SinoPac Securities (Asia) Limited

私隱政策

閣下有責任不時向永豐金證券 ( 亞洲 ) 有限公司（「本公司」）提供有關開立、運作及保留　閣下的帳戶以及設立、使用及延續本公司提供的證券交易服務、信貸安排及其他服務及產品要求　閣下向本公司提供的個人資料。若客戶未能提供該等資料可能會導致本公司無法開立、運作及保留帳戶，或無法提供或延續任何服務、安排或產品。本公司在延續　閣下與本公司合約關係的過程中，例如當本公司代表　閣下進行交易，亦可能收集或彙編　閣下的個人資料。
From time to time, it is obligatory for you to supply to us on our request your personal data in connection with the opening, operation and maintenance of your Account with SinoPac Securities (Asia) Limited (the “Company”) and the establishment, use and continuation of securities trading services, credit facilities and other services and products offered by the Company. Failure to supply such data may result in the Company being unable to open, operate or maintain the Account, or unable to provide or continue any services, facilities or products. Your personal data may also be collected or compiled by the Company in the course of continuing the contractual relationship between you and the Company, for example, when the Company effects transactions on your behalf.
客戶的個人資料將作以下之用途：
Your personal data may be used for the following purposes:
- 開立、操作及保留帳戶、處理閣下就服務、安排及產品提出的任何申請或要求，及／或不時向閣下提供的金融服務、安排及產品，不論是否由本公司及／或本公司所屬集團（包括本公司之母公司及聯屬人）的任何以提供金融服務為業務的公司及其於香港及其他地方的辦事處（統稱「集團公司」）提供；
  opening, operating and maintaining the Account, processing any applications or requests from you for services, facilities and products, and/or providing financial services, facilities and products to you from time to time, whether by the Company and/or by any of the companies in the Company's group (which includes the parent company and affiliates of the Company) and their respective offices in Hong Kong and elsewhere in the business of provision of financial services (collectively called the “Group Companies”);
- 代表客戶買入、投資或以其他方式處置證券及進行一般有關所有類型證券的交易；
  purchasing, investing, or otherwise disposing of and generally dealing in and with all kinds of securities on your behalf;
- 對閣下進行身份及／或信貸審查及查詢，並確定閣下的財務狀況及投資目標，並賦予或協助任何其他金融機構（包括任何其他集團公司）如此行事；
  conducting or assisting other financial institutions to conduct identity and/or credit checks and enquiries on you and ascertaining your financial situation and investment objectives, and enabling or assisting any other financial institutions (including any other Group Companies) to do so;
- 確保客戶的持續信用可靠性；
  ensuring your ongoing credit worthiness;
- 確定客戶的欠款或結餘；
  (e) determining the amount owed to or by you;
- 向閣下或為閣下的債務提供抵押的任何人士收取或追收未償還款項，強制執行以本公司及／或任何其他集團公司為受益人的抵押、押記或其他權利及權益；
  collection or recovery of amounts outstanding from you or any person who has provided security for your obligations, enforcement of security, charge or other rights and interest in favour of the Company and/or any other Group Companies;
- 為本公司及／或任何其他集團成員公司的金融服務或產品進行研究、設計、推出、宣傳及市場推廣；
  researching, designing, launching, promoting and marketing the Company's and/or any other Group Companies’ financial services or products;
- 根據任何適用於本公司及／或任何其他集團公司的任何法律、規則、規例、應用守則、指引或任何其他規定，或按照本公司及／或任何其他集團公司受其規管的任何法律、政府或監管團體或機構的任何請求或要求，履行作出披露的任何義務；
  meeting any obligations to make disclosure under any law, rules, regulations, codes of practice, guidelines or any other requirements applicable to the Company and/or any other Group Companies or in accordance with any demand or request of any legal, governmental or regulatory bodies or authorities to which the Company and/or any other Group Companies are subject;
- 令客戶就有關交易發出之指令生效，及執行客戶之其他指示；
  giving effect to your orders relating to transactions, and carrying out your other instructions;
- 組成從本公司獲得個人資料人士之部份記錄；
  forming part of the records of the persons receiving the personal data from the Company;
- 進行《個人資料（私隱）條例》界定的配對程序；
  conducting matching procedures as defined in the PDPO;
- 不論客戶與有關的本公司及／或任何其他集團公司或資料接收方之間是否存在任何關係，存置客戶的信貸紀錄，以供現在或將來參考之用；
- 讓本公司任何實際或潛在受讓人或承讓人，或本公司權利的參與者或再參與者評估旨在成為出讓、轉讓、參與或再參與對象的交易；及
- 本公司及／或任何其他集團公司之一般業務運作所涉及或附帶之其他用途或上述任何一項或多項用途所涉及或附帶之其他用途。
本公司及／或任何其他集團公司可能會不時將閣下的個人資料轉至香港以外的地方作上述之任何用途。
The Company and/or any other Group Companies may from time to time transfer your data outside of Hong Kong for any of the above purposes.
