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Effective URL: https://www.shenkmancapital.com//privacy_notice
Submission: On August 08 via manual from ES — Scanned from ES
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PRIVACY NOTICE
Effective Date: January 2023
Last Updated: January 2023
INTRODUCTION
This notice (this “Privacy Notice”) is provided by the Shenkman Group of
Companies, and their affiliates (collectively the “Shenkman Group”), as well as
mutual funds, private funds (single investor or commingled), Collateralized Loan
Obligations (“CLOs”), and UCITS funds managed by the Shenkman Group (each, a
“Sponsored Fund” and, collectively “Sponsored Funds”). This Privacy Notice sets
forth our policies for the collection, use, storage, sharing, disclosure
(collectively, “processing”) and protection of personal data relating to
current, prospective and former clients and investors in Sponsored Funds, as
applicable.
References to “you,” “your,” “investor,” or “client” in this Privacy Notice mean
any investor in a Sponsored Fund or any client of the Shenkman Group, as
applicable. References to, “we,” “us,” or “our” in this Privacy Notice mean a
Sponsored Fund or the Shenkman Group, as applicable
The Shenkman Group includes Shenkman Capital Management, Inc., Shenkman Capital
Management Ltd, Romark Credit Advisors LP, Romark CLO Advisors LLC, and their
affiliates. Capitalized terms used but not defined herein have the meanings
assigned to them in the Form ADV Part 2A of Shenkman Capital Management, Inc.,
or of Romark Credit Advisors LP, as applicable, each of which may be
supplemented, updated or modified from time-to-time.
Certain Shenkman Group entities and Sponsored Funds are considered to be data
controllers in respect of any personal data we hold about you for the purposes
of certain privacy and data protection laws that apply in jurisdictions where we
operate (collectively, the “Data Protection Laws”), please visit
https://www.shenkmancapital.com/datacontrollers for a comprehensive list. This
means that each of the Sponsored Funds and the Shenkman Group (alone or jointly,
as applicable) determines the purposes and the means of the processing of your
personal data.
Please note that certain service providers (collectively, the “Service
Providers”) of the Shenkman Group and/or Sponsored Fund including, without
limitation, administrators, transfer agents, legal advisers, depositaries,
distributors, prime brokers, and custodians work under a range of professional
and legal obligations that require them to process personal data (e.g.,
anti-money laundering legislation). In order to meet the requirements of such
obligations, such Service Providers, from time-to-time, would not be acting on
our instructions but instead in accordance with their own respective
professional or legal obligations and, therefore, would be acting as data
controllers in their own right with respect to such processing. For more
specific information or requests in relation to the processing of personal data
by such service providers, you may also contact the relevant Service Provider
directly, and we can provide relevant contact information upon request. With
respect to Sponsored Funds, Service Provider contact information may be found in
the prospectus or confidential private placement memorandum of the applicable
Sponsored Fund.
THE TYPES OF PERSONAL DATA WE MAY HOLD
The categories of personal data we may collect include, but are not limited to:
names; residential or business addresses, or other contact details; signature;
nationality; tax identification, passport, or social security number or similar
identification number; date of birth; place of birth; country of incorporation
or domicile; jurisdiction of tax residence(s) photographs; copies of
identification documents; bank account details; information about assets or net
worth; credit history; information on investment activities; financial
information, for example, interest, dividends, income from certain insurance
contracts or products and other income generated with respect to assets held in
the account or payments made with respect to the account; account balances;
proceeds from the sale or redemption of property paid or credited to the
account; or other personal data, such as certain special categories of personal
data (including, where relevant, information on political affiliations, ethnic
origin, or criminal convictions), as specified under the applicable Data
Protection Laws, that may be contained in the relevant materials, documents, or
obtained through background searches, together with any other information
required by applicable law or regulation.
HOW WE COLLECT PERSONAL DATA
We may collect personal data about you through: (i) information provided
directly to us by you, or another person on your behalf; (ii) information that
we obtain in relation to any transactions between you and us; and (iii)
recording and monitoring of telephone conversations with you, to the extent
relevant or permissible under applicable law.
We also may receive your personal data from third parties or other sources, such
as, but not limited to, our affiliates, the Service Providers, publicly
accessible databases or registers, tax authorities, governmental and
non-governmental agencies and supervisory authorities, credit agencies, fraud
prevention and detection agencies, or other publicly accessible sources, such as
the internet.
HOW WE MAY USE PERSONAL DATA
We may process your personal data in the course of our business tasks,
including, without limitation, in connection with:
1. entering into an advisory agreement or accepting subscription
documentation;
2. administering the relationship between you and us;
3. processing subscriptions and redemptions;
4. executing discretionary transactions;
5. providing communications and reporting;
6. maintaining the registers of investors of Sponsored Funds;
7. marketing of our products and services;
8. monitoring and analyzing our activities;
9. processing investments and withdrawals of and payments of dividends to
investors;
10. maintaining global client and investor records and providing centralized
administrative, marketing and client services;
11. investigating and resolving complaints and recording calls and managing
litigation monitoring electronic communications for fraud or crime
detection or for regulatory reasons; and
12. complying with applicable legal or regulatory requirements (including
anti-money laundering, fraud prevention, tax reporting, sanctions
compliance, or responding to requests for information from supervisory
authorities or law enforcement agencies).
We will use one of the permitted grounds under the applicable Data Protection
Laws to process your personal data. Such grounds include, for example,
circumstances where:
1. processing is necessary to perform our obligations under applicable advisory
agreements or Sponsored Fund governing documents;
2. we are required to comply with a legal or regulatory obligation applicable
to us; or
3. we, or a third party on our behalf, have determined that it is necessary for
our legitimate interests to collect and use your personal data, such as if
we believe that you have a reasonable expectation for us or a third party to
collect or use your personal data for such purpose.
WE COMBINE INFORMATION
For example, we may combine information that we have collected offline with
information we collect online. We combine information that we have collected
across other third party sites. We combine information across devices, such as
computers and mobile devices. We may also combine information we get from a
third party with information we already have.
WHAT ARE THE CONSEQUENCES OF FAILING TO PROVIDE PERSONAL DATA
Where personal data is required to satisfy a statutory or regulatory obligation
(including compliance with applicable anti-money laundering or sanctions
requirements) or a contractual requirement, failure to provide such information
may result in our advisory agreement with you, or, as applicable,
yoursubscription in the applicable Sponsored Fund being rejected or terminated,
and/or your interests in a Sponsored Fund becoming subject to compulsory
redemption or withdrawal, as applicable. Where there is suspicion of unlawful
activity, failure to provide personal data may result in the submission of a
report to the relevant law enforcement agency or supervisory authority.
HOW WE MAY SHARE PERSONAL DATA
We may disclose certain personal data about you to our affiliates, Service
Providers or other third parties to onboard you as an advisory client, or in the
case of Sponsored Fund investors, to accept your subscription, administer and
maintain your account(s), or otherwise perform our contractual obligations. We
may also need to share your personal data: (i) with courts, ombudsmen,
regulatory, tax, law enforcement, or other non-governmental regulators and/or
authorities to comply with applicable legal or regulatory requirements; (ii) to
respond to court orders, or in the context of regulatory requests for
information, administrative proceedings, or investigations; or (iii) when we
believe in good faith that disclosure is legally required or we or a Sponsored
Fund have a legitimate interestinmaking a disclosure, such as where necessary to
protect our or a Sponsored Fund’s rights and property. We will also release
information about you if you direct us to do so.
It may also be necessary, under anti-money laundering and similar laws, to
disclose personal data about you to facilitate the establishment of trading
relationships for your accounts, or in the case of Sponsored Fund investors,
accounts of the Sponsored Funds, with prime brokers, custodians, executing
brokers or other trading counterparties.
Wemay also disclose personal data about you, or yourtransactions and experiences
with us, to our affiliates or Service Providers for our everyday business
purposes, such as administration of our business, record- keeping, maintaining
security of our information technology systems, reporting and monitoring of our
activities, investor relations activities, and compliance with applicable legal
and regulatory requirements.1
We may also disclose personal data about you to any third party that acquires,
or is interested in acquiring, all or part of our assets or ownership interests,
or that succeeds us in carrying on all or a part of our or its business, whether
by merger, acquisition, reorganization or otherwise.
RETENTION PERIODS AND SECURITY MEASURES
We take standard security measures in accordance with applicable Data Protection
Laws.
We will retain personal data for a minimum period of six years from the date on
which you redeem all of your shares or unitsin the relevant Sponsored Fund(s) or
you close your account with the Shenkman Group, or for as long as required for
us to perform the services or comply with applicable legal or regulatory
obligations. We may retain personal data for a longer period for the purpose of
marketing our products and services or compliance with applicable law. From
time-to-time, we will review the purpose for which personal data has been
collected and decide whether to retain it or to delete if it no longerserves any
purpose to us.
MONITORING OF COMMUNICATIONS
We may record and monitor telephone conversations and electronic communications
with you for the purposes of: (i) ascertaining the details of instructions
given, the terms on which any transaction was executed or any other relevant
circumstances; (ii) ensuring compliance with our regulatory obligations; and/or
(iii) detecting and preventing the commission of financial crime.
ADDITIONAL INFORMATION UNDER THE U.S. GRAMM-LEACH-BLILEY ACT 1999 (REG S-P) AND
FAIR CREDIT REPORTING ACT (REG S-AM)
For purposes of U.S. federal law, this Privacy Notice applies to current and
former clients and investors who are individuals or Individual Retirement
Accounts. We are providing this additional information under U.S. federal law
We may disclose information about our clients, investors, prospective investors
or former investors to affiliates (i.e., financial and non-financial companies
related by common ownership or control) or non- affiliates (i.e., financial or
non-financial companies not related by common ownership or control) for our
everyday business purposes, such as to process your transactions, maintain your
account(s) or respond to court orders and legal investigations. Thus, it may be
necessary or appropriate, under anti-money laundering and similar laws, to
disclose information about our clients or Sponsored Fund investors in order to
accept subscriptions from them. We will also release information about you if
you direct us to do so.
We may share your information with our affiliates for direct marketing purposes,
such as offers of products and services to you by us or our affiliates. You may
prevent this type of sharing by contacting us at
DataProtection@shenkmancapital.com. If you are a new client or investor in a
Sponsored Fund, we can begin sharing your information with our affiliates for
direct marketing purposes 30 days from the date we sent this Privacy Notice.
When you are no longer our client or an investor in a Sponsored Fund, we may
continue to share your information with our affiliates for such purposes.
You may contact us at any time to limit our sharing of your personal data at
DataProtection@shenkmancapital.com. If you limit sharing for an account you hold
jointly with someone else, your choices will apply to everyone on your account.
U.S. state laws may give you additional rights to limit sharing
We do not share your information with non-affiliates for them to market their
own services to you. We may disclose information you provide to us to companies
that perform marketing services on our behalf, such as any placement agent
retained by a Sponsored Fund, or a client solicitor.
ADDITIONALINFORMATION UNDER THE CAYMAN ISLANDS DATA PROTECTION ACT 2017 (“DPA”)
With respect to investors in Sponsored Funds organized under the laws of the
Cayman Islands, the applicable Sponsored Fund may share your personal data with
its Services Providers, including the Shenkman Group, as well as the Sponsored
Fund’s administrators, transfer agents, depositories, distributors, custodians,
prime brokers, or others who are located outside the Cayman Islands. It may also
be necessary to share your information with the Cayman Islands Monetary
Authority or the Tax Information Authority, which may, in turn, exchange this
information with foreign tax authorities, regulatory or law enforcement
agencies. By submitting your personal data to us, you consent to the transfer of
your personal data to Shenkman and the other recipients described in this notice
that are located in countries outside of the Cayman Islands. Any transfer of
your personal data by us, our affiliates or service providers outside the Cayman
Islands will be carried out in accordance with the DPA. Investors may withdraw
their consent at any time. The withdrawal of consent shall not affect the
lawfulness of processing based on consent before its withdrawal.
You may have certain rights under the DPA, including: (i) the right to be
informed; (ii) the right of access; (iii) the right to rectification; (iv) the
right to stop or restrict processing; (v) the right to stop direct marketing;
(vi) rights in relation to automated decision making; (vii) the right to seek
compensation; and (viii) the right to complain to the supervisory authority. If
you wish to exercise these rights, please contact
DataProtection@shenkmancapital.com. A complaint in respect of a Sponsored Fund
organized under the laws of the Cayman Islands may be lodged with the Office of
the Ombudsman in the Cayman Islands, although, we ask that you contact
DataProtection@shenkmancapital.com in the first instance to give us the
opportunity to address any concerns you may have.
ADDITIONAL INFORMATION UNDER THE GENERAL DATA PROTECTION REGULATION
You may have certain rights under the EU General Data Protection Regulation
(“GDPR”) and equivalent legislation adopted in the United Kingdom including the
UK General Data Protection Regulation (“UK GDPR”) in relation to our processing
of your personal data and any processing carried out on your behalf. These
include rights to:
1. Access: confirm with us whether your personal data is processed, and if it
is, to request access to your personal data. This enables you to receive a
copy of the personal data we hold about you and to receive confirmation
regarding how and why we process your personal data.
2. Rectification: request correction/rectification of the personal data that we
hold about you. This enables you to have incomplete or inaccurate
information we hold about you corrected.
3. Erasure: request erasure of your personal data in certain circumstances.
4. Objection: object to processing of your personal data, on grounds relating
to your particularsituation, where we are relying on a legitimate interest
(or those of a third party). However, we may be permitted to continue to
process your personal data where we have a compelling legitimate grounds for
the processing. You also have the right to object where we are processing
your personal data for direct marketing purposes.
