If you are located in Australia or otherwise dealing with us in relation to an Australian transaction (“Australian Related”) your personal information will be collected, used and disclosed by us in accordance with this Privacy Notice and any relevant privacy collection notice (“PCN”).

Definitions

All references to “personal information” and “sensitive information” in this Privacy Notice have the meanings given to these terms in the Australian Privacy Act 1988 (Cth) (the “Privacy Act”). Also, unless otherwise specified, all references to personal information in this Privacy Notice include sensitive information.

Additional personal information

Where additional personal information not detailed in this Privacy NoticeNotice is to be collected, we will provide you with a separate PCN for that collection. Any such PCN is to be read together with this Privacy NoticeNoticein relation to that collection.

Providing your personal information

You are not required to provide us with any of the personal information which we request. However, if you choose not to provide us with any of your personal information we request, as detailed in this Privacy NoticeNotice or a PCN which we request, we will be unable to provide you with our services or make an investment decision concerning companies, trusts or other entities to which you are related (“Investment Decision”) and may not be able to respond to your requests or queries.

Providing others’ personal information

Where you provide us with personal information about any other individual, you warrant that you have the authority of that individual to disclose such personal information to us and that you have referred that individual to this Privacy NoticeNotice and any relevant PCN regarding how we collect, use and disclose their personal information.

Providing sensitive information

By providing us with any of your sensitive information as detailed in this Privacy NoticeNotice or a PCN, you consent to us collecting, using and disclosing that sensitive information in accordance with this Privacy Notice and any relevant PCN. This consent remains valid unless and until you notify us in writing (using the details set out in the section “Contact Us” below) of the withdrawal of your consent to our processing of your sensitive information.

Where you provide us with sensitive information about any other individual, you warrant that you have the consent of that individual to disclose such sensitive information to us and that you have referred that person to this Privacy noticeNoticeand any relevant PCN and they consent to us collecting, using and disclosing the sensitive information in accordance with this Privacy Notice and any relevant PCN. Their consent will apply until such time as it is withdrawn by them notifying us in writing (using the details set out in the section “Contact Us” below).

However, in either case, if you do withdraw your consent (or if you do not provide us with the sensitive information requested as detailed in this Privacy Notice or a PCN), we will be unable to provide you or the entity to which you are related with the relevant services for which we are seeking to collect, use and disclose your sensitive information.

Specific activities and personal information

If you attend or express an interest in attending an event hosted or organized by us (an “Event”) please read “Annexure A. Events by Harris Williams” together with the main body of this Privacy Notice for more information about the collection, uses and disclosures of your personal information in relation to an Event.

If you apply for a role with Harris Williams please read “Annexure B. Candidates” together with the main body of this Privacy Notice for more information about the collection, uses and disclosures of your personal information.

If you are visiting the Website, for further detail including on how we use cookies please read “Annexure C. Website” together with the main body of this Privacy Notice for more information about the Website and our collection, uses and disclosure of your information which may be personal information.

WHAT PERSONAL INFORMATION WE COLLECT

The types of personal information and sensitive information we collect about you depend on the nature of your interactions or relationship with us.

Personal information

If we need to make an investment decision concerning companies, trusts or other entities to which you are related (“Investment Decision”) or if we are required to verify your identity under any anti-money laundering laws or regulatory requirements to which we are subject, including but not limited to Australia’s Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth) (“AML/CTF Act”), we will collect and hold your name, date of birth, gender, contact information (e.g. email address, telephone number and address), information in identification documents (e.g. passport and driver’s licence), nationality and other government related identifiers, country of residence, job title, organizations for which you work or to which you are related, identity information of your family members and financial information (e.g. bank account information, beneficial ownership, information of your assets and liabilities and transaction information).

If you visit the Website, we collect your personal information including name, gender, email address, telephone number, mailing address, preferences and, to the extent it identifies you, details about your operating system, internet service provider, browser, IP address, the company name that the relevant IP address is affiliated with, the pages you visited and newsletter articles or ads you clicked on the Website and websites you linked to and from pages you visit. Please also see Annexure C “Website” for more information about the Website.

Sensitive information

If we are required to verify your identity under any anti-money laundering laws or regulatory requirements to which we are subject, we will collect and hold your information in or a copy of identification documents (e.g. passport and driver’s licence), which may reveal your racial or ethnic origin and/or a photo where we collect a copy of your photo ID, which are your sensitive information.

HOW WE COLLECT YOUR PERSONAL INFORMATION

The means of our collection of your personal information and sensitive information depend on the nature of your interactions or relationship with us.

