Structured products & theme-based investments

Privacy statementWho We AreWe are independent experts in structured investment products and long-term savings solutions, supported by a market-leading technology platform. This privacy statement provides information on how we process your data and the choices that you have with respect to that information. Any references to “Leonteq”, “we”, “our” or “us” refers to Leonteq AG and its subsidiary companies. You can email us at dataprotection@leonteq.com or write to us at: Data Protection c/o Leonteq Securities AG Europaallee 39 8004 Zurich SwitzerlandPartners, Clients, Distributors and CounterpartiesIf Leonteq contracts, or seeks to contract with the entity, partnership, trust or fund that you represent (including as an employee or officer), own or are otherwise associated with, we may collect and process personal data relating to you for the following purposes:

Onboarding - processing data about you in connection with our onboarding due diligences, such as identity verification information.

Provision of products and services – processing personal data to ensure the proper provision of products and services. For example, documenting agreements, recording instructions, managing the client file and communicating with you in person, by telephone, fax, mail or email.

Administration – for example, payment related information and preparation of internal business reports.

Marketing of products or services that we think may be of interest.

Meeting our legal, regulatory and compliance obligations, preventing financial crime – this includes transaction reporting, tax reporting, making disclosures to, and complying with requests from, public authorities, regulators, tax authorities, government bodies or law enforcement agencies and investigating or preventing fraud or any other crime. This may include recording telephone conversations, monitoring emails and your use of our website and platforms/web-based applications such as Constructor.

Personal details including your full name, address, date of birth, email address, verification information or tax identification number, political exposure and any other affiliations or relationships that are necessary for us to meet applicable laws and regulations.

Professional details including your contact details, job title, evidence of your authority or details of your association with the entity, partnership, trust or fund that you represent, own or are otherwise associated with.

Notes of meetings, conversations or other interactions (including recorded emails and telephone conversations).

Shareholders / Investor RelationsIn order to manage our investor relations (“IR”), we may collect and process personal data for the following purposes:

Meeting our legal and regulatory obligations

Sending you ad-hoc press releases

Advising you of forthcoming investor events

Offering you meetings with IR representatives and members of senior management

For individual shareholders: personal details including your full name, email address, address, number of shares.

For institutional shareholders: personal details including your full name, email address, telephone number, job title, name of the company you work for, company address, management meeting minutes.

Service ProvidersWe may collect and process personal data relating to representatives of our service providers for the following purposes:

Managing any agreement that we have in place between us and the service provider you represent.

Administration – for example, payment related information referencing you.

Conducting due diligence and risk reviews.

Personal details including your full name, email address, date of birth.

Professional details including your employer, your contact details and job title.

Notes of meetings, conversations or other interactions (including recorded emails and telephone conversations).

Website Data CollectionWhen you visit the Leonteq Website, our web server automatically records details about your visit to compile anonymous statistics, for example, website usage statistics (which includes your IP address, the website from which you visit us, the type of browser software used, the Leonteq Website pages that you actually visit including the date and the duration of your visit). In addition, we collect personal data which you provide through the Leonteq Website, for example when you enter personal details (e.g. name, address, email address, phone/fax number) on a registration page, when you otherwise submit personal data to us in the course of an actual or potential contractual relationship with us, or when you contact us with an enquiry. We may also collect personal data from public sources, including searches via search engines, sector specific newsletters, public registers and social media. We use your personal data only for the following purposes:

To identify your requirements and promote services that may be of interest.

To provide and improve our services to you.

To manage our relationship with you.

To fulfill our legal obligations.

To enforce and/or defend any of our legal claims or rights.

For the purposes of recruitment.

For other legitimate business purposes.

