個人資料收集聲明

獅子金融集團及其附屬公司(「獅子期貨有限公司」及「獅子國際證券集團有限公司」)的個人資料收集政策

(1) 作為獅子期貨有限公司(「獅子期貨」)及獅子國際證券集團有限公司(「獅子國際證券」)之客戶(「客戶」),當申請開立或延續期貨買賣戶口或建立、延續或提供投資、交易或相關服務(如情況需要,包括全權委託投資管理服務)時,需不時向獅子期貨或獅子國際證券或獅子金融集團公司提供有關之個人資料(「個人資料」),按《個人資料(私隱)條例》 (香港法例第 486 章)(「私隱條例」)所賦予之定義)。

(2)若未能向獅子期貨或獅子國際證券提供個人資料,將會導致獅子期或獅子國際證券貨無法開立或延續戶口或建立、延續或提供投資、 交易或相關服務。

(3)個人資料將可能在與獅子金融集團的正常業務往來過程中被收集。

(4)資料將可能跟據《個人資料(私隱)條例》用於下列用途:

(a)為提供服務給客戶之日常運作;

(b)(倘獅子期貨或獅子國際證券提供全權委託投資管理服務)代客戶作出投資決定;

(c)作信貸檢查;

(d)確保客戶之信用維持良好;

(e)宣傳投資、交易或相關服務或產品;

(f)支援獅子期貨或獅子國際證券在有關服務上作出之任何文件內之任何聲明;

(g)協助其他有關第三者、專業人員、機構及有關監管機構確認某些獅子期貨或獅子國際證券在有關服務上之事實;

(h)履行根據下列適用於獅子期貨或獅子國際證券或任何獅子金融集團成員遵守或被期望遵守的就披露及使用資 料的義務、規定或安排:

(i) 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對其具法律約束力或適用的 任何法律;

(ii) 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任何法律、監管、政府、稅務、執法或其他機關,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任 何指引或指導;

(iii) 獅子期貨或獅子國際證券或任何獅子金融集團成員因其位於或跟相關本地或外地的法律、監管、政府、稅務、執法或其他機關,或自律監管或行業組織或協會的司法管轄區有關的金融、商業、 業務或其他利益或活動,而向該等本地或外地的法律、監管、政府、稅務、執法或其他 機關,或金融服務供應商的自律監管或行業組織或協會承擔或被彼等施加的任何目前或 將來的合約或其他承諾;

(i)組成接收資料者所經營業務的紀錄的一部份;及

(j)與上述有關或隨附之其他用途。

(5)獅子期貨或獅子國際證券會把個人資料保密,但為達至上述第(4)段所述的用途,獅子期貨或獅子國際證券可能會把有關資料提供給;

(a)任何中間人,或提供與獅子期貨或獅子國際證券業務運作有關服務之第三者服務供應人;

(b)任何對獅子期貨有保密責任之適當人士,包括對獅子期貨或獅子國際證券有保密資料承諾的獅子金融集團公司;

(c)任何與閣下已有或建議有交易之人士及機構;

(d)信貸諮詢機構及 (發生拖欠付款時) 收數公司;

(e)任何與獅子期貨或獅子國際證券及獅子金融集團公司的業務有關或管治的監管機構及交易所;

(f) 獅子期貨或獅子國際證券或獅子金融集團成員根據對其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、執法或其他機關,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獅子期貨或獅子國際證券或獅子金融集團成員遵守的任何指引或指導,或根據獅 子期貨或獅子國際證券或獅子金融集團成員向本地或外地的法律、監管、政府、稅務、執法或其他機關,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向其披露該等資料 的任何人士;

(g)任何承讓人、受讓人、代表、繼承人或獲轉讓有關帳戶之人士及授權人士;及

(h)任何獅子期貨或獅子國際證券之實在或建議受讓人或參與人或附屬參與人或受讓人。

(6)直接促銷中使用資料

獅子期貨或獅子國際證券擬使用客戶的資料用作直接促銷,而獅子期貨或獅子國際證券為該用途須獲得客戶同意(包括表示不反對)。 就此,請注意:

(a)獅子期貨或獅子國際證券或獅子金融集團成員持有之客戶姓名、聯絡詳情、產品及服務組合資料、交易模式及 行為、財務背景及統計資料可不時被獅子期貨或獅子國際證券或獅子金融集團成員用於直接促銷;

(b)可用作促銷下列類別的服務及產品:

(i)金融、財務相關服務和產品;及

(ii)投資相關服務和產品

(c)上述服務、產品及促銷的可能由獅子期貨或獅子國際證券或任何獅子金融集團成員提供或徵求

(d) 除獅子期貨或獅子國際證券直接促銷上述服務及產品外,獅子期貨或獅子國際證券與獅子金融集團成員亦擬將以上第(6)(a)項 所述的資料提供予以上第(6)(c)項所述的全部或任何人士,以供該人士在促銷等服務及產品中 使用,而獅子期貨或獅子國際證券或該等獅子金融集團成員為此用途須獲得客戶書面同意或同意確認(包括客 戶不反對之表示);

(e) 客戶可隨時向獅子期貨或獅子國際證券或獅子金融集團成員要求停止使用其個人資料於直接促銷活動,有關要 求可根據以下第(10)項所述的地址向獅子期貨或獅子國際證券提出;

(f) 客戶明白,倘若客戶提出要求停止使用該等資料作直接促銷活動之用途,則獅子期貨或獅子國際證券或獅子金融集團成員須停止使用該等資料作該等用途,客戶亦無須支付任何費用。同時,為符合相關法 律、規例、守則或指引,獅子期貨或獅子國際證券或該等獅子金融集團成員停止使用該等資料作直接促銷活動 之用途,但仍會保留該等資料。

(7) 客戶同意個人資料可轉到香港以外的任何地點 (不論是用作在香港以外處理、持有或使用該等資料), 並同意可轉發給向任何獅子金融集團公司就其業務經營而提供服務的服務提供者。

(8) 在法律許可的範圍內,客戶同意獅子期貨不時收集的個人資料可按照個人資料收集聲明的規定使用及 披露。

(9)根據私隱條例中之條文,任何人有權:

(a)審查獅子期貨或獅子國際證券是否持有他/她的資料及查閱有關之資料;

(b)要求獅子期貨或獅子國際證券改正有關他/她不準確之資料;

(c)查悉獅子期貨或獅子國際證券對於資料之政策及實際運用及被通知獅子期貨或獅子國際證券持有何種個人資料;及

(d)就客戶信貸而要求獲通知哪項個人資料是例行披露予信貸諮詢機構或收數公司,以及獲提供進一 步的資訊以便向有關的信貸諮詢機構或收數公司作出查閱及改正要求。

(10) 根據私隱條例規定,獅子期貨或獅子國際證券有權就處理任何查閱資料之要求收取合理費用,任何關於資料查閱或 改正資料(當客戶認為由獅子期貨或獅子國際證券所提供有關他/她的資料不準確時)或關於資料政策及實際應用或 資料種類之要求,應向下列人士提出:

私隱資料主任 獅子期貨有限公司及獅子國際證券集團有限公司

香港九龍灣宏光道 1 號億京中心 A 座 33 樓 A-C 室 電話:(852) 2796 2900

PERSONAL INFORMATION COLLECTION STATEMENTS

(1) As a client (the “Client”) of Lion Futures Limited (“Lion Futures”) and/or Lion International Securities Group Limited (“Lion International Securities”), it is necessary from time to time for the Client to supply his/her personal data (“Personal Data”), within the meaning ascribed in the Personal Data (Privacy) Ordinance (Chapter 486 of the laws of Hong Kong) (the “Privacy Ordinance”) to Lion Futures and/or Lion International Securities and/or Lion Financial Group Companies when opening or continuation of futures and/or securities trading accounts, or in the establishment, continuation or provision of investment, dealing or related services (including provision of discretionary investment management services when necessary).

(2) Failure to supply Personal Data may result in Lion Futures or Lion International Securities being unable to open or continue accounts or establish, continue or provide investment, dealing or related services.

(3) Personal Data may also be collected in the ordinary course of continuation of the business relationship with Lion Financial Group.

(4) Subject to the provisions of the Privacy Ordinance, any Personal Data may be used for the following purposes:

(A) the daily operation of the services provided to the Client;

(B) (in case of provision of discretionary investment management services) making investment decisions on behalf of the Client;

(C) conducting credit checks;

(D) ensuring ongoing credit worthiness of the Client;

(E) marketing investment, dealing or related services or products;

(F) supporting any statements made in any documents in connection with the services of Lion Futures or Lion International Securities;

(G) assisting other relevant parties, professionals, institutions or relevant regulatory authorities to verify certain facts in connection with the services of Lion Futures or Lion International Securities;

(H) complying with the obligations, requirements or arrangements for disclosing and using data that apply to Lion Futures or Lion International Securities or or any Lion Financial Group member or that it is expected to comply according to:

i) any law binding or applying to it within or outside the Hong Kong Special Administrative Region existing currently and in the future;

ii) 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 the Hong Kong Special Administrative Region existing currently and in the future;

iii) 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 Lion Futures or Lion International Securities or any Lion Financial Group member 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 authorities, or self-regulatory or industry bodies or associations;

(I) forming part of the records of the recipient of the data as to the business carried on by it; and

(J) any other purposes relating to or incidental to any of the above.

