Effective Date: July 2025
Nuveen, LLC, its subsidiaries including its affiliated investment advisers and funds (together, the “Company”, “us” or “we”) consider your privacy our utmost concern.
This privacy notice (the “Notice”) outlines the information we may collect about you and describes the basis on which we process your Personal Information, as defined by Australia's Privacy Act 1988 (Cth)(the “Privacy Laws”). This Notice also gives information regarding the basis on which we collect, hold, use and disclose your Personal Information and your privacy rights under applicable Privacy Laws. This privacy notice should not be construed as establishing a contractual relationship.
This Notice is addressed to any natural person who is resident in Australia who is any of the following: an investor or prospective investor in any fund or account managed or advised by the Company (a “Company Fund”), a member, distributor, sales representative, business affiliate, or other representative of any client or prospective client of the Company, a Site user, a business contact working with service providers and vendors, or an individual on a Company mailing list (“you”) whose Personal Information the Company collects, controls and processes in the conduct of its business.
This privacy notice outlines the information we may collect about you in relation to your use of our websites ("Sites") and related publications and services and how we may use that Personal Information. It also outlines the methods by which we and our service providers may (subject to necessary consents, where applicable) monitor your online behavior in order to deliver customised advertisements and marketing materials and other tailored services. This privacy notice also tells you how you can access your Personal Information and how you can request that we update it or (if applicable) to withdraw a consent given to us.
Information about us
Our principal business activities:
- Provide client solutions through a range of products and structures within commercial asset management globally.
- Provide market-leading research for strategic insights across the investment process.
- Co-invest across all commercial sectors and manage funds with sector specialisms
- Digital marketing including websites, newsletters, electronic information and data
- Organisers and attendees of Seminars, Conferences, and Exhibitions for the asset management sector.
1. Collection of Personal Information
Our primary goal in collecting Personal Information from you is to effectively conduct business with our business partners and when applicable provide services and features to our clients, investors and potential clients and investors. You may make a data request by emailing privacyoffice@nuveen.com.
Unless and until you engage in a business transaction with us, you are not required to provide us with any Personal Information. If you do not provide us with certain information when requested, we may not be able to perform all or part of the contract we have entered into with you, or we may be prevented from complying with our legal obligations.
2. Types of Personal Information held and its use
2.1 Customer services and administration
The Company may, in the conduct of our business, obtain Personal Information about you that may include, subject to the type of business or service relationship we have with you, without limitation:
- Contact information (e.g., your full name, business and/or home mailing address, telephone number, business and/or personal email address, job title);
- Identification information (e.g., date of birth, social security number, tax or other identification numbers and documents);
- Financial Information (e.g., documents and information about your income, account transactions and holdings with us);
- Browsing Information (e.g., Internet Protocol (or IP) address, browser language and type, domain name, operating system, location data, resources that you access).
In the course of our business, we may collect Personal Information about you from sources including, but not limited to:
- Information we receive from you, your application, subscription or other forms or material completed or supplied by an actual or prospective client of the Company or a third party;
- Other written, electronic or verbal correspondence which relate to the business activities by or on behalf of an actual or prospective client of the Company;
- Information we receive from you when subscribing to a Company mailing list;
- Information we receive from you from recorded calls;
- Information we receive from security footage recorded for safety and security purposes when visiting Company premises; and
- Information we automatically collect from Company Sites by using cookies and other online tracking technologies.
We process your Personal Information to fulfill our contractual obligations, our statutory obligations and/or the legitimate interests of the Company and for other purposes for which the Company has a lawful basis under the Privacy Laws, including:
- To administer and deliver to you the products and/or services you have requested;
- For purposes of reporting to, or communicating with, actual or prospective clients of the Company or third parties or the appointment or engagement of the Company consistent with our obligations to such Company clients;
- To retain records of our business transactions and communications;
- For compliance with legal and regulatory requirements such as regulations aimed at prevention of money laundering or terrorist financing or other “Know your Client” requirements;
- To verify the status and/or eligibility of an actual or prospective client of the Company for services offered by the Company and for compliance with tax reporting requirements;
- Due diligence or monitoring activities of counter-parties;
- In connection with litigation, investigations, regulatory or governmental enquiries or for other legal or regulatory purposes involving the Company or the clients of the Company;
- To enable us to respond to certain requests by you such as access requests, scheduling of meetings or similar requirements;
- To operate our Sites efficiently and improve our service to you; and
- For other legitimate business interests.
We will endeavor to keep your information accurate and up to date, and not keep it for longer than is necessary. We are required to retain information in accordance with the law, such as information needed for income tax and audit purposes. How long certain kinds of Personal Information should be kept may also be governed by specific business-sector requirements and agreed practices. Personal Information may be held in addition to these periods depending on individual business needs.
2.2 Monitoring use of our Sites
We collect, process, and use Personal Information on our Sites through the use of cookies in order to offer a better, more tailored overall client experience, better adapt our business processes to our clients’ needs, and provide access to relevant product information and online applications. Please see Section 3 below for more information on cookies and similar technologies.
2.3 Marketing
The Company collects certain information that you provide to us when subscribing to a Company mailing list, which may include your name, email address and other contact details. Some of your Personal Information collected, in accordance with this Notice, may be used by us and third party service providers to contact you by email, fax, telephone and/or post (for an indefinite period unless and until you opt-out) for sending information or promotional material on our products and/or services and/or those of the Company.
