隐私保护政策 - 幫助中心

隐私保护政策

附表 5 第 1 部 SCHEDULE 5 PART 1

就《個人資料 (私隱) 條例》(香港法例第 486 章) 發出的通知 (「私隱條例」) NOTICE RELATING TO THE PERSONAL DATA (PRIVACY) ORDINANCE (CHAPTER 486 OF THE LAWS OF HK) (“PDPO”)

尊重和保障個人資料的私隱權是昇世匯盈證券有限公司 (「昇世匯盈」) 的政策。本通知明確規定了昇世匯盈收集個人資料的目的、昇世匯盈為保護個人資料而採取的重要控制措施，可獲昇世匯盈轉交個人資料的人士類別以及向昇世匯盈提供個人資料的人士要求查閱及改正資料的權利。

It is the corporate policy of WRise Prestige Securities Limited. (“WPRESTIGE”) to respect and safeguard the privacy of an individual’s personal data. This notice stipulates clearly WPRESTIGE’s purposes of person data collection, the important controls employed by WPRESTIGE for protection of personal data, the classes of persons WPRESTIGE can transfer personal data to, and the data access and correction rights of individuals providing personal data to WPRESTIGE.

提供資料 SUPPLY OF DATA

個別人士或有關該人士的其他方 (例如由該人士擔任董事的公司) 或會不時需要向昇世匯盈證券有限公司 (「昇世匯盈」) 提供個人資料 (例如姓名、地址、身份證明文件、僱主、收入、資產、投資風險狀況等詳情)，以用作在昇世匯盈開立或維持任何賬戶或由昇世匯盈向該人士 (不論單獨或聯同任何其他方) 或任何其他方提供或維持服務 (包括但不限於證券經紀、代名人及保管服務) 或信貸融資，或遵守任何法律及／或監管規定。如未有提供有關資料，或會使昇世匯盈無法為上述人士及／或其他有關方開立或維持賬戶或向彼等提供或維持服務或信貸融資或遵守法律及／或監管規定。

From time to time, it may be necessary for an individual or other parties relating to that individual (e.g. a company of which the individual is a director) to provide WPRESTIGE with personal data (including but not limited to name, address, particulars of identification document, employer, income, assets, investment risk profile) in connection with or for the purpose of opening or continuation of any account with WPRESTIGE by or WPRESTIGE’s provision or continuation of service (including but without limitation to securities brokerage, nominee and custodian service) or credit facilities to such individual (whether solely or jointly with any other party) or any other party or compliance with any legal and/or regulatory requirements. Failure to supply such data may result in WPRESTIGE being unable to open or continue the account for or provide or continue the service or credit facilities to the said individual and/or other relevant party(ies) or comply with legal and/or regulatory requirements.

在維持與昇世匯盈的客戶 (「客戶」) 業務關係的正常過程中，亦會從客戶收集上述資料。

It is also the case that data are collected from WPRESTIGE’s customers (“Customers”) in the ordinary course of the continuation of the business relationship between Customers and WPRESTIGE.

在提供資料或同意有關資料被提供予昇世匯盈，客戶同意全面授予昇世匯盈本附表所陳列的資料收取和使用的用途。

By providing the data or agreeing to have such data provided to WPRESTIGE, the Customers agree that they give full consent to WPRESTIGE to collect and use the data for the purposes set out in this Schedule.

如提供任何其他人士的資料，客戶保證及承諾其有完全的權力和同意提供該些資料授予昇世匯盈本附表所陳列的資料收取和使用的用途。

If they are supplying details of other persons, they represent and warrant that they have full authority and consent to provide such details to WPRESTIGE for WPRESTIGE’s purposes and uses as set out in this Schedule.