Personal information

If we need to make an Investment Decision or if we are required to verify your identity under any anti-money laundering laws or regulatory requirements to which we are subject, we will collect your personal information directly from you when you provide us with your personal information by mail, email or phone (including from audio and video recordings of the calls on Microsoft Teams); indirectly from companies of which you are a shareholder, director, beneficial owner or trusts of which you are a trustee or beneficiary or in which you have an interest; and/or indirectly from your authorized representative.

If you visit the Website, we collect your personal information directly from you when you visit the Website. Content available to website visitors may be different for each visitor based on their prior pages accessed and cookie selection. If you visit the Website, we also collect your personal information indirectly through our service providers (e.g. Google Analytics, YouTube, Google Ads, LeadLander, Microsoft (including Azure and Teams) and LinkedIn), through cookies, web beacons, pixel tags or similar digital marker technologies or tracking mechanisms, by storing and accessing data on your device through Strictly Necessary Cookies set on the device that accesses the Website or by combining information collected via the means above with your personal information or other information. Please also see Annexure C “Website” for more information about the Website.

Sensitive information

If we are required to collect your sensitive information under any anti-money laundering laws or regulatory requirements to which we are subject, we collect your sensitive information directly from you when you provide us with your personal information by mail or email; indirectly from companies of which you are a shareholder, director, beneficial owner or trusts of which you are a trustee or beneficiary or in which you have an interest; and/or indirectly from your authorized representative.

Children

We do not solicit personal information from children under 16 years old as they are not the target audience for the Website or our services. If you are under the age of 16, please do not submit your email address or any other personal information to us through the Website or otherwise.

USES OF YOUR PERSONAL INFORMATION

Personal information

The purposes for which we collect, use, hold and disclose your personal information are to:

  • make an Investment Decision and perform our engagement with you or the entity to which you are related (for example, your employer or a company of which you are a director or shareholder) or take steps at your request prior to entering into an engagement with you or the entity to which you are related;

  • verify your identity under any comply with any anti-money laundering laws or regulatory requirements to which we are subject, including but not limited to the AML/CTF Act;

  • improve our products and services ;

  • if you visit the Website, provide the Website and our online services to you, administer, monitor and understand Website performance and use and improve user experience;

  • administer, monitor, understand marketing email performance and use and improve user experience;

  • enable us to aggregate user profiles;

  • where you have requested or in accordance with relevant laws, provide you (by email, phone and/or mail) with marketing, promotional, or other information that we think may be of interest to you;

  • manage events and other programs, which you have opted into, or not opted out of;

  • execute digital advertising campaigns which you have opted into, or not opted out of;

  • consider, defend or take current or future legal or similar proceedings; and

  • comply with our legal and regulatory obligations.

Sensitive information

The purposes for which we collect, use, hold and disclose your sensitive information are to:

  • verify your identity under any comply with any anti-money laundering laws or regulatory requirements to which we are subject, including but not limited to the AML/CTF Act;

  • consider, defend or take current or future legal or similar proceedings; and

  • comply with our legal and regulatory obligations.

PROMOTIONAL CORRESPONDENCE

Any promotional correspondence to you will provide you with the ability to opt-out of receiving future promotional material from us, such as by clicking on the “unsubscribe” link in any of our promotional emails that you may receive. Please note that promotional emails are different from emails related to Events (as described in more detail in Annexure A “Events by Harris Williams” of this Privacy Notice), such as Event invitations, updates or Event-related promotions.

If you wish to opt-out of Event-related emails, you must click on the “unsubscribe” link in those emails as well, because unsubscribing from non-Event related promotional emails does not unsubscribe you from Event-related invitations and promotional emails (and vice versa). Thus, to opt-out of both Event (including invitations) and non-Event related promotional emails, you must click on the “unsubscribe” link on both types of emails whenever you receive them in order to be unsubscribed for both. You may also contact us at any time to tell us that you do not want to receive marketing, promotional and/or event information from us by emailing us at the email address in the section “Contact Us” below.

INFORMATION SHARING / DISCLOSURE OF YOUR PERSONAL INFORMATION

Personal information

We may disclose your personal information to the following types of third parties for purposes noted above in this Privacy Notice or detailed in a PCN or for sensitive information for purposes you have explicitly consented to in this Privacy Notice or a PCN:

  • vendors which we have outsourced one or more of our services or functions (e.g. IT functions) or hired to provide services to or on behalf of us;

  • our affiliates where they process information on our behalf;

  • other third parties with whom we have concluded a contract on commissioned information processing

  • any third parties if we reasonably believe that the disclosure is necessary in order to (a) fulfill a government request; (b) conform with the requirements of law or to comply with legal process served on us; or (c) protect or defend our legal rights or property or third party licensors of any material on the Website; or

  • any third parties as required or authorized by law.

