| PERSONAL INFORMATION COLLECTION STATEMENT | |||
| General | |||
| 1. | This Personal Information Collection Statement (“PICS”) is made in accordance with the guidelines issued by the Office of the Privacy Commissioner for Personal Data. | ||
| The PICS sets out the policies and practices of LEI SHING HONG SECURITIES LIMITED (“LSHSL” which is a securities dealer licensed for Type 1 (dealing in securities) regulated activity and an Exchange Participant of The Stock Exchange of Hong Kong Limited (the “Exchange”)) with respect to your Personal Data. | |||
| For the purpose of the PICS, ‘Personal Data’ and “Matching Procedure” respectively mean “personal data” and “matching” procedure as defined in the Personal Data (Privacy) Ordinance, (Cap. 486 of the Laws of Hong Kong)(“PDPO”). | |||
| Nothing in the PICS shall limit the rights of customers under the PDPO. | |||
| Purpose of Collection | |||
| 2. | LSHSL will use the Personal Data provided by you for one or more of the following purpose: | ||
| (i) | the daily operation of the services and credit facilities provided to you; | ||
| (ii) | conducting credit checks at the time of application for credit and at the time of regular or special reviews which normally will take place one or more times each year; | ||
| (iii) | ensuring your ongoing credit worthiness; | ||
| (iv) | designing financial services or related products for your use; | ||
| (v) | marketing services, products and other subjects (please see further details in paragraph (7) below; | ||
| (vi) | verifying the data/information provided by any other customer or third party; | ||
| (vii) | determining amounts owed to or by you; | ||
| (viii) | collection of amounts outstanding from customers and those providing security for your obligations; | ||
| (ix) | complying with the obligations, requirements or arrangements for disclosing and using data that apply to LSHSL 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 services 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 enforcement or other authorities, or self-regulatory or industry bodies or associations of financial services providers that is assumed by or imposed on LSHSL 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; | ||
| (x) | complying with any obligations, requirements, policies, procedures, measures or arrangements for sharing data and information within the group of Lei Shing Hong Limited and/or any other use of data and information in accordance with any group-wide programmes for compliance with sanctions or prevention or detection of money laundering, terrorist financing or other unlawful activities; | ||
| (xi) | enabling an actual or proposed assignee of LSHSL, or participant or sub-participant of LSHSL’s rights in respect of you to evaluate the transaction intended to be the subject of the assignment, participation or sub-participation; and | ||
| (xii) | purposes relating thereto. | ||
| 3. | Personal Data held by LSHSL relating to a customer will be kept confidential but LSHSL may provide such information to the following parties for the purposes set out in paragraph (2) above:- | ||
| (i) | any agent, contractor or third party service provider who provides administrative, telecommunications, computer, payment or securities clearing or other services to LSHSL in connection with the operation of its business; | ||
| (ii) | any other person under a duty of confidentiality to LSHSL including a group company of Lei Shing Hong Limited which has undertaken to keep such information confidential; | ||
| (iii) | any person to whom LSHSL is under an obligation or otherwise required to make disclosure under the requirements of any law binding on or applying to LSHSL, or any disclosure under and for the purposes of any guidelines or guidance given or issued by any legal, regulatory, government, tax, law enforcement or other authorities, or self-regulatory or industry bodies or associations of financial services providers with which LSHSL is expected to comply, or any disclosure pursuant to any contractual or other commitment of LSHSL with local or foreign legal, regulatory, governmental, tax, law enforcement or other authorities, or self-regulatory or industry bodies or associations of financial services providers, all of which may be within or outside Hong Kong and may be existing currently and in the future; | ||
| (iv) | any actual or proposed assignee of LSHSL or participant or sub-participant or transferee of LSHSL’s rights in respect of you; and | ||
| (v) | (1) | LSHSL and its group companies; | |
| (2) | third party securities and investment services providers; | ||
| (3) | third party reward, loyalty, co-branding and privileges programme providers; | ||
| (4) | co-branding partners of LSHSL; | ||