目的 PURPOSES

有關個別人士的資料或會用作以下用途； The purposes for which data relating to an individual may be used are as follows:

日常向客戶提供服務及信貸以及辦理昇世匯盈的其他業務，例如考慮開戶申請、投資風險狀況評估、執行客戶的指示、持續賬戶管理，其中包括追收到期款項、強制執行抵押及擔保；

the daily operation of the services and facilities provided to Customers and otherwise of WPRESTIGE’s business, e.g. considering account opening application, investment risk profile assessment, execution of Customers’ instructions, ongoing account administration, including collection of amounts due, enforcement of security and guarantee;

對新顧客或現有顧客進行盡職調查及身份驗證；carrying out new or existing client identity verification;
進行信用審查 (包括但不限於接獲信貸融通申請及定期或特別檢討信貸時進行)；

conducting credit checks (including without limitation upon an application for credit facilities and upon periodic or special reviews of the credit);

協助其他金融機構、證券行、昇世匯盈的代理人或服務供應商 (不論是否所屬的公司集團成員 (「本集團」))，進行新顧客或現有顧客的盡職調查及身份驗證、進行信用審查及收賬；

assisting other financial institutions, securities houses, agents or service providers of WPRESTIGE (whether or not a member of the group of companies to which WPRESTIGE belongs (the “Group”)) to carry out new or existing client due diligence checking and identity verification, conduct credit checks and collect debts;

允許本集團以及昇世匯盈的母公司以收取並使用資料作風險分析和履行內地與香港股市互聯互通中北向交易所要求的北向交易投資者識別碼模式規定；

allowing the Group and its parent company to receive and use the data for risk analysis and to fulfill the northbound investor ID regime requirement under the northbound trading under Mainland-HK Stock Connect;

確保客戶、擔保人及抵押提供者的信譽持續可靠；ensuring ongoing credit worthiness of Customers, guarantors and security providers;
設計金融服務或相關產品以供客戶使用；designing financial services or related products for Customers' use;
按下文第四 (4) 段所述推銷服務、產品及其他項目；marketing services, products and other subjects as described in paragraph 4 below;
釐定應付予客戶或客戶所欠的債項金額；determining the amount of indebtedness owed to or by Customers;
向客戶及就客戶的債務提供抵押或擔保的人士追收未償還款項；

collection of amounts outstanding from Customers and those providing security or guarantee for Customers' obligations;

向香港境外任何地方轉交有關資料，以用於向客戶提供服務所涉及的若干程序或工作，包括但不限於向海外服務供應商外判向客戶提供服務及與顧客的盡職調查及身份驗證相關的若干職能或工作程序；

transferring such data to any place outside HK for the purpose of certain process or work involved in the provision of services to Customers, including, without limitation, the outsourcing to an overseas service provider of certain functions or work process in connection with the provision of services to Customers and client due diligence and identity verification;

對個人資料進行配對和比較 (不論有關資料從哪些來源收集，亦不論是否由昇世匯盈或任何其他人士或由任何在香港或其他司法管轄區的政府機關 (包括公安部門或其代理人或服務供應商) 收集)，以作以下用途：

matching and comparison of individuals’ data (irrespective of the sources from which such data was collected, and whether collected by WPRESTIGE or any other person or governmental authority (including public security bureau or its agent or service provider) in HK or other jurisdictions) for the purposes of:

信用審查；credit checking;
資料驗證；及／或 data verification; and/or
另行製作或驗證資料，以在適用法例、規則及規例許可的情況下對個別人士或任何其他人士採取懲罰措施；

otherwise producing or verifying data which may be used for the purpose of taking adverse action against the individuals or any other person as permitted by applicable laws, rules and regulations;

履行根據下列適用於昇世匯盈或本集團、其他服務供應商或證券經紀被期望遵守就披露及使用資料的義務、規定或安排；

complying with the obligations, regulations or arrangements for disclosing and using data that apply to WPRESTIGE or the Group or other service providers or brokers that it is expected to comply with according to:

不論於香港境內或境外及不論目前或將來存在對其具法律約束力或適用的任何法律 (例如：《稅務條例》及其條款，包括有關自動交換財務賬戶資料的條款，或就美國法下的外國賬戶稅務合規法案 (FATCA) 的條款)；

any law binding or applying to it within or outside HK existing currently and in the future (e.g. the Inland Revenue Ordinance and its provisions including those concerning automatic exchange of financial account information or the Foreign Account Tax Compliance Act (FATCA) of the United States);

不論於香港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示 (例如：由稅務局提供及發出的指引及指示，包括有關自動交換財務賬戶資料的指引及指示，或就美國法下的外國賬戶稅務合規法案 (FATCA) 的指引及指示)；及／或

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 HK existing currently and in the future (e.g. guidelines or guidance given or issued by the Inland Revenue Department including those concerning automatic exchange of financial account information or any guideline or guidance concerning the Foreign Account Tax Compliance Act (FATCA) of the United States); and/or