How We Use CookiesA cookie is a small file which asks permission to be placed on your computer's hard drive. Once you agree, the file is added and the cookie helps analyze web traffic or lets you know when you visit a particular site. Cookies allow web applications to respond to you as an individual. The web application can tailor its operations and the content you see to your needs, likes and dislikes by gathering and remembering information about your preferences. We use cookies to allow the website to recognize users when they return to the site and to remember certain information about their preferences. If you do not wish to receive cookies, please configure the settings of your browser to erase all cookies placed by us from your computer or to block such cookies. Cookies will stay on your computer until expired or manually deleted. The data will also be used for Google Analytics, a web analytics service provided by Google Inc. (“Google”). Google Analytics uses cookies (files stored on your computer) to analyse your use of this website. The information generated by these cookies (IP address, internet provider, website from which you entered the site, order of pages visited, time spent on each page and similar data) is generally transmitted to a Google server in the USA and stored there. Google will use this information on behalf of the website operator to analyse your use of the website, compile reports on website activity and provide additional services related to your use of the website and the internet. Google will also transfer this information to third parties insofar as this is a legal requirement or if third parties are commissioned to process this data on Google’s behalf (see Google’s Privacy Policy at https://policies.google.com/privacy). Please note that Google and these third parties may be based in countries that do not offer the same level of data protection as Switzerland or the EEA. Google will under no circumstances link your IP address to any other data held about you. You can prevent the installation of these cookies by adjusting the relevant settings in your browser.Links To Other WebsitesOur website may contain links to other websites of interest. The inclusion of any link is for convenience only and does not imply any affiliation, sponsorship, endorsement, approval, verification or monitoring by Leonteq of any information contained in any third party website. We have no control over the content on such third party websites nor do we monitor such websites. Therefore, no warranties concerning the content of such websites are made and we shall not be liable for any loss or damages arising out of any such content, including assurances that it is correct, accurate, complete, true, up-to-date or fit for any particular purpose. Using links to third party websites provided on our website is at your sole discretion and at your own risk. We are not responsible for, and will not be liable for any loss or damages arising out of the failure in relation to, the protection and privacy of any information which you provide whilst visiting such sites and such sites are not governed by this Privacy Statement or our Terms of Use. You should exercise caution and look at the Terms of Use and Privacy Statement applicable to the website in question.Lawful BasisWe only ever process your personal data where:

It is necessary in order to comply with our legal obligations under certain laws; or

It is necessary for entry into, or performance of, a contract with you.

You have provided consent for us to do so for a specific purpose; or

It is in the legitimate interest of Leonteq or of third parties to do so.

SecurityWe take all necessary technical and organizational measures according to applicable data protection laws, to protect your data against loss, alteration and against unauthorized collection, processing and disclosure.SharingPersonal data such as name, address, email, phone number, fax number and any other person related information you have communicated to us will not be sold, rented, distributed or otherwise made commercially available to any third party, except as described in this privacy statement. By accepting the Terms of Use of the Leonteq Website and/or by having access to this Privacy Statement you acknowledge you have read and accepted this Privacy Statement and have consented to such use of your personal data as described herein. Managing our relationship with you may entail the transfer of your personal data to other Leonteq offices outside of Switzerland and/or the European Economic Area (“EEA”) and/or allow the information to be accessed by Leonteq personnel outside of Switzerland and/or the EEA. In such case, data protection laws may be different and/or weaker than Switzerland’s and/or the EEA’s data protection standards. To ensure the confidentiality of your personal data we have implemented high security and confidentiality standards. In principle, your data will not be passed on to third parties except where stated as follows: when sending emails to which you have expressly consented (including materials as needed), we use a service provider who always follows our strict instructions and will only have access to the data needed for this purpose.Your RightsThe General Data Protection Regulation (Regulation (EU) 2016/679) (“GDPR”), if applicable to you, provides you with various rights in relation to how we use your information and these are set out below.

Right of access – you have the right to know if we are using your information and, if so, the right to access it and information about how we are using it.

Right of rectification – you have the right to require us to rectify any errors in the information we hold about you and for us to notify each recipient who your personal data has been disclosed to (subject to certain exceptions) of such rectification and to be told who those recipients are.

Right to erasure – you have the right to require us to delete your information if our continued use is not justified and for us to notify each recipient who your personal data has been disclosed to (subject to certain exceptions) of such deletion and to be told who those recipients are.

Right to restrict processing – in some circumstances, although you may not be entitled to require us to erase your information, but may be entitled to limit the purposes for which we can use your information and for us to notify each recipient who your personal data has been disclosed to (subject to certain exceptions) of such limitation and to be told who those recipients are.

Right of data portability – you have the right to require us to provide you with a copy of your information in a commonly used machine-readable format or to transfer your information directly to another controller (e.g. a third party offering services competing with ours).

dataprotection@leonteq.comhttps://www.leonteq.com/contact-us/office-locationsdataprotection@leonteq.comBreach NotificationIn the event of a breach, as required by GDPR, Leonteq will inform the relevant supervisory authorities within 72 hours of the breach being identified, where feasible. In addition, where the breach is likely to result in a high risk of adversely affecting impacted individuals’ rights and freedoms, we will inform those individuals without undue delay. (May 2018)