Personal Information Collection Statement
This “Personal Information Collection Statement” (this “Statement”) is made by Goldhorse Securities Limited and Goldhorse Capital Management (HK) Limited (collectively referred to as “Goldhorse”) in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) (the “Ordinance”). The Statement is intended to notify data subjects (as defined below) of why personal data (as defined below) is collected, how it will be used and to whom data access requests are to be addressed.
DEFINITION
1.As used herein, the terms used in this Statement are defined as follows:
“Data Subject” is the individual who is the subject of the personal data.
“Personal Data” means information which relates to a living individual and can be used to identify that individual. It must also exist in a form which access to or processing of is practicable. (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, manager or authorized representative.
PURPOSE
2.From time to time, it is necessary for a data subject to supply Goldhorse with his/her personal data in connection with various matters such as opening or continuation of accounts, the provision or the continuation of trading or credit facilities, provision of financial, investment, dealing, advisory or custody services or compliance with any laws or guidelines issued by regulatory or other authorities.
3.Failure to supply such personal data may result in Goldhorse being unable to open accounts, continue to maintain accounts, provide or continue to provide trading or credit facilities or provide financial, investment, dealing, advisory or custody services to data subjects.
4.The purposes for which personal data relating to data subjects may be used, stored, processed, transferred, disclosed or shared (whether in Hong Kong or elsewhere) by Goldhorse for any one or more of the following purposes, including:
(i) Processing account opening application;
(ii) Daily operation of accounts, services or facilities;
(iii) Carrying out new or existing client verification;
(iv) Conducting credit inquiries and assessment on the data subjects;
(v) Evaluating the data subject’s investment experience, investment objective, risk appetite and financial needs;
(vi) Conducting surveys, statistical evaluations, and data analysis to personally design products, services or facilities for data subjects;
(vii) Marketing products, services or facilities;
(viii) Determining the amount of indebtedness owed to or by data subjects;
(ix) Collection of amounts outstanding from data subjects and those providing guarantee or security for data subjects’ obligations;
(x) Meeting requirements to make disclosure under the requirements of any legal and/or regulatory requirements or court orders binding on Goldhorse;
(xi) Investigating suspicious transactions;
(xii) Enabling Goldhorse to comply with any applicable laws, rules, regulations, industry practices, legal obligations, or any requirements, requests, codes, guidance or guidelines of any exchanges or any regulatory, tax, law enforcement or government bodies in any jurisdiction to which Goldhorse is subject to (such as guidelines issued by the Hong Kong Inland Revenue Department for the implementation of automatic exchange of financial account information (“AEOI”), the U.S. Foreign Account Tax Compliance Act (“FATCA”); or
(xiii) Purposes relating to any of the above.
DISCLOSURE OF PERSONAL DATA
5.Personal data held by Goldhorse relating to a data subject will be kept confidential. However, Goldhorse may provide such personal data to the following parties (whether in Hong Kong or elsewhere):
(i) Goldhorse’s directors, staff members and authorized persons for performance of their own duties and responsibilities;
(ii) any agent, contractor or third-party service provider who provides financial, trade execution, custody, administrative, accounting, audit, information technology, cash, securities and/or contracts clearing or settlement or other services to Goldhorse in connection with the operation of its business;
(iii) any other person under a duty of confidentiality to Goldhorse, including but not limited to Goldhorse’s associates, which have undertaken to keep such information confidential;
(iv) any financial institution or dealer with which the data subject has or proposes to have dealings;
(v) any actual or proposed assignee, transferee, participant, sub-participant, delegate or successor of Goldhores’s business;
(vi) any person providing or proposing to provide guarantee or security for a data subject’s obligations; and
(vii) any exchange, entity, agency or any regulatory, tax, law enforcement or government body in any jurisdiction (whether for the performance of its regulatory, surveillance and/or enforcement function or otherwise) if required by law or pursuant to any court orders, rules, regulations, legal obligations, requirements, requests, codes, guidance or guidelines to which Goldhorse is subject to. In such cases, Goldhorse is usually under a duty of secrecy and will not be able to notify a data subject or seek his/her prior consent in relation to such release of information.