5. Restriction: request the restriction of processing of your personal data in
certain circumstances. This enables you to ask us to suspend the processing
of personal data about you, for example if you want us to establish its
accuracy or the reason for processing it.
6. Portability: in certain circumstances, request to receive personal data
concerning you, which you have provided to us, in a structured, commonly
used and machine-readable format.
If we have relied upon your consent to process your personal data for a
particular purpose, you have the right to withdraw your consent.
Please contact DataProtection@shenkmancapital.com if you wish to exercise these
rights.
You also have the right to lodge a complaint about the processing of your
personal data with the competent data protection supervisory authority. A
complaint in respect of the Shenkman Capital Management Ltd may be lodged with
the Information Commissioner’s Office in the United Kingdom, although, we ask
that you contact DataProtection@shenkmancapital.com in the first instance to
give us the opportunity to address any concerns you may have.
Due to the international nature of our business, your personal data may be
transferred to jurisdictions that do not offer equivalent protection to personal
data as in the European Economic Area or the United Kingdom (“Third Countries”).
If you live outside of the United States and choose to use Shenkman’s website,
you understand that it is at your own risk. You also understand that your
information will be sent to the United States. Where we transfer personal data
outside of the United Kingdom and the European Economic Area, we will use
adequate safeguards, such as standard contractual clauses.
The Shenkman Group has entered into standard contractual clauses (“Model
Contracts”) for intra-group transfers of personal data. Investors have a right
to request copies of the Model Contracts by contacting
DataProtection@shenkmancapital.com. We may also be required to transfer your
personal data to our regulators or government agencies in Third Countries in
cases where such transfers are necessary in the context of administrative
proceedings, such as requests for information, examinations or investigations,
or to other relevant parties in Third Countries where it is necessary for the
purposes of establishing, bringing, or defending legal claims, or for another
legitimate business purpose, such as compliance with our legal or regulatory
obligations under foreign law.
STATE-SPECIFIC DISCLOSURES
If you are a California resident, California law may provide you with additional
rights regarding our collection and use of your personal information. To learn
more about your privacy rights, please see the California Consumer Privacy
Notice as an addendum to this Privacy Notice below.
REVISIONS TO OUR PRIVACY POLICIES
The Shenkman Group evaluates its privacy policies and procedures to implement
improvements and refinements from time-to-time. The Shenkman Group reserves the
right to amend the terms contained herein in whole or in part for any reason. We
therefore suggest that you review this Privacy Notice periodically, which is
available at https://www.shenkmancapital.com/privacy_notice.
WHO TO CONTACT ABOUT THIS PRIVACY NOTICE
Please contact our Chief Compliance Officer at
DataProtection@shenkmancapital.com, at (212) 867-9090, or by writing to the
following address, Shenkman Capital Management, Inc., 151 W. 42nd Street, New
York, NY 10036 with any questions about this Privacy Notice or requests with
regards to the personal data we hold.
1 Please refer to the Privacy Statement of Refinitiv, a due diligence Service
Provider of the Shenkman Group, located here:
https://www.refinitiv.com/en/policies/privacy-statement
CALIFORNIA CONSUMER PRIVACY NOTICE
INTRODUCTION
This notice (the “CaliforniaConsumer Privacy Notice”)is provided by the Shenkman
Group of Companies, and their affiliates (collectively the “Shenkman Group”), as
well as mutual funds, private funds (single investor or commingled),
Collateralized Loan Obligations (“CLOs”), and UCITS funds managed by the
Shenkman Group (each, a “Sponsored Fund” and, collectively “Sponsored Funds”).
This California Consumer Privacy Notice contains disclosures required by the
California Consumer Privacy Act (“CCPA”) as amended by the California Privacy
Rights Act (“CPRA”) and only applies to California residents. This California
Consumer Privacy Notice applies to the collection or other use of “personal
information” that is subject to the CCPA.
References to “you,” “your,” “investor,” or “client” in this California Consumer
Privacy Notice mean any resident of California. References to, “we”, “us”, or
“our” in this California Consumer Privacy Notice mean a Sponsored Fund or the
Shenkman Group, as applicable. The Shenkman Group includes Shenkman Capital
Management, Inc., Shenkman Capital Management Ltd, Romark Credit Advisors LP,
Romark CLO Advisors LLC, and their affiliates. Capitalized terms used but not
defined herein have the meanings assigned to them in the Form ADV Part 2A of
Shenkman Capital Management, Inc., or of Romark Credit Advisors LP, as
applicable, each of which may be supplemented, updated or modified from
time-to-time.
PERSONAL INFORMATION WE COLLECT
In the past 12 months, we may have collected, without limitation, the following
categories of personal information about you:
* Identifiers, such as your real name, alias, email address, postal address,
Internet Protocol (IP) address, account name, Social Security number,
driver’s license number, passport number, or other similar personal
identifiers;
* Other personal information categories (as listed in the California Customer
Records statute), such as your signature, physical characteristics or
description, telephone number, insurance policy number, education,
employment, employment history, bank account number or any other financial
information, medical information, or health insurance information;
* Protected classification characteristics under California or federal law,
such as your age, race, citizenship, marital status, gender, or veteran or
military status;
* Commercial information, such as your account activity, records of personal
property, products or services purchased, obtained, or considered, or other
purchasing or consuming histories or tendencies;
* Biometric information,such as your fingerprints, faceprints, voiceprints, and
iris or retina scans;
* Internet or other similar network activity, such as information regarding
your interaction with our website, online portal, or other applications;
* Sensory data, such as recordings of your audio (e.g., voicemails);
* Professional or employment-related information, such as your current or past
job history or performance evaluations;
* Non-public education information, such as your education records maintained
by an educational institution or party acting on its behalf;
* Inferences drawn from other personal information, such as a profile
reflecting your preferences, characteristics, trends, predispositions,
behavior, attitudes, intelligence, abilities, and aptitudes; and
* Sensitive Personal Information, such as your Social Security number, driver’s
license number, state identification card number, or passport number; account
log-in, financial account, debit card, or credit card number in combination
with any required security or access code, password, or credentials allowing
access to an account; and racial or ethnic origin.
We do not knowingly sell personal information from anyone under the age of 16.
SOURCES OF PERSONAL INFORMATION WE COLLECT
We primarily collect personal information from the following categories
ofsources:
* Your communications with us;
* Service providers, including, but not limited to, administrators, lenders,
banks, trading counterparties, auditors, law firms, consultants, placement
agents, employment agencies and recruiters, and background check providers;
* Affiliates not under the Shenkman Group brand;
* Nonprofit organizations; and
* Government entities.