Sensitive information

We may disclose your sensitive information to the following third parties to verify your identity and for purposes you have explicitly consented to in this Privacy Notice or a PCN:

  • vendors to which we have outsourced our anti-money launder compliance or identity verification or which we have hired to provide these services to or on behalf of us;

  • any third parties if we reasonably believe that the disclosure is necessary in order to (a) fulfill a government request; (b) conform with the requirements of law or to comply with legal process served on us; or (c) protect or defend our legal rights or property or third party licensors of any material on the Website; or

  • any third parties as required or authorized by law.

INTERNATIONAL TRANSFERS / OVERSEAS DISCLOSURE OF YOUR PERSONAL INFORMATION

Personal information

We are an international practice and we will disclose your personal information to our international affiliates including, without limitation, The PNC Financial Services Group, Inc., which are in countries outside Australia, including the United States to assist us to undertake the uses of your personal information as noted above under the section entitled “Uses of Your Personal Information.” The Website is hosted on servers in the United States.

Sensitive information

We may disclose your sensitive information to our international affiliates including, without limitation, The PNC Financial Services Group, Inc., which are in countries outside Australia, including the United States to assist us to undertake the uses of your personal information as noted above under the section entitled “Uses of Your Personal Information” and, in particular, our vendors in countries outside Australia, including the United States to which we have outsourced our anti-money launder compliance or identity verification or which we have hired to provide these services to or on behalf of us.

PROTECTING YOUR PERSONAL INFORMATION

Harris Williams takes reasonable steps to protect against the loss, misuse and alteration of your personal information. Appropriate measures have been taken to safeguard your personal information to prevent unauthorized access, and to comply with applicable laws regarding the protection of such information. These measures may include physical, electronic or other procedural protections, such as passwords, firewalls, and encryption or authentication technology. While we take reasonable steps to protect your personal information, we cannot ensure or warrant the security of any information that you transmit to us over an open network, such as the Internet or email, which may be accessed by anyone. We cannot guarantee the security of any communications or materials sent to us over such open networks. We therefore do not accept any liability for any losses in relation to security of any information that you send to us over an open network until received by us.

Please note that Harris Williams will store and use your personal information only as long as it is necessary for the purposes stated above or otherwise as required by law. If such purposes have been fulfilled or cannot be reached anymore, we will erase your personal information and delete any documents immediately, unless we need to retain the information due to legal obligations or for the establishment, exercise or defense of legal claims.

UPDATING, CORRECTING AND ACCESSING YOUR PERSONAL INFORMATION

To ensure that you have as much control over your personal information and your other information as possible, you may update your information by contacting us as provided in the section “Contact Us” below. Subject to applicable exceptions, we will use reasonable efforts to process any change you make.

You also have the right to seek correction of and to request access to personal information that we hold about you and can exercise these rights using the contact details set out in the section “Contact Us” below.

If you believe that we hold incorrect, out-of-date, incomplete, irrelevant or misleading personal information about you, you may request us to correct it. Once we have verified your identity and subject to any applicable exceptions, where we are satisfied that your personal information is incorrect, out-of-date, incomplete, irrelevant or misleading, we will take such steps as are reasonable in the circumstances to correct that personal information.

If you make an access request, we will ask you to verify your identity. Once we have verified your identity and subject to any applicable exceptions, we will provide you with the personal information about you that you have requested in accordance with the Privacy Act.

YOUR OTHER PRIVACY RIGHTS

If we hold your personal information, you may have the right to request a confirmation as to whether or not your personal information is being processed by us according to GDPR or similar privacy regulations. Moreover, you have the right to ask us to erase your personal information, if there are no legal reasons for us to retain it (such as freedom of expression, legal requirements, public interest or if required as evidence in legal disputes). When we delete personal information that we have shared with third parties, we will also contact those third parties and ensure that your personal information are erased there as well. Apart from this, you can assert your right to limit the processing of your personal information when (i) you contest the accuracy of your personal information, during the time necessary to verify the accuracy of such information; (ii) the processing of your personal information is unlawful but you oppose the erasure thereof and instead demand the limitation of processing; (iii) we no longer need your personal information but you still need such personal information for the establishment, exercise or defense of legal claims; or (iv) you have objected to processing pending the verification whether our legitimate grounds override those claimed by you.

