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Investment Banking

Personal and Sensitive Information

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Clarksons Platou Securities must store personal information of clients in order to comply with the Norwegian Securities Trading Act and Regulations, the Norwegian Money Laundering Act, MiFID II and the Market Abuse Regulations (“MAR”) in order to among others prevent money laundering and insider trading, to classify and register clients, to receive orders and executing orders, to perform settlement and establish VPS accounts and to send client account statements. The personal information is only shared internally on a need to know basis and with authorities that request certain information through an investigation or a regulatory audit in accordance with applicable laws or regulations.

Clients of Clarksons Platou Securities may request access, correction and deletion of personal information. All such requests must be sent to the Compliance department using the “Access Request Form – Personal Information” that can be found below. Dependent on the information, the length of storage will vary from 5-10 years.

ACCESS REQUEST FORM – PERSONAL INFORMATION

Clarksons Platou Securities has a duty to respond to the requests for access or transparency as soon as possible and at the latest 30 days after receipt of the request.

Some exemptions will apply to the access of personal information, for example in the event secrecy is necessary for investigative purposes of criminal offences or in the event the information only is included in an internal document not accessible to others. The right to access further does not apply in the event the information is only used for historical or scientific purposes and the use have no direct importance for the person/entity in question.

Please contact COMPLIANCE in the event you have further questions.