個人資料收集聲明

本聲明是根據香港《個人資料(私隱)條例》(「條例」)之要求而提供予太陽國際証券有限公司(”本公司”)的個人客戶(包括預期客戶(包括模擬交易平台使用者)及資料當事人)。本聲明中所提及的術語與證券交易現金客戶協議書/證券交易保証金客戶協議書/期貨及期權交易客戶協議書/財富管理客戶協議書中的術語具有相同的含義。

1. 個人資料之使用

1.1 使用者
有關客戶的所有個人資料(不論是由客戶所提供,還是由其他人士所提供;在證券交易現金客戶協議書/證券交易保証金客戶協議書/期貨及期權交易客戶協議書/財富管理客戶協議書建立之前,還是之後)會被保密,但本公司會就1.2段列出的用途把該資料給予任何下列之公司或人士使用(各為一「使用者」):
(i)   太陽國際証券有限公司及/或其他任何聯繫及/或附屬公司(” 本集團”);
(ii)   任何本地或外地政府機構、監管機構或其他團體或機構(不論是法例或是任何本集團成員適用的規例所要求);
(iii)   本集團的任何董事、高級職員、僱員或代理人;
(iv)   由本公司及/或本集團授權的包括本地或外地的任何人士(例如律師、顧問、代名人、會計師、房地產估價師、託管人、第三方服務供應商、移民顧問公司、升學顧問公司、教育機構、保險公司等),以便執行客戶指示及涉及本公司及/或本集團的日常運作及業務;
(v)   信貸資料服務機構及(如有違約事件)收數公司;
(vi)   本集團持有與客戶相關的任何權利和義務的任何實際或建議的承讓人;
(vii)   第三方金融機構、承保人、信用卡公司、證券及投資服務供應商;
(viii)   第三方獎賞、獎勵計劃,以及合作品牌或優惠計劃供應商;
(ix)   本公司及本集團之聯名合作夥伴(該等品牌合作夥伴名稱會於有關服務及產品的申請表格上列明,視情況而定);
(x)   慈善或非牟利機構;及
(xi)   以下1.2(xiii)段列明的用途而被本公司任用之外部的服務供應商(包括但不限於寄件中心、電訊中心、電話促銷及直銷代理人、電話中心、資料處理中心及資訊科技公司)。

1.2 目的
客戶的所有個人資料可被任何使用者用於下列目的:
(i)   使本公司及/或本集團能確保日常運作及/或提供信貸服務,以及促進以上提及有關供予客戶的服務(包括模擬交易平台服務),包括但不限於協助辦理或辦理投資移民(包括有關犯罪記錄事宜)及/或本地或外地升學及/或提供保險服務及/或提供有關咨詢服務;
(ii)   讓本公司及/或本集團成員之實際或潛在承讓人,或本公司及/或本集團成員對資料當事人(提供資料的人士,包括客戶)的權利、或附屬參與所涉交易人士的參與人,或附屬參與人可評估涉及有關轉讓、參與或附屬參與的交易;
(iii)   建立及維持本公司及/或本集團的信貸模式;
(iv)   執行新的或現有客戶的查核及信用調查程序,就信貸融通申請通常會是每年一次或多於一次的定期或特別檢討;
(v)   協助其他金融機構進行信用檢查及追討債務;
(vi)   確保資料當事人維持可靠信用;
(vii)   本公司及/或本集團根據對本公司及/或本集團具法律約束力或適用的任何法律規定,或根據及為符合任何法律、監管、政府、稅務、執法或其他機構,或金融服務供應商的自律監管或行業組織或協會作出或發出的並期望本公司及/或本集團遵守的任何指引或相關指令,或根據本公司及/或本集團成員向本地或外地的法律、監管、政府、稅務、執法或其他機構,或金融服務供應商的自律監管或行業組織或協會的任何合約或其他承諾(以上不論於香港特別行政區境內或境外及不論目前或將來存在的),而有義務或以其他方式被要求披露該等資料的任何人士;
(viii)   持續的帳戶管理包括但不限於向資料當事人及執行資料當事人應負義務就本集團的任何成員作出的擔保,收費或其他權利和利益追討欠款;
(ix)   履行或遵守在本集團為符合制裁或預防或偵測黑錢,恐怖份子融資活動或其他非法活動的任何方案就於本集團內共用資料及資訊及/或資料及資訊的任何其他使用而指定的任何義務、要求、政策、程序、措施或安排;
(x)   任何有關於執行客戶指示(包括在模擬交易平台發出的指示)或與本集團業務或交易有關連的目的;
(xi)   為了下列目的而進行客戶個人資料的比較(不論收集此等資料的目的及來源,及不論此等資料是向使用者或任何其他人士所收集的):
(a) 資料核實;
(b) 信用調查;及/或
(c) 編製
或核實資料,以便採取使用者或任何其他人士認為合適的行動(包括可能與客戶或任何其他人的權利、義務或權益有關的行動);
(xii)   研究及設計未來新產品,服務,以及其他題材;
(xiii)   本公司及本集團向客戶推廣/銷售產品,服務,以及其他題材(詳情請參閱1.3段);
(xiv)   保存資料當事人的信貸記錄,以供目前及今後參考;及
(xv)   將此等資料轉移到香港或以外的任何地方作以上或相關用途。