USE OF PERSONAL INFORMATION
We may use the personal information we collect for one or more of the following
purposes:
* Providing you with information about our products and services;
* Providing performance and other updates;
* One or more of the following business purposes:
* Performing services (for us or our service provider) such as account
servicing, processing orders and payments, and analytics;
* Auditing related to our interactions with you (e.g., counting ad
impressions to unique visitors, verifying positioning/quality of ad
impressions, and auditing compliance, etc.);
* Legal compliance;
* Internal operations;
* Activities to maintain and improve ourservices; and
* Other commercial purposes, including, but not limited to, activities that
are directed to advancing commercial or economic interests, such as
inducing a person to buy, rent, lease, join, subscribe to, provide or
exchange products or services, or enabling or effecting a commercial
transaction.
SHARING PERSONALINFORMATION
We may share your personal information as follows:
Identifiers
* Service Providers
* Affiliates
* Business Partners
Other personal information categories (as listed in the California Customer
Records statute)
* Service Providers
* Affiliates
* Business Partners
Protected classification characteristics under California or federal law
* Service Providers
* Affiliates
* Business Partners
Commercial information
* Service Providers
* Affiliates
* Business Partners
Biometric information
* Service Providers
* Affiliates
* Business Partners
Internet or other similar network activity
* Service Providers
* Affiliates
* Business Partners
Sensory data
* Service Providers
* Affiliates
* Business Partners
Professional or employment-related information
* Service Providers
* Affiliates
* Business Partners
Non-public education information
* Service Providers
* Affiliates
* Business Partners
Inferences drawn from other personal information
* Service Providers
* Affiliates
* Business Partners
Sensitive Personal Information
* Service Providers
* Affiliates
* Business Partners
Please note, our Service Providers, include but are not limited to,
administrators, lenders, banks, trading counterparties, auditors, law firms,
consultants, placement agents, employment agencies and recruiters, and
background check providers.
We may share your personal information to comply with our legal obligations (in
response to a subpoena or other legal process by a governmental entity or third
party if otherwise required by law) and internal policies. We may also share
your personal information, on an as needed basis, to facilitate a business
transfer or merger.
In the past 12 months, we have not sold, as we understand that term, any
personal information we collect to third parties, and we have shared the
categories of personal information we collect only as set forth above.
RIGHTS OF CALIFORNIA CONSUMERS
Subject to certain exceptions and limitations, you have the following rights
under your California law:
* The right to request (a) the categories and specific pieces of personal
information we collect, use, disclose, and sell about you, (b) the categories
of sources from which we collected your personal information, (c) our
purposes for collecting or selling your personal information, (d) the
categories of your personal information (if any) that we have either sold or
disclosed for a business purpose, and (e) the categories of third parties
with which we have shared personal information;
* For certain categories of personal information, the right to request a list
of what personal information (if any) we disclosed to third parties for their
own direct marketing purposes in the past 12 months and the names and
addresses of those third parties;
* The right to request that we delete the personal information we have
collected from you or maintain about you;
* The right to correct inaccurate personal information we may maintain about
you;
* The right to limit our use and disclosure of sensitive personal information
about you;
* The right to opt out of our sale(s) (if any) of your personal information;
and
* The right not to receive discriminatory treatment for the exercise of the
privacy rights conferred by the CCPA.
You may submit requests to exercise your rights under the CCPA to our Chief
Compliance Officer at DataProtection@shenkmancapital.com or at (212) 867-9090.
We may need to request additional information from you to verify your identity
or understand the scope of your request. In verifying requests, we will require
you to provide, at a minimum your mailing address and telephone number to verify
your identity. If we are unable to verify your identity, we will need to deny
your request.
You may designate an authorized agent to make a CCPA request on your behalf. In
such case, we will ask the agent to provide proof that you have given the agent
signed permission to act on your behalf. In addition, we will ask you to either
(1) verify your identity directly with us in the manner described above or (2)
directly confirm with us that you have provided the agent permission to make the
request on your behalf
RETENTION OF PERSONAL INFORMATION
We retain personal information for as long as necessary to provide the services
and fulfill the transactions you have requested, or for other business purposes
such as complying with our legal obligations, resolving disputes, and enforcing
our agreements. We decide how long we need personal information on a
case-by-case basis. We may consider the following factors when making retention
decisions:
* Whether we need to keep some of your personal information to maintain your
account;
* Whether we are required by law to keep some types of personal information for
certain periods of time to comply with our legal obligations; and
* Whether we need some of your personal information for other business
purposes, such as to prevent harm and ensure safety and security of our
website and services; investigate possible violations of our terms and
conditions of use; or otherwise protect ourselves.
If we determine your personal information is no longer necessary using the
factors above, we will generally destroy or anonymize that information.
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DISCLOSURES
Modern Slavery Statement
SCM Ltd’s MiFIDPRU 8, Remuneration Code, Stewardship and Shareholder Rights
Directive Disclosure
DATA CONTROLLERS
The Shenkman Group entities and Sponsored Funds identified in the table below
are considered to be data controllers in respect of any personal data we hold
about you for the purposes of certain privacy and data protection laws that
apply in jurisdictions where we operate (collectively, the “Data Protection
Laws”):
* Adams Mill CLO LLC
* Adams Mill CLO Ltd.
* Adams Mill Issuer Subsidiary VI Ltd.
* Brookside Mill CLO Issuer Subsidiary IV Ltd.
* Brookside Mill CLO Issuer Subsidiary VI Ltd.
* Brookside Mill CLO LLC
* Brookside Mill CLO Ltd.
* Credos Floating Rate Fund Ltd.
* Four Points Multi-Strategy Fund Subsidiary VII LLC
* Four Points Multi-Strategy Fund, Inc.
* Four Points Multi-Strategy Master Fund Subsidiary I, Ltd.
* Four Points Multi-Strategy Master Fund, Inc.
* Jackson Mill CLO LLC
* Jackson Mill CLO Ltd.
* Jefferson Mill CLO Issuer Subsidiary IV Ltd.
* Jefferson Mill CLO Issuer Subsidiary V Ltd.
* Jefferson Mill CLO Issuer Subsidiary VI Ltd.
* Jefferson Mill CLO LLC
* Jefferson Mill CLO Ltd.
* Primus High Yield Bond Fund Ltd.
* Primus High Yield Bond Fund, L.P.
* Romark CLO Advisors LLC
* Romark CLO I Issuer Subsidiary VI Ltd.
* Romark CLO II Issuer Subsidiary VI Ltd.
* Romark CLO III Issuer Subsidiary VI Ltd.
* Romark CLO-I LLC
* Romark CLO-I Ltd.
* Romark CLO-II LLC
* Romark CLO-II Ltd.
* Romark CLO-III LLC
* Romark CLO-III Ltd.
* Romark CLO-IV LLC
* Romark CLO-IV Ltd.
* Romark Credit Advisors LP
* Romark Credit Funding I, LLC
* Romark Credit Funding I, Ltd.
* Romark Credit Funding II, LLC
* Romark Credit Funding II, Ltd.
