Personal Information Collection Statement

 

  1. The client ("Client") respectively of Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited, Guotai Junan FX Limited and/or Guotai Junan Assets (Asia) Limited (individually or collectively "GTJA") may from time to time be requested by GTJA to supply personal data relating to the Client.

    For the purposes of this Statement:

    "GTJA Group" means all and/or any of GTJA's holding companies, subsidiaries or affiliates and/or subsidiaries or affiliates of such holding companies.

    "Personal data" means all information recorded electronically or by other means, that is related to identified or identifiable natural persons, (i) in the case of individual account holders, joint account holders or sole proprietors, means personal data relating to the relevant individual concerned; (ii) in the case of a partnership, means personal data relating to each partner of the partnership; and (iii) in the case of a corporate entity, means personal data relating to any individual director, shareholder, officer or manager which has been provided to GTJA.


  2. The Client shall provide all such personal data as shall be reasonably requested by GTJA in the Account Opening Form, the GTJA's mobile application programme ("APP") or otherwise, and any failure to do so may result in GTJA being unable to open or continue the Client's account ("Account"), or to effect transactions under the Account.

  3. The Client understands and accepts that GTJA may provide personal data received from the Client to the following persons for the purposes set out in sub-paragraph (4) of this Statement:
    (i) any nominees in whose name securities or other assets may be registered;
    (ii) any member or affiliated or related company in the GTJA Group including but not limited to GTJA's parent and/or subsidiary companies;
    (iii) any contractor, adviser, agent or third party service provider which provides administrative, background checking, certification, data processing, financial, computer, telecommunication, payment or clearing, trading, execution, professional or other services to GTJA in connection with the operation of its business or provision of financial services or products to the Client;
    (iv) credit reference agencies, and, in the event of default, to debt collection agencies;
    (v) any person with whom GTJA enters into or proposes to enter into a transaction with on behalf of the Client or the Account, or the persons representing the same;
    (vi) any person who provides financial services or issues, distributes or provides financial products to the Client through or with GTJA;
    (vii) any foreign or local exchanges of securities, futures and/or other financial products where the Client's orders to buy or sell such securities, futures and/or other financial products are placed or transacted; or their associated clearing houses or operators;
    (viii) any assignee, transferee, participant, sub-participant, delegate, successor or person to whom any agreement between the Client and GTJA is novated; and
    (ix) any foreign or local governmental, regulatory, supervisory, tax, law enforcement or other authorities, bodies or institutions.


  4. The Client understands and accepts that the purposes for which the personal data provided by the Client from time to time may be used are:
    (i) executing or giving effect to the Client's orders relating to transactions or otherwise, and carrying out the Client's other instruction;
    (ii) providing financial services or products to the Client or in connection with the Account, whether the services or products are provided by or through any member of GTJA Group or any other person;
    (iii) providing personalized financial analysis and planning or designing financial services or products for the Client's use;
    (iv) marketing services or products which may be of interest to the Client;
    (v) conducting credit inquiries or background checks on the Client and ascertaining the Client's financial situation and investment objectives;
    (vi) collecting of amounts due, enforcing of security, charges or other rights and interests in favour of GTJA or  any member of GTJA Group;
    (vii) complying with and/or enabling any affiliated or related company in the GTJA Group to comply with any foreign or local laws, regulations (including but not limited to Foreign Account Tax Compliance Act, Automatic Exchange Of Financial Account Information, Common Reporting Standards and similar regulations), notifications, directives, guidelines or guidance given or issued by or in agreement with any legal, regulatory, governmental, tax, law enforcement or other authorities, exchanges, or self-regulatory or industry bodies or associations of financial services providers of the relevant jurisdictions, existing currently and in the future;
    (viii) complying with sanctions or prevention or detection of money laundering, terrorist financing or other unlawful activities in accordance with applicable laws and regulations and GTJA Group's policies, procedures, measures and arrangements; and
    (ix) other purposes related or incidental to any one or more of the above.