昇世匯盈或本集團、其他服務供應商或證券經紀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：

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 WPRESTIGE or the Group or other service providers or brokers 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 authority, or self- regulatory or industry bodies or associations;

遵守為符合制裁或預防或偵測清洗黑錢、恐怖分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；

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;

與昇世匯盈及本集團的業務或交易有關之目的，例如讓昇世匯盈有關交易的實際或建議承讓人或昇世匯盈的股份或其業務的實際或建議買方或昇世匯盈有關任何客戶權利的實際或建議參與人或附屬參與人或受讓人，可就本集團的公司重組對有關轉讓、收購或交易進行評估；

purpose in connection with the business or dealings of WPRESTIGE and the Group, e.g. enabling an actual or proposed assignee of WPRESTIGE in respect of a transaction or an actual or proposed purchaser of shares in WPRESTIGE or WPRESTIGE’s business or an actual or proposed participant or sub-participant or transferee of WPRESTIGE’s rights in respect of any Customers to evaluate the assignment, acquisition or transaction concerned and purpose in connection with corporate restructuring of the Group;

防止、偵測及調查犯罪行為，包括但不限於欺詐及其他金融類型罪案，及作商業風險分析及管理；及

preventing, detecting and investigating crime, including but not limited to fraud and any form of financial crime, and analyzing and managing other commercial risks; and

有關上述 (a) 至 (p) 項或所附帶之目的。 purposes relating or ancillary to any of (a) to (p) above.

轉交資料 TRANSFER OF DATA

昇世匯盈會把所持有的個人資料 (不論是否由該等個人資料相關的人士所提供) 保密，但昇世匯盈可能會提供有關資料予下列各方 (不論於香港境內或境外) 作本附表上述第 (2) 段所述用途：

Personal data held by WPRESTIGE (whether or not provided by the individual to whom such personal data relates) will be kept confidential but WPRESTIGE may provide such data to the following parties (whether within or outside HK) for the purposes set out in paragraph (2) in this Notice:

就昇世匯盈之業務營運向昇世匯盈提供行政、信貸資料、顧客的盡職調查及身份驗證、電訊、電腦、付款、證券結算、印刷、法律、審核或其他服務的任何代理人、認證代理人、承包商或第三方服務供應商、專業顧問、核數師 (不論是否於香港)；

any agent, contractor or third party service provider, professional adviser, auditor (whether or not in HK) which provides administrative, credit information, client due diligence and identity verification, telecommunications, computer, payment, securities clearing, printing, legal, audit or other services to WPRESTIGE in connection with the operation of its business;

信用調查機構，及 (如出現違約) 收賬機構； credit reference agencies, and, in the event of default, debt collection agencies;
就客戶需要或將會交涉的金融機構； any financial institution with which the Customer has or proposes to have dealings with;
昇世匯盈根據任何法律及／或監管規定及／或任何法院、監管、主管、政府或其他機關或交易所或結算所的命令，有責任需要、被告知或被要求向其作出披露的任何各方 (包括但不限於任何政府、規管、監管或其他組織或機構或交易所或結算所)；

any party (including but without limitation to any governmental, regulatory, supervisory or other bodies or institutions or exchange or clearing house) to which WPRESTIGE is required, advised or asked to provide to pursuant to any legal and/or regulatory requirement and/or order of any court, regulatory, supervisory, governmental or other body or exchange or clearing house under an obligation to make disclosure;

昇世匯盈的任何實際或建議承讓人、昇世匯盈股份或其業務的買方或昇世匯盈有關其任何客戶的權利的參與人或附屬參與人或受讓人；

any actual or proposed assignee of WPRESTIGE, purchaser of shares in WPRESTIGE or its business and participant or sub- participant or transferee of WPRESTIGE’s rights in respect of any Customer;

其他本集團成員 (不論於香港或其他地方)；other Group members (whether in HK or otherwise);
本集團任何董事、主管人員或僱員； any director, officer or employee of the Group;
昇世匯盈與其進行交易或建議進行交易的金融機構； any financial institutions with which WPRESTIGE has or propose to have dealings;
本集團的融資機構及潛在融資機構； financiers and potential financiers of the Group;
昇世匯盈的業務夥伴； business partners of WPRESTIGE;
對昇世匯盈負有保密責任的任何其他方；any other party under a duty of confidentiality to WPRESTIGE;
對資料當事人的責任提供或計劃提供擔保或第三者抵押品的任何人等；

any party giving or proposing to give a guarantee or third-party security to guarantee or secure the data subject’s obligations;