* Romark WM-R Issuer Subsidiary VI Ltd.
* Romark WM-R LLC
* Romark WM-R Ltd.
* Shenkman Capital Management Ltd
* Shenkman Capital Management, Inc.
* Shenkman Capital Management, L.L.C.
* Shenkman CLO Equity Opportunity Fund I GP, LLC
* Shenkman CLO Equity Opportunity Fund I LP
* Shenkman Credit Fund plc
* Shenkman Funds ICAV
* Shenkman Global Convertible Bond Fund
* Shenkman High Income Fund
* Shenkman High Yield Bond Master Fund, Inc.
* Shenkman Investments, LLC
* Shenkman Master Funds ICAV
* Shenkman Multi-Asset Credit Fund
* Shenkman Multi Asset Credit Fund LP
* Shenkman Multi-Asset Credit GP LLC
* Shenkman Multi-Asset Credit Master Fund
* Shenkman Multi-Asset Credit Select Fund LP
* Shenkman Multi-Asset Credit Select GP LLC
* Shenkman Multi-Asset Credit Select Master Fund LP
* Shenkman Opportunistic Credit Fund Ltd.
* Shenkman Opportunistic Credit Fund Subsidiary VII LLC
* Shenkman Opportunistic Credit Intermediate Fund LP
* Shenkman Opportunistic Credit Master Fund LP
* Shenkman Short Duration High Income Fund
* Shenkman Structured Credit Master Fund Ltd.
* Shenkman Tactical Credit Fund (Cayman) LP
* Shenkman Tactical Credit Fund LP
* Shenkman Tactical Credit GP LLC
* Shenkman Tactical Credit Intermediate Fund (Cayman) Ltd.
* Shenkman Tactical Credit Intermediate Fund E II LLC
* Shenkman Tactical Credit Intermediate Fund E III LLC
* Shenkman Tactical Credit Intermediate Fund E IV LLC
* Shenkman Tactical Credit Intermediate Fund E LLC
* Shenkman Tactical Credit Intermediate Fund E V LLC
* Shenkman Tactical Credit Master Fund E LP
* Shenkman Tactical Credit Master Fund LP
* Shenkman Winchester GP LLC
* Sudbury Mill CLO LLC
* Sudbury Mill CLO Ltd.
Data Controllers Page
PRIVACY NOTICE
Effective Date: January 2023
Last Updated: January 2023
INTRODUCTION
This notice (this “Privacy Notice”) is provided by the Shenkman Group of
Companies, and their affiliates (collectively the “Shenkman Group”), as well as
mutual funds, private funds (single investor or commingled), Collateralized Loan
Obligations (“CLOs”), and UCITS funds managed by the Shenkman Group (each, a
“Sponsored Fund” and, collectively “Sponsored Funds”). This Privacy Notice sets
forth our policies for the collection, use, storage, sharing, disclosure
(collectively, “processing”) and protection of personal data relating to
current, prospective and former clients and investors in Sponsored Funds, as
applicable.
References to “you,” “your,” “investor,” or “client” in this Privacy Notice mean
any investor in a Sponsored Fund or any client of the Shenkman Group, as
applicable. References to, “we,” “us,” or “our” in this Privacy Notice mean a
Sponsored Fund or the Shenkman Group, as applicable
The Shenkman Group includes Shenkman Capital Management, Inc., Shenkman Capital
Management Ltd, Romark Credit Advisors LP, Romark CLO Advisors LLC, and their
affiliates. Capitalized terms used but not defined herein have the meanings
assigned to them in the Form ADV Part 2A of Shenkman Capital Management, Inc.,
or of Romark Credit Advisors LP, as applicable, each of which may be
supplemented, updated or modified from time-to-time.
Certain Shenkman Group entities and Sponsored Funds are considered to be data
controllers in respect of any personal data we hold about you for the purposes
of certain privacy and data protection laws that apply in jurisdictions where we
operate (collectively, the “Data Protection Laws”), please visit
https://www.shenkmancapital.com/datacontrollers for a comprehensive list. This
means that each of the Sponsored Funds and the Shenkman Group (alone or jointly,
as applicable) determines the purposes and the means of the processing of your
personal data.
Please note that certain service providers (collectively, the “Service
Providers”) of the Shenkman Group and/or Sponsored Fund including, without
limitation, administrators, transfer agents, legal advisers, depositaries,
distributors, prime brokers, and custodians work under a range of professional
and legal obligations that require them to process personal data (e.g.,
anti-money laundering legislation). In order to meet the requirements of such
obligations, such Service Providers, from time-to-time, would not be acting on
our instructions but instead in accordance with their own respective
professional or legal obligations and, therefore, would be acting as data
controllers in their own right with respect to such processing. For more
specific information or requests in relation to the processing of personal data
by such service providers, you may also contact the relevant Service Provider
directly, and we can provide relevant contact information upon request. With
respect to Sponsored Funds, Service Provider contact information may be found in
the prospectus or confidential private placement memorandum of the applicable
Sponsored Fund.
THE TYPES OF PERSONAL DATA WE MAY HOLD
The categories of personal data we may collect include, but are not limited to:
names; residential or business addresses, or other contact details; signature;
nationality; tax identification, passport, or social security number or similar
identification number; date of birth; place of birth; country of incorporation
or domicile; jurisdiction of tax residence(s) photographs; copies of
identification documents; bank account details; information about assets or net
worth; credit history; information on investment activities; financial
information, for example, interest, dividends, income from certain insurance
contracts or products and other income generated with respect to assets held in
the account or payments made with respect to the account; account balances;
proceeds from the sale or redemption of property paid or credited to the
account; or other personal data, such as certain special categories of personal
data (including, where relevant, information on political affiliations, ethnic
origin, or criminal convictions), as specified under the applicable Data
Protection Laws, that may be contained in the relevant materials, documents, or
obtained through background searches, together with any other information
required by applicable law or regulation.
HOW WE COLLECT PERSONAL DATA
We may collect personal data about you through: (i) information provided
directly to us by you, or another person on your behalf; (ii) information that
we obtain in relation to any transactions between you and us; and (iii)
recording and monitoring of telephone conversations with you, to the extent
relevant or permissible under applicable law.
We also may receive your personal data from third parties or other sources, such
as, but not limited to, our affiliates, the Service Providers, publicly
accessible databases or registers, tax authorities, governmental and
non-governmental agencies and supervisory authorities, credit agencies, fraud
prevention and detection agencies, or other publicly accessible sources, such as
the internet.