本公司將對所持閣下的私人資料保密，但本公司可能向下列任何人士提供該等資料，不論於香港或以外：
Your personal data held by the Company will be kept confidential but the Company may provide such data to any of the following persons whether in or outside Hong Kong:
- 受僱於本公司及／或任何其他集團公司的任何代理、分包商或第三者服務供應商，為客戶提供經營業務有關的行政、資料處理、財政、電訊、電腦、付款、交易、結算、交收、託管、存託或其他服務；
  any agents, contractors or third party service providers employed by the Company and/or any other Group Companies to provide administrative, data processing, financial, telecommunications, computer, payments, dealing, clearing, settlement, custody, depository or other services in connection with the operation of their business;
- 對本公司承擔保密責任向其轉交閣下個人資料的任何其他人士，包括但不限於為載於此的第2條所述之各種原因而承諾對資料承擔保密責任之集團公司；
  any other persons to whom your personal data is passed who are under a duty of confidentiality to the Company, including but not limited to the Group Companies which have undertaken to keep such data confidential, for various purposes set out in Clause 2 hereof;
- 閣下的證券或其他資產可能以其名義登記的任何代名人；
  any nominees in whose name your securities or other assets may be registered;
- 任何實際或潛在受讓人、承讓人、參與者、副參與者、指派人、繼承人或收購、接管或分享有關帳戶或　閣下與本公司的其他交易的所有或任何權利及義務的人士；
  any actual or potential assignee, transferee, participant, sub-participant, delegate, successor or person who acquires, undertakes or shares all or any of the rights and obligations of the Company in connection with the Account or other dealings between you and the Company;
- 閣下已進行交易或提議進行交易的任何金融機構；
  any financial institution with which you have or proposed to have dealings;
- 閣下明確或隱含同意的任何人士；
  any person with your express or implied consent;
- 任何負有保密義務並就客戶的股票及資產登記為客戶代理的人士；
  any individual under a duty of confidentiality, who registered as the customer's agent of the customer's stocks and assets;
- 基於本公司利益或本公司有責任向其作出披露的任何人士；
  any person where the interests of the Company require disclosure or where the Company is under an obligation to make disclosure;
- 根據公眾利益需要向其作出披露的任何人士；
  any person where public interest requires disclosure;
- 本公司及／或任何其他集團公司的核數師、法律顧問及／或其他專業顧問；
  auditors, legal advisors and/or other professional advisors of the Company and/or any other Group Companies;
- 信貸調查公司及（如閣下失責）追收欠帳公司；
  credit reference agencies and, in the event of your default, debt collection agencies;
- 任何要求本公司及／或任何其他集團公司提供客戶資料而能出示客戶同意證據之人士；及
  any person who requests the Company and/or any other Group Companies to provide references in respect of you upon producing proof of your prescribed consent; and
- 倘本公司及／或任何其他集團成員公司必須符合遵從的任何司法管轄區的有關法律、法庭指令或監管、規則或規例條例或規則的要求下：，任何司法管轄區的任何交易所、實體、代理人部門、監管或政府機構。通常在此情況下，本公司及／或任何其他集團成員公司通常須要遵守保密責任而將不能通知客戶或在徵求客戶的同意後才向上述人士披露有關資料。
  any exchange, entity, agency, regulatory or government body in any jurisdiction if required by law or pursuant to any court orders, rules or regulations to which the Company and/or any other Group Companies is subject. In such cases, the Company and/or any other Group Companies is usually under a duty of secrecy and will not be able to notify a customer or seek his/her consent in relation to such release of information.