1.3 在直接促銷中使用資料
本公司擬把資料用於直接促銷,而本公司為該用途須獲得客戶同意(包括表示不反對)。就此,請注意:
(i)   本公司持有的客戶姓名、詳情聯絡方式、產品及服務組合資料、交易模式、行為、財務背景及人口統計數據可能給本集團中的任何成員用於直接促銷;
(ii)   可用作促銷的下列類別服務、產品及項目;
(a) 金融、保險、證券、受信、投資服務、投資移民、本地或外地升學及相關服務及產品;
(b) 獎賞、獎勵或優惠計劃及相關服務及產品;
(c) 本公司以及本集團的任何成員與品牌合作夥伴提供之服務及產品(該等品牌合作夥伴名稱會於有關服務及產品的申請表格上列明,視情況而定);及
(d) 為慈善及/或非牟利用途的捐款及捐贈;
(iii)   上述服務、產品及項目的可能由本公司及/或下列各方提供或(就捐款及捐贈而言)徵求:
(a) 本集團的任何成員
(b) 第三方金融機構、承保人、信用卡公司、證券及投資方服務供應商、本地或外地第三方移民顧問公司、升學顧問公司、教育機構及保險公司;
(c) 第三方獎賞、獎勵計劃,以及合作品牌或優惠計劃供應商;
(d) 本公司及本集團之聯名合作夥伴(該等品牌合作夥伴名稱會於有關服務及產品的申請表格上列明,視情況而定);及
(e) 慈善或非牟利機構;
(iv)   除促銷以上述服務、產品及項目的以外,本公司亦擬以上1.3(i)段所述的資料提供予以上1.3(iii)所述的全部或任何人士,以供該等人士在促銷該等服務產品及促銷標的中使用,而本公司為此用途須獲得客戶書面同意(包括表示不反對);
(v)   本公司可能就因如以上1.3段(iv)所述將資料提供予其他人士而獲得金錢或其他財務回報,本公司會於以上1.3(iv) 段所述徵求客戶同意或不反對時如是通知客戶。
如客戶不希望本公司如上述使用其資料或提供予其他人士作直銷用途,客戶可通知本公司行使其選擇權拒絕促銷。


2. 查閱和修正的權利

根據條例之規定,客戶有權查閱和修正客戶的個人資料。一般來說(除某些豁免外)客戶有以下的權利:
(i)   在合理的時間內,客戶可查閱其個人資料;本公司將以合理的方式及清楚易明的格式回覆客戶,但須收取合理費用;
(ii)   要求修正客戶的個人資料;
(iii)   詢問本公司是否持有與客戶有關的個人資料;及確定本公司有關資料的政策及慣例;
(iv)   要求獲告知一般向信貸資料服務機構或收數公司披露那些資料,以及要求獲提供進一步資料,以便向有關信貸資料服務機構或收數公司提出查閱和改正資料的要求;及
(v)   對於本公司向信貸服務機構提供的任何戶口資料為免產生疑問(包括任何戶口還款資料),於悉數清償欠款而終止戶口時,指示本公司向信貸服務機構要求從資料刪除有關戶口資料,惟是項指示須於終止戶口後五年內提出,而該戶口在緊接終止之前五年內,並無拖欠超過60天的記錄。戶口還款資料包括上次到期還款額、上次報告期間所作還款額(即緊接本公司上次向信貸資料服務機構提供戶口資料前不超過31天的期間)、剩餘可用信貸額或未償還數額及欠款資料(即過期欠款額及逾期還款日數、清還過期欠款的日期和悉數清還拖欠超過60天的欠款的日期(如有));及
(vi)   如客戶要求查閱或修正個人資料被拒絕,客戶有權要求說明被拒絕的理由及反對任何該等拒絕。
 
