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Personal Information Collection Statement

This Statement is made by KGI Hong Kong in accordance with the Personal Data (Privacy) Ordinance of the Hong Kong Special Administrative Region ('the Ordinance'). The Statement is intended to notify data subjects of why personal data is collected, how it will be used and to whom data access requests are to be addressed.

1. From time to time, it is necessary for data subjects to supply KGI Hong Kong with data in connection with the opening or continuation of accounts and the establishment or continuation of trading or credit facilities or provision of financial, securities, commodities, derivatives, investment, financing, insurance, MPF/ORSO, wealth management, investor education and related services, products and facilities.
2. Failure to supply such data may result in KGI Hong Kong being unable to open or continue accounts or establish or continue trading or credit facilities or provide the services, products or facilities mentioned in clause 1 above.
3. It is also the case that data are collected from data subjects in the ordinary course of the continuation of the business relationship between data subjects and KGI Hong Kong.
4. The purposes for which data relating to data subjects may be used (whether within or outside Hong Kong) are as follows:
(i) the daily operation of the services and facilities provided to data subjects;
(ii) conducting credit checks;
(iii) assisting other financial institutions to conduct credit checks;
(iv) ensuring ongoing credit worthiness of data subjects;
(v) designing the services, products or facilities mentioned in clause 1 above for data subjects' use;
(vi) marketing the services, products and facilities mentioned in clause 1 above (details of the use or provision of personal data by KGI Hong Kong for direct marketing purposes are set out in clause 6 below);
(vii) determining the amount of indebtedness owed to or by data subjects;
(viii) collection of amounts outstanding from data subjects and those providing guarantee or security for data subjects' obligations;
(ix) meeting the requirements to make disclosure under the requirements of any legal and/or regulatory requirements or court orders binding on KGI Hong Kong;
(x) enabling KGI Hong Kong to comply with any applicable industry practices; and
(xi) purposes relating to any of the above.

5. Data held by KGI Hong Kong relating to a data subject will be kept confidential but KGI Hong Kong may provide such data to the following parties (whether within or outside Hong Kong):
(i) any agent, contractor or third party service provider who provides administrative, telecommunications, computer, financial, trade execution, cash, securities and/or contracts clearing or settlement or other services to KGI Hong Kong in connection with the operation of its business;
(ii) any other person under a duty of confidentiality to KGI Hong Kong including but not limited to any member of the KGI Group which has undertaken to keep such information confidential;
(iii) any financial institution or dealer with which the data subject has or proposes to have dealings;
(iv) any credit reference agency and in the event of default, any debt collection agency;
(v) any actual or proposed assignee of KGI Hong Kong or participant or sub-participant or transferee of KGI Hong Kong's rights in respect of the data subjects;
(vi) any person providing or proposing to provide guarantee or security for a data subject's obligations; and
(vii) 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 KGI Hong Kong is subject. In such cases, KGI Hong Kong is usually under a duty of secrecy and will not be able to notify a data subject or seek his/her consent in relation to such release of information.

6. USE OF DATA IN DIRECT MARKETING
KGI Hong Kong intends to use but will only use a data subject's personal data in direct marketing with the data subject's consent (which includes an indication of no objection) for that purpose. In this connection, please note that:
(i) the data subject's personal data such as the data subject'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 KGI Hong Kong in direct marketing;
(ii) the following classes of services, products, facilities and marketing subjects may be marketed:
(1) financial, securities, commodities, derivatives, futures, options, investment, financing, insurance, MPF/ORSO, wealth management, asset management, investor education and related advisory or other services, products and facilities;