第 4.4 段所列的各方；the parties listed in paragraph 4.4;
昇世匯盈就第 2(g) 段所述目的委聘的外部服務供應商 (包括但不限於郵遞公司、電訊公司、電話推銷及直銷代理、傳呼中心、數據處理公司及資訊科技公司)；

external service providers (including but not limited to mailing houses, telecommunications companies, telemarketing and direct sales agents, call centers, data processing companies and information technology companies) that WPRESTIGE engages for the purposes set out in paragraph (2)(g);

取得客戶明示或默示同意的任何人士； any party with the Customer’s express or implied consent;
就昇世匯盈的權益須作披露的任何人士；及 any party where WPRESTIGE’s interests require disclosure; and
就公眾利益須作披露的任何人士。any person where the public interest requires disclosure.

For the avoidance of doubt, the Customer agrees that data may be transferred to a place outside HK. 未免存疑，客戶同意有關資料可轉交至香港境外地方。

使用個人資料作直銷用途 USE OF PERSONAL DATA IN DIRECT MARKETING
1. WPRESTIGE intends to use the personal data it holds in direct marketing. 昇世匯盈有意使用所持有的個人資料作直銷用途。
2. 昇世匯盈所持有的客戶及其他人士的名字、聯絡資料、產品及其他服務組合資料、交易模式和行為、財務背景及人口數據，可不時由昇世匯盈用作直銷。

The name, contact details, products and other service portfolio information, transaction pattern and behaviour, financial background and demographic data of the Customers and other individuals held by WPRESTIGE may from time to time be used by WPRESTIGE in direct marketing.

就上文第 4.2 段而言，可銷售以下類別的服務、產品及項目：In connection with paragraph 4.2 above, the following classes of services, products and subjects may be marketed:
1. 金融、證券、商品、投資、銀行及相關服務和產品；financial, securities, commodities, investment, banking and related services and products;
2. 有關獎賞、忠誠度、尊貴客戶或品牌合作的計劃以及相關服務和產品;及 reward, loyalty, privileges or co-branding programmes and related services and products;
3. 昇世匯盈的品牌合作夥伴 (該等品牌合作夥伴的名稱將於申請有關服務及產品時 (視情況而定) 提供) 所提供的服務和產品；及

services and products offered by WPRESTIGE’s co-branding partners (the names of such co-branding partners will be provided during the application for the relevant services and products, as the case may be); and

donations and contributions for charitable and/or non-profit making purposes. 有關慈善及／或非牟利用途的捐獻。
1. 以上服務、產品及項目可由昇世匯盈及／或以下各方提供或 (就損獻而言) 募捐：

The above services, products and subjects may be provided by or (in the case of donations and contributions) solicited by WPRESTIGE and/or:

其他本集團成員；other Group members;
第三方金融機構、保險公司、信用卡公司、證券及投資服務供應商；third party financial institutions, insurers, credit card companies, securities and investment services providers;
第三方的獎賞、忠誠度、尊貴客戶或品牌合作計劃提供者；third party reward, loyalty, privileges or co-branding programme providers;
昇世匯盈及本集團成員的品牌合作夥伴 (該等品牌合作夥伴的名稱將於申請有關服務及產品時 (視情況而定) 提供)；及

co-branding partners of WPRESTIGE and the Group members (the names of such co-branding partners will be provided during the application for the relevant services and products, as the case may be); and

慈善或非牟利組織。charitable or non-profit making organisations.
1. 除就上述服務、產品及項目進行銷售外，昇世匯盈亦有意向上文第 4.4 段所述的所有或任何人士提供上文第 4.2 段所述的個人資料 (昇世匯盈可能會或可能不會就此獲得報酬)，以供彼等在銷售該等服務、產品及項目時使用，而昇世匯盈須就此要求客戶及與作此用途的個人資料有關的其他相關人士的書面同意 (包括表示不反對)。

In addition to marketing the above services, products and subjects itself, WPRESTIGE also intends to provide the personal data described in paragraph 4.2 above to all or any of the persons described in paragraph 4.4 above (in respect of which WPRESTIGE may or may not be remunerated) for use by them in marketing those services, products and subjects, and WPRESTIGE requires the written consent (which includes an indication of no objection) from the Customers and other relevant individuals to whom the personal data relate for that purpose.