3.   如戶口出現拖欠情況,除非拖欠金額在自出現拖欠之日起計60天屆滿期被悉數清還或撇賬(因破產令悉數清還底撇賬者除外),否則信貸資料服務機構可保留該戶口資料(定義見上文第2(v)段),直至欠款悉數清還之日起計滿五年為止。
 
4.   如資料當事人因被頒布破產令而導致其戶口出現的任何金額撇賬,則不論其戶口還款資料(定義見上文第2(v)段)是否顯示有拖欠還款超過60天的記錄,信貸資料服務機構均可保留客戶資料,直至自欠款悉數清還之日起計後滿五年為止,或自客戶提出證據通知信貸資料服務機構其已獲解除破產令之日計滿五年為止(以較早者為準)。
 
5.   本公司可能已經獲得信貸資料服務機構在考慮任何信貸應用的情況下而作出的資料當事人信貸報告。如資料當事人希望查閱該信貸報告,本公司將會告知相關信貸資料服務機構的詳細聯絡方式。
 
6.   披露義務
  除特別聲明外,客戶必須按客戶資料聲明上的要求,將個人資料提供予本公司。假如客戶不提供此等資料,本公司將沒有足夠資料來為客戶開設及管理帳戶。
 
7.   聯絡人
  如客戶要求查閱及/或修正個人資料及/或不同意收取直接促銷的資料,或其個人資料用於直接促銷用途,客戶可致電 (852) 3585 8977、電郵至 PDPO@sunisec.com 與本集團的資料保障主任聯絡,或寫信郵寄至:
  資料保障主任:
  香港干諾道中168-200號
  信德中心西座21樓2112室

 


 

PERSONAL INFORMATION COLLECTION STATEMENT

This Statement is provided to the Client as an individual client (including prospective clients (including demo trading platform users) and data subjects) of the Sun International Securities Limited (the “Company”) in accordance with the requirements of the Hong Kong Personal Data (Privacy) Ordinance (the “Ordinance”). Terms defined in this statement have the same meaning as in the Securities Trading Cash Client Agreement / Securities Trading Margin Client Agreement / Futures and Options Trading Client Agreement / Wealth Management Agreement.

1. Use of Personal Data

1.1 Users
All personal data concerning the Client (whether provided by the Client or any other person, and whether provided before or after the date the Client receives the Securities Trading Cash Client Agreement / Securities Trading Margin Client Agreement / Futures and Options Trading Client Agreement/ Wealth Management Agreement containing this information) held by the Company will be kept confidential but the Company may provide such information to the following parties for the purposes set out in paragraph 1.2 (each, a “User”):
(i)   Sun International SecuritiesLimited and any of its Associates and Affiliates (the “Group”);
(ii)   Any local or foreign governmental, regulatory or other bodies or institutions, whether as required by law or regulations applicable to any member of the Group;
(iii)   Any director, officer or employee or agent of the Group;
(iv)   Any local or foreign person (such as lawyers, advisers, nominee, accountants, property valuers, custodian, third party service providers, immigration consulting companies, education consulting companies, educational institutions and insurance companies etc.) authorized by the Company and/or the Group when carrying out the Client’s Instructions, daily operation and the business of the Company and/or the Group;
(v)   Credit reference agencies and in the event of default, to debt collection agencies;
(vi)   Any actual or proposed assignee of any rights and obligations of the Group ;
(vii)   Third party financial institutions, insurers, credit card companies, securities and investment services providers;
(viii)   Third party reward, loyalty, co-branding and privileges programme providers;
(ix)   Co-branding partners of the Company and the Group (the names of such co-branding partners can be found in the application forms for the relevant services and products, as the case may be);
(x)   Charitable or non-profit making organisations; and
(xi)   External service providers (including but not limited to mailing houses, telecommunication companies, telemarketing and direct sales agents, call centres, data processing companies and information technology companies) that the Company engages for the purposes set out in paragraph1.2 (xiii).

