I. General data privacy notice
Data protection is closely linked to the protection of the trust, you place in our corporate group. Therefore, we process only this data relating to you, which are necessary. Thereby we act with due care, not least in order to protect you from a possible abuse. Emcore Asset Management AG and EMCore AG (hereinafter «EMCORE» or «we») are bound to the protection, the safe custody and processing of personal data of their current, future and former clients, prospects, employees and service providers («user» oder «you») in accordance with the applicable law, especially with the Swiss Data Protection Act («DSG») and, if applicable, the European General Data Protection Regulation («DSGVO»). With this data privacy notice, we want to give you an overview of the processing of your data and your rights:

1. Name and address of the responsible body
Responsible of EMCORE, within the meaning of the DSGVO is EMCore AG, Pflugstrasse 20, 9490 Vaduz, Liechtenstein, phone +423 239 81 71, e-mail: info@emcore.li

2. Collection and storage of personal data and nature and purpose of the use of data
As already mentioned, we process personal data of our users only to the extent that is necessary for providing our services, fulfilling of legal obligations as well as for providing a functional website. They can differ depending on the category of persons.
If you contact us, we in particular collect the following information:
Personal details (e.g. salutation, first name, last name,)
Address and contact details (e.g. address, e-mail address, land line / mobile phone number)
The purpose of the collection of this data is:
to enable us to identify you as our client;
to provide you with proper advice;
to conduct correspondence with you;
to settle, assert or defend against any possibly existing (liability) claims.

Without this data, we are as a rule unable to enter into or maintain a client relationship. It is possible that we process data that is not collected directly from you, but for example from third parties, from public accessible sources or from other data subjects.

Generally, the processing of your data is performed upon your request, and is required for the aforementioned purposes (performance of contract or performance of pre-contractual measures) for the adequate handling of the mandate and for the mutual fulfilment of obligations arising from the client relationship pursuant to Art. 6 Para. 1 lit b DSGVO.

Furthermore, your data is processed in order to fulfil legal duties (Art. 6 Para. 1 lit. c DSGVO) or due to public interest (Art. 6 Para. 1 lit. e DSGVO), in particular in order to adhere to statutory and supervisory requirements (e.g. provisions concerning due diligence, anti-money laundering and prevention of market abuse, tax laws and tax treaties).

In addition, your data can be processed to protect legitimate interests by us or by third parties (Art. 6 Para. 1 lit. f DSGVO) for specifically defined purposes, in particular to assert and enforce claims, to fulfil the rights of the data subjects (e.g. the right to information), to ensure IT security and IT operations as well as for building and equipment security.

In other respects, your data may be processed on the basis of your consent (Art. 6 Para. 1 lit. a DSGVO). You have the right to withdraw your consent at any time. This also applies to consent given prior to the entry into force of the DSGVO. The withdrawal of consent shall, however, not affect the lawfulness of the data processed prior to the withdrawal of consent.

We also reserve the right to further process personal data that was collected for one of the aforementioned purposes for the other purposes too, if this is compatible with the original purpose or permitted or provided for by law (e.g. reporting obligations).

3. Recipients or categories of recipients of the personal data
We make sure that your personal data is processed in such a way that the compatibility with the above-mentioned purposes is ensured. For the mentioned purposes your personal data can be disclosed to the following parties, which process the data as third data controllers:
• Other companies of the EMCORE group
• Designee and external service providers
For the mentioned purposes we can forward your personal data also to the following parties, which act as data processor under our guidance:
• Other companies of the EMCORE group
• Designee, external service providers and research agencies
• Intermediaries, advisors or experts, who are responsible for communication and for events sponsored by EMCORE
Furthermore we can provide law enforcement authorities, government departments and supervisory authorities with your personal data to fulfil applicable legal or regulatory obligations.

4. Outsourcing
EMCORE transferred the operation of the data processing infrastructure and therefore also the storage and archiving of company’s and user data to a specialized company in Switzerland. However, the data processing remains within EMCORE and will not be outsourced. The activities of the third-party company mainly covers the set-up and the maintenance of the relevant servers.

5. Transfer of personal data to third party states outside of the EU and of the EEA
A data transfer to countries outside of the European Economic Area and the European Union (so-called third countries) is carried out only within the context of adequacy decisions of the European Commission or if this is necessary for the implementation of pre-contractual measures or the fulfilment of a contract or the supply of services, if you have given us your express consent (e.g. within the context of specific services), if the transfer is necessary for important reasons of public interests or is stipulated by law. The European commission acknowledged that Switzerland arranged for an adequate privacy protection (https://ec.europa.eu/info/law/law-topic/data-protection/international-dimension-data-protection/adequacy-decisions_en).

6. Data exchange within EMCORE
Emcore Asset Management AG and EMCore AG can share, exchange, process personal data for the other company, but also use personal data of the other company for its own purposes within the context of the applicable statutory provisions.
können ihre personenbezogenen Daten miteinander teilen, austauschen, für die jeweils andere Gesellschaft bearbeiten, aber auch personenbezogene Daten der anderen Gesellschaft im Rahmen der anwendbaren gesetzlichen Bestimmungen für eigene Zwecke nutzen.

7. Recording
EMCORE records telephone calls and e-mail correspondence between you and EMCORE for compliance reasons, for security reasons and for maintaining and improvement of the quality of EMCORE’s services.