昇世匯盈或會因按上文第 4.5 段所述向其他人士提供個人資料而收取金錢或其他財物，而當要求客戶或昇世匯盈持有其個人資料的有關人士的同意或不反對時，昇世匯盈將通知有關客戶及人士是否會就向其他人士提供個人資料而收取任何金錢或其他財物。

WPRESTIGE may receive money or other property in return for providing the personal data to other persons as mentioned in paragraph 4.5 above and, when requesting consent or no objection from the Customers or individuals in respect of whom WPRESTIGE holds personal data, WPRESTIGE will inform such Customers and individuals if it will receive any money or other property in return for providing the personal data to the other persons.

倘任何客戶或任何其他人士不願昇世匯盈使用或向其他人士提供其個人資料作上述直銷用途，該客戶或該其他人士可按下文第 5.3 段所載的聯絡資料以書面通知昇世匯盈以行使其選擇退出權，而昇世匯盈將按要求不再使用有關人士的個人資料作直銷用途而不收取費用。

If any Customer or any other individual does not wish WPRESTIGE to use or provide his/or her personal data to other persons for use in direct marketing as described above, the Customer or such other individual may exercise his/her opt-out right by notifying WPRESTIGE in writing by using the contact information set out in paragraph 5.3 below and WPRESTIGE will cease to use an individual’s personal data for direct marketing purposes without charge if such individual so requests.

查閱和修正的權利 RIGHTS OF ACCESS AND CORRECTION
1. 根據和按照私隱條例的條文，任何個別人士均有權：Under and in accordance with the terms of the PDPO, any individual has the right:

查詢昇世匯盈是否持有其個人資料並可查閱有關資料；to check whether WPRESTIGE holds personal data about him/her and of access to such data;
要求昇世匯盈修正有關該人士的屬不正確的任何個人資料；to require WPRESTIGE to correct any personal data relating to him which is inaccurate;
確定昇世匯盈有關個人資料的政策及常規，並獲知昇世匯盈所持有的個人資料種類。

to ascertain WPRESTIGE’s policies and practices in relation to personal data and to be informed of the kind of personal data held by WPRESTIGE.

如果個人來自歐洲聯盟 (「歐盟」) 的成員國，除受某些局限及／或限制下，《通用數據保障條例》可能適用於該個人，而該個人有權依據《通用數據保障條例》:

If an individual is in a member state of the European Union (“EU”), subject to certain limitations and/or restrictions, the General Data Protection Regulation may be applicable to the individual and the individual has the right under the General Data Protection Regulation to:

要求取得和糾正，或刪除其個人資料;request access to and rectification or erasure of his/her personal data;
限制或反對處理其個人資料;obtain restriction of processing or to object to processing of his/her personal data;
具有資料便攜的權利;the right to data portability;
在某些情況下，撤回他／她以前就處理其個人資料而給予的同意;及

withdraw the consents that he/she has given for the processing of his/her personal data in certain circumstances; and

就處理其個人資料向當地個人資料保護機構提出申訴。

lodge a complaint about the processing of his/her personal data with his/her local data protection authority.

根據私隱條例的條文，昇世匯盈有權就處理任何所要求的資料查閱收取合理費用。

In accordance with the provisions of the PDPO, WPRESTIGE has the right to charge a reasonable fee for the processing of any data access request.

如要求查閱個人資料或修正個人資料或要求提供有關昇世匯盈的個人資料政策及常規和所持有個人資料種類的有關資料，可按下列地址向以下人士提出：

The person to whom requests for access to personal data or correction of personal data or for information regarding policies and practices and kinds of personal data held by WPRESTIGE are to be addressed as follows:

資料保護主任收

昇世匯盈證券有限公司

香港銅鑼灣希慎道 33 號利園一期 1103 室

其他 OTHERS
1. 客戶同意昇世匯盈可不時將資料當事人的個人資料轉交香港以外的地方作任何本通知所述的任何用途。此外，個人資料可能被轉交到歐盟以外國家，這些國家未有提供與歐盟國家類似水平的保護。昇世匯盈將採取合理必要的步驟，以確保個人資料均得以足夠的保護，並按照本通知所述的方式處理。

Customers agree that WPRESTIGE may from time to time transfer Customers’ personal data outside HK for any of the purposes stated in this Notice. Furthermore, personal data may be transferred to countries located outside the EU which do not provide a similar level of protection to that provided by countries in the EU. WPRESTIGE will take reasonably necessary steps to ensure that personal data are treated with adequate level of protection and in accordance with this Notice.