1.2 Purposes
All personal data concerning the Client may be used by any User for the following purposes:
(i)   Enabling the Company and/or the Group to provide daily operation of the services (including demo trading platform services), and/or credit facilities and facilitating the same relating to the Client, including providing assistance in handling or processing applications under immigrant investor programs (including handling matters relating to criminal records) and/or local or foreign study and/or providing insurance services and/or providing relevant consulting services;
(ii)   Enabling an actual or proposed assignee of the Company and /or the Group, or participant or sub-participant of the Company’s (and/or the Group’s) rights in respect of the data subjects (persons who provide data and include the Client) to evaluate the transaction intended to be the subject of the assignment, participation or sub-participation;
(iii)   Creating and maintaining the Company’s and/or the Group’s scoring models;
(iv)   Carrying out new or existing clients’ verification and conducting credit checks at the time of application for credit facilities and at the time of regular or special reviews which will normally take place one or more times each year;
(v)   Assisting other financial institutions to conduct credit checks and collect debts;
(vi)   Ensuring ongoing credit worthiness of data subjects;
(vii)   Any person to whom the Company and/or the Group is under an obligation or otherwise required to make disclosure under the requirements of any law binding on or applying to the Company or any law binding on or applying to the Company and/or the Group, or any disclosure under and for the purposes of any guidelines, rules or similar directives 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 with which the Company and/or the Group are expected to comply, or any disclosure pursuant to any contractual or other commitment of the Company and/or the Group 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.
(viii)   Ongoing account administration, including without limitation the collection of amounts outstanding from data subjects, enforcement of data subjects’ obligations in respect of security, charge or other rights and interests held by any member of the Group;
(ix)   Complying with any obligations, requirements, policies, procedures, measures or arrangements for sharing data and information within the Group 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;
(x)   Any other purpose relating to the execution of the Client’s Instructions (including instructions given in the demo trading platform) or in connection with the business or dealings of the Group;
(xi)   Comparison with the Client’s personal data (irrespective of the purposes and sources for which such data were collected, and whether collected by a User or any other person) for the purpose of:
(a) data verification;
(b) credit checking; and/or
(c) otherwise producing
   or verifying data which may be used for the purpose of taking such action that a User or any other person may consider appropriate (including action that may relate to the rights, obligations or interest of the Client or any other person);
(xii)  Researching and designing further products, services and other subjects;(xiii)  Marketing products, services and other subjects of the Company and the Group (please see paragraph 1.3 below) to the Client;(xiv)  Maintaining credit history of the data subjects for present and future reference; and(xv)  Transfer of such data to any place within and outside Hong Kong for the above purposes and/or relating thereto.


