Privacy Notice for Participants in Man Group Deferred Share, Fund and Cash Plans

This Privacy Notice is dated 25 May 2018.

At Man Group, we respect your privacy and we are committed to protecting and safeguarding your Personal Data. We have developed policies and processes which are designed to provide for the security and integrity of your Personal Data. We are committed to Processing your Personal Data fairly and lawfully, and being open and transparent about such Processing.

1. Purpose of this Privacy Notice

This Privacy Notice explains how Man Group plc, together with its subsidiaries and its affiliates which are identified in the table in Section 10 below (referred to collectively as “Man”, “we”, “us” or “our”), collects and uses Personal Data about you in relation to Man deferred share, fund and cash plans (the “Plans”) and their administration, in accordance with applicable law and regulation.

This Privacy Notice applies to current and former employees and partners of Man who hold either unvested or vested and unexercised deferred share, fund or cash awards granted under the Plans (each an “Award”).

Capitalised terms used in this Privacy Notice are defined in Section 12.

This Privacy Notice does not form part of your contract with Man. Please regularly check this page to review any updates we might make.

2. Processing your Personal Data

A. Collection of Personal Data

The Personal Data that we Process is collected or created from a variety of sources as follows:

When you provide us with your Personal Data	You may do this by: corresponding with us via email, phone, or any other means; providing information to HR; inputting information into the Plan administration portal (SALSA); or through completing application or registration forms.
When we receive your Personal Data from third parties	This could, for example, be from your previous employer or employment agencies as part of the grant of a prior employment buy-out Award. We may also collect Personal Data from share brokers or fund administrators in relation to your Award.
When we create Personal Data in the ordinary course of your working relationship with Man	For example, we may create records during the course of your participation in the Plans, including but not limited to those relating to the amount and value of your Awards, which may constitute Personal Data.

B. Types of Personal Data

In order to carry out the Processing activities set out at Section 2(C) below, and where relevant to our relationship, the types of Personal Data that we process include:

Identity Data	Your name (and in some cases proof of your name), username or similar identifier, marital status, title, date of birth or age, gender, signature and other similar information
Personal and business contact details	Your work or home address, proof of address documents such as utility bills or bank statements, phone, email and other similar information
Nationality or tax identification data	Your nationality, immigration and/or visa status, passport number(s), other government issued national identification number(s), place of birth, National Insurance number, tax residency and tax identification information, social security number(s), driving licence number(s), images of passports, driving licences or other proof of identity document(s), and other similar information
Spouse, partner or other family member identification data For further information on the circumstances in which we Process family member Personal Data, please see Section 8.	The name and contact details of your spouse, partner or other family member including identification data such as images of passports, driving licences or other proof of identity document(s) or proof of address documents such as utility bills or bank statements and other similar information
Employment information and records	Your job titles, start date, employment ID number and payroll number, leaving date and reason for leaving and other similar information
Compensation information	Details of your bonus, Awards, compensation history (including deferred share, fund and cash awards granted by your previous employer as part of the grant of a prior employment buy-out award) and other similar information
Financial data	Your bank account details, tax calculations and/or returns, history of deferred share, fund and cash holdings and transactions, history of your instructions in relation to your Awards (e.g. whether to sell or hold on vesting) and other similar information
Communications data	Copies of communications with you, copies of electronic communications made on our systems and other similar information
Transaction data	Details about payments to you and other similar information

C. Purposes for which we may Process Personal Data

We will only Process your Personal Data when the law allows us to. Most commonly, we will use your Personal Data in the following circumstances:

• Where we need to perform our obligations under the contract we have entered into with you.
• Where we need to comply with a legal or regulatory obligation.
• Where it is necessary for our legitimate interests and your fundamental rights do not override those interests.

There may be other occasions where we ask you for your consent for the Processing of your Personal Data, on such occasions we will only use your Personal Data for the purposes which we will explain at that time.

