Privacy Policy

PhillipCapital UK Limited, (hereinafter ‘PCUK’ ‘we’ ‘us’ ‘our’), takes privacy very seriously and we understand the importance of protecting your personal and financial data.

The aim of this Privacy Policy is to explain to you as clearly as possible how we obtain, treat and store your personal information.  This Policy applies to the data processing activities carried out by PCUK who acts as a Data Controller of your personal information.

Data protection law says that the personal data we hold about you must be:

  • Used lawfully, fairly and in a transparent way.
  • Collected only for valid purposes that we have clearly explained to you and not used in any way that is not compatible with those purposes.
  • Relevant to the purposes we have told you about and limited only to those purposes
  • Accurate and kept up to date
  • Kept only as long as necessary
  • Kept securely

The Personal Data we collect depends on the context of your interactions with us, the products and services you wish to use or to start using.

The data we collect can include the following:

  • Name, address and contact data
  • Date of birth and gender
  • IP address
  • Profession and employment details
  • Information about your income and wealth including source of funds, tax and financial statements
  • Government issued documents
  • Trading performance
  • Any similar information

There are a number of ways that we obtain this information through your use or intended use of our services, through our account opening forms, our demo sign up forms, when you sign up for a webinar or to receive our analysis, news and updates and in the course of client services correspondence.

We may also collect your personal information via our ‘refer a friend’ scheme or from third parties either through paid for marketing lists or publicly available sources.

We use cookies which will identify your computer.

You can always opt not to allow us to obtain your personal data, however should you so chose we may not be able to offer you the product or services you requested.

How we use your Personal Data

Identity Verification

To enable us to provide you with our services or information about those services we need to be able to verify your identity, we also have a legal obligation to comply with strict Know Your Customer regulations to help in the fight to prevent money laundering. We will use these details in our legitimate interests to manage your account and ensure you receive the best possible service from us.

During the verification process third parties may be included who carry out credit or identity checks on our behalf, we have ensured that these third parties have adequate measures in place to protect your data.

Some of these checks may involve automated checks, these will never be the sole basis for any decision we make about you.

Our Services

Once you open an account or register an interest in so doing, or sign up to one of our webinars we will use your details to manage your account and to ensure that you are kept fully up to date with our services. We will periodically review your needs to ensure that the service we provide is the best possible to be compatible with your needs.

Investigation or Settlement of Enquires or Disputes

We may need to use your personal information to help us investigate any issues or disputes we have with you, this enables us to settle these as soon as possible and it is in our legitimate interests to do so.

We may also need to use your personal information to comply with applicable law, court order or other judicial process, or the requirements of any applicable regulatory authority. We do this not only to comply with our legal obligations but because it may also be in our legitimate interest to do so.


We may use your personal information to send marketing communications by email phone or other agreed form of communication including social media to ensure that you are always kept up to date with our latest products and services.

You can always chose to opt out of any promotional calls or emails from PCUK;  to opt out from receiving marketing emails at any time click on the unsubscribe link at the bottom of the last email you received from us. If you do chose to opt out we will add your details to our suppression list to ensure we are aware you do not want to receive these communications.

We will record any communications by telephone that we have with you in relation to the services we provide to you and our relationship with you. These recordings will be our sole property and will constitute evidence of the communications between us. Such telephone conversations will be recorded without the use of a warning tone or any other policy.

We may record communications, electronic, in person or otherwise that we have with you in relation to the services we provide to you and our relationship with you. These recordings will be our sole property and will constitute evidence of the communications between us.

Your Consent

Where the use of your personal information by us relies on your consent, such consent will be provided in accordance with the applicable terms and conditions available on our website or any other contract we may have entered into with you or stipulated in our communication with you from time to time.

Where we rely on your consent as the legal basis for processing your personal information, you have the right to withdraw this consent at any time by contacting us using the contact details below.

