How Does Neuberger Berman Treat Your Personal Information?

Our commitment to privacy

Neuberger Berman is committed to preserving your privacy and strictly adheres to applicable law which requires us to tell you how we collect, disclose, and protect your personal information. Where there is inconsistency between this statement and applicable law, we will apply the stronger protection. Please read this statement carefully to understand what we do.

Who is providing this statement

This notice is provided by Neuberger Berman Asia Limited

Types of personal information we collect

The types of personal information we collect and disclose depend on our relationship with you and may include, but is not limited to:

  • your name, occupation, telephone number(s), identification document number, contact information
  • your financial status, income, assets and transaction history
  • your education and/or employment history
  • your credit history and credit scores

When our relationship with you ceases, we may continue to use your information as described in this statement.

Generally, we collect, update and use personal information for our everyday business purposes, which may include:

  • providing you with Neuberger Berman product(s) or services
  • your employment with Neuberger Berman
  • complying with our obligations under applicable law relating to the Neuberger Berman product(s) or service or your employment with Neuberger Berman (as the case may be)
  • meet our ongoing obligations to you in providing you with the Neuberger Berman product(s) or service or as your employer (as the case may be)
  • processing your transactions
  • maintaining your account(s) or administering any facility you have with us
  • protecting against fraud
  • meeting obligations under applicable law, such as customer identification requirements relating to “know your client” (“KYC”) and/or anti-money laundering (“AML”)
  • responding to court orders and legal investigations
  • receiving reports from, or reporting to, credit bureaus
  • for any other purpose for which you have given specific consent

How we collect your personal information

We may collect your personal information when, for example, you

  • open an account or provide account information
  • become an employee of Neuberger Berman
  • seek advice about your investments or give us your income information
  • give us your contact information
  • use our website

We may also collect your personal information from other sources, such as credit bureaus, affiliates or other third parties.

How we protect your personal information

To protect your personal information from unauthorized access and use, we use security measures that comply with applicable law. These measures include computer safeguards and secured files and buildings.

We restrict access to your personal information to those personnel at Neuberger Berman, and our service providers, who have a bona fide need for this information in order to perform their job responsibilities.

You can sometimes access other organisations’ websites through links on our websites. Please note that we are not responsible for the privacy standards and processes of those organisations and external websites.

What happens if you don’t allow us to collect your personal information

If you do not provide us with any requested personal information this may mean that we are unable to provide you with a product or service.

For example, if you choose to restrict our website from placing a “cookie”* on your hard drive, you may not be able to use some of the features on our website that depend on cookies.

* Cookies are tiny packets of information that websites store on your computer’s hard drive so that your computer will “remember” information about your visit. Our website makes use of these cookies to enhance your experience when you visit.

Who your personal information may be disclosed to

We may disclose your personal information to affiliates in order to meet our obligations to you and for other purposes as described above. We may also disclose your personal information for such purposes to other organizations, such as:

  • external service providers involved in our provision of products and services to you, such as mailing houses, professional advisers (such as our lawyers and compliance advisers), identity verification services
  • your agents, advisers or lawyers, in such circumstances where you have obtained a product or service from us through them or are otherwise dealing with us in any way through them
  • parties involved in markets and systems related to the products and services we provide to you, such as market operators and participants, counterparties, intermediaries and custodians
  • entities assisting us to maintain and improve our systems, products and services
  • entities to whom we are required or authorised by applicable law to disclose your personal information, such as government and regulatory bodies

Because our operations involve activities both within and outside the jurisdiction in which you have a relationship with Neuberger Berman, some of these disclosures may be to entities that are overseas.

Access to personal information

You have the right to request access to your personal information which we hold. Your access rights are subject to some exceptions allowed by applicable law. We will respond to your request in accordance with applicable law. If we deny your access request we will provide you with reasons for doing so.

To access or update your personal information, please write to us at:


If in Hong Kong:

Neuberger Berman Privacy Officer
20/F, Jardine House
1 Connaught Place, Central, Hong Kong

or call: