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私隐条款

有关个人资料(私隐)条例的客户通知

DATA PRIVACY POLICY AND PERSONAL INFORMATION COLLECTION STATEMENT

Huatai Financial Holdings (Hong Kong) Limited (referred to hereinafter as “Huatai”) and its holding companies, subsidiaries, affiliates or business partners of Huatai, whether in Hong Kong or elsewhere (“Associates”) recognizes its responsibilities in relation to the collection, holding, processing, use and/or transfer of its Data Subject’s personal data under the Personal Data (Privacy) Ordinance (Cap. 486) (“PDPO”).

The term “Data Subject” refers to the individual who is the subject of the personal data received by Huatai and/or its Associates.

The term “personal data” refers to any data (i) relating directly or indirectly to the Data Subject; (ii) from which it is practicable for the identity of the Data Subject to be directly or indirectly ascertained; and (iii) in a form in which access to or processing of the data is practicable.

Please note that failure by the Data Subject to supply such data may result in Huatai being unable to open or continue operation of the relevant accounts on behalf of the Data Subject (the “Account”), to provide the information, products or services as requested by the Data Subject or comply with any laws or guidelines issued by regulatory or other authorities.
Purpose: From time to time, it is necessary for Huatai to collect the Data Subject’s personal data which may be used, stored, processed, transferred, disclosed or shared by Huatai for any one or more of the following purposes (“Purposes”), including:

1. the daily operation of the facilities, services or products provided to the Data Subject and the Account;
2. designing financial services or related products for the Data Subject’s use;
3. processing and evaluating any applications or requests made by the Data Subject for facilities/products/services offered by Huatai or its Associates;
4. providing subsequent services to the Data Subject, including but not limited to administering the facilities/products/services provided by Associates and policies issued herewith;
5. any purposes in connection with any claims made by or against or otherwise involving the Data Subject in respect of any products/services provided by Huatai and/or its Associates;
6. conducting one-off or regular credit checks, maintaining credit history and ensuring ongoing credit worthiness;
7. assisting other institutions to conduct credit checks and collect debts;
8. determining the amount of indebtedness owed to or by the Data Subject;
9. collecting amounts outstanding from the Data Subject and those providing security for the Data Subject’s obligation;
10. evaluation of the Data Subject’s investment experience (if any), investment objective, risk appetite and financial needs;
11. offering, providing and marketing the products/services of Huatai or its Associates (refer to “Use and provision of personal data in direct marketing” below) to the Data Subject, and administering, maintaining, managing and operating such products/services;
12. making disclosure as required by any applicable law, rules, regulations, codes of practice or guidelines or to assist in law enforcement purposes, investigations by police or other government or regulatory authorities in Hong Kong or elsewhere;
13. carrying out other services in connection with the operation of Huatai and/or its Associate’s business;
14. complying with the obligations, requirements or arrangements for disclosing and using data that apply to Huatai or that it is expected to comply according to:

(a) any law binding or applying to it within or outside Hong Kong existing currently and in the future;
(b) any guidelines or guidance given or issued by any legal, regulatory, governmental, tax, law enforcement or other authorities, or self-regulatory or industry bodies or associations of financial service providers within or outside Hong Kong existing currently and in the future;
(c) any present or future contractual or other commitment with local or foreign legal, regulatory, governmental, tax, law enforcementor other authorities, or self-regulatory or industry bodies or associations of financial service providers that is assumed by or imposed on Huatai by reason of its financial, commercial, business or other interests or activities in or related to the jurisdiction of the relevant local or foreign legal, regulatory, governmental, tax, law enforcement or other authority, or self-regulatory or industry bodies or associations; 

15. complying with any obligations, requirements, policies, procedures, measures or arrangements for sharing data and information within Huatai and its Associates and/or any other use of data and information in accordance with any regulations for compliance with sanction purposes or prevention or detection of money laundering, terrorist financing or other unlawful activities;
16. enabling an actual or potential assignee of all or any part of the business and/or asset of Huatai or participant or sub-participant of Huatai’s rights in respect of the Data Subject, to evaluate the transaction intended to be the subject of the assignment, participation or sub-participation;
17. managing, monitoring and assessing the performance of any agent, contractor or third party service provider who provides administrative, telecommunications, computer, payment or securities clearing or other services to Huatai in connection with the establishment, operation, maintenance or provision of facilities, products and services; and
18. other purposes directly relating to any of the above.