根據《個人資料 ( 私隱 ) 條例》之條款，客戶有權：
Under and in accordance with the terms of the PDPO, you have the right:
- 查悉本公司是否持有客戶的資料及查閱該等資料；
  to check whether the Company holds data about you and the right of access to such data;
- 要求本公司改正任何有關閣下而不準確的資料；
  to require the Company to correct any data about you which is inaccurate;
- 查悉本公司對客戶資料的政策及處理手法，並了解該等資料的種類。
  to ascertain the Company's policies and practices in relation to personal data and to be informed of the kind of personal data held by the Company.
在獲得閣下的同意（包括表示不反對）下，本公司及／或任何其他集團公司可能會把閣下的個人資料作於直接促銷。就此，請注意：
The Company and/or any other Group Companies may use your personal data in direct marketing with your consent (which includes an indication of no objection) for that purpose. In this connection, please note that:
- 閣下的個人資料，例如姓名、電話號碼、電郵地址、通信地址、帳戶號碼、產品及服務組合信息、交易模式及行為、風險狀況、財務背景及投資目標及經驗等，可能會被本公司及／或任何其他集團公司用於直接促銷；
  Your personal data such as the customer ’s name, telephone number, email address, correspondence address, account number, products and services portfolio information, transaction pattern and behaviour, risk profile, financial background and investment objectives and experience may be used by the Company and/or any other Group Companies in direct marketing.
- 以下類別的服務、產品、安排及推廣標的可用作促銷：
  The following classes of services, products, facilities and marketing subjects may be marketed:
- - 金融、證券、商品、衍生產品、投資、融資、保險、強積金／職業退休計劃、財富管理、投資者教育及相關服務、產品及安排；
    financial, securities, commodities, derivatives, investment, financing, insurance, MPF/ ORSO, wealth management, investor education and related services, products and facilities;
  - 獎賞、年資獎勵或優惠計劃及相關服務、產品及安排；
    reward, loyalty or privileges programmes and related services, products and facilities;
  - 由任何本公司及／或任何其他集團公司的商業夥伴所提供的服務、產品及安排，該等商業夥伴為提供任何上文第5(ii)(1)條所述的服務、產品及安排的供應商；及
    services, products and facilities offered by business partners of the Company and/or any other Group Companies providing any of the services, products and facilities referred to in Clause 5(ii)(1) above; and
  - 慈善或非牟利機構。
    donations and contributions for charitable and/or non-profit making purposes.
- 上述服務、產品、安排及推廣標的可由本公司及／或任何其他集團公司及／或任何下述各方提供或（就捐款及捐贈而言）徵求：
  The above services, products, facilities and marketing subjects may be provided or (in the case of donations and contributions) solicited by the Company and/or any other Group Companies and/ or any of the following persons:
- - 本公司及／或任何其他集團公司的任何成員；
    any member of the Company and/or any other Group Companies;
  - 第三方金融機構及提供上文第5(ii)(1)條所述的任何服務、產品及設備的供應商；
    third party financial institutions and providers of any of the services, products and facilities referred to in Clause 5(ii)(1) above;
  - 第三方獎賞、年資獎勵、聯營或優惠計劃供應商；
    third party reward, loyalty, co-branding or privileges programme providers;
  - 本公司及／或任何其他集團公司的任何商業夥伴，該等商業夥伴為提供任何上文第5(ii)(1)條所述的服務、產品及安排的供應商；及
    business partners of any member of the Company and/or any other Group Companies providing any of the services, products and facilities referred to in Clause 5(ii)(1) above; and
  - 慈善或非牟利機構。
    charitable or non-profit making organisations.
- 在獲得客戶的書面同意（包括表示不反對）下，本公司及／或任何其他集團公司亦可能會把上文第5(i)條所述的個人資料提供予上文第5(iii)條所述的任何人士，以供該等人士在其直接促銷上文第5(ii)條所述的服務、產品及安排時使用。本公司及／或任何其他集團公司可能會為得益而向該等人士提供個人資料，以供該等人士用於直接促銷。
  The Company and/or any other Group Companies may, with your written consent (which includes an indication of no objection), also provide the personal data described in Clause 5(i) above to any of the persons referred to in Clause 5(iii) above for use by any of them in direct marketing of the services, products, facilities and marketing subjects referred to in Clause 5(ii) above. The Company and/or any other Group Companies may so provide the personal data to such persons for direct marketing purposes for gain.