| (5) | external service providers that LSHSL engages for the purposes set out in paragraph (2)(v). | ||
| Such information may be transferred to a place outside Hong Kong. | |||
| 4. | Failure to provide the requested Personal Data may result in LSHSL being unable to comply with its regulatory and statutory duties, obligations, functions and requirements and the requests, requirements, directions and orders from the financial regulators. | ||
| Transfer/Matching of Personal Data | |||
| 5. | Personal Data may be disclosed by LSHSL to financial regulators in Hong Kong (including the Securities and Futures Commission, the Exchange, the Hong Kong Exchanges and Clearing Limited and the Hong Kong Monetary Authority), government bodies (including the Hong Kong Police and the Independent Commission Against Corruption) and overseas regulatory bodies as required under the law or pursuant to any regulatory/investigatory assistance arrangements between the Exchange and other regulators (local/overseas). | ||
| 6. | Personal Data may be used by LSHSL and/or disclosed by LSHSL to the above entities for the purposes of matching and verifying those data. | ||
| Use of Personal Data in Direct Marketing | |||
| 7. | LSHSL may use your Personal Data in direct marketing and LSHSL requires your consent (which includes an indication of no objection) for that purpose. In this connection, please note that: | ||
| (i) | the name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and demographic data of your held by LSHSL from time to time may be used by LSHSL in direct marketing; | ||
| (ii) | the following classes of services, products and subjects may be marketed: | ||
| (a) | financial and related services and products; | ||
| (b) | reward, loyalty or privileges programmes and related services and products; and | ||
| (c) | services and products offered by LSHSL’s co-branding partners; | ||
| (iii) | the above services, products and subjects may be provided or solicited by LSHSL and/or: | ||
| (a) | Lei Shing Hong Limited and its group companies; | ||
| (b) | third party securities and investment services providers; | ||
| (c) | third party reward, loyalty, co-branding or privileges programme providers; | ||
| (d) | co-branding partners of LSHSL; and | ||
| (e) | charitable or non-profit making organisations; | ||
| (iv) | in addition to marketing the above services, products and subjects itself, LSHSL also intends to provide the data described in paragraph (7)(i) above to all or any of the persons described in paragraph (7)(iii) above for use by them in marketing those services, products and subjects, and LSHSL requires your written consent (which includes an indication of no objection) for that purpose; | ||
| (v) | LSHSL may receive money or other property in return for providing the data to the other persons in paragraph (7)(iv) above and, when requesting your consent or no objection as described in paragraph (7)(iv) above, LSHSL will inform you if it will receive any money or other property in return for providing your Personal Data to the other persons. | ||
| If you do not wish LSHSL to use or provide to other persons your Personal Data for use in direct marketing as described above, you may exercise his opt-out right by notifying the Data Privacy Officer of LSHSL (Please see contact details in paragraph (10) below). | |||
| You may provide your consent for LSHSL to use or provide to other persons your Personal Data for use in direct marketing as described above by notifying the Data Privacy Officer of LSHSL (Please see contact details in paragraph (10) below). | |||
| You may, at any time, request LSHSL cease using your personal data for direct marketing purposes by writing to the Data Privacy Officer at the address in paragraph (10). | |||
| Access to Personal Data | |||
| 8. | You have the right to request access to and correction of your Personal Data in accordance with the provisions of the PDPO. Your right of access includes the right to request a copy of your Personal Data provided to LSHSL. LSHSL has the right to charge a reasonable fee for processing any data access request. | ||
| Retention of Personal Data | |||
| 9. | After closure of account/termination of service, LSHSL shall continue to hold data relating to you for a period of 7 years or such other period as prescribed by applicable laws and regulations. | ||
| Enquiries | |||
| 10. | Any enquiries regarding the Personal Data provided or requests for access to Personal Data or correction of Personal Data, should be addressed in writing to: | ||
| The Data Privacy Officer | |||
| Lei Shing Hong Securities Ltd. | |||
| 8/F New World Tower 1 | |||
| 18 Queen’s Road Central | |||
| Hong Kong | |||