8. Data protection on the internet
EMCORE assumes no responsibility or liability for the security of your data, while they were transferred via internet, whether as e-mail or when visiting our websites. For protecting your privacy sphere we would like to remind you that you can contact us also via other means of communication, if you consider it appropriate.
The websites of EMCORE can contain hyperlinks to websites of third parties, which are not maintained or controlled by EMCORE. If you leave the EMCORE website, EMCORE is not responsible for the content and the privacy practices of the website of third parties.

9. Storage period for personal data
The personal data, collected for the fulfilment of our contract, are generally retained until the statutory retention period has ended, and shall thereafter be deleted, unless we deem a longer retention period pursuant to Art. 6 Para. 1 lit. c DSGVO and, if applicable, pursuant to DSG, on the basis of statutory obligations under tax-, company- or supervisory law with regard to retention and documentation, or if you agreed to a storage going beyond this term according to Art. 6 Para. 1 lit. a DSGVO. Further processing and longer storage may be conducted for reasons of preservation of evidence, for example for the duration of the applicable statutes of limitation.

10. Your data protection rights
As user you are entitled at any time to be informed about your personal data, in particular its origin and recipients as well as the purpose of the data processing. You also have the right to rectification, data portability, to object and to restriction of the processing or erasure of incorrect or improperly processed data.
We kindly ask you to inform us in the event of changes to your personal data.

You have the right to withdraw given consent to use your personal data at any time any. The exercise of your right to information, erasure, rectification, objection and/or data portability may be addressed to the contact details listed under item 1 of this statement.

If you are of the view that we process your personal data in breach of applicable data protection law or that your statutory data protection rights have been infringed otherwise, you may file a complaint to the competent supervisory authority. In Switzerland, the Eidgenössische Datenschutz- und Öffentlichkeitsbeauftragte is the competent authority.

11. Valid version
Amendments of this data privacy notice may become necessary from time to time, e.g. due to the continued development of our website or due to regulatory changes. EMCORE reserves the right to alter the data privacy notice at any time with effect to a future date. Therefore, we recommend to read this data privacy notice regularly. This data privacy notice was last updated: 30 July 2020.

12. Provision of the website
Each time our website is accessed, our system automatically records data and information about the computer system of the accessing computer.
The following data is collected:
information about the browser type and the version used
operating system of the user
date and time of access
originating website
The three latter types of data are retained only in summarized form, meaning for example that it is not possible to attribute IP addresses of the originating website or the time. It is only possible to determine from which websites and at which time most accesses take place.

We retain this information in accordance with statutory regulations. Processing is performed for reasons of data security in order to ensure the stability and operating reliability of our system. The legal basis is Art. 6 Para. 1 lit. f DSGVO.

We ensure that data is collected in anonymized form, so that no personal evaluation takes place. It is not possible to draw conclusions about individual persons or to merge this data with other personal data sources. The information will not be transferred to third parties.

13. Cookies
We use cookies on our website in order to make our services more user-friendly. Cookies are small computer files that your browser automatically creates and that are stored on your device (computer, tablet, smartphone etc.) when you visit our website. This enables us to identify your browser the next time you visit our website. Cookies are valid for a maximum period of two years, but will be renewed with every page request. You can delete cookies at any time. If you do not want this to happen, you may set browser settings to inform you about the setting of cookies. We would, however, like to inform you that deactivation means that you will not be able to use all functions of our website.

The legal basis for the data processed by cookies, if applicable, is Art. 6 Para. 1 lit. f DSGVO. Temporary cookies remain valid for the duration of the session, and are then deleted by your browser. Permanent cookies remain in your browser according to your own settings or until they are deleted manually.

14. Contact form/E-mail
If you fill out a contact form or send us an e-mail or other electronic message, your details will only be stored in order to process your enquiry or relevant correspondence, and will only be used within the context of the enquiry. The legal basis for the processing of your enquiry is Art. 6 Para. 1 lit. b DSGVO. We will delete your e-mail address once we have processed your enquiry, if you are not a client of EMCORE or if you do not request information regarding services or financial products or address questions regarding them.

15. Newsletter
When you register for the newsletter, we will send you an e-mail to the provided e-mail address, which request the return of a confirmation e-mail or which contains a hyperlink. With a click on this link, you confirm the newsletter registration (so-called double-opt-in process). By confirming the newsletter registration, you give approval for storage of your e-mail address including date of registration, IP address as well as list name of requested newsletter. Legal basis for the storage of this data is Art. 6 Para. 1 lit. a DSGVO. We use your e-mail address only for administration and mailing of the newsletter, requested by you at the periodicity, specified at registration. Our newsletters contain no obvious or hidden counters, advertising of third parties or links to external sites, which are not associated directly with the content of our newsletters. Of course you can unsubscribe the newsletter at any time.

16. File downloads
On our website, we are able to provide certain or all users with the possibility to download documents for services of EMCORE or financial products as well as media reports.
So far as documents about collective investments are concerned, we provide a link, if possible, which allows the download of the requested document from the site and the systems of the operator of the collective investment. The access to media reports and the download of corresponding documents can occur on websites and/or systems of the respective media publisher.

We always inform you on our website if a link direct you to a website or as system of third parties.
So far as you use this offer, the operators of the websites and systems will collect data according to their own regulations. Alternatively you can request the respective documents directly from the operator or by e-mail or by letter from us.

We can arrange that you can download certain data from our website only if you are logged in. We do not forward your e-mail address, which you have to enter, as well as the password, which is saved in encrypted way, to third parties.