寶鉅證券有限公司

寶鉅證券有限公司

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Personal Information Collection Statement
This statement is given pursuant to the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) (“Ordinance”) in relation to the supply of client´s personal data to PC Securities Limited (“the Company”) for the opening or maintaining of client account(s) the Account for securities trading and related services with the Company.

1. -- Purposes of Collection
The personal data provided by client to the Company and in any documentation which comes into existence as a result of client´s opening or maintaining of the Account with the Company, will be used by the Company for the following purposes:
(a) activities relating to the processing of client´s application to open and maintain the Account, including but not limited to conducting credit reporting through credit report agencies both in Hong Kong Special Administrative Region (“HKSAR”) and overseas, or the processing of client´s application for grant of credit facilities by the Company or the maintaining and the review of such credit facilities (if applicable);
(b) activities relating to purchasing, selling, investing, exchanging, acquiring, holding, disposing of and generally dealing in and with all kinds of securities, cash or cash equivalents on behalf of client;
(c) maintenance of particulars and data in compliance with the statutes and subsidiary legislation which are enacted and effective in HKSAR relating to securities business and transactions and also in compliance with the codes of the Securities and Futures Commission (“SFC”), the rules and regulations of The Stock Exchange of Hong Kong Limited (“the Exchange”) and Hong Kong Securities Clearing Company Limited (“the Clearing House”).

2. -- The Obligation to provide personal data
(a) It is obligatory for client to supply the personal data as required by the Company. If client fails to supply the required personal data, the Company may refuse to open or maintain the Account or may refuse to provide services to client.
(b) When providing any personal data to the Company, please ensure that the data is accurate having regard to client´s obligations under the Ordinance.

3. -- Disclosure of Information
(a) The Company may, as it deems necessary, disclose to its agents or nominees, associates, individuals or corporations dealing with securities, futures and options clearing and the Company´s auditors such information as it requires to operate client´s account or execute client´s orders relating to the activities described in 1(b) above.
(b) In compliance with any statute and subsidiary legislation which are enacted and effective in HKSAR relating to securities business and transactions and also in compliance with the codes of SFC, the rules and regulations of the Exchange and the Clearing House, the personal data provided by client may be disclosed to the Exchange and the Clearing House, SFC and any financial regulator as defined in the Ordinance, government bodies, other regulatory authorities, individuals or corporations who have the right to such data and information as prescribed by law.
(c) The Company may, as and when it deems necessary in its sole discretion, disclose client´s personal information held by the Company to any debt collection agencies.
(d) Without prejudice to the generality of the foregoing, the Company may disclose client´s personal information held by the Company to any person to whom the Company is under an obligation to make disclosure under the requirement of any law or regulation in any jurisdictions binding on or applicable to the Company.

4. -- Access to Personal Data
In accordance with the terms of the Ordinance, client may request access to the personal data supplied by client and may request the Company to correct any inaccurate data. The Company shall be entitled to charge a reasonable fee for processing of any data access request.

5. -- Direct Marketing
(a) With client´s consent, the Company may use any of the personal information it holds about the client for direct marketing purposes in relation to securities trading and related services.
(b) If the client does not consent to the Company using personal information for the above purposes, please tick the relevant “opt-out” box on the Company´s Account Opening Form, and the Company will not do so. The client may also subsequently withdraw consent by writing to Data Protection Officer of the Company. If the client exercises the right to opt-out of the use of personal information for the above purposes, it will mean that the Company will not be able to send the client any market commentary, direct marketing, targeted or special offers in the future.

6. -- Enquiries
Enquiries concerning the personal data provided by client to the Company, including the request for access and corrections, should be addressed to:-
Data Protection Officer
Unit A, 11/F, 18 Hysan Avenue, Lee Garden Five, Causeway Bay, Hong Kong.