當客戶向昇世匯盈提供其他人士的個人資料時，客戶承諾並表示客戶已通知該等個人並取得其同意，昇世匯盈可按照本通知收集、使用及處理其個人資料，並且在客戶通知並獲取該等個人的同意時，客戶應完全遵守有關司法管轄區的所有適用個人資料保護法，包括但不限於《私隱條例》。客戶同意在昇世匯盈提出要求時，將會及時向昇世匯盈提供有關同意的證據。

Where Customers provide personal data of other individuals to WPRESTIGE, Customers undertake and represent that Customers have notified and obtained necessary consents from such individuals for the collection, use and processing of such individuals' personal data by WPRESTIGE in accordance with this Notice, and in so notifying and obtaining the necessary consents from such individuals, Customers shall fully comply with all applicable personal data protection laws of relevant jurisdictions including but not limited to the PDPO. Customers agree to provide WPRESTIGE with evidence of such consents promptly as and when requested by WPRESTIGE.

在若干情況下資料當事人可能透過電子途徑 (例如互聯網或語音錄音系統) 向昇世匯盈提供個人資料。儘管昇世匯盈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，資料當事人在利用電子媒介傳送個人資料時應倍加留意。

There may be instances where data subjects elect to provide personal information to WPRESTIGE through electronic means (such as Internet or voice recording system). Whilst WPRESTIGE 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 devices with caution.

昇世匯盈只在有必要的期間內，為履行本通知所述的使用個人資料的目的保留個人資料，如果根據任何法律或法規要求或在其他必要情況時，則保留個人資料的時間更長。

WPRESTIGE retains personal data for only so long as it is necessary for the fulfillment of the purposes for which the data are used as stated in this Notice or longer if required by any legal or regulatory requirement or as is otherwise necessary.

本通知內並無任何條文可限制個別人士在私隱條例下的權利。 Nothing in this Notice shall limit the rights of an individual under the PDPO.
按上文第 3 段 (e) 項所述或會獲昇世匯盈轉交個人資料的其他本集團成員，或會採納與本通知所載者相同或類似的有關個人資料的原則及政策。

Other Group members, to which WPRESTIGE may transfer personal data as mentioned in item (e) of paragraph 3 above, may adopt the same or similar principles and policies regarding personal data as set out in this Notice.

昇世匯盈同意在其或以上第 3 段所列其他方發現或被通知任何資料外洩事件 (例如其個人資料的洩漏或丟失) 後，在可行情況下儘快通知客戶或其他個人及個人資料私隱專員。

WPRESTIGE agrees to notify Customers or other individuals and the Privacy Commissioner for Personal Data as soon as practicable upon discovery or notification of any data breach, such as the leakage or loss of their personal data, by WPRESTIGE or other parties listed in paragraph 3 above.

附表 5 第 2 部 SCHEDULE 5 PART 2 個人資料收集聲明 PERSONAL INFORMATION COLLECTION STATEMENT

昇世匯盈證券有限公司 (「昇世匯盈」) 可不時要求其客戶提供其個人資料。

The client (“Client”) respectively of Wrise Prestige Securities Limited (“WPRESTIGE”) may from time to time be requested by WPRESTIGE to supply personal data relating to the Client.

在本聲明中，For the purposes of this Statement:

「昇世匯盈集團」意指昇世匯盈之控股公司、附屬公司或關聯公司及／或該等控股公司之附屬公司或關聯公司。

“WPRESTIGE Group” means all and/or any of WPRESTIGE’s holding companies, subsidiaries or affiliates and/or subsidiaries or affiliates of such holding companies.

「個人資料」意指以電子方式或其他方式記錄的與已識別或可識別的自然人有關的各種資訊，即客戶已向昇世匯盈提供之下述個人資料: (i) 就個人帳戶持有人、聯名帳戶持有人或獨資經營者而言，其個人資料;(ii) 就合夥而言，其各合夥人之個人資料;及 (iii) 就公司實體而言，其個人董事、股東、行政人員或經理之個人資料。

“Personal data” means all information recorded electronically or by other means, that is related to identified or identifiable natural persons, (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 or manager which has been provided to WPRESTIGE.