You further have the right to receive personal information you have provided to us in a structured, commonly used and machine-readable format, and to transmit such information to another controller or other party without hindrance from Harris Williams. Whenever this is technically feasible, you may also request that your personal information be transmitted directly to another entity or other party by Harris Williams.

You have the right to object, on grounds relating to your particular situation, at any time to processing of your personal information which is based on legitimate interests, including profiling. In this case Harris Williams will no longer process the personal information unless we demonstrate compelling legitimate grounds for the processing which override your interests, rights and freedoms or for the establishment, exercise or defense of legal claims.

ENQUIRIES AND COMPLAINTS

Please contact us using the details set out in the section “Contact Us” below if you have a privacy enquiry or complaint about how we handle your personal information or believe we have breached this Privacy Notice, a PCN or the Privacy Act. Please provide us with reasonable detail in order for us to understand your enquiry or complaint.

We will investigate your enquiry or complaint, respond within a reasonable time and attempt to resolve it. If we cannot resolve your complaint to your satisfaction you may make a complaint to the Office of Australian Information Commissioner by submitting your complaint online or submitting the complaint form by email to oaicintake@oaic.gov.au or mail to GPO Box 5288, Sydney NSW 2001 or to the relevant authority under the applicable laws.

ANNEXURE A: EVENTS BY HARRIS WILLIAMS

This Annexure provides information about how Harris Williams collects, holds, uses and discloses personal information in relation to our Events.

What personal information we collect

The types of personal information which we collect and hold in connection with an Event depend on the type of the Event but will normally include your name, title, contact details (email, phone number and address), company name, fund size, biographical information and any other personal information provided to us through the registration process.

The types of sensitive information which we collect and hold in connection with an Event include your allergies, dietary requirements and any assistance your need as regards any disability you have.

How we collect your personal information

We collect your personal information and sensitive information as detailed in the sub-section “What Personal Information We Collect” above) directly from you or indirectly from your authorized representative when you or your authorized representative provides it to us through the registration process.

Uses of your personal information

We collect, hold, use and disclose your personal information as detailed in the sub-section “What Personal Information We Collect” above to prepare and carry out the Event, as well as to manage participation.

We collect, hold, use and disclose your sensitive information as detailed in the sub-section “What Personal Information We Collect” above so that the information can be taken into account in relation to your access to, enjoyment of and any food presented to you at the Event.

Disclosure of your personal information

In addition to the disclosures of personal information detailed in the section “Information Sharing / Disclosure of Your Personal Information” in the main body of the Privacy Notice, as a general matter, if you tell us you wish to attend an Event, your name and organization will be shared with the venue.

If we arrange specific activities, such as sporting or social activities, at an Event, we may disclose your personal information to third parties who we engage to provide such activities.

If we arrange travel or accommodation on your behalf in connection with an Event, your name and the dates for which you wish to book accommodation will be disclosed to the relevant travel provider, hotel or other accommodation provider for the purposes of booking your travel or accommodation. If you provide us with your flight details, this information will be disclosed to the relevant hotel or other accommodation provider in order to give them an indication of your expected arrival time. Your flight details may also be provided to your contacts at Harris Williams so they can know when you will be expected.

Certain information that you provide to us, such as your name, title, phone number, company name, fund size and certain other biographical information may be disclosed to other delegates at an Event for the purposes of networking. The sharing of this information may also involve the disclosure of your personal information to the provider of the app through which your personal information is disclosed to the delegates.

In addition to the disclosures of sensitive information detailed in the section “Information Sharing / Disclosure of Your Personal Information” in the main body of the Privacy Notice, we will disclose your access requirements related to any disability, allergies and dietary requirements to the relevant provider (such as a restaurant or hotel).

Overseas disclosure of your personal information

In addition to the overseas disclosures of personal information detailed in the section “International Transfers / Overseas Disclosure of Your Personal Information” in the main body of the Privacy Notice, the provider of the app through which your personal information is disclosed to other delegate at an Event may commonly be located in the United States and we may disclose your personal information to the United States for the purpose of inclusion in the app.

For overseas disclosures of sensitive information, please see the section “International Transfers / Overseas Disclosure of Your Personal Information” in the main body of the Privacy Notice.

