PRIVACY NOTICE OF CA MEXICO ASESORES PATRIMONIALES EN INVERSIONES INDEPENDIENTES, S.A. DE C.V.

This Privacy Notice is issued in accordance with the provisions of the Federal Law on the Protection of Individuals’ Personal Data and its implementing regulations, where appropriate.

RESPONSIBILITY

CA México Asesores Patrimoniales en Inversiones Independientes, S.A. de C.V. (hereinafter “CA México”) is identified herein as a private legal entity that is responsible for the processing of personal data. "Processing" is deemed to refer to the collection, use, disclosure or storage of personal data through any means. The use of personal data includes any action involving access to and handling, transfer or disposal of any such data.

ACCESS TO INFORMATION

You are hereby informed that your personal data may be collected in three different ways:

  • Personal collection: When you visit any of our branches or are attended to by CA México staff.
  • Direct collection: When you provide us with your personal data upon applying for our services, initiating a legal or business relationship with us or participating in promotions, offers, drawing lots, programmes or events, including through our website, email, social networks or by telephone.
  • Indirect collection: When your personal data are collected through any other means or source of information commercially available or supplied by competent authorities.

Examples of personal data collected include:

Full name, gender, address, home telephone number, business/work and mobile phone numbers, email, age, place and date of birth, personal references, occupation, nationality, civil status, Constancia Única de Registro de Población (CURP, population census register), Cédula de Inscripción al Registro Federal de Contribuyentes (RFC, federal taxpayers’ registration number), Advanced Electronic Signature serial number, names of the companies in which you work or have worked, as well as data identifying the origin of the funds that will be used in relation to our services. Personal details of your spouse or the persons designated by you as joint holders or beneficiaries.

PURPOSES OF PERSONAL DATA PROCESSING

Unless instructed otherwise by the personal data holder through the method described in this Privacy Notice, the holder’s personal data, including any sensitive personal data that may be collected by us, will be processed for the following purposes: development of new products and services, provision of advice, marketing, promotion, purchase and placement of financial services and products or any other product or service derived from the legal or business relationship established between you and CA México.

Your personal data may also be processed for the following purposes:

  • To comply with any legal requirements imposed by competent authorities.
  • To provide you with information about our new financial products and services, benefits, discounts, promotions, market surveys, drawing lots, notices of changes to the terms of your legal and/or business relationship with CA México, as well as any advertisement from CA México.
  • To assess or analyze the use of our financial products and services.
  • To comply with the internal policies and regulations imposed by CA México.

Any sensitive data collected by us may be used for the general purpose of identifying risks in the purchase and development of our products.

MEANS AND/OR METHODS THAT CA MÉXICO MAY MAKE AVAILABLE TO THE PERSONAL DATA HOLDER WITH A VIEW TO LIMITING THE USE OR DISCLOSURE OF THEIR PERSONAL DATA

The holder’s personal data will be kept in strict confidentiality in accordance with the security, administrative, technical and physical measures implemented to that effect by CA México in its security policies and procedures. The illegal disclosure of such data is prohibited and the use of such data by third parties is restricted.

COMMITMENT LETTER SIGNED BY MANAGEMENT

You are hereby informed that, under the terms of this Privacy Notice and the aforementioned regulations, the Managers of CA México have signed a document in which they pledge to fulfil their duties in a responsible and prudent manner, always bearing in mind the confidentiality required of them.

THE EXERCISE OF THE DATA HOLDER’S RIGHTS

The Personal Data Holder may exercise their rights of access to, amendment, deletion, opposition, limitation of use, disclosure or revocation of their personal data from January 6th 2012 at any CA México branch or by conventional mail to Compliance (Legal and Compliance Management), Arquímedes No. 19, 2do. piso, Torre Tres Picos, Col. Bosque de Chapultepec, Delegación Miguel Hidalgo, México D.F. C.P. 11580, through a written request containing at least the following data:

  • Full name, address and email of the personal data holder for the purpose of replying to their request by email.
  • Proof of identity or legal representation of the personal data holder.
  • A clear and accurate description of the personal data for which the holder wishes to exercise any of the aforementioned rights.
  • Any other item or document that makes it easier to locate the holder’s personal data.
  • When making a request to amend their personal data, the holder should list the amendments that they wish to make and provide relevant documents in support of their request.

Sensitive data may include: medical questionnaire listing any condition or disease, surgery, incapacity, disability, deformity, loss of a limb, sexually transmitted disease, drug use, pregnancy, medical history of relatives, etc.

PERSONAL DATA TRANSFER

CA México may transfer personal data to the following recipients:

  • Affiliates and subsidiaries of the Crèdit Andorrà Group worldwide.
  • Third party service providers for the purpose of meeting the legal obligations assumed by CA México, its affiliates or subsidiaries.
  • Third parties that provide research services, data analysis, information relating to the requirements of the personal data holder, or any other financial services that may be necessary or required by the personal data holder.
  • Third parties that maintain a legal or business relationship with CA México, including, but not limited to, mergers, sales, consolidation, liquidation or transfer of management and/or custody of assets.
  • Business partners with whom CA México is developing new financial products or services.
  • Any other transfer provided for by the law or its implementing regulations, as appropriate.

The third parties and entities that receive personal data assume the same obligations and/or responsibilities as CA México under the terms of this Privacy Notice.

The personal data holder who files a request to initiate a legal or business relationship with CA México or any member of the Crèdit Andorrà Group worldwide hereby consents to their personal data being transferred in accordance with this Privacy Notice.

AMENDMENTS TO THIS PRIVACY NOTICE

In order to make amendments to this document, CA México is required to advise you thereof by placing a notice directly in its branches, by sending a notification to the email address supplied by the personal data holder or joint holder, or alternatively, through a notice on the website of CA México (www.camexico.mx), or using any other public or private means of communication specified in the Mandates/Contracts entered into between you and CA México.

REGULATION

Securities Market Act, LMV

Provisions relating to Independent Investment Advisors, Disposiciones Asesores en Inversiones

General provisions of Article 226 bis of the Securities Market Act applicable to investment advisors in relation to the prevention and identification of transactions conducted with illegally obtained resources.Asesores en inversiones DOF 141231

CA México Asesores Patrimoniales is registered in the National Baking and Stock Commission (CNBV) with the number 30064-001-(14157)-11/08/2016 since August 11st 2016 on terms of the Stock Market Law. 

Provisions relating to Sales Practices. Provisions relating to CB Investment Sales Practices

Regulatory Body: Comisión Nacional Bancaria y de Valores (CNBV)

Industry Representative Body: Asociación Mexicana de Asesores Independientes de Inversiones (AMAII). Member of the AMAII. AMAII Affiliation Document