Privacy Policy

The purpose of this Privacy Policy Statement is to provide you with the assurance that information collected by Capricorn Investment Partners (ABN 16 067 765 717), is collected, distributed and used in accordance with the privacy laws effective 21 December 2001.

Described below is an outline of how Capricorn Investment Partners:

  • collects information
  • discloses information
  • ensures the security of your information stored on our computer systems
  • will assist you in exercising your rights regarding personal information provided to us

Personal information collected

The following personal information is collected and maintained by Capricorn Investment Partners for the purpose of maintaining a client relationship:

  • name
  • address
  • age
  • account numbers
  • contact details
  • employment details
  • financial assets and income details
  • insurance cover
  • tax file number

The following personal information only is collected and maintained by Capricorn Investment Partners via the website

  • name
  • address
  • contact details

We may also forward marketing material to you, however, should you wish to discontinue receiving any further marketing material, you can request in writing for Capricorn Investment Partners not to send you any marketing information. Web and email based newsletter and marketing subscriptions can be unsubscribed or opted out of via a link embedded in each message, or by contacting Capricorn Investment Partners.

We do not collect information about anyone's political or religious beliefs, ethnic background or sexual preferences, unless it is specifically related to the work we are doing for you.

Disclosure of personal information

To ensure that you receive effective, efficient and personalised service, we may have to share your personal information with other subsidiaries of Capricorn Investment Partners. However, we will not share your personal information with other subsidiaries if you instruct us in writing to retain your information.

Capricorn Investment Partners undertakes not to sell, rent or trade your personal information.

We will not disclose information about you unless the disclosure is:

  • required by law
  • authorised by law and you have consented to our disclosing the information about you
  • we need to protect our interest (e.g. in legal proceedings to which we are a party)
  • the disclosure is required in the public interest

Disclosure of personal information to Third Party agents

Capricorn Investment Partners uses the services of third party agents to perform certain primary functions. Third party agents that we use are:

  • Stockbrokers
  • Asset Managers
  • Administrators of WRAP accounts
  • Insurance Underwriters

These agents act on behalf of Capricorn Investment Partners and do not disclose the information provided to them to fourth parties, unless required by law or after having received direct consent from you.

Maintenance of Personal information

It is the objective of Capricorn Investment Partners to ensure that your personal information is accurate, complete and up-to-date. However, should your personal information details change or be incomplete or inaccurate, we would appreciate it if you could assist us by informing us of such changes. We will take all reasonable steps to update your personal information.

Security of personal information

Under no circumstances is client information accessible in public areas. Our staff are trained to ensure that confidential information is disclosed only to the client or other parties authorised by the client to receive such information.

All staff sign a confidentiality declaration confirming that under no circumstances will they disclose client information to outside parties unless authorised to do so.

Capricorn Investment Partners' computer systems are appropriately secured by a combination of physical and logical access controls so as to prevent outside access to client information.

Access to personal information

You can ask us to provide you with access to your personal information. Lodging a request or requests for information, or information that is not currently in use, will not attract a fee, however collecting and providing you with large amounts of information may attract a fee. In certain instances, we are entitled under the National Privacy Principles to refuse to give you access to your personal information. This includes circumstances where giving you access would prejudice negotiations we are having with you, prejudice investigations of unlawful activity or prejudice activities carried out by or for a law enforcement agency. If we deny your request for access, we will inform you of the reason.


The nature of the financial planning process means that we will be collecting personal information about you for the purposes of either / and / or:

  • Assessing your risk profile and needs to provide you with the appropriate insurance cover or quote
  • Assessing your investor profile and needs to provide you with the appropriate advice, plan or product
  • Complying with legislative and regulatory requirements
  • Administrative and operational procedures
  • For new product development
  • Benchmarking
  • Security and access control
  • Direct marketing, i.e. to inform you of any new products and developments which may be of benefit to you
  • To deliver superior service
  • As indicated in this policy

Without the provision of your personal information Capricorn Investment Partners Limited may be unable to provide you with accurate information regarding insurance cover or financial planning advice.

By signing the acknowledgement contained in the Data Collection and Needs Analysis, you agree and consent to Capricorn Investment Partners using or disclosing the personal information it collects from and about you for the purposes set out herein.

Changes to this statement

Capricorn Investment Partners may make changes to this Privacy Statement from time to time for any reason. This Privacy Statement was last amended on 6 November, 2008.