Event and Event-related promotional communications

Any Event invitations or other Event-related promotional emails to you will provide you with the ability to opt-out of receiving future Event-related promotional material from us, such as by clicking on the “unsubscribe” link in any of our Event-related promotional emails that you may receive. As noted in the section “How We Collect Your Personal Information” in the main body of the Privacy Notice, promotional emails are different from Event invitations and other Event-related promotional emails. Thus, if you wish to opt-out of non-Event related promotional emails, you must click on the “unsubscribe” link in those emails as well, as unsubscribing from non-Event related promotional emails will not stop Event-related invitations and promotional emails (and vice versa). You may also contact us at any time to tell us that you do not want to receive marketing, promotional and/or Event information from us by emailing us at the email address in the section “Contact Us” in the main body of the Privacy Notice.

ANNEXURE B: CANDIDATES

This Annexure provides information about how Harris Williams collects, holds, uses and discloses personal information if you apply for a role with Harris Williams.

What personal information we collect

If you apply for a role with Harris Williams, we will collect certain personal information as part of the application process, which will include your name, contact details, academic qualifications, employment history, references, any other information you provide through the “Join Harris Williams” function available on the Website and reference check results.

How we collect your personal information

We collect your personal information directly from you when you provide it to us through the “Join Harris Williams” function available on the Website or as part of the application process.

We also collect your personal information indirectly from an external service provider for processing reference checks relating to candidates for employment.

Uses of your personal information

The personal information that we collect about you will be held, used and disclosed for the purposes of considering your application for employment.

Disclosure of your personal information

In addition to the disclosures of personal information as detailed in the section “Information Sharing /Disclosure of Your Personal Information” in the main body of the Privacy Notice, we use an external service provider for the purpose of processing reference checks relating to candidates for employment, which is located in the United States. As part of the engagement of this service provider, we may provide them with your name, email address and mobile phone number.

ANNEXURE C: WEBSITE

This Annexure provides additional information about the Website, our use of cookies and our collection of personal information when you use the Website.

For us to identify the privacy laws and regulations that are relevant to the visitors of the Website, visitors will be requested to identify the country to which their purposes of visit are related and will be directed to a site compliant with local regulations. Visitors that indicate that they are an EU national or reside in the EU will be directed to a version of the website on which tracking mechanisms have been removed. Certain Personal Information, such as name, email and company, may still be collected for EU residents or nationals when it is shared by those visitors directly, such as to opt into our e-newsletter program and provide consent.

You can change your cookies preferences once given at any time with future effect in our Privacy Preference Center Manage Cookies. In addition, we note that “Do Not Track” is a type of privacy setting that web site visitors can set in certain web browsers. To learn more about Do Not Track, click https://allaboutdnt.com. Please refer to our Cookie Notice for more information about our use of cookies. For instructions on rejecting or deleting cookies, please visit allaboutcookies.org.

Please note that this Privacy Notice does not apply to other organizations to which we link. We are not responsible for their privacy policies or practices of any other third party websites and you should make your own inquiries regarding them.

We take your privacy very seriously. Your use of the Website, including any disputes arising from it, is subject to this Privacy Notice as well as our Terms of Use, Disclosures, and Cookie Notice and all dispute resolution provisions therein, including the limitation of liability and choice of law provisions.

Last updated: September 2026

Harris Williams is a global investment bank specializing in M&A and private capital advisory services. Clients worldwide rely on us to help unlock value in their business and turn ambitious goals into reality. We approach every engagement with boundless collaboration, pooling expertise and relationships across industries and geographies. For over 30 years, our clients have trusted us to think strategically, execute precisely, and deliver superior outcomes to help them grow.


Harris Williams LLC is a registered broker-dealer and member of FINRA and SIPC. Harris Williams & Co. Ltd is a private limited company incorporated under English law with its registered office at 13th floor, One Angel Court, London EC2R 7HJ, UK, registered with the Registrar of Companies for England and Wales (registration number 07078852). Harris Williams & Co. Ltd is authorised and regulated by the Financial Conduct Authority, number 5408952. Harris Williams Private Capital Advisory Ltd. is an Appointed Representative of Sturgeon Ventures, LLP, which is authorised and regulated by the Financial Conduct Authority number 452811. Harris Williams & Co. Corporate Finance Advisors GmbH is registered in the commercial register of the local court of Frankfurt am Main, Germany, under HRB 107540. The registered address is 16th Floor, Marienturm, Taunusanlage 9-10 60329, Frankfurt am Main, Germany (email address: hwgermany@harriswilliams.com). Geschäftsführer/Director: Paul Poggi, VAT No. DE321666994. Harris Williams is a trade name under which Harris Williams LLC, Harris Williams & Co. Ltd and Harris Williams & Co. Corporate Finance Advisors GmbH conduct business.