HOW WE MAY USE PERSONAL DATA
We may process your personal data in the course of our business tasks,
including, without limitation, in connection with:
1. entering into an advisory agreement or accepting subscription
documentation;
2. administering the relationship between you and us;
3. processing subscriptions and redemptions;
4. executing discretionary transactions;
5. providing communications and reporting;
6. maintaining the registers of investors of Sponsored Funds;
7. marketing of our products and services;
8. monitoring and analyzing our activities;
9. processing investments and withdrawals of and payments of dividends to
investors;
10. maintaining global client and investor records and providing centralized
administrative, marketing and client services;
11. investigating and resolving complaints and recording calls and managing
litigation monitoring electronic communications for fraud or crime
detection or for regulatory reasons; and
12. complying with applicable legal or regulatory requirements (including
anti-money laundering, fraud prevention, tax reporting, sanctions
compliance, or responding to requests for information from supervisory
authorities or law enforcement agencies).
We will use one of the permitted grounds under the applicable Data Protection
Laws to process your personal data. Such grounds include, for example,
circumstances where:
1. processing is necessary to perform our obligations under applicable advisory
agreements or Sponsored Fund governing documents;
2. we are required to comply with a legal or regulatory obligation applicable
to us; or
3. we, or a third party on our behalf, have determined that it is necessary for
our legitimate interests to collect and use your personal data, such as if
we believe that you have a reasonable expectation for us or a third party to
collect or use your personal data for such purpose.
WE COMBINE INFORMATION
For example, we may combine information that we have collected offline with
information we collect online. We combine information that we have collected
across other third party sites. We combine information across devices, such as
computers and mobile devices. We may also combine information we get from a
third party with information we already have.
WHAT ARE THE CONSEQUENCES OF FAILING TO PROVIDE PERSONAL DATA
Where personal data is required to satisfy a statutory or regulatory obligation
(including compliance with applicable anti-money laundering or sanctions
requirements) or a contractual requirement, failure to provide such information
may result in our advisory agreement with you, or, as applicable,
yoursubscription in the applicable Sponsored Fund being rejected or terminated,
and/or your interests in a Sponsored Fund becoming subject to compulsory
redemption or withdrawal, as applicable. Where there is suspicion of unlawful
activity, failure to provide personal data may result in the submission of a
report to the relevant law enforcement agency or supervisory authority.
HOW WE MAY SHARE PERSONAL DATA
We may disclose certain personal data about you to our affiliates, Service
Providers or other third parties to onboard you as an advisory client, or in the
case of Sponsored Fund investors, to accept your subscription, administer and
maintain your account(s), or otherwise perform our contractual obligations. We
may also need to share your personal data: (i) with courts, ombudsmen,
regulatory, tax, law enforcement, or other non-governmental regulators and/or
authorities to comply with applicable legal or regulatory requirements; (ii) to
respond to court orders, or in the context of regulatory requests for
information, administrative proceedings, or investigations; or (iii) when we
believe in good faith that disclosure is legally required or we or a Sponsored
Fund have a legitimate interestinmaking a disclosure, such as where necessary to
protect our or a Sponsored Fund’s rights and property. We will also release
information about you if you direct us to do so.
It may also be necessary, under anti-money laundering and similar laws, to
disclose personal data about you to facilitate the establishment of trading
relationships for your accounts, or in the case of Sponsored Fund investors,
accounts of the Sponsored Funds, with prime brokers, custodians, executing
brokers or other trading counterparties.
Wemay also disclose personal data about you, or yourtransactions and experiences
with us, to our affiliates or Service Providers for our everyday business
purposes, such as administration of our business, record- keeping, maintaining
security of our information technology systems, reporting and monitoring of our
activities, investor relations activities, and compliance with applicable legal
and regulatory requirements.1
We may also disclose personal data about you to any third party that acquires,
or is interested in acquiring, all or part of our assets or ownership interests,
or that succeeds us in carrying on all or a part of our or its business, whether
by merger, acquisition, reorganization or otherwise.
RETENTION PERIODS AND SECURITY MEASURES
We take standard security measures in accordance with applicable Data Protection
Laws.
We will retain personal data for a minimum period of six years from the date on
which you redeem all of your shares or unitsin the relevant Sponsored Fund(s) or
you close your account with the Shenkman Group, or for as long as required for
us to perform the services or comply with applicable legal or regulatory
obligations. We may retain personal data for a longer period for the purpose of
marketing our products and services or compliance with applicable law. From
time-to-time, we will review the purpose for which personal data has been
collected and decide whether to retain it or to delete if it no longerserves any
purpose to us.
MONITORING OF COMMUNICATIONS
We may record and monitor telephone conversations and electronic communications
with you for the purposes of: (i) ascertaining the details of instructions
given, the terms on which any transaction was executed or any other relevant
circumstances; (ii) ensuring compliance with our regulatory obligations; and/or
(iii) detecting and preventing the commission of financial crime.
ADDITIONAL INFORMATION UNDER THE U.S. GRAMM-LEACH-BLILEY ACT 1999 (REG S-P) AND
FAIR CREDIT REPORTING ACT (REG S-AM)
For purposes of U.S. federal law, this Privacy Notice applies to current and
former clients and investors who are individuals or Individual Retirement
Accounts. We are providing this additional information under U.S. federal law
We may disclose information about our clients, investors, prospective investors
or former investors to affiliates (i.e., financial and non-financial companies
related by common ownership or control) or non- affiliates (i.e., financial or
non-financial companies not related by common ownership or control) for our
everyday business purposes, such as to process your transactions, maintain your
account(s) or respond to court orders and legal investigations. Thus, it may be
necessary or appropriate, under anti-money laundering and similar laws, to
disclose information about our clients or Sponsored Fund investors in order to
accept subscriptions from them. We will also release information about you if
you direct us to do so.
We may share your information with our affiliates for direct marketing purposes,
such as offers of products and services to you by us or our affiliates. You may
prevent this type of sharing by contacting us at
DataProtection@shenkmancapital.com. If you are a new client or investor in a
Sponsored Fund, we can begin sharing your information with our affiliates for
direct marketing purposes 30 days from the date we sent this Privacy Notice.
When you are no longer our client or an investor in a Sponsored Fund, we may
continue to share your information with our affiliates for such purposes.
You may contact us at any time to limit our sharing of your personal data at
DataProtection@shenkmancapital.com. If you limit sharing for an account you hold
jointly with someone else, your choices will apply to everyone on your account.
U.S. state laws may give you additional rights to limit sharing
We do not share your information with non-affiliates for them to market their
own services to you. We may disclose information you provide to us to companies
that perform marketing services on our behalf, such as any placement agent
retained by a Sponsored Fund, or a client solicitor.