Disclosure of Personal Information

As part of using your personal information as set out above, we may share your personal information with:

  • Other companies within the PhillipCapital Group
  • Any relevant regulatory, governmental or law enforcement authority as required by law or as requested to comply with applicable law for internal investigations and reporting
  • Introducing brokers or affiliates with whom we have a mutual relationship
  • Credit reporting and reference agencies
  • Our insurers, agents, service providers, suppliers and subcontractors who supply us with insurance, administrative, IT, financial, compliance or other services
  • Anyone authorised by you

We require that third parties outside of the PhillipCapital Group who handle or obtain your personal information have in place adequate measures to protect your data.

Third party service providers such as credit referencing agencies may keep a record of any searches performed on our behalf and may use the search details to assist other companies in performing their searches.

Please note that the use of your personal information by external third parties who themselves act as data controllers of your personal information is not covered by this privacy policy.

We may transfer your personal information outside the European Economic Area (EEA) to other companies with our group. To the extent we transfer your information outside the EEA we will ensure that the transfer is lawful and there are appropriate security arrangements.



Storage of your Personal Information

PCUK takes the safeguarding of your personal data very seriously and we have taken measures to protect the security of your personal information. Our employees have all undergone training in the new regulations and understand to respect the confidentiality of your personal information.

We hold personal information in secure computer servers, paper based files and/or other means. When personal information is no longer needed we will remove any details that can identify you and will securely destroy the records.

A part of your rights under GDPR you can request that we destroy the personal information we hold about you, however we are subject to certain laws and regulations that supersede those rights.

We are required to retain the a copy of the documents that we used as part of our Know Your Customer obligations, any supporting evidence, records of transactions with you for a period of five (5) years after our business relationship with you has ended.

If we hold personal information in the form of a recorded communication, by telephone, electronic, in person or otherwise, this information will be held in line with local regulatory requirements which will be wither five (5) or twelve (12) years after our business relationship with you has ended.


A cookie is a small piece of text stored on your computer or device when you visit our website. We use cookies on our website, for further information about cookies please refer to our cookie policy

Technology Improvements

We will always strive to provide a better and improved experience, this may involve a change to the way we collect your personal information. Any changes which materially affect your privacy will be notified in this privacy notice at the time

Your rights as the data subject

The GDPR provides you with the following rights regarding the personal information we hold about you. All information about your rights can be obtained from the Information Commissioner’s Office (ICO).

Under certain circumstances, by law you have the following rights:

  • The right to be informed, you have the right to be informed in a clear and transparent way how we collect, use and store your personal data, this privacy policy sets out that information, should you require any further information please do not hesitate to contact us
  • The right of access, you can request that we provide you with confirmation that we are processing your personal data lawfully  and a copy of that personal information
  • The right to rectification, you have the right to request a correction of the personal information we hold about you in the case it is incorrect
  • The right to erasure, you have the right to ask us to delete or remove any personal information we hold where we no longer need it or where applicable you withdraw your consent. Such a request will be subject to the regulatory obligations we are required to adhere to, please see above Storage of your Personal Information
  • The right to restrict processing,  if you feel the information we hold about you is incorrect you can ask us to suppress the processing of said information while accuracy of the same is validated
  • The right to data portability, you can ask us to supply the information that you have provided in an easily transferable means to move it between service providers of your choice
  • The right to object, you can as us to stop processing your personal data and we will do so if
    • Processing is based solely on our legitimate interests, except if we can demonstrate overriding and compelling legitimate grounds to continue or the processing is for the establishment of a defence of a legal claim
    • Processing is for direct marketing
    • Processing is for purposes of historical research and statistics
  • Rights in relation to automated decision making and profiling, where a decision about you is based solely on an automated process you have the right to ask for human intervention
    • At PCUK we do not make any decisions about you based solely on an automated process

If you have any concerns about any aspect of our privacy practices you can make a complaint via email to and this will be acted on promptly.

If you are dissatisfied with our response you have the right to lodge a complaint with the Information Commissioner’s Office (ICO). You can find details about how to do this on the ICO website at or ring their helpline on 0330 123 1113.

Contact details

If you would like further information about this privacy policy or to exercise your rights please contact us by

Phone on +44 20 7398 3100
By post

PhillipCapital UK Limited

3rd Floor,

12-14 Mason's Avenue,,








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