Legal

Privacy Policy

Rochfort Finance Pty Limited (ACN 703 012 846)

1. Our privacy commitment

1.1 Rochfort Finance Pty Limited (ACN 703 012 846) (Rochfort Finance, we, us or our) is committed to protecting the privacy of personal information in accordance with the Privacy Act 1988 (Cth) (Privacy Act) and the Australian Privacy Principles (APPs).

1.2 This policy explains how we collect, hold, use and disclose personal information. It applies to personal information collected through our website, by email, by telephone, in meetings and otherwise in the course of our business.

1.3 Personal information has the meaning given in the Privacy Act, being information or an opinion about an identified individual, or an individual who is reasonably identifiable.

2. Our business

2.1 Rochfort Finance provides commercial debt and capital advisory services, including structured finance advisory, to companies seeking to raise capital, with a focus on the mining sector. Our role is advisory and commercial in nature.

2.2 Rochfort Finance is not a lender and does not hold an Australian Financial Services Licence or an Australian Credit Licence. Our services are provided only to wholesale, institutional and high net worth clients. They are not intended for, or offered to, retail clients.

2.3 We may engage third-party providers to perform certain services on our behalf.

3. Kinds of personal information we collect and hold

3.1 The kinds of personal information we collect and hold include:

  1. (a) contact details, such as name, position, employer, email address, telephone number and postal address;
  2. (b) information about directors, shareholders, officers and employees of our clients, contained in corporate, financial and transaction information provided to us, including financial statements, ownership details, existing debt arrangements, business plans and forecasts;
  3. (c) information about representatives of lenders, investors and other capital providers with whom we deal;
  4. (d) identification documents, where required to verify identity;
  5. (e) records of our communications with you; and
  6. (f) information collected through our website, as described in clause 12.

3.2 We do not seek to collect sensitive information. Where we need to do so, we will collect it only with your consent or where required or authorised by law.

4. How we collect personal information

4.1 We collect personal information directly from you where reasonable and practicable, including through our website, by email or telephone, in meetings, or in the course of providing our services.

4.2 We may also collect personal information from third parties, including our clients, your representatives and advisers, referrers, and publicly available sources such as ASIC registers and company websites.

4.3 If we receive personal information that we did not solicit, we will deal with it in accordance with APP 4.

5. Purposes of collection, use and disclosure

5.1 We collect, hold, use and disclose personal information to:

  1. (a) provide our advisory services, and assess and manage client engagements;
  2. (b) communicate with lenders, investors and capital providers on behalf of our clients, with their approval;
  3. (c) respond to enquiries and manage our client and business relationships;
  4. (d) manage our business, including record keeping, risk management, auditing and dispute resolution; and
  5. (e) comply with our legal and regulatory obligations.

5.2 We will not use or disclose personal information for any other purpose unless you consent, or the use or disclosure is otherwise permitted by the Privacy Act.

6. Introductions to lenders, investors and capital providers

6.1 In the course of our services, we may introduce our clients to lenders, investors and capital providers. Where we do so:

  1. (a) we will share a client's information only with those capital providers the client has approved in writing;
  2. (b) we will ensure appropriate confidentiality arrangements are in place before any confidential information is disclosed; and
  3. (c) we do not endorse or guarantee any capital provider, and each client is responsible for its own due diligence and decisions.

7. Disclosure of personal information

7.1 We may disclose personal information to:

  1. (a) lenders, investors and capital providers, with our client's prior approval;
  2. (b) third-party providers engaged to perform services on our behalf, subject to confidentiality obligations;
  3. (c) valuers and due diligence providers engaged in connection with a transaction;
  4. (d) your representatives, and our professional advisers, including lawyers and accountants;
  5. (e) service providers who support our business, including information technology and data storage providers; and
  6. (f) government bodies, regulators and other persons where required or authorised by law.

7.2 We do not sell, rent or trade personal information.

8. Overseas disclosure

8.1 Some of our service providers may store or process personal information outside Australia.

8.2 Before disclosing personal information to an overseas recipient, we take reasonable steps to ensure that the recipient handles it in a manner consistent with APP 8.

9. Security and retention

9.1 We hold personal information securely, principally in electronic form, and take reasonable steps to protect it from misuse, interference and loss, and from unauthorised access, modification or disclosure. Our measures include multi-factor authentication, access controls, encryption, confidentiality obligations for our personnel and contractors, and secure destruction of records.

9.2 We retain personal information only for as long as it is required for our business purposes or by law, including seven years for tax and financial records. We then take reasonable steps to destroy or de-identify it.

10. Access and correction

10.1 You may request access to, or correction of, the personal information we hold about you by contacting our Privacy Officer using the details in clause 15.

10.2 We will respond within a reasonable period, generally within 30 days, and may need to verify your identity. We do not charge for making a request, but may charge a reasonable fee for providing copies.

10.3 If we refuse access or correction, we will provide written reasons and explain how you may complain.

11. Direct marketing

11.1 We may send you information about our services where you would reasonably expect us to do so, or where you have consented. Each communication will include a simple means of opting out, in accordance with the Spam Act 2003 (Cth).

12. Website and cookies

12.1 When you visit our website, we may collect information such as your IP address, browser type and version, operating system, pages viewed and referring website, using cookies and analytics tools. This information is used to operate and improve the website and does not generally identify you.

12.2 You may configure your browser to refuse cookies, although some website features may not function properly.

13. Automated decisions

13.1 We do not use computer programs to make decisions, using personal information, that could reasonably be expected to significantly affect the rights or interests of an individual.

14. Data breaches

14.1 If personal information we hold is subject to unauthorised access, unauthorised disclosure or loss, we will assess the incident promptly. Where required by the Privacy Act, we will notify affected individuals and the Office of the Australian Information Commissioner (OAIC).

15. Complaints and contact

15.1 If you have a question about this policy, or wish to complain about how we have handled your personal information, please contact our Privacy Officer:

Privacy Officer, Rochfort Finance Pty Limited

Level 36, 1 Macquarie Place, Sydney NSW 2000

Email: admin@rochfortfinance.com.au

15.2 We will acknowledge your complaint within five business days, investigate it promptly and impartially, and provide a written response within 30 days. If more time is required, we will let you know.

15.3 If you are not satisfied with our response, you may contact the OAIC at www.oaic.gov.au.

16. Changes to this policy

16.1 We may amend this policy from time to time. The current version will be available on our website and, on request, free of charge.

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