1.3 Use of Data in Direct Marketing

The Company intends to use the Client’s data in direct marketing and the Company requires the Client’s 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 the Client held by the Company may be used from time to time by any member of the Group in direct marketing;
(ii)   The following classes of services, products and subjects may be marketed;
(a) Financial, insurance, securities, fiduciary, investment services, immigrant investor programs, local or foreign study and related services and products;
(b) Reward, loyalty or privileges programmes and related services and products;
(c) Services and products offered by the Company and any member of the Group with the co-branding partners (the names of such co-branding partners can be found in the application forms for the relevant services and products, as the case may be); and
(d) Donations and contributions for charitable and/or non-profit making purposes;
(iii)   The above services, products and subjects may be provided or (in the case of donations and contributions) solicited by the Company and / or:
(a) Any member of the Group;
(b) Third party financial institutions, insurers, credit card companies, securities and investment services providers, third party local or foreign immigration consulting companies, education consulting companies, educational institutions and insurance companies;
(c) Third party reward, loyalty, co-branding or privileges programme providers;
(d) Co-branding partners of the Company and the Group (the names of such co-branding partners can be found in the application forms for the relevant services and products, as the case may be); and
(e) Charitable or non-profit making organisations;
(iv)   In addition to marketing the above services, products and subjects itself, the Company also intends to provide the data described in paragraph 1.3(i) above and, when requesting the Client’s consent or no objection as described in paragraph 1.3(iii) above for use by them in marketing those services, products and subjects; and the Company requires the Client’s written consent (which includes an indication of no objection) for that purpose;
(v)   The Company may receive money or other property in return for providing the data to the other persons in paragraph 1.3(iv) above and, when requesting the Client’s consent or no objection as described in paragraph 1.3(iv) above, the Company will inform the Client if it will receive any money or other property in return for providing the data to the other persons.
If the Client does not wish the Company to use or provide to other persons his data for use in direct marketing as described above, the Client may exercise his opt-out right by notifying the Company.
 

2. Rights of Access and Correction

The Client has the right to have access to and correction of the Client’s personal data as set out in the Ordinance. In general, and subject to certain exemptions, the Client is entitled to:
(i)   Request access to the Client’s personal data within a reasonable time, at a fee which is not excessive, in a reasonable manner and in a form that is intelligible;
(ii)   Request the correction of the Client’s personal data;
(iii)   Enquire whether the Company holds personal data in relation to the Client and ascertain the Company’s policy and practices in relation to data;
(iv)   Be informed on request which items of data are routinely disclosed to credit reference agencies or debt collection agencies, and be provided with further information to enable the making of an access and correction request to the relevant credit reference agency or debt collection agency;
(v)   In relation to an account data (including, for the avoidance of doubt, any account repayment data) which has been provided by the Company to a credit reference agency, to instruct the Company, upon termination of the account by full repayment, to make a request to the credit reference agency to delete such account data from the database, as long as the instruction is given within five years of termination and at no time was there any default of payment in relation to the account, lasting in excess of 60 days within five years immediately before account termination. Account repayment data include amount last due, amount of repayment made during the last reporting period (being a period not exceeding 31 days immediately preceding the last contribution of account data by the Company to a credit reference agency), remaining available credit or outstanding balance and default data (being amount past due and number of days past due, date of settlement of amount past due, and date of final settlement of amount in default lasting in excess of 60 days (if any));and
(vi)   Be given reasons if a request for access or correction is refused, and object to any such refusal.
 
3.   In the event of any default of payment relating to an account, unless the amount in default is fully repaid or written off (other than due to a bankruptcy order) before the expiry of 60 days from the date such default occurred, the account repayment data (as defined in paragraph 2(v) above) may be retained by the credit reference agency until the expiry of five years from the date of final settlement of the amount in default.
 
4.   In the event any amount in an account is written-off due to a bankruptcy order being made against the data subjects, the account repayment data (as defined in paragraph 2(v) above) may be retained by the credit reference agency data, regardless of whether the account repayment data reveal any default of payment lasting in excess of 60 days, until the expiry of five years from the date of final settlement of the amount in default or the expiry of five years from the date of discharge from a bankruptcy as notified by the data subjects with evidence to the credit reference agency, whichever is earlier.
 
5.   The Company may have obtained a credit report on the Client from a credit reference agency in considering any application for credit. In the event that the data subject wishes to access the credit report, the Company will advise the contact details of the relevant agency.
 
6.   Disclosure Obligation
  Unless otherwise stated the Client must supply the personal data requested on the enclosed Account Opening Form to the Company. If the Client does not supply this data, it will not be possible for the Client to open an Account with the Company as the Company will not have sufficient information to open and administer the Account.
 
7.   Contact Person
  If the Client wishes to request access to and/or correct personal data and/or opt out of receiving direct marketing material or his personal data being use in DIRECT MARKETING, the Client should contact the Data Protection Officer on (852) 3585 8977, email to PDPO@sunisec.com or write to:
  The Data Protection Officer
  Unit 2112, 21/F, West Tower, Shun Tak Centre,
  168-200 Connaught Road Central, Hong Kong
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