Privacy Policy

About this policy

This policy relates to Capevest Holdings Pty Limited and its related bodies corporate (“Capevest”, “we”, “us” and “our”).

Capevest recognises an individual’s right to privacy and understands that the protection and confidentiality of your personal information is important to you.

This policy outlines the type of personal information we collect, as well as how it is collected, used, stored and protected by us. We may also provide you with additional information about how we will use your personal information at the time that it is collected.

This policy is effective as of 15 July 2020. We will update this policy when our information handling practices change, and any amendments will apply to the information we hold at the time of the update. We will post the updated policy on our website.

How do we collect personal information?

We collect personal information so that we can provide you with our products and services and comply with our legal and regulatory obligations. We primarily collect this information when you complete an application or registration form, when you transact with us or with funds managed by us, when you access websites operated by us, and/or when you communicate with our staff, service providers or our other representatives.

In addition, we may collect personal information about individuals who are not customers of Capevest in our dealings with them. We may also collect personal information if you apply for a job with us.

In most cases, we will collect your personal information directly from you. However, we may also collect your personal information from other sources, such as our affiliates or from third parties such as your authorised representatives and advisers, our corporate clients when we are providing services to them, referees in the case of prospective employees or contractors, your employer and/or our service providers.

What personal information do we collect?

Any information that identifies you is deemed to be personal information. The personal information we may collect about you will depend on the circumstances of collection.

The type of personal information we collect from you in order to provide you with our products and services includes (but is not limited to) your name, contact details (such as your residential address, email address and telephone number), date of birth, financial and investment information, bank account details, citizenship, social security number and/or tax file/identification number.

If you apply for a job with us the type of personal information we collect includes your name, contact details, date of birth, citizenship, employment references, civil, credit and criminal records, regulatory accreditation (such as RG 146 accreditation), directorships, driver’s licence information, education, employment history and credentials.

In addition, we may collect business contact details of a company representative with whom we deal.

If you do not provide personal information to us, we may not be able to provide you with the services or information you require.

How do we use your personal information?

We use your personal information for our everyday business purposes, to manage and administer the products and services provided by us or our affiliates, to comply with relevant laws, regulations, codes or practice or court orders and to communicate with you on an ongoing basis about your investments and the market in general.

We may also send you educational and marketing material about other products and services we offer – you may contact us at any time to ask us not to send this information.

We may use personal information that you provide to us for analysis to improve our products and services, to verify your identity and/or to prevent fraud, crime or other activity that may cause harm in relation to our products or services.

Capevest relies on the employer exemption relating to employee records. However, we have adopted a number of measures designed to protect the privacy of our employees.

Who do we share your personal information with?

In some circumstances we may disclose your personal information to persons/entities outside of Capevest, including to:

  • our agents, contractors, affiliates and external service providers who help us to provide products and services to you (such as registry providers, transfer agents, custodians, administrators, distributors, mailing houses, printing companies, information technology service providers and external consultants);
  • our auditors, insurers and professional advisors;
  • our affiliates for reasonable business and internal reporting purposes;
  • courts, tribunals and other dispute resolution bodies in the course of a dispute;
  • anyone to whom we, or our service providers, are required or authorised by law or regulation to disclose your personal information (for example, law enforcement agencies, and national and international government and regulatory authorities including but not limited to the Australian Taxation Office, the Australian Securities and Investments Commission, the Australian Transaction Reports and Analysis Centre and the United States Internal Revenue Service);
  • other financial services institutions – in order to detect, investigate or prevent actual or potential fraud in connection with the products or services we provide to you; and/or
  • anyone authorised by you or in respect of whom you have provided your consent (either expressly or impliedly), including but not limited to other financial services providers that we may need to deal with on your behalf*.

*If you nominate an individual contact within an advisory firm or administrative firm, we deem that you give authority to the firm and not the individual contact nominated.

Do we send personal information to overseas recipients?

We may disclose your personal information to agents, contractors and external service providers in offshore locations.

We take steps to ensure that our agents, contractors and external service providers keep your personal information confidential and use it only for the purposes for which they, and Capevest, are authorised.

How do we protect your personal information?

Capevest regards the security of your personal information as a priority and takes reasonable steps to protect your information from loss and unauthorised access, destruction, use, modification or disclosure.

We hold personal information in secure computer storage facilities; on paper-based files; as well as in other formats. We utilise a range of technical security measures such as secure authentication, password controls, encryption, firewalls and anti-virus technology to prevent unauthorised access to your information.

We also train our staff on the importance of maintaining the confidentiality of personal information and the privacy of individuals.

When we don’t need your personal information anymore we will delete, destroy or de-identify it.

In the unlikely event of a data breach we have measures in place to manage and respond to data breaches, which include the notification to impacted individuals and data protection authorities, where required.

How can you access your personal information?

In many circumstances you can request access to personal information that we hold about you. Sometimes it is not possible for us to give you access in which case we will explain why.

We will take reasonable steps to correct personal information held about you where we are satisfied that the information is inaccurate, out-of-date, incomplete, irrelevant or misleading or, you request us to correct the information.

How can you contact us about privacy?

You can call Investor Services or you can send an email to or write to us to:

  • seek more information about anything contained in this policy;
  • request a printed copy of this policy;    
  • access your personal information held by us;  
  • update or correct your personal information held by us; or
  • opt out of receiving direct marketing material.

How can you make a complaint about privacy?

If you wish to make a complaint about how we have handled your personal information, you can send an email to

What about privacy and the internet?

We may collect personal information you enter when using our websites, especially when you use any of our secure websites.

When browsing our websites Capevest’s webservers automatically collect standard information as part of the HTTP web protocol – your IP address, browser type, operating system, access times, referring sites, pages viewed and other information.

Cookies are small pieces of text stored on your computer to help us to determine the type of browser and settings you are using, where you have been on our websites, when you return to our websites and where you came from. The purpose of this information is to provide you with a more relevant and effective experience on our websites, including presenting web pages according to your needs or preferences.  We may also use external service providers to track the traffic and usage on the websites. You may not be able to access some parts of our websites if you choose to disable the cookie acceptance in your browser, particularly the secure parts of the websites.

Our websites may have links to external third party websites that may benefit the user. External websites should contain their own privacy statements and we recommend you review them when using their websites. Third party websites are not covered by this policy, and these sites are not subject to Capevest’s privacy standards and procedures.

Telephone recording

Phone calls to our staff and representatives may be recorded or monitored for quality control, training, legal and regulatory or other compliance reasons.