a small file that is sent to your computer or automatically stored on your computer or mobile device by the web browser you are using when you visit our website. This allows us to recognise you when you return to this website, even if we do not know who you are. In addition to cookies that are only used during a session and deleted after your visit to the website (“session cookies”), cookies can also be used to store user settings and other information for a certain period of time (e.g. two years) (“permanent cookies”). However, you can set your browser to reject cookies, save them for one session only or otherwise delete them prematurely. Most browsers are preset to accept cookies. These cookies are necessary to provide you with the services available on our website and to use some features: AUTH_KEY, SECURE_AUTH_KEY, LOGGED_IN_KEY, NONCE_KEY, comment_author, comment_author_email, comment_author_url, rated, gdpr, gawdp. They are used to store your name, email, IP and other data that you leave in the contact forms, access and privacy settings.

By using our websites and agreeing to receive newsletters and other marketing emails, you consent to the use of these techniques. If you do not wish to do so, you must set your browser or e-mail programme accordingly

Use of Google Analytics

We sometimes use Google Analytics or similar services on our websites. This is a third-party service, which may be located in any country in the world (in the case of Google Analytics, it is Google Ireland (based in Ireland), Google Ireland relies on Google LLC (based in the USA) as an order processor (both “Google”), www.google.com), with which we can measure and evaluate the use of the website (not on a personal basis). Permanent cookies set by the service provider are also used for this purpose. We have configured the service in such a way that the IP addresses of visitors are shortened by Google in Europe before being forwarded to the USA and thus cannot be traced. We have switched off the settings “Data transfer” and “Signals”. Although we can assume that the information we share with Google is not personal data for Google, it is possible that Google can draw conclusions about the identity of visitors from this data for its own purposes, create personal profiles and link this data to the Google accounts of these persons. If you have registered with the service provider yourself, the service provider also knows you. The service provider is then responsible for processing your personal data in accordance with its data protection regulations. The service provider only tells us how our website is used (no information about you personally). We also use various external services such as Google Web Fonts, Google Maps and external video providers. As these providers may collect personal data such as your IP address, you can block them here. Please note that this may severely affect the functionality and appearance of our website. Changes will take effect as soon as you reload the page.

5. Data transfer and data transmission abroad

We also disclose data to third parties within the scope of our business activities and the purposes set out in section 3, insofar as this is permitted and appears appropriate to us, either because they process it for us or because they want to use it for their own purposes. This applies in particular to the following bodies:

¾ Service providers of ours (such as banks, insurance companies), including order processors (such as IT providers);

¾ dealers, suppliers, subcontractors and other business partners;

¾ customers;

¾ domestic and foreign authorities, official agencies or courts;

¾ media;

¾ the public, including visitors to websites and social media;

¾ competitors, industry bodies, associations, organisations and other bodies;

¾ acquirers or parties interested in acquiring divisions, companies or other parts of Soleal Unternehmenskapital AG

¾ other parties in potential or actual legal proceedings;

all joint recipients.

These recipients are partly domestic, but may be anywhere in the world. In particular, you must expect the transfer of your data to all countries in which Soleal Un-ternehmenskapital AG is represented itself, through branches or other offices, as well as to other countries in Europe and the USA where the service providers we use are located (such as Microsoft, Abacus).

If a recipient is located in a country without adequate data protection legislation, we contractually oblige the recipient to comply with the applicable data protection legislation (for this purpose, we use the revised standard contractual clauses of the European Commission, which are available here: https://eur-lex.europa.eu/eli/dec_impl/2021/914/oj?), unless the recipient is already subject to a legally recognised set of rules to ensure data protection and we cannot rely on an exemption provision. An exception may apply in the case of legal proceedings abroad, but also in cases of overriding public interests or if the performance of a contract requires such disclosure, if you have given your consent or if the data in question has been made generally accessible by you and you have not objected to its processing.

6. duration of the retention of personal data

We process and store your personal data as long as it is necessary for the fulfilment of our contractual and legal obligations or otherwise the purposes pursued with the processing, i.e. for example for the duration of the entire business relationship (from the initiation, processing to the termination of a contract) as well as beyond that in accordance with the statutory retention and documentation obligations. In this context, it is possible that personal data will be retained for the time during which claims can be asserted against our company and insofar as we are otherwise legally obliged to do so or legitimate business interests require this (e.g. for evidence and documentation purposes). As soon as your personal data is no longer required for the above-mentioned purposes, it will be deleted or made anonymous as far as possible. For operational data (e.g. system protocols, logs), shorter retention periods of twelve months or less generally apply.

7. data security

We take appropriate technical and organisational security measures to protect your personal data from unauthorised access and misuse, such as issuing instructions, training our employees, IT and network security solutions, two-factor authentication when accessing data, access controls and restrictions, encryption of data carriers and transmissions, pseudonymisation, and controls.

8. obligation to provide personal data

In the context of our business relationship, you must provide the personal data that is necessary for the establishment and implementation of a business relationship and the fulfilment of the associated contractual obligations (you do not generally have a legal obligation to provide us with data). Without this data, we will generally not be able to enter into or perform a contract with you (or the entity or person you represent). Also, the website cannot be used if certain information to secure data traffic (such as IP address) is not disclosed.

9. profiling and automated decision-making

For the establishment and implementation of the business relationship and also otherwise, we do not use any fully automated decision-making (as regulated in Art. 22 of the Data Protection Act). Should we use such procedures in individual cases, we will inform you separately, insofar as this is required by law, and inform you of the associated rights. We do not currently use profiling.

10. Rights of the data subject

Within the framework of the data protection law applicable to you and to the extent provided for therein (such as in the case of the GDPR), you have the right to information, correction, deletion, the right to restriction of data processing and otherwise the right to object to our data processing, in particular that for the purposes of direct marketing and other legitimate interests in the processing, as well as to the release of certain personal data for the purpose of transfer to another body (so-called data portability). Please note, however, that we reserve the right to enforce the restrictions provided for by law, for example if we are obliged to retain or process certain data, if we have an overriding interest in doing so (insofar as we are entitled to rely on this) or if we need the data to assert claims. If you incur costs, we will inform you in advance. We have already informed you about the possibility of revoking your consent in section 3. Please note that exercising these rights may conflict with contractual agreements and may have consequences such as premature termination of the contract or costs. We will inform you in advance if this is not already contractually agreed.

The exercise of such rights generally requires that you clearly prove your identity (e.g. by means of a copy of your identity card, where your identity is otherwise not clear or cannot be verified). To assert your rights, you can contact us at the address given in section 1.

Every data subject also has the right to enforce his or her claims in court or to lodge a complaint with the competent data protection authority.  The competent data protection authority in Switzerland is the Federal Data Protection and Information Commissioner (http://www.edoeb.admin.ch).

11. changes

We may amend this privacy policy at any time without prior notice. The current version published on our website will apply. If the privacy policy is part of an agreement with you, we will inform you of the change by e-mail or other suitable means in the event of an update.