USE OF PERSONAL DATA IN DIRECT MARKETING
6.Goldhorse must obtain informed consent before using a data subject’s personal data for direct marketing. The consent must be an explicit indication by the data subject and broadly covers an indication of no objection. In this connection, Goldhorse intends to:
(i) use a data subject’s personal data (including, but not limited to name, contact details, account number, online identifiers, products and services portfolio information, transaction patterns and behaviour, risk profile, financial background, investment objectives and experience and demographic data) held by Goldhorse for the purpose of direct marketing;
(ii) carry out direct marketing in relation to the following classes of products, services or facilities that Goldhorse or its associates may offer:
(a) securities, structured products, public funds, private funds, derivative products, options, other investment products, advisory or custody services, or other services and facilities; or
(b) products, services, and facilities offered by Goldhorse’s business partners; and
(c) investment seminars, workshops or other activities.
(iii) the above product, services and facilities may be provided by Goldhorse and/or any of the following persons:
(a) Goldhorse’s associates;
(b) Goldhorse’s business partners; or
(c) third-party financial institutions or investment services providers.
7.Goldhorse may provide personal data to the persons specified in Clause 6 (iii) for the purpose of direct marketing of products, services, facilities described in Clause 6 (ii). Goldhorse may provide such personal data for direct marketing purposes for gain (whether in the form of any fee, commission or otherwise).
8.If a data subject wishes Goldhorse to cease using his/her personal data and/or providing it to other persons for direct marketing purposes, the data subject may notify Goldhorse in writing (in in person, or by post or by e-mail). Goldhorse shall then cease to use and/or provide his/her personal data to other persons for direct marketing purposes, without any charge.
DATA SECURITY
9.Goldhorse takes appropriate measures to protect personal data that Goldhorse held against loss, unauthorised access, use, modification or disclosure. Goldhorse conducts regular internal evaluations of its business practices, daily operations and internal systems to ensure the continued protection of all personal data at all times.
10.Goldhorse implements physical electronic, and procedural safeguards to protect all personal data. All servers are secured and all details are transmitted via secure sockets layer (“SSL”) and/or transport layer security (“TLS”) protocols to prevent access from unauthorised parties.
DATA ACCESS AND COLLECTION
11.Under the Ordinance, the data subject has the right to request access to and the correction of his/her own personal data held by Goldhorse.
12.All requests for access to, or correction of, data subject’s personal data held by Goldhorse shall be submitted in writing (in person, by mail or by e-mail) to the following:
Data Privacy Officer
Goldhorse Securities Limited
Unit 4308, 43/F, COSCO Tower 183 Queen’s Road Central, Hong Kong
E-mail: [email protected]
Data Privacy Officer
Goldhorse Capital Management (HK) Limited
Unit 4312, 43/F, COSCO Tower 183 Queen’s Road Central, Hong Kong
E-mail: [email protected]
13.All requests of access to, or correction of a data subject’s personal data shall be responded by Goldhorse within ten (10) business days following receipt of the written request.
14.When handling a data access, or correction request, Goldhorse shall check the identity of the requester to ensure that he/she is the person legally entitled to make the data access or correction request.
15.An administrative fee is charged by Goldhorse for complying with a data access request.
RETENTION
16.Goldhorse maintains and executes retention policies of records in relation to personal data to ensure personal data is not kept longer than is necessary for the fulfilment of the purpose for which the personal data is, or is to be, used. Different retention periods apply to the various kinds of personal data collected and held by Goldhorse, in accordance with its internal policies and regulatory requirements.
If there is any inconsistency or ambiguity between the English version and the Chinese version of this Statement, the English version shall prevail.