ADDITIONALINFORMATION UNDER THE CAYMAN ISLANDS DATA PROTECTION ACT 2017 (“DPA”)
With respect to investors in Sponsored Funds organized under the laws of the
Cayman Islands, the applicable Sponsored Fund may share your personal data with
its Services Providers, including the Shenkman Group, as well as the Sponsored
Fund’s administrators, transfer agents, depositories, distributors, custodians,
prime brokers, or others who are located outside the Cayman Islands. It may also
be necessary to share your information with the Cayman Islands Monetary
Authority or the Tax Information Authority, which may, in turn, exchange this
information with foreign tax authorities, regulatory or law enforcement
agencies. By submitting your personal data to us, you consent to the transfer of
your personal data to Shenkman and the other recipients described in this notice
that are located in countries outside of the Cayman Islands. Any transfer of
your personal data by us, our affiliates or service providers outside the Cayman
Islands will be carried out in accordance with the DPA. Investors may withdraw
their consent at any time. The withdrawal of consent shall not affect the
lawfulness of processing based on consent before its withdrawal.
You may have certain rights under the DPA, including: (i) the right to be
informed; (ii) the right of access; (iii) the right to rectification; (iv) the
right to stop or restrict processing; (v) the right to stop direct marketing;
(vi) rights in relation to automated decision making; (vii) the right to seek
compensation; and (viii) the right to complain to the supervisory authority. If
you wish to exercise these rights, please contact
DataProtection@shenkmancapital.com. A complaint in respect of a Sponsored Fund
organized under the laws of the Cayman Islands may be lodged with the Office of
the Ombudsman in the Cayman Islands, although, we ask that you contact
DataProtection@shenkmancapital.com in the first instance to give us the
opportunity to address any concerns you may have.
ADDITIONAL INFORMATION UNDER THE GENERAL DATA PROTECTION REGULATION
You may have certain rights under the EU General Data Protection Regulation
(“GDPR”) and equivalent legislation adopted in the United Kingdom including the
UK General Data Protection Regulation (“UK GDPR”) in relation to our processing
of your personal data and any processing carried out on your behalf. These
include rights to:
1. Access: confirm with us whether your personal data is processed, and if it
is, to request access to your personal data. This enables you to receive a
copy of the personal data we hold about you and to receive confirmation
regarding how and why we process your personal data.
2. Rectification: request correction/rectification of the personal data that we
hold about you. This enables you to have incomplete or inaccurate
information we hold about you corrected.
3. Erasure: request erasure of your personal data in certain circumstances.
4. Objection: object to processing of your personal data, on grounds relating
to your particularsituation, where we are relying on a legitimate interest
(or those of a third party). However, we may be permitted to continue to
process your personal data where we have a compelling legitimate grounds for
the processing. You also have the right to object where we are processing
your personal data for direct marketing purposes.
5. Restriction: request the restriction of processing of your personal data in
certain circumstances. This enables you to ask us to suspend the processing
of personal data about you, for example if you want us to establish its
accuracy or the reason for processing it.
6. Portability: in certain circumstances, request to receive personal data
concerning you, which you have provided to us, in a structured, commonly
used and machine-readable format.
If we have relied upon your consent to process your personal data for a
particular purpose, you have the right to withdraw your consent.
Please contact DataProtection@shenkmancapital.com if you wish to exercise these
rights.
You also have the right to lodge a complaint about the processing of your
personal data with the competent data protection supervisory authority. A
complaint in respect of the Shenkman Capital Management Ltd may be lodged with
the Information Commissioner’s Office in the United Kingdom, although, we ask
that you contact DataProtection@shenkmancapital.com in the first instance to
give us the opportunity to address any concerns you may have.
Due to the international nature of our business, your personal data may be
transferred to jurisdictions that do not offer equivalent protection to personal
data as in the European Economic Area or the United Kingdom (“Third Countries”).
If you live outside of the United States and choose to use Shenkman’s website,
you understand that it is at your own risk. You also understand that your
information will be sent to the United States. Where we transfer personal data
outside of the United Kingdom and the European Economic Area, we will use
adequate safeguards, such as standard contractual clauses.
The Shenkman Group has entered into standard contractual clauses (“Model
Contracts”) for intra-group transfers of personal data. Investors have a right
to request copies of the Model Contracts by contacting
DataProtection@shenkmancapital.com. We may also be required to transfer your
personal data to our regulators or government agencies in Third Countries in
cases where such transfers are necessary in the context of administrative
proceedings, such as requests for information, examinations or investigations,
or to other relevant parties in Third Countries where it is necessary for the
purposes of establishing, bringing, or defending legal claims, or for another
legitimate business purpose, such as compliance with our legal or regulatory
obligations under foreign law.
STATE-SPECIFIC DISCLOSURES
If you are a California resident, California law may provide you with additional
rights regarding our collection and use of your personal information. To learn
more about your privacy rights, please see the California Consumer Privacy
Notice as an addendum to this Privacy Notice below.
REVISIONS TO OUR PRIVACY POLICIES
The Shenkman Group evaluates its privacy policies and procedures to implement
improvements and refinements from time-to-time. The Shenkman Group reserves the
right to amend the terms contained herein in whole or in part for any reason. We
therefore suggest that you review this Privacy Notice periodically, which is
available at https://www.shenkmancapital.com/privacy_notice.
WHO TO CONTACT ABOUT THIS PRIVACY NOTICE
Please contact our Chief Compliance Officer at
DataProtection@shenkmancapital.com, at (212) 867-9090, or by writing to the
following address, Shenkman Capital Management, Inc., 151 W. 42nd Street, New
York, NY 10036 with any questions about this Privacy Notice or requests with
regards to the personal data we hold.
1 Please refer to the Privacy Statement of Refinitiv, a due diligence Service
Provider of the Shenkman Group, located here:
https://www.refinitiv.com/en/policies/privacy-statement
CALIFORNIA CONSUMER PRIVACY NOTICE
INTRODUCTION
This notice (the “CaliforniaConsumer Privacy Notice”)is provided by the Shenkman
Group of Companies, and their affiliates (collectively the “Shenkman Group”), as
well as mutual funds, private funds (single investor or commingled),
Collateralized Loan Obligations (“CLOs”), and UCITS funds managed by the
Shenkman Group (each, a “Sponsored Fund” and, collectively “Sponsored Funds”).
This California Consumer Privacy Notice contains disclosures required by the
California Consumer Privacy Act (“CCPA”) as amended by the California Privacy
Rights Act (“CPRA”) and only applies to California residents. This California
Consumer Privacy Notice applies to the collection or other use of “personal
information” that is subject to the CCPA.
References to “you,” “your,” “investor,” or “client” in this California Consumer
Privacy Notice mean any resident of California. References to, “we”, “us”, or
“our” in this California Consumer Privacy Notice mean a Sponsored Fund or the
Shenkman Group, as applicable. The Shenkman Group includes Shenkman Capital
Management, Inc., Shenkman Capital Management Ltd, Romark Credit Advisors LP,
Romark CLO Advisors LLC, and their affiliates. Capitalized terms used but not
defined herein have the meanings assigned to them in the Form ADV Part 2A of
Shenkman Capital Management, Inc., or of Romark Credit Advisors LP, as
applicable, each of which may be supplemented, updated or modified from
time-to-time.