(5) Lion Futures and Lion International Securities will keep Personal Data confidential but Lion Futures and Lion International Securities may provide Personal Data to the following persons in furtherance of the purposes set in the above paragraph (4):

(A) any agent or third party service provider who provides services to the Lion Futures and Lion International Securities in connection with the operation of its business;

(B) an appropriate person under a duty of confidentiality to Lion Futures and Lion International Securities including any Lion Financial Group Company which has undertaken to keep such information confidential;

(C) any person or institution with which the Client has or proposes to have dealings;

(D) credit reference agencies and debt collection agencies (in the event of default payment);

(E) any regulatory authorities or exchanges which relate to or govern any business of Lion Futures and Lion International Securities and any Lion Financial Group Company;

(F) any person to whom Lion Futures or Lion International Securities or Lion Financial Group member is under an obligation or otherwise required to make disclosure under the requirements of any law binding on or applying to Lion Futures or Lion International Securities or Lion Financial Group member, or any disclosure under and for the purposes of 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 with which Lion Futures or Lion Financial Group member is expected to comply, or any disclosure pursuant to any contractual or other commitment of Lion Futures or Lion International Securities or Lion Financial Group member 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 the Hong Kong Special Administrative Region and may be existing currently and in the future;

(G) any assignee, transferee, delegate, successor or person to whom the account of the Client is transferred and the authorised person of the Client; and

(H) any of Lion Futures’ and Lion International Securities’ actual or proposed assignee or participant or sub-participant or transferee.

(6) Use of Data in Direct Marketing

Lion Futures and Lion International Securities intends to use a Client’s data in direct marketing and Lion Futures and Lion International Securities requires the Client’s consent (which includes an indication of no objection) for that purpose. In this connection, please note that:

(A) The name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and statistics held by Lion Futures or Lion International Securities or Lion Financial Group member may from time to time be used by Lion Futures or Lion International Securities or Lion Financial Group member in direct marketing;

(B) The following classes of services, products may be marketed:

i) Monetary related services and products

ii) Investment related services and products

(C) The above services, products may be provided or solicited by Lion Futures or Lion International Securities or any member of Lion Financial Group;

(D) In addition to marketing the above services and products, Lion Futures and Lion International Securities and Lion Financial Group member also intends to provide the data described in paragraph (6)(A) above to all or any of the persons described in paragraph (6)(C) above for the use by them in marketing those services and products, and Lion Futures or Lion Financial Group member requires the written consent of the Client (which includes an indication of no objection) for that purpose;

(E) The Client may, at any time, request Lion Futures or Lion International Securities or Lion Financial Group member to cease using personal data of the Client for direct marketing purposes by writing to you at address provided in paragraph (10) below;

(F) The Client understands that if the Client so request, any member of Lion Futures or Lion International Securities or Lion Financial Group member is required to cease to use the data for such purpose without charge to the Client. In addition, to comply with all relevant laws, regulations, guidelines or guidance, Lion Futures or Lion International Securities or Lion Financial Group, while retaining such data, shall cease from using such data for direct marketing.

(7) The Personal Data may be transferred to any place outside Hong Kong, whether for the processing, holding or use of such data outside Hong Kong, and also to service providers which offer services to any Lion Financial Group Company in connection with the operation of its business.

(8) To the extent permitted by law, the Personal Data collected by Lion Futures and Lion International Securities from time to time may be used and disclosed in accordance with the Personal Information Collection Statements.

(9) In accordance with the terms of the Privacy Ordinance, any individual has the right to:

(A) check whether Lion Futures and Lion International Securities holds data about him/her and access to such data;

(B) require Lion Futures and Lion International Securities to correct any data relating to him/her which is inaccurate;

(C) ascertain Lion Futures’ and Lion International Securities’ policies and practices in relation to data and be informed of the kind of personal data held by Lion Futures; and

(D) in relation to customer credit, request to be informed which items of personal 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.

(10) In accordance with the Privacy Ordinance, Lion Futures and Lion International Securities has the right to charge a reasonable fee for the processing of any data access request. All requests for access to data or correction of data (when client considers that his/her personal data, supplied by Lion Futures and Lion International Securities following a data access request, are inaccurate) or for information regarding policies and practices and kinds of data held should be addressed as follows:

Data Privacy Officer

LION FUTURES LIMITED and LION INTERNATIONAL SECURITIES GROUP LIMITED

Unit A-C, 33/F, Tower A, Billion Centre, 1 Wang Kwong Road, Kowloon Bay, Hong Kong

Telephone: (852) 2796 2900