Edward Jones Privacy Notice

A Unique Understanding of Your Financial Needs
At Edward Jones Limited (EJL), we believe our ability to offer sound investment recommendations and advice depends on our ability to know and understand the needs of each investor. Your investment representative plays a key role in developing that understanding. However, as a firm, EJL also uses technology to manage, maintain and report timely and accurate information about your investments.

We understand that confidentiality is the key to any strong financial relationship. We are very serious about our responsibility to protect your privacy by keeping information secure and confidential. We are providing this notice in accordance with the Data Protection Act of 1998, which requires that we make all clients aware of our processes for collecting, using, disclosing, transferring and protecting information.

For Your Protection
It is important that you know one thing up front: Edward Jones Limited does not sell information about our clients to anyone.

In addition, we take steps to protect the personal information we do collect and maintain. Among our branch and home office associates, access to personal information is granted to individuals only to provide investments and services to clients, or to serve another legitimate business need. We have developed security measures to help protect your personal information from unauthorised access, destruction, loss, or alteration. Please assist us by safeguarding information about your account including the number of your account (and any PIN(s) or password(s) you use to access your account or information about it).

The next two sections of this notice detail our processes for collecting information, as well as the steps taken to limit the ways in which that information is shared or communicated.

Information Collection
To better understand your financial needs and make you aware of new investments and services that could help you reach your goals, we collect personal information from a variety of sources.
The kinds of personal information we collect, and some of the reasons we collect this information, include:

1. Information we receive from you via applications, surveys, or other forms. This information could include, but is not limited to: (a) information about who you are and how to contact you, such as your name and address; (b) unique identifiers such as your national insurance number, which we use to fulfil regulatory and other governmental obligations; and (c) information to help us serve you better, such as your income, investment objectives, and banking information (which we need to know in order to complete transactions with you and/or on your behalf and, to payaway money as you may request).

2. Information about your transactions and account experience with EJL or our affiliates. This information may include your account balance, account activity, and usage of various services. We collect this information in order to provide the services you have requested, and to help us determine how we or other non-affiliated companies may be of additional service to you.

3. Information about your transactions and account experience with non-affiliated third parties, such as providers of collective investment schemes, life and pensions, insurance and other investments and services offered through EJL. This information also helps us to determine how we, our affiliates, or other non-affiliated companies may be of additional service to you.

4. Information we collect from other non-affiliated third parties, such as marketing research firms. This information frequently includes demographic information, as well as preferences and opinions regarding various financial topics. EJL uses this information to ensure that we are offering the services that investors desire.

5. Information we receive from a credit reference agency or other source, which may include account information and/or information about your creditworthiness. We use this information to help us determine the terms of credit (such as with respect to margin accounts) that would be appropriate to offer you and for other regulatory purposes.

Guidelines for Information Disclosure
We do not disclose personal information about our clients or former clients to anyone, except as required or permitted by law. For example, we are occasionally asked or required to provide information to governmental and/or government regulatory authorities, law enforcement, ombudsmen and/or self-regulatory organisations; or to third parties in response to court orders. We may also share your personal information with a credit reference agency if you fail to meet a financial obligation you owe to us, or in order to establish or exercise our legal rights or to defend against legal claims.

We share customer information with other companies, including our affiliates, that assist EJL with a variety of business activities, including: account administration, customer service, transaction processing, processing and delivery of account statements, research and analysis and, delivery of investments and services. For example, we may disclose certain information to a collective investment scheme, life and pensions company, or custodian, clearing, or settlement agent in order to complete a transaction you initiated.

To make you aware of the full range of investments and services we offer, unless you object, we may disclose information (as described above) to our affiliates, to companies that perform services on our behalf, or to other financial institutions with which we have joint marketing agreements. For example, firms who might work with us to market Edward Jones branded investments and services, (NOT IN THE UK YET), would have access to certain information. Information provided to these companies would be protected by confidentiality agreements and they would be prohibited from using that information to market any other products or services to you or for any other purpose without your consent.

We may make these disclosures in any country, as required or permitted by law.

Transfer outside of the United Kingdom
Some of our account administration functions, for example, trade processing, settlement and reconciliation of accounts and preparation of periodic statements, are performed at the facilities of our affiliate, Edward Jones, and its vendors in the United States. As a result, in order to provide the products and services you request and to fulfil our obligations to you, your personal information may be transferred to the United States.

We may also transfer your personal information internationally when necessary: to conclude a contract between us and a third party on your behalf or in your interest; in connection with the disclosures described above; to obtain legal advice or to establish, exercise, or defend our legal rights; as required by law and regulation; or for reasons of substantial public interest. All of which shall be done in accordance with the Data Protection Act 1998.

An Ongoing Commitment
This privacy notice is always available on our website, www.edwardjones.com. Former clients can rest assured that we will continue to safeguard their information as described in this notice.

We hope this information is useful to you. Confidentiality is the key to a strong relationship between you and your investment representative and we are committed to protecting your privacy. If you need clarification regarding this policy, please contact your Edward Jones Financial Adviser, or call our customer service team at 0800 358 8910.

If you would prefer not to receive information about products and services offered by us, our affiliates, or our marketing partners, please write to:

Edward Jones Limited
11 Westferry Circus
Canary Wharf, London E14 4HH

As part of opening your account, you are asked to provide your explicit consent to the use of your personal information in accordance with this privacy notice.