In addition, we may process your Personal Information in order to communicate with you for marketing purposes. In this event, we may provide additional information that we believe may be of interest, including about services, news updates, research or market commentary, conferences, or events offered by or in conjunction with the Company.
We give you the opportunity to opt-out of receiving marketing communications and may in certain circumstances need to obtain your consent before sending such communications to you. Further detail can be found in each marketing communication sent by us. You can also contact privacyoffice@nuveen.com to opt-out of receiving marketing communications.
Email Tracking: So that we can better understand our users' needs, we track responses to our emails - for example, to see which links are the most popular in newsletters, and to log and follow up responses to our marketing messages. To do this, we use small image files that are placed within the body of our email messages. They enable us to tell if a message has been opened and to track click-through's on links within the message.
3. Cookies
We use cookies on our Sites to provide Site visitors with a better user experience when they browse our Sites. It also enables us to improve our Sites. If you use one of our Sites, and through your consent to the pop up that appeared on your first visit to such Site, you agree to the use of cookies in accordance with this Notice.
A cookie is a small text file that we store on the browser or the hard drive of your desktop, tablet or smartphone when you first visit our Sites. The cookie will help our Sites, or another website, recognize your desktop, tablet or smartphone the next time you visit. A cookie can contain Personal Information.
Cookies may be required to operate our Sites, allow us to recognize and count the number of visitors and to see how visitors move around our Sites, which may help us improve the design of our Sites. Cookies may also recognize you when you return to our Sites, enabling us to personalize our content and remember your preferences, and may be used to record your visit to our Sites, the pages you visited and the links you followed. We may use this information to provide you with targeted advertising and content we think you will be interested in. In some cases we may use information from third party cookies to help us with market research or improving the design of our Sites (for example, where traffic to our Sites comes from).
You can block cookies by activating the setting on your browser that allows you to refuse all, or some, cookies. If you block all cookies you may find that parts of our Sites do not work properly, or you may not be able to access our Sites at all.
4. Third Parties
We may pass your Personal Information on to third-party service providers contracted to us in the course of dealing with you. Any third parties that we may share your data with are obliged to keep your details securely, and to use them only to fulfil the service that they provide you on our behalf. When they no longer need your data to fulfil this service, they will dispose of the details in line with our procedures.
5. Disclosures
We may share your Personal Information with the Company entities including with the Company Funds for any of the purposes set forth above. In any such business purposes set out above, the Company may share your Personal Information with third parties, including:
- Service providers e.g., attorneys, auditors, accountants, tax advisers, administrators, custodians, depositaries, distribution managers and brokerage firms, event organizers or other agent, adviser or service provider of the Company, a Company Fund and/or the Company client;
- Other counter-parties e.g., managers, general partners or investment advisers or administrators or any of their respective agents or representatives; and
- Regulatory authorities (including tax authorities), courts and bodies as required by law or requested for internal investigations and reporting.
We may transfer, sell or assign any of the information described in this policy to third parties as a result of a sale, merger, consolidation, change of control, transfer of assets or reorganization of our business.
6. Transfers outside Australia
Where your Personal Information is processed by Company entities and third parties outside Australia, we will ensure appropriate safeguards are in place to adequately protect it, as required by the Privacy Laws.
Services on the Internet are accessible globally so collection and transmission of Personal Information is not always limited to one country. We may transfer your Personal Information, for the purposes listed above, to the Company, service providers or other third parties which may be located in countries outside Australia, whose laws may not give the level of protection to Personal Information as within Australia. This may include transfers to Companies in the US and the UK and other countries where Nuveen has local operations from time to time (who may collect some data directly from you, in relation to the Sites which it operates) and to third parties who provide us with email and marketing services including from the US. Where we conduct any transfers we will endeavor to take steps reasonably necessary to ensure that your data is treated securely.
7. Confidentiality and security of your Personal Information
We are committed to keeping the data you provide us secure and will take reasonable precautions to protect your Personal Information from loss, misuse or alteration. Once we have received your information, we will use procedures and security features to try to prevent unauthorized access.
We have implemented information security policies, rules and technical measures to protect the Personal Information that we have under our control from:
- Unauthorized access;
- Improper use or disclosure;
- Unauthorized modification; and
- Unlawful destruction or accidental loss.
8. Your rights in relation to your Personal Information
Please contact privacyoffice@nuveen.com if you would like to access or correct the personal information we hold about you. We will generally provide you with access to your personal information (subject to some exceptions permitted by law), but may charge an access fee to cover the cost of retrieving the information and supplying it to you.
We may require proof of your identity in order to respond to your request.
Please also contact privacyoffice@nuveen.com to opt-out of direct marketing or if you have any concerns or complaints about the manner in which we have collected or handled your Personal Information. We will inquire into your complaint and respond to you in writing within 30 days. If you are not satisfied with our response, you can contact us to discuss your concerns or lodge a complaint with the Australian Privacy Commissioner (www.oaic.gov.au).
Changes to this Notice
We will occasionally update this Notice to reflect new legislation or industry practice, Company changes and customer feedback. We encourage you to review this Notice periodically to be informed of how we are protecting your Personal Information.