Transfer of personal data:Huatai will duly keep all personal data of the Data Subject confidential but, subject to the provisions of any applicable law, may provide such data to:

1. any of Huatai’s Associates, third party financial institutions, third party securities and investment services providers, Huatai’s co-branding partners, charitable or non-profit making organisations, the Data Subject’s broker, industry associations or federations, fund manager company or financial institutions within Hong Kong or elsewhere and in this regard the Data Subject consents to the transfer of its data outside Hong Kong (including People’s Republic of China);
2. credit reference agencies to ensure the credit worthiness of the Data Subject, creating and maintaining credit and risk related models, providing the personal data to credit reference agencies for the purposes of conducting credit checks and other directly related purposes, determining the amount of indebtedness owed to or by the Data Subject and collection of amounts outstanding from the Data Subject and those providing security for the Data Subject’s obligations;
3. any person (including private investigators) in connection with any claims made by or against or otherwise involving the Data Subject in respect of any products/services provided by Huatai and/or its Associates;
4. any agent, contractor or third party who provides administrative, telecommunications, computer, payment or securities clearing, technology or other services (including direct marketing services) to Huatai and/or its Associates in Hong Kong or elsewhere (including People’s Republic of China), who also has a duty of confidentiality to the same extent as Huatai, as mentioned above;
5. any actual or proposed assignee, transferee, participant or sub-participant of Huatai’s rights or business; and
6. any government department, other appropriate governmental or regulatory authority, or self-regulatory industry body or associations of financial services providers, in Hong Kong or elsewhere (including People’s Republic of China).

For Huatai’s policy on using the Data Subject’s personal data for marketing purpose, please see the section below “Use and provision of personal data in direct marketing”.

Transfer of the Data Subject’s personal data will only be made for one or more of the Purposes specified above.

Use and provision of personal data in direct marketing: Huatai intends to use the Data Subject’s data in direct marketing and Huatai requires the Data Subject’s consent (which includes an indication of no objection) for this purpose. In light of this purpose, Huatai intends to:
1. use the Data Subject’s name, contact details, products and services portfolio information associated with the Account, transaction pattern and behavior, financial background and demographic data held by Huatai from time to time for direct marketing;
2. conduct direct marketing in relation to the following classes of products and services that Huatai, or its Associates may offer:

a. financial services, securities, investment services and other wealth management related products and services;
b. reward, loyalty, co-branding or privileges programmes and related products and services;
c. wealth management or non-wealth management related seminars, events or other activities;
d. products and services offered by Huatai’s co-branding partners; and
e. donations and contributions for charitable and/or non-profit making purposes.

3. the above products and services may be provided by : 

a. Huatai and/or any of Huatai’s Associates;
b. third party financial institutions, insurers, securities and investment services providers;
c. the business partners / co-branding partners of Huatai and/or Associates providing the product and services set out in (2) above;
d. third party reward, loyalty or privileges programme providers supporting Huatai or any of the above listed entities; and/or
e. charitable or non-profit making organisations.


4. in addition to marketing the above products and services, Huatai also intends to provide the data described in (1) above to all or any of the persons described in (3) above for use by them in marketing those products and services, and Huatai requires the Data Subject’s written consent (which includes an indication of no objection) for that purpose;
5. Huatai may receive money or other property in return for providing the data to the other persons in (4) above and, when requesting Data Subject consent or no objection as described in (4) above, Huatai will inform the Data Subject if it will receive any money or other property in return for providing the data to the other persons.

Before using the Data Subject’s personal data for the purpose and providing to the transferees set out above, Huatai must obtain the Data Subject’s written consent, and only after having obtained such written consent, may use and provide the Data Subject’s personal data for any promotional or marketing purpose.

The Data Subject may in future withdraw its consent to the use and provision of personal data for direct marketing.

The Data Subject may withdraw its consent by sending a notice to Huatai in writing to the address in the section on “Access and correction of personal data”. Huatai shall, without charges to the Data Subject, ensure that the Data Subject is not included in future direct marketing activities.

Access and correction of personal data: under the PDPO, the Data Subject has the right to ascertain whether Huatai holds the Data Subject’s personal data, to obtain a copy of the said data, and to correct any data that is inaccurate or has subsequently been changed. The Data Subject may also request Huatai to inform the Data Subject of the type of personal data held by Huatai.

All requests for access to, correction and changes of the Data Subject’s data held by Huatai or for information regarding policies and practices and kinds of data held by Huatai should be addressed in writing to:

Data Privacy Officer
Huatai Financial Holdings (Hong Kong) Limited
Unit 5801, 58/F
The Center,
99 Queen’s Road Central, Hong Kong

A reasonable fee may be charged to offset Huatai’s administrative and actual costs incurred in complying with the Data Subject’s data access requests mentioned above.

Recordkeeping: After termination of service or closure of the relevant account, Huatai shall continue to hold data relating to the Data Subject for a period of time as Huatai considers prudent or such other period as prescribed by applicable laws and regulations.

Circulate to all Data Subject(s): Please circulate this document to any and all Data Subject(s) relating to your account(s) at Huatai.