如客戶希望本公司停止使用客戶的個人資料及提供予其他人士作直接促銷用途，客戶可以書面方式通知本公司資料保護專員，其郵寄地址及傳真號碼載於下文第9條。此後，本公司必須停止使用及提供客戶的個人資料作直接促銷用途，費用全免。
If a customer wishes the Company to cease to use and provide his/her personal data to other persons for us in direct marketing, the customer may notify the Company in writing by mailing or faxing the written notification to the postal address, email address or fax number provided in Clause 9 below. The Company shall then cease to use and provide his/her personal data for direct marketing purposes without any charge.
在若干情況下客戶可能透過電子途徑（例如互聯網或話音錄音系統）向本公司提供個人資料。儘管本公司已竭盡所能以確保其系統的保安及可靠性，基於電訊傳送可能出現多種不可預計的情況，電子通訊的可靠性可能受到影響。有見及此，客戶在利用電子媒介傳送個人資料時應倍加留意。
There may be instances where customers elect to provide personal information to the Company and/or any other Group Companies through electronic means (such as internet or voice recording system). Whilst the Company generally uses best endeavours to maintain the security and integrity of its systems, due to many unpredictable traffic or other reasons, electronic communication may not be a reliable medium of communication, customers should take heed of such weaknesses and communicate personal information through electronic communication with caution.
根據《個人資料 ( 私隱 ) 條例》，本公司有權就處理任何查閱資料的要求收取合理費用。
According to the PDPO, the Company has the right to charge you a reasonable fee for the processing of any data access request.
如客戶或客戶授權他人代行提供的個人資料有失實或誤導之處，本公司及其他集團公司一概不負上任何責任。
Neither the Company nor any other Group Company shall have any liability to you if any information supplied by you or on your behalf is incorrect or inaccurate.
如欲要求停止使用客戶的個人資料作直接促銷用途或查詢或更正資料或查詢有關政策、慣例及資料的種類，請向以下人士提出：
The person to whom requests for ceasing the use of personal data in direct marketing, access to data, correction of data or information regarding policies and practices and kinds of data held are to be addressed as follows:
資料保護專員
永豐金證券(亞洲)有限公司
香港九龍尖沙咀北京道1號21樓
電郵：cs.asia@sinopac.com
傳真：(852) 2586 8412

The Data Protection Officer
SinoPac Securities (Asia) Limited
21/F, One Peking, 1 Peking Road, Tsim Sha Tsui, Kowloon, Hong Kong
Email: cs.asia@sinopac.com
Fax: (852) 2586 8412
本公司及／或任何其他集團公司應閣下的書面要求，須停止使用閣下的個人資料作直接推廣用途而不收取任何費用。
The Company and/or the other Group Companies are required, upon your written request, to cease to use your personal data for direct marketing purposes without charge.
本公司可不時修改、修訂或補充本通知。最新版本的聲明可於本公司之網站www.sinopacasia.com取覽或以書面方式向本公司索取。
This Notice may be revised, amended or supplemented from time to time by the Company. The most up-to-date Statement can be found in the Company’s website at www.sinopacasia.com or available from the Company upon written request.
本通知概無內容限制閣下於《個人資料（私隱）條例》下的權利。
Nothing in this Notice shall limit your rights under the PDPO.
在本通知下，凡文意要求或許可的情況下，當該客戶包括兩位或多位人士時，述及該客戶的地方必須理解為針對此等人士之全部或任何一位而說的，單數詞亦包含眾數詞意，反之亦然，「人士」一詞意指及包括公司、社團、法團、商號或個人，若為個人，則包括他或她的產遺囑執行人，、遺產管理人、委員會、接管官或合法代表此等每一位人士之其他人士。除文義另有所指外，所有單數詞包含眾數詞意，反之亦然。所有述及的「客戶」是包括預期的及現有的客戶本公司網站的訪客及參與推廣活動、比賽或遊戲的人士。
In this Notice wherever the context so requires or admits where the customer comprises two or more persons all references to the customer shall be construed as references to all or any of such persons, the singular shall include the plural and vice versa, the expression “person” shall mean and include a company, society, corporation, firm or an individual and in the case of an individual his or her executors, administrators, committee, receiver or other person lawfully acting on behalf of every such person. All references to the plural herein shall also mean the singular and to the singular shall also mean the plural unless the context otherwise requires. All references to “customer” include prospective and existing customers, visitors to the Company’s website and individuals who participate in promotion, contest or game.

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