(2) reward, loyalty or privileges programmes and related services, products and facilities;
(3) services, products and facilities offered by business partners of any member of KGI Group providing any of the services, products and facilities referred to in clause 6(ii)(1) above; and
(4) donations and contributions for charitable and/or non-profit making purposes;
(iii) the above services, products, facilities and marketing subjects may be provided or (in the case of donations and contributions) solicited by KGI Hong Kong and/or any of the following persons:
(1) any member of the KGI Group;
(2) third party financial institutions and providers of any of the services, products and facilities referred to in clause 6(ii)(1) above;
(3) third party reward, loyalty, co-branding or privileges programme providers;
(4) business partners of any member of KGI Group providing any of the services, products and facilities referred to in clause 6(ii)(1) above; and
(5) charitable or non-profit making organisations;
(iv) KGI Hong Kong intends to provide but will only provide the personal data described in clause 6(i) above to any of the persons referred to in clause 6(iii) above for use by any of them in direct marketing of the services, products, facilities and marketing subjects referred to in clause 6(ii) above with the data subject's written consent (which includes an indication of no objection). KGI Hong Kong may so provide the personal data to such persons for direct marketing purposes for gain (whether in the form of any fee, commission, benefit or otherwise).
If a data subject wishes KGI Hong Kong to cease to use his/her personal data and/or provide it to other persons for use in direct marketing, the data subject may notify KGI Hong Kong in writing by mailing or faxing the written notification to the postal address or fax number provided in clause 11 below. KGI Hong Kong shall then cease to use and/or provide his/her personal data for direct marketing purposes without any charge.

7. Data subjects agree that KGI Hong Kong may from time to time transfer data subjects' personal data outside Hong Kong for any of the purposes stated in clauses 1 to 6 above.

8. There may be instances where data subjects elect to provide personal information to KGI Hong Kong through electronic means (such as Internet or voice recording system). Whilst KGI Hong Kong generally uses best endeavors 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. Data subjects should take heed of such weaknesses and communicate personal information through electronic devices with caution.

9. Under and in accordance with the terms of the Ordinance, an individual has the right to:

(i) check whether KGI Hong Kong holds data about him/her and the right of access to such data;
(ii) require KGI Hong Kong to correct any data relating to him/her which is inaccurate; and
(iii) ascertain KGI Hong Kong's policies and practices in relation to data and to be informed of the kind of personal data held by KGI Hong Kong.

10. In accordance with the terms of the Ordinance, KGI Hong Kong has the right to charge a reasonable fee for the processing of any data access request.

11. The person to whom requests for ceasing to 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:

The Data Protection Officer, KGI Hong Kong
41/F, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong
Tel : (852) 2878 6888
Fax : (852) 2878 4932

12. This Statement may be revised, amended or supplemented from time to time by KGI Hong Kong. The most up-to-date statement can be found in KGI Hong Kong's website at http://www.kgieworld.com or available from KGI Hong Kong upon written request. The contents of this Statement (as revised, amended and supplemented from time to time) shall apply to all data subjects and form part of any terms and conditions governing the relationship between KGI Hong Kong and the data subjects concerned from time to time.


13. In this Statement, all references to "KGI Hong Kong" refer to KGI Asia Limited, KGI Asset Management Limited, KGI Capital Asia Limited, KGI Finance Limited, KGI Futures (Hong Kong) Limited, KGI International Finance Limited, KGI International (Hong Kong) Limited, KGI Investments Management Limited, KGI Nominees (Hong Kong) Limited, KGI Securities (Hong Kong) Limited, KGI Wealth Management Limited, Grand Cathay Securities (Hong Kong) Limited and T G Holborn (HK) Limited collectively or individually and all references to "KGI Group" refer to KGI Hong Kong together with their respective holding companies, subsidiary companies, associated companies and affiliated companies collectively or individually. All references to "data subjects" include individuals who are prospective or existing customers or counterparties of any KGI Hong Kong company; authorized signatories, beneficial owners, directors, shareholders, controllers, officers, staff members; visitors to KGI Hong Kong's website; individuals who participate in promotion, contest, investor education programme or game; and persons referred to in clause 5(vi) above.


In case of discrepancies between the English and Chinese versions, the English version shall prevail.