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Public Statement of Data Processing pursuant to Bundesdatenschutzgesetz (Federal Data Protection Act)

1. Name of the responsible office
B. Metzler seel. Sohn & Co. KGaA

2. Managing Directors
Harald Illy
Michael Klaus
Friedrich von Metzler
Emmerich Müller
Dr. Johannes J. Reich
Gerhard Wiesheu

3. Officer responsible for information systems
Dr. Johannes J. Reich

4. Address of the responsible office
Untermainanlage 1
60329 Frankfurt am Main

5. Purpose for which the data is collected, processed and otherwise used
The data is collected, processed and used for own purposes or by assignment on the basis of service agreements within the Metzler Group for the purpose of performing banking transactions and providing financial services pursuant to section 1 of the German Banking Act (KWG), and all auxiliary and peripheral transactions associated therewith. This relates, in particular, to the provision of services within the framework of asset management, the granting of credit/loan applications, the settlement of money, security and foreign exchange transactions, asset management for institutional investors and the processing of domestic and foreign payments.

Please note statutory regulations (German Fiscal Code, Law on the prevention of money laundering, German Banking Act, etc.) require us to pass on certain data to public authorities.

6. Description of the person group(s) affected
We process data on.

  • Commissioning parties, clients, authorized persons and interested parties
  • Employees/pensioners/job applicants/other persons with entitlements
  • Other business partners (counterparties/service-providers, suppliers/brokers/agencies/intermediaries)


7. Data or data categories
The following categories of data pertaining to clients, authorized persons and interested parties are affected: :
  • Identification data (master data, name, address etc.)
  • Contract data
  • Account/custody account data
  • Order data
  • Settlement data
  • Rating data (income, financial and asset data)
  • Tax data (e.g. exemption order for capital gains)
  • Contact and service information

The following data categories relating to employees, pensioners, job applicants and people with other entitlements are affected:
  • Planning data
  • Personal master data (name, address etc.)
  • Training data
  • Assessment data
  • Contract data
  • Salary/payroll data
  • Possibly health data

The following data categories relating to employees, pensioners, job applicants and people with other entitlements are affected:
  • Address data
  • Contract data
  • Settlement data


8. Recipients or categories of recipients to whom data may be passed on
  • Contractual parties who process data under contract to Metzler and are subject to separate data privacy obligations.
  • Companies in the Metzler Group involved in the execution of business processes (e.g. personnel administration, bookkeeping, accounting, internal auditing, compliance, marketing)
  • Public authorities in receipt of the data on account of statutory regulations (e.g. social insurance authorities, tax authorities, the German Federal Financial Supervisory Authority (BaFin))

9. Legal deadlines governing the deletion of data
The statutory retention periods/obligations are applicable (German Commercial Code (HGB), German Fiscal Code (AO) etc.). Upon expiry of these periods, the data shall be deleted or handed back to the assigning party if the purposes specified in no. 5 are not applicable.

10. Proposed transfer of data to third countries
Data shall only be transmitted to third countries for the execution of a customer order or in compliance with US withholding tax provisions (double taxation agreement).

For foreign credit transfers abroad or express credit transfers, the data contained in the remittance form shall be passed on to the beneficiary's financial institution via the only globally operating payment settlement service Society for Worldwide Interbank Financial Telecommunication (SWIFT) domiciled in Belgium.

For reasons of system security, SWIFT stores the transaction data temporarily in its computing center in the Netherlands and the USA.

Any questions?
Please contact our data protection officer

B. Metzler seel. Sohn & Co. KGaA
Data protection officer
Verena Anders
Untermainanlage 1
60329 Frankfurt/Main
Germany

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