  5. GTJA may from time to time transfer the personal data of the Client to any of the persons referred to in sub-paragraph (3) of this Statement above and for any of the purposes referred to in sub-paragraph (4) of this Statement above. The Client may request for (a) the contact details of these third parties/recipients within the GTJA Group and (b) further details about how they collect and process personal data of the Client by contacting GTJA in accordance with sub-paragraph (14) of this Statement. GTJA takes appropriate measures in accordance with applicable laws and regulations to safeguard the personal data of the Client transferred to such third parties from GTJA, including without limitation to, entering into appropriate contractual arrangements with such third parties.


  6. The Client acknowledges and understands that under the following circumstances and to the extent allowed under applicable laws or regulations, GTJA may process the Client's personal data without consent:
    (i) if it is necessary for the conclusion or performance of any contract to which the Client is a party;
    (ii) if it is necessary for performing statutory duties or obligations under applicable laws or regulations;
    (iii) if it is necessary for responding to public health incidents or for the protection of personal and property security in the case of an emergency;
    (iv) if such personal data has been disclosed publicly or through other legal channels and the processing is within a reasonable scope; or  
    (v) if conducted under other scenarios permitted by applicable laws and regulations.


  7. Use of Personal Data for Know-your-Client Requirements

    The Client acknowledges and agrees that GTJA may collect and process certain personal data of the Client through the APP, including without limitation to, (i) name; (ii) biometric information such as facial image and information with respect to the key features obtained through facial recognition; (iii) bank card number; and (iv) identity card or passport.

    The Client acknowledges and understands that the personal data so collected will only be used for satisfying the "know-your-client" requirements in accordance with applicable laws and regulations and GTJA Group's policies and procedures.

    The Client can contact GTJA any time in accordance with sub-paragraph (14) of this Statement to withdraw consent under this sub-paragraph but the Client acknowledges that GTJA is unable to continually provide any services for the Client following such withdrawal of consent.


  8. Use of Personal Data in Direct Marketing

    GTJA intends to use, from time to time, Client's personal data in direct marketing of financial products and services, including but not limited to securities, futures, fixed income, currencies, commodities, wealth management, asset management, equity financing, equity derivatives, insurance, and other financial products and services. Only the following kinds of personal data of the Client may be used in such direct marketing:
    (i) name;
    (ii) gender;
    (iii) date of birth;
    (iv) part of identity card or passport number;
    (v) contact information (including but not limited to phone number, fax number, email address, correspondence address and residential address);
    (vi) information about the products and/or services the Client has purchased or applied for.

    GTJA may not so use the data unless it has received the Client's consent to the intended use.

    The Client can contact GTJA any time in accordance with sub-paragraph (14) of this Statement to withdraw consent if the Client no longer wants GTJA to use the personal data of the Client for direct marketing. Such withdrawal of consent for using personal data in direct marketing shall not affect the Client's consent given to GTJA for using personal data for other purposes as provided in this Statement.


  9. Provision of Personal Data for Use in Direct Marketing

    GTJA intends to provide, from time to time and for money and other property, Client's personal data to GTJA Group (other than GTJA itself) for use by GTJA Group in direct marketing of financial products and services, including but not limited to securities, futures, fixed income, currencies, commodities, wealth management, asset management, equity financing, equity derivatives, insurance, and other financial products and services. Only the following kinds of personal data of the Client may be provided to GTJA Group (other than GTJA itself) for use by GTJA Group in such direct marketing:
    (i) name;
    (ii) gender;
    (iii) date of birth;
    (iv) part of identity card or passport number;
    (v) contact information (including but not limited to phone number, fax number, email address, correspondence address and residential address);
    (vi) information about the products and/or services the Client has purchased or applied for.

    GTJA may not so use the data unless it has received the Client's consent to the intended use.

    The Client can contact GTJA any time in accordance with sub-paragraph (14) of this Statement to withdraw consent if the Client no longer wants GTJA to use the personal data of the Client for direct marketing. Such withdrawal of consent for using personal data in direct marketing shall not affect the Client's consent given to GTJA for using personal data for other purposes as provided in this Statement.