PERSONAL INFORMATION WE COLLECT
In the past 12 months, we may have collected, without limitation, the following
categories of personal information about you:
* Identifiers, such as your real name, alias, email address, postal address,
Internet Protocol (IP) address, account name, Social Security number,
driver’s license number, passport number, or other similar personal
identifiers;
* Other personal information categories (as listed in the California Customer
Records statute), such as your signature, physical characteristics or
description, telephone number, insurance policy number, education,
employment, employment history, bank account number or any other financial
information, medical information, or health insurance information;
* Protected classification characteristics under California or federal law,
such as your age, race, citizenship, marital status, gender, or veteran or
military status;
* Commercial information, such as your account activity, records of personal
property, products or services purchased, obtained, or considered, or other
purchasing or consuming histories or tendencies;
* Biometric information,such as your fingerprints, faceprints, voiceprints, and
iris or retina scans;
* Internet or other similar network activity, such as information regarding
your interaction with our website, online portal, or other applications;
* Sensory data, such as recordings of your audio (e.g., voicemails);
* Professional or employment-related information, such as your current or past
job history or performance evaluations;
* Non-public education information, such as your education records maintained
by an educational institution or party acting on its behalf;
* Inferences drawn from other personal information, such as a profile
reflecting your preferences, characteristics, trends, predispositions,
behavior, attitudes, intelligence, abilities, and aptitudes; and
* Sensitive Personal Information, such as your Social Security number, driver’s
license number, state identification card number, or passport number; account
log-in, financial account, debit card, or credit card number in combination
with any required security or access code, password, or credentials allowing
access to an account; and racial or ethnic origin.
We do not knowingly sell personal information from anyone under the age of 16.
SOURCES OF PERSONAL INFORMATION WE COLLECT
We primarily collect personal information from the following categories
ofsources:
* Your communications with us;
* Service providers, including, but not limited to, administrators, lenders,
banks, trading counterparties, auditors, law firms, consultants, placement
agents, employment agencies and recruiters, and background check providers;
* Affiliates not under the Shenkman Group brand;
* Nonprofit organizations; and
* Government entities.
USE OF PERSONAL INFORMATION
We may use the personal information we collect for one or more of the following
purposes:
* Providing you with information about our products and services;
* Providing performance and other updates;
* One or more of the following business purposes:
* Performing services (for us or our service provider) such as account
servicing, processing orders and payments, and analytics;
* Auditing related to our interactions with you (e.g., counting ad
impressions to unique visitors, verifying positioning/quality of ad
impressions, and auditing compliance, etc.);
* Legal compliance;
* Internal operations;
* Activities to maintain and improve ourservices; and
* Other commercial purposes, including, but not limited to, activities that
are directed to advancing commercial or economic interests, such as
inducing a person to buy, rent, lease, join, subscribe to, provide or
exchange products or services, or enabling or effecting a commercial
transaction.
SHARING PERSONALINFORMATION
We may share your personal information as follows:
Identifiers
* Service Providers
* Affiliates
* Business Partners
Other personal information categories (as listed in the California Customer
Records statute)
* Service Providers
* Affiliates
* Business Partners
Protected classification characteristics under California or federal law
* Service Providers
* Affiliates
* Business Partners
Commercial information
* Service Providers
* Affiliates
* Business Partners
Biometric information
* Service Providers
* Affiliates
* Business Partners
Internet or other similar network activity
* Service Providers
* Affiliates
* Business Partners
Sensory data
* Service Providers
* Affiliates
* Business Partners
Professional or employment-related information
* Service Providers
* Affiliates
* Business Partners
Non-public education information
* Service Providers
* Affiliates
* Business Partners
Inferences drawn from other personal information
* Service Providers
* Affiliates
* Business Partners
Sensitive Personal Information
* Service Providers
* Affiliates
* Business Partners
Please note, our Service Providers, include but are not limited to,
administrators, lenders, banks, trading counterparties, auditors, law firms,
consultants, placement agents, employment agencies and recruiters, and
background check providers.
We may share your personal information to comply with our legal obligations (in
response to a subpoena or other legal process by a governmental entity or third
party if otherwise required by law) and internal policies. We may also share
your personal information, on an as needed basis, to facilitate a business
transfer or merger.
In the past 12 months, we have not sold, as we understand that term, any
personal information we collect to third parties, and we have shared the
categories of personal information we collect only as set forth above.
RIGHTS OF CALIFORNIA CONSUMERS
Subject to certain exceptions and limitations, you have the following rights
under your California law:
* The right to request (a) the categories and specific pieces of personal
information we collect, use, disclose, and sell about you, (b) the categories
of sources from which we collected your personal information, (c) our
purposes for collecting or selling your personal information, (d) the
categories of your personal information (if any) that we have either sold or
disclosed for a business purpose, and (e) the categories of third parties
with which we have shared personal information;
* For certain categories of personal information, the right to request a list
of what personal information (if any) we disclosed to third parties for their
own direct marketing purposes in the past 12 months and the names and
addresses of those third parties;
* The right to request that we delete the personal information we have
collected from you or maintain about you;
* The right to correct inaccurate personal information we may maintain about
you;
* The right to limit our use and disclosure of sensitive personal information
about you;
* The right to opt out of our sale(s) (if any) of your personal information;
and
* The right not to receive discriminatory treatment for the exercise of the
privacy rights conferred by the CCPA.
You may submit requests to exercise your rights under the CCPA to our Chief
Compliance Officer at DataProtection@shenkmancapital.com or at (212) 867-9090.
We may need to request additional information from you to verify your identity
or understand the scope of your request. In verifying requests, we will require
you to provide, at a minimum your mailing address and telephone number to verify
your identity. If we are unable to verify your identity, we will need to deny
your request.
You may designate an authorized agent to make a CCPA request on your behalf. In
such case, we will ask the agent to provide proof that you have given the agent
signed permission to act on your behalf. In addition, we will ask you to either
(1) verify your identity directly with us in the manner described above or (2)
directly confirm with us that you have provided the agent permission to make the
request on your behalf
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Privacy Notice Page
TERMS OF SERVICE
JANUARY 2020
Introduction
By accessing this website and any of the pages herein (collectively, the
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The Shenkman Group (the “Shenkman Group”, “we”, “us”, or “our”) consists of
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Third-Party Disclaimers
Any information in these materials from ICE Data Indices, LLC (“ICE BofA”) was
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reference to a particular investment or security, a rating or any observation
concerning an investment that is part of the Content is not a recommendation to
buy, sell or hold such investment or security, does not address the suitability
of an investment or security and should not be relied on as investment advice.
Credit ratings are statements of opinions and are not statements of fact.
Copyright 2020, S&P Global Market Intelligence and its affiliates as applicable.
The Global Industry Classification Standard (“GICS”) was developed by and is the
exclusive property and a service mark of MSCI Inc. (“MSCI”) and S&P Global
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or compiling the GICS or any GICS classifications have any liability for any
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