Should there be any inconsistencies between the English and Chinese versions of this document, the English version shall prevail.

资料私隐政策及个人资料收集声明

华泰金融控股(香港)有限公司(下文称为「华泰」)及其控股公司、附属公司、联属公司或华泰的业务伙伴(不论在香港或其他地方)(「关联公司」)就根据《个人资料(私隐)条例》(第486章)(「《私隐条例》」)收集、持有、处理、使用及/或转移其资料当事人的个人资料承认责任。

「资料当事人」一词指华泰及/或其关联公司所取得的个人资料所属的当事人。

「个人资料」一词指符合以下说明的任何资料:(i)直接或间接与资料当事人有关;(ii)从资料直接或间接确定资料当事人的身份属切实可行;及(iii)资料的格式令资料的存取或处理切实可行。

请注意,资料当事人若未能提供有关资料,可能导致华泰无法代资料当事人开立或继续操作相关帐户(「帐户」)或按资料当事人要求提供资料、产品或服务或遵守监管机构或其他当局发布的任何法律或准则。
用途:华泰需要不时收集资料当事人的个人资料,有关资料可供华泰使用、储存、处理、转移、披露或共享作下列任何一个或多个用途(「用途」),包括:

1. 向资料当事人及帐户提供资金融通、服务或产品所涉及的日常运作;
2. 设计供资料当事人使用的金融服务或相关产品;
3. 处理及评估资料当事人就华泰或其关联公司提供的资金融通/产品/服务作出的任何申请或要求;
4. 向资料当事人提供后续服务,包括但不限于管理由关联公司提供的资金融通/产品/服务及政策;
5. 与任何申索有关的任何用途,有关申索乃就华泰及/或其关联公司提供予资料当事人或资料当事人以其他方式涉及其中的任何产品/服务;
6. 进行一次性或定期信贷检查、维持信贷记录及确保信贷价值;
7. 协助其他机构进行信贷检查及追收债务;
8. 确定欠资料当事人的债务或由资料当事人所欠的债务金额;
9. 向资料当事人及向为资料当事人的债务提供抵押的人士追收欠款;
10. 评估资料当事人的投资经验(如有)、投资目标、风险承受程度及财务需要;
11. 向资料当事人发售、提供及营销华泰或其关联公司的产品/服务(请参阅下文「在直接营销中使用及提供个人资料」),以及监管、维持、管理及操作有关产品/服务;
12. 按任何适用法律、规则、法规、实务守则或指引的规定作出披露或就执法、香港或其他地方的警方或其他政府或规管当局的调查提供协助;
13. 进行与华泰及/或其关联公司业务的运作有关的其他服务;
14. 遵守根据下列各项适用于华泰或华泰被预期遵守有关披露及使用资料的义务、要求或安排:

(a) 目前及未来在香港境内或境外存在,而且对其具约束力或适用于其的任何法律;
(b) 目前及未来在香港境内或境外存在,由任何法律、规管、政府、税务、执法或其他当局,或金融服务供应商的自律规管或行业组织或协会发出或颁布的任何指引或指导;
(c) 华泰因相关地方或海外法律、规管、政府、税务、执法或其他当局,或自律规管或行业组织或协会所在司法管辖区中或与该司法管辖区有关的财务、商业、业务或其他利益或活动,而对地方或海外的法律、规管、政府、税务、执法或其他当局,或金融服务供应商的自律规管或行业组织或协会承担或被施加的任何现有或未来合约或其他承诺;

15. 根据符合制裁或防止或侦测洗钱、恐怖分子筹资、或其他不合法活动的任何法规,为在华泰及其关联公司内共享数据及资料及/或数据及资料的任何其他使用,遵守任何义务、要求、政策、程序、措施或安排;
16. 使华泰的业务及/或资产的全部或任何部分的实际或潜在承让人,或华泰对资料当事人权利的参与者或附属参与者能够评估拟作为转让、参与或附属参与的交易;
17. 管理、监察及评估向华泰提供有关设立、操作、维持或提供资金融通、产品及服务的行政、通讯、电脑、付款或证券结算或其他服务的任何代理、承包商或第三方服务供应商的表现;及
18. 与任何上述直接有关的其他用途。

转移个人资料:华泰将对资料当事人的全部个人资料妥为保密,但受制于任何适用法律的条文,可将有关资料提供予:

1. 香港境内或其他地方任何华泰的关联公司、第三方金融机构、第三方证券及投资服务供应商、华泰的合作品牌伙伴、慈善或非牟利组织、资料当事人的经纪、行业协会或联会、基金管理公司或金融机构,而资料当事人就此同意其资料可在香港境外(包括中华人民共和国)转移;
2. 信贷谘询机构,以确保资料当事人的信贷价值、设立及维持信贷及风险相关模型、向信贷谘询机构提供个人资料作信贷检查用途及其他直接相关用途、确定对资料当事人的结欠或由资料当事人结欠的债项金额及向资料当事人及向为资料当事人的债务提供抵押的人士追收欠款;
3. 与就华泰及/或其关联公司提供的任何产品/服务由资料当事人作出或针对资料当事人作出或资料当事人以其他方式涉及其中的任何申索有关的任何人士(包括私人调查员);
4. 在香港或其他地方(包括中华人民共和国)向华泰及/或其关联公司提供行政、通讯、电脑、付款或证券交收、技术或其他服务(包括直接营销服务)的任何代理、承包商或第三方,其亦负有与华泰相同程度(如上文所述)的保密责任;
5. 任何实际或建议承让人、受转人、华泰的权利或业务的参与者或附属参与者;及
6. 在香港或其他地方(包括中华人民共和国)的任何政府部门、其他适用政府或规管当局或金融服务供应商的自律规管或行业组织或协会。

有关华泰对使用资料当事人的个人资料作营销用途的政策,请参阅下文「在直接营销中使用及提供个人资料」一节。

资料当事人的个人资料的转移仅可作上述一个或多个用途。

在直接营销中使用及提供个人资料:华泰打算在直接营销中使用资料当事人的资料,而华泰须就此用途取得资料当事人的同意(包括表示不反对)。鉴于此用途,华泰打算:

1. 将华泰不时持有的资料当事人姓名、联络资料、与帐户有关的产品及服务投资组合资料、交易模式及行为、财务背景及人口统计数据用作直接营销;
2. 直接营销华泰或其关联公司可能发售的以下产品及服务类别:

a. 金融服务、证券、投资服务以及其他理财相关产品及服务;
b. 奖赏、年资、合作品牌或优惠计划以及相关产品及服务;
c. 理财或非理财相关研讨会、事项或其他活动;
d. 由华泰的合作品牌伙伴提供的产品及服务;及
e. 慈善及/或非牟利用途的捐赠及捐款。

3. 上述产品及服务可由以下各方提供:

a. 华泰及/或华泰的任何关联公司;
b. 第三方金融机构、保险公司、证券及投资服务供应商;
c. 提供上文第(2)项载列的产品及服务的华泰及/或关联公司业务伙伴/合作品牌伙伴;
d. 支援华泰或上文所列任何实体的第三方奖赏、年资或优惠计划供应商;及/或
e. 慈善或非牟利组织。

4. 除上述产品及服务的营销外,华泰亦打算向上文第(3)项所述的全部或任何人士提供上文第(1)项所述的资料,以供彼等在营销该等产品及服务时使用,而华泰需要就该用途取得资料当事人的书面同意(包括表示不反对);

5. 华泰可能就向上文第(4)项所述其他人士提供资料而取得金钱或其他财产作为回报,而当要求按上文第(4)项所述取得资料当事人同意或不反对时,华泰将通知资料当事人其会否就向其他人士提供资料而取得任何金钱或其他财产作为回报。


使用资料当事人的个人资料作该用途及提供予上文载列的受转人前,华泰必须取得资料当事人的书面同意,并仅可在已取得有关书面同意后方可使用及提供资料当事人的个人资料作任何宣传或营销用途。

资料当事人日后可就使用及提供个人资料作直接营销用途撤回其同意。

资料当事人可透过向「存取及更正个人资料」一节中的地址寄发书面通知给华泰撤回其同意。华泰应(在并无向资料当事人收费的情况下)确保,资料当事人将不包括在未来的直接营销活动之内。

存取及更正个人资料:根据《私隐条例》,资料当事人有权确定华泰是否持有资料当事人的个人资料、取得上述资料的副本,以及纠正不准确或其后已变更的任何资料。资料当事人亦可要求华泰通知资料当事人华泰持有的个人资料类型。

存取、更正及变更华泰持有的资料当事人资料,或索取有关政策及惯例的资料,以及华泰持有的资料种类等所有要求应以书面方式向以下人士提出:

私隐保护主任
华泰金融控股(香港)有限公司
香港皇后大道中99号
中环中心
58楼5801室

华泰可能收取合理费用以抵销华泰因遵守资料当事人的上述资料存取要求而产生的行政及实际成本。

保存记录:终止服务或结束相关帐户后,华泰应在华泰认为审慎的时间或适用法律及法规指明的有关其他期间内继续持有有关资料当事人的资料。

供所有资料当事人(一名或多名)传阅:请让与阁下在华泰开设的帐户有关的任何及全部资料当事人(一名或多名)传阅此文件。

倘若此文件的英文与中文版本之间有任何不符之处,概以英文版本为准。

 

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