  10. Provision of personal data to the Stock Exchange of Hong Kong ("Exchange") and the Securities and Futures Commission ("SFC")

    The Client acknowledges and agrees that GTJA may collect, store, process, use, disclose and transfer personal data relating to the Client (including the Client's CID and BCAN(s)) as required for GTJA to provide services to the Client in relation to securities listed or traded on the Exchange and for complying with the rules and requirements of the Exchange and the SFC in effect from time to time. Without limiting the foregoing, this includes:
    (a) disclosing and transferring the Client's personal data (including CID and BCAN(s)) to the Exchange and/or the SFC in accordance with the rules and requirements of the Exchange and the SFC in effect from time to time;
    (b) allowing the Exchange to: (i) collect, store, process and use the Client's personal data (including CID and BCAN(s)) for market surveillance and monitoring purposes and enforcement of the Rules of the Exchange; and (ii) disclose and transfer such information to the relevant regulators and law enforcement agencies in Hong Kong (including, but not limited to, the SFC) so as to facilitate the performance of their statutory functions with respect to the Hong Kong financial markets; and (iii) use such information for conducting analysis for the purposes of market oversight;
    (c) allowing the SFC to: (i) collect, store, process and use the Client's personal data (including CID and BCAN(s)) for the performance of its statutory functions including monitoring, surveillance and enforcement functions with respect to the Hong Kong financial markets; and (ii) disclose and transfer such information to relevant regulators and law enforcement agencies in Hong Kong in accordance with applicable laws or regulatory requirements; and
    (d) providing BCAN to Hong Kong Securities Clearing Company Limited ("HKSCC") allowing HKSCC to: (i) retrieve from the Exchange (which is allowed to disclose and transfer to HKSCC), process and store your CID and transfer your CID to the issuer's share registrar to enable HKSCC and/ or the issuer's share registrar to verify that you have not made any duplicate applications for the relevant share subscription and to facilitate IPO balloting and IPO settlement; and (ii) process and store your CID and transfer your CID to the issuer, the issuer's share registrar, the SFC, the Exchange and any other party involved in the IPO for the purposes of processing your application for the relevant share subscription or any other purpose set out in the IPO issuer's prospectus.

    The Client also agrees that despite any subsequent purported withdrawal of consent by the Client, the Client's personal data may continue to be stored, processed, used, disclosed or transferred for the above purposes after such purported withdrawal of consent.

    Failure to provide GTJA with the Client's personal data or withholding or withdrawing consent as described above may mean that GTJA will not, or will no longer be able to, as the case may be, carry out the Client's trading instructions or provide the Client with securities related services (other than to sell, transfer out or withdraw the Client's existing holdings of securities, if any).

    For the purposes of this Statement, "BCAN" shall mean a "Broker-to-Client Assigned Number", being a unique identification code in the format prescribed by Exchange, generated by a relevant licensed or registered person in accordance with the Exchange's requirements and "CID" shall mean the following information in relation to a Client to whom a BCAN is assigned: (i) the full name of the Client as shown in the Client's identity document; (ii) the issuing country or jurisdiction of the identity document; (iii) the identity document type; and (iv) the identity document number.


  11. China Connect Securities Trading Service

    The Client acknowledges and agrees that in providing GTJA's China Connect securities trading service to the Client, GTJA will be required to:
    (i) tag each of the Client's orders submitted to the China Stock Connect System ("CSC") with a BCAN that is unique to the Client or the BCAN that is assigned to the Client's joint account with GTJA, as appropriate; and
    (ii) provide to the Exchange the Client's assigned BCAN and such CID relating to the Client as the Exchange may request from time to time under the Rules of the Exchange.