More specifically, we may Process your Personal Data in the following situations:

• to invite you to participate in the Plans;
• to grant you Awards under the Plans;
• to administer your participation in the Plans, which may include (but is not limited to):
  • communicating with you about your Awards, including seeking your instructions upon vesting or, if relevant, exercise of your Awards;
  • calculating or monitoring the collection of any tax or National Insurance Contributions (or equivalent);
  • identifying accounting or corporation tax bookings in relation to your Awards;
  • liaising with the trustee of the Employee Benefit Trust in relation to your Awards;
  • liaising with the share broker in order to set up nominee accounts for the execution of share purchases, sales and transfers upon vesting or, if relevant, exercise of your share Awards;
  • liaising with the administrators of the relevant fund in relation to the opening of new accounts and the execution of fund unit transfers to you upon vesting or, if relevant, exercise of your fund Awards;
  • paying you the proceeds in relation to vested or, if relevant, exercised Awards (including any fee rebate); and
  • collecting self-certifications of non-detrimental activity from you prior to each vesting date following your departure from Man.

Should you require any further information in relation to the purpose for which we Process your Personal Data or our legal basis for doing so, please contact us using the contact details at Section 9 below.

3. Disclosure of Personal Data to third parties

We share your Personal Data with Man Group staff and entities within Man Group for the purposes described above.

In addition, we may disclose your Personal Data in accordance with applicable law and regulation to:

• Governmental, legal, regulatory, tax or similar authorities, ombudsmen, central and/or local government agencies; and/or law enforcement officials (if mandated by law and regulation or if required for the protection of our legitimate interests);
• anti-fraud services in relation to data on known or suspected fraudulent activity;
• third party service providers who process Personal Data on behalf of Man in the provisions of the following activities: nominee account administration, fund administration and Employee Benefit Trust administration;
• third parties to whom you request us to send your Personal Data;
• third party Processors (such as payment services providers and banks);
• our professional advisers (such as our auditors, accountants, financial advisers and lawyers);
• any relevant party, claimant, law enforcement agency or court, to the extent necessary for the establishment, exercise or defence of legal rights in accordance with applicable law and regulation;
• any relevant party for the purposes of prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, including safeguarding against and the prevention of threats to public security in accordance with applicable law and regulation; and
• any relevant third party acquirer(s), in the event that we sell or transfer all or any relevant portion of our business or assets (including in the event of a reorganisation, dissolution or liquidation) or the assets or business of our funds.

We do not share your Personal Data with others for marketing purposes unless you agree to this.

4. Transfers of Personal Data outside the European Economic Area and Guernsey

Due to the international nature of Man Group’s activities and the service providers we use, your Personal Data may be collected, transferred and stored in countries outside the EEA and Guernsey. Some of these countries may not have been deemed by the European Commission to have the same level of protection as countries in respect of which EEA data protection law applies.

We ensure that such transfers are protected by appropriate safeguards or are otherwise permitted under applicable law. Where we transfer your Personal Data to a country outside of the EEA, this can be done in the following ways:

• The country to which the Personal Data is transferred may be approved under the European Commission’s adequacy decisions;
• the recipient may have agreed to standard contract clauses that require them to protect the Personal Data;
• the recipient may be located in the United States and may participate in the EU-US Privacy Shield Scheme;
• the recipient uses Binding Corporate Rules which are approved by relevant supervisory authorities and require them to protect the Personal Data; or
• in other circumstances, the law may permit us to otherwise transfer your Personal Data outside the EEA.

You may obtain more details of the safeguards in place to protect your Personal Data when it is transferred outside the EEA, including a copy of such safeguards by contacting us via the details provided in Section 9.

5. Data Retention

How long we hold your Personal Data will vary. The retention period will be determined by various criteria, including the purposes for which we are Processing your Personal Data (as it will need to be kept for as long as is necessary for such purpose), legal and regulatory obligations (which may set a minimum period for which we have to keep your Personal Data) and our internal policies, which take into consideration the purpose for which we hold the Personal Data.

6. Security of your Personal Data

We have extensive controls in place to maintain the security of our information and information systems. Appropriate controls (such as restricted access) are placed on our computer systems. Physical access to areas where Personal Data is gathered, processed or stored is limited to authorised staff. We operate layers of safeguards and defences designed to ensure that Man is able to operate safely. Amongst other things, such controls are designed to detect, respond and recover in case of any adverse events that may arise.

