GUOTAI JUNAN INTERNATIONAL
 
PERSONAL DATA (PRIVACY) ORDINANCE (CAP.486) (“PDPO”)
PERSONAL INFORMATION COLLECTION STATEMENT
 

(1)   The client (“Client”) of Guotai Junan International Holdings Limited or its subsidiaries, including 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 (as defined under the PDPO) relating to the Client.  For the purposes of this Statement, “personal data” (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. “GTJA Group” means all and/or any of GTJA’s subsidiaries and/or holding companies and/or subsidiaries of such holding companies, within and/or outside Hong Kong.
 
(2)   The Client shall provide all such personal data as shall be reasonably requested by GTJA in the Account Opening Form 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 (whether within or outside of Hong Kong) 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, agent, adviser, or third party service provider which provides administrative, background checking, data processing, financial, computer, telecommunication, payment or clearing, 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 other member of GTJA Group or any other person, within or outside Hong Kong;
(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 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, within or outside Hong Kong, existing currently and in the future;;
(viii) complying with obligations, requirements, policies, procedures, measures and arrangements for sharing personal data and information within the GTJA Group and/or any other use of personal data in accordance with any GTJA Group wide programmes for compliance with sanctions or prevention or detection of money laundering, terrorist financing or other unlawful activities; 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 outside Hong Kong 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.
 
(6)   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.
 
(7)    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.
 
(8)   The Client has the right to request a copy of such personal data and may request the correction of the personal data (if applicable).  Any such request must be made in accordance with the PDPO 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 understands that a fee shall be charged by GTJA for any such request.