    Without limitation to any notification GTJA has given the Client or consent GTJA has obtained from the Client in respect of the processing of the Client's personal data in connection with the Client's account and GTJA's services to the Client, the Client acknowledges and agrees that GTJA may collect, store, use, disclose and transfer personal data relating to the Client as required as part of GTJA's China Connect securities trading service, including as follows:
    (a) to disclose and transfer the Client's BCAN and CID to the Exchange and the relevant SEHK Subsidiaries from time to time, including by indicating the Client's BCAN when inputting a China Connect Order into the CSC, which will be further routed to the relevant China Connect Market Operator on a real-time basis;
    (b) to allow each of the Exchange and the relevant SEHK Subsidiaries to: (i) collect, use and store the Client's BCAN, CID and any consolidated, validated and mapped BCANs and CID information provided by the relevant China Connect Clearing House (in the case of storage, by any of them or via HKEX) for market surveillance and monitoring purposes and enforcement of the Rules of the Exchange; (ii) transfer such information to the relevant China Connect Market Operator (directly or through the relevant China Connect Clearing House) from time to time for the purposes set out in (c) and (d) below; and (iii) disclose such information to the relevant regulators and law enforcement agencies in Hong Kong so as to facilitate the performance of their statutory functions with respect to the Hong Kong financial markets;
    (c) to allow the relevant China Connect Clearing House to: (i) collect, use and store the Client's BCAN and CID to facilitate the consolidation and validation of BCANs and CID and the mapping of BCANs and CID with its investor identification database, and provide such consolidated, validated and mapped BCANs and CID information to the relevant China Connect Market Operator, the Exchange and the relevant SEHK Subsidiary; (ii) use the Client's BCAN and CID for the performance of its regulatory functions of securities account management; and (iii) disclose such information to PRC regulatory authorities and law enforcement agencies having jurisdiction over it so as to facilitate the performance of their regulatory, surveillance and enforcement functions with respect to PRC financial markets; and
    (d) to allow the relevant China Connect Market Operator to: (i) collect, use and store the Client's BCAN and CID to facilitate their surveillance and monitoring of securities trading on the relevant China Connect Market through the use of the China Connect Service and enforcement of the rules of the relevant China Connect Market Operator; and (ii) disclose such information to PRC regulatory authorities and law enforcement agencies so as to facilitate the performance of their regulatory, surveillance and enforcement functions with respect to PRC financial markets.

    By instructing GTJA in respect of any transaction relating to China Connect Securities, the Client acknowledges and agrees that GTJA may use the Client's personal data for the purposes of complying with the requirements of the Exchange and its rules as in force from time to time in connection with the Stock Connect Northbound trading. The Client also acknowledges that despite any subsequent purported withdrawal of consent by the Client, the Client's personal data may continue to be stored, used, disclosed, transferred and otherwise processed for the above purposes, whether before or after such purported withdrawal of consent.

    Failure to provide GTJA with the Client's personal data or withholding or withdrawing consent as described above may mean that GTJA will not, or no longer be able, as the case may be, to carry out the Client's trading instructions or provide the Client with GTJA's China Connect securities trading service.


  12. The Client acknowledges and understands that certain personal data provided to GTJA may constitute sensitive personal data. GTJA collects and processes such data solely for the purposes in sub-paragraph (4) of this Statement above. GTJA commits to protect the Client's personal data and has taken steps in this regard. In order to prevent unauthorized people or parties from being able to access the Client's personal data, GTJA has put in place a range of technical and organisational measures to safeguard and secure the Client's personal data in accordance with applicable laws and regulations.


  13. GTJA will always only keep the Client's personal data for as long as GTJA reasonably needs it for the purposes in sub-paragraph (4) of this Statement above or on a longer term basis in accordance with applicable laws and regulations and GTJA Group's policies and procedures, or until receipt of the Client's request to delete such personal data, subject to limitations on technical feasibility.


  14. The Client has the right to access and request a copy of such personal data and may request the deletion, correction of the personal data (if applicable), or the withdrawal of consent. In some circumstances, the Client may also have a data portability right to require GTJA to transfer the Client's personal data to a third party. Any such requests must be made in accordance with the requirement under applicable laws and regulations and shall be addressed to the Data Protection Officer of GTJA at the address at 27/F Low Block, Grand Millennium Plaza, 181 Queen's Road Central, Hong Kong. The Client can also email to customer.service@gtjas.com.hk, or call (852) 2509 7524 to make such request. The Client understands that a fee shall be charged by GTJA for repeated and unreasonable requests. For unreasonable requests which may bring risk to other individuals' legitimate rights or are not operationally/technically feasible, GTJA reserves the right to decline the Client's requests in accordance with applicable laws and regulations.


  15. The Client acknowledges that if there is any leakage or loss of any personal data of the Client, or any other personal data breach event, while GTJA will take remedial measures in accordance with applicable laws and regulations and may notify or may not notify the Client in accordance with applicable laws and regulations. The Client acknowledges and agrees that GTJA may notify the Client of such event, if so notified, GTJA may use one or more methods, including without limitation, popping-up window notification on GTJA's website, sending text message/emails or making calls. The Client acknowledges that GTJA is deemed as satisfying its notification obligation under applicable laws and regulations upon taking one of the above notification action.



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