7. Your rights

You have a number of legal rights in relation to the Personal Data that is held about you by us, including:

• You have a right to obtain certain information regarding the Processing of the Personal Data and to access your Personal Data.
• If your Personal Data is inaccurate or incomplete, you have the right to request corrections to it.
• In certain circumstances, you have the right to receive some Personal Data in a structured, commonly used and machine-readable format.
• You have the right to ask us to transfer some of your Personal Data to other organisations, where this is technically feasible. Please note that this right only applies to Personal Data which you have provided to us.
• You have a right to ask us to erase or “restrict” your Personal Data in some circumstances. Please note that there may be circumstances where you ask Man to erase your Personal Data but we are nevertheless legally entitled to retain it.
• Where we Process your Personal Data because the Processing is in our, or a third party’s, legitimate interests, then you may object to this Processing. Please note that there may be circumstances where you object to, or ask Man to restrict its Processing of your Personal Data but we are legally entitled to continue Processing your Personal Data or to refuse that request.
• In the limited circumstances in which we have asked for your consent to Process your Personal Data for a specific purpose, you may withdraw your consent at any time. Once we have received notification that you have withdrawn your consent, we will no longer process your Personal Data for the purpose or purposes you originally agreed to, unless we have another legitimate basis for doing so in law.

These rights may be limited, for example, if fulfilling your request would reveal Personal Data about another person, or if you ask us to delete information which we are required by law and regulation to keep or have compelling legitimate interests in keeping.

You also have a right to complain to a supervisory authority for data protection. This may either be the supervisory authority in the place of your habitual residence, your place of work, or the place where you consider that there has been a breach of data protection law.

To exercise any of these rights, please use the contact details provided in Section 9.

8. Your duties

Inform us of any changes to your Personal Data

It is important that the Personal Data we hold about you is accurate and current. Please keep us informed by using the contact details provided in Section 9 if your Personal Data changes during your working relationship with us.

Inform your spouse, partner or other family member that we hold their Personal Data

Where you have elected to transfer some of your Man shares to your spouse, partner or other family member on vesting of your Awards, some of the Personal Data we hold in relation to your participation in the Plans will include the Personal Data of your spouse, partner or other family member.

You must inform your spouse, partner or other family member that Man Processes their Personal Data as well as the purpose for which we Process it.

9. Contact Details

For electronic communications, please contact:

Contact	Issue
[email protected]	If you have any questions about this Privacy Notice or Man’s Data Protection Policy generally, if you have any concerns or wish to exercise your rights set out in Section 7.
[email protected]	If you would like to update the Personal Data we hold about you.
[email protected]	If you believe there is a potential data protection breach and wish to inform Man of such breach.

All written communications should be directed to:

Man Group
Data Protection
Riverbank House
2 Swan Lane
London EC4R 3AD
United Kingdom

10. Controllers

Controller entity	Address
Man Group plc	Riverbank House, 2 Swan Lane, London EC4R 3AD, United Kingdom
Man GLG Partners LLP	Riverbank House, 2 Swan Lane, London EC4R 3AD, United Kingdom
AHL Partners LLP	Riverbank House, 2 Swan Lane, London EC4R 3AD, United Kingdom
GLG Partners LP	Riverbank House, 2 Swan Lane, London EC4R 3AD, United Kingdom

11. EEA and Guernsey Data Regulators

You can find out more information about your rights by contacting an EEA data regulator such as the UK’s Information Commissioner’s Office (website at https://ico.org.uk) or the Guernsey Office of the Data Protection Commissioner (website at https://dataci.gg).

12. Defined Terms

Term	Definition
Award	An uninvested or vested and unexercised deferred share, fund or cash award granted under the Plans.
Binding Corporate Rules	A set of legally enforceable rules authorising personal data transfers to non-EEA based controllers or processors.
Controller	The entity that decides how and why Personal Data is Processed. In many jurisdictions, the Controller has primary responsibility for complying with applicable data protection laws.
Man Group	(i) Man Group plc; (ii) any company or other entity which directly or indirectly controls, is controlled by or is under common control with Man Group plc (including any holding company or subsidiary, each within the meaning of section 1159 of the Companies Act 2006); and (iii) any limited partnership or limited liability partnership whose general partner or managing member is an entity in (ii) above, but excluding any investment fund in relation to which Man Group plc or an entity or partnership in (ii) or (iii) above provides investment management, advisory, marketing or related services.
Personal Data	Information that is about any individual, or from which any individual is identifiable.
Plan	Each of the Man deferred share, fund and cash plans.
Process or Processed or Processing	Anything that is done with any Personal Data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.
Processor	Any person or entity that Processes Personal Data on behalf of the Controller (other than employees of the Controller).