PIMCO Privacy Policy What personal information does PIMCO collect? How does PIMCO store personal information? How does PIMCO use personal information? How does PIMCO disclose personal information to others? How can you access and correct your personal information? PIMCO Australia Pty Ltd ABN 54 084 280 508 and PIMCO Australia Management Limited ABN 37 611 709 507 (collectively referred to as “PIMCO”) are bound by the Privacy Act 1988 (Cth) and the Australian Privacy Principles (“APPs”). PIMCO considers privacy to be a fundamental aspect of our relationship with our clients and partners. We are committed to maintaining the confidentiality, integrity, and security of all personal information we hold, and have developed policies that are designed to protect this confidentiality, while allowing client needs to be served. This Privacy Policy sets out how we collect and handle personal information (being information or an opinion which is about, and reasonably capable of identifying, an individual). All references to “us”, “we”, and “our” in this Privacy Policy are references to PIMCO. All references to “you” and “your” in this Privacy Policy are references to our clients, contractors, potential employees, users of our website, and any other individuals that we deal with in the course of providing our services and running our business. We may change our Privacy Policy from time to time and without notice - we will publish any changes on our website which you should review periodically. 1. What personal information does PIMCO collect? In the course of providing you with products and services, or in our other dealings with you, we and certain of our service providers may obtain personal information about you, including sensitive information. About clients If you are a client, this information may come from you directly, including through sources such as account applications and other forms, your transactions, or other written, electronic or verbal correspondence with you. We may also collect information from your brokerage or financial advisory firm, financial adviser or consultant, and from information captured about your use of our website and other online activity. The types of personal information we collect about you might include (but are not limited to): your full name, date of birth and gender; your contact information (including address, phone number and email address); any other information that may be obtained from your account application form; your transactional information; records of any communications or interactions you have with us; information to verify your identity and comply with our anti-money laundering obligations; information about your use of our website; and any other information you or your brokerage or financial advisory firm or consultant provide to us about you. It is up to you to choose the information that you give to us. If you choose not to provide us with particular information that has been requested, we may not be able to provide the service that you have requested. About website users Websites maintained by us or our service providers may use a variety of technologies to collect information that help us and our service providers understand how the website is used, such as your IP address and your online activity. Information collected from your web browser (including small files stored on your device that are commonly referred to as “cookies”) allow the websites to recognize your web browser and help to personalize and improve your user experience and enhance navigation of the website. In addition, we or certain of our service providers may use third parties to develop marketing campaigns and manage advertisements of our products on our and other third party websites, including targeted banner advertisements. Such third parties may collect, and share with us, anonymous information through the use of cookies or action or container tags (such as web beacons). The information these third parties collect and share with us is generally limited to technical and web navigation information, such as your IP address, web pages visited and browser type, and does not include other personally identifiable information. You can change your cookie preferences by changing the setting on your web browser to delete or reject cookies. If you delete or reject cookies, some website pages may not have optimal functionalities. About contractors, potential employees, or other individuals that we deal with If you are our contractor, potential employee or other individual that we deal with in the course of providing our services and running our business, most personal information we collect will be received from your directly, however may also be collected from third parties such as recruitment agencies or our business partners. The types of personal information we might collect about you will ultimately depend on our relationship with you or the way in which you engage with us, but examples might include: for potential employees: your name and contact details, information about your professional experience, qualifications or skills, and any other information you provide us with; if you are an individual contractor, supplier or service provider: your name and contact details, information about your professional qualifications or skill, your financial information, details of your relationship and interactions with us, and any other information you provide us with; if you are a financial advisor or broker: your name and contact details, information about any interactions you have with us or our clients, and any other information you or your employing/contracting entity provide us with; or if you have subscribed to receive communications from us, or to participate at any conferences or events we organise, your name and contact details and any other information you provide us with. 2. How does PIMCO store personal information? We aim to keep all personal information secure from any misuse, loss or unauthorised access, modification or disclosure. If we find that we have no further need for your personal information, we may remove it from our systems and destroy all records of it. We take seriously the obligation to safeguard your personal information. In addition to this Privacy Policy, we have implemented procedures that are designed to restrict access to your personal information to those members of our personnel who need to know that information to perform their jobs. Physical, electronic, and procedural safeguards are in place to guard your personal information. We employ firewalls, encryption technology, and user authentication systems where appropriate to assure the security of data. If we become aware of any loss of, unauthorised access to, or unauthorised disclosure of, personal information, we will comply with any mandatory data breach notification obligations under the Privacy Act 1988 (Cth) which might arise. 3. How does PIMCO use personal information? We may use your personal information to provide you with our services or to enable the functions and activities of our business. Again, how we use your personal information will generally depend on the nature of our relationship with you and the purpose for which we collected it, but may include the following: to communicate with you and provide you with information, or products or services you have requested; to assist you by providing you with information and support; to manage and administer any account or product you hold with us, including processing transactions; to personalise and customise your online experience (including by tailoring any online promotional or marketing materials you see on our website or other third party websites); to conduct research for the purposes of improving existing products or services or creating new products or services; to promote and market our products and services, and products and services of our business partners, to you or provide you with information that we believe may be of interest to you. We will only use your personal information for this purpose if you have consented to receiving marketing communications from us and/or our business partners and have not subsequently opted-out; to engage and manage our relationship with individual contractors or suppliers, and any other individuals we deal with in the course of operating our business; and any other purposes disclosed to you at the time of collection, or which are otherwise permitted or required by Australian laws. 4. How does PIMCO disclose personal information to others? As is common in the industry, PIMCO engages non-affiliated companies to provide certain services on its behalf, such as preparing and mailing investor correspondence including reports, account statements and other information, undertaking marketing activities, and conducting research on client satisfaction. We may disclose your personal information provided by you or gathered by us to our related PIMCO entities and also non-affiliated third parties, as required or permitted by law or for one or more of the purposes described above. This might include our disclosing your personal information to: your nominated financial advisory firm, financial adviser or broker, or their service providers; our business partners and affiliates, such as investment funds or brokers and dealers that we work with when providing and marketing our and their products and services; PIMCO's agents, professional advisers, contractors or service providers (including its fraud prevention and tokenization service providers); Government bodies, regulators or law enforcement authorities, as required or authorised by law; other non-affiliated third parties for one of the purposes described above, as required or authorised by law, or otherwise by your request or with your consent; and our affiliates and related entities (including those located outside Australia). Your personal information may be disclosed to entities located outside Australia (including entities located in Brazil, Canada, Germany, Hong Kong, Italy, Japan, Singapore, Switzerland, United Kingdom and United States of America), where your personal information may not receive the same level of protection afforded under Australian law. We take reasonable steps to ensure that any third parties we disclose your personal information to (including those entities located abroad) are bound by privacy obligations to protect information about you. 5. How can you access and correct your personal information, request further information or make a complaint? If you would like to access or correct the personal information we hold about you, obtain more information, or make a complaint about the way we manage this information, you can do so by contacting our Privacy Officer on the below details: post: Level 19, 5 Martin Place, Sydney, NSW 2000 ph: 02 9279 1771 fax: 02 9279 2580 email: privacy@au.pimco.com If we receive such a request or complaint, we will endeavour to provide you with our written response within 30 days, where possible. Please note that in certain circumstances, we may also need to consult another party in order to respond to you (particularly if you have raised a complaint which also involves a third party). If you are not satisfied with our response to your access or correction request or complaint, you can contact the Office of the Australian Information Commissioner for further review or assistance.