在昇世匯盈合理地要求客戶在開戶申請書或其他情況下提供個人資料時，客戶需按要求提供個人資料，否則可能導致昇世匯盈無法為客戶開立或保持其帳戶或為其帳戶執行任何交易。

The Client shall provide all such personal data as shall be reasonably requested by WPRESTIGE in the Account Opening Form or otherwise, and any failure to do so may result in WPRESTIGE being unable to open or continue the Client’s account (“Account”), or to effect transactions under the Account.

客戶明白及同意，昇世匯盈可以按本聲明第 (4) 段所述用途向下述人士提供收取自客戶的個人資料：

The Client understands and accepts that WPRESTIGE may provide personal data received from the Client to the following persons for the purposes set out in sub-paragraph (4) of this Statement:

任何以其名義登記證券或其他資產的代名人；any nominees in whose name securities or other assets may be registered;
昇世匯盈集團內之成員或關聯或相關公司，包括但不限於昇世匯盈之母公司及／或子公司；

any member or affiliated or related company in the WPRESTIGE Group including but not limited to WPRESTIGE’s parent and/or subsidiary companies;

任何向昇世匯盈提供與昇世匯盈業務經營有關的或向客戶提供金融服務或產品有關的行政、背景審查、認證、資料處理、財務、電腦、電訊、支付或結算、交易、執行、專業或其他服務的承包商、顧問、代理人或第三方服務提供者；

any contractor, adviser, agent or third-party service provider which provides administrative, background checking, certification, data processing, financial, computer, telecommunication, payment or clearing, trading, execution, professional or other services to WPRESTIGE in connection with the operation of its business or provision of financial services or products to the Client;

信貸資料服務機構，及 (在違約欠債時) 追收債款代理；credit reference agencies, and, in the event of default, to debt collection agencies;
昇世匯盈代表客戶或客戶帳戶或其代表與之訂立或擬訂立交易的任何人；

any person with whom WPRESTIGE enters into or proposes to enter into a transaction with on behalf of the Client or the Account, or the persons representing the same;

透過或與昇世匯盈一起向客戶提供金融服務或發行、分銷或提供金融產品的任何人；

any person who provides financial services or issues, distributes or provides financial products to the Client through or with WPRESTIGE;

客戶進行證券、期貨及／或其他金融產品買賣而在其場所下單或交易的任何外國或本地的證券、期貨及／或其他金融產品的交易所；或其相關聯結算所或營運者；

any foreign or local exchanges of securities, futures and/or other financial products where the Client’s orders to buy or sell such securities, futures and/or other financial products are placed or transacted; or their associated clearing houses or operators;

更替昇世匯盈與客戶協議約務的承讓人、受讓方、參與者、次參與者、獲轉授人、繼承人或人士；及

any assignee, transferee, participant, sub-participant, delegate, successor or person to whom any agreement between the Client and WPRESTIGE is novated; and

任何外國或本地的政府、監管、監督、稅務、執法或其他機關、組織或機構。

any foreign or local governmental, regulatory, supervisory, tax, law enforcement or other authorities, bodies or institutions.

客戶明白及同意，其不時提供之個人資料可以作下述用途使用：

The Client understands and accepts that the purposes for which the personal data provided by the Client from time to time may be used are:

執行或實行客戶有關於交易或其他事情之下單或指令，以及執行客戶的其他指示；

executing or giving effect to the Client’s orders relating to transactions or otherwise, and carrying out the Client’s other instruction;

向客戶提供金融服務或產品或提供與賬戶有關的金融服務或產品，不論相關服務或產品是否由或透過任何昇世匯盈集團成員或其他人士提供；

providing financial services or products to the Client or in connection with the Account, whether the services or products are provided by or through any member of WPRESTIGE Group or any other person;

提供個人化財務分析及策劃或設計供客戶使用的金融服務或產品；

providing personalized financial analysis and planning or designing financial services or products for the Client's use;

向客戶推銷客戶可能感興趣的服務或產品；marketing services or products which may be of interest to the Client;
對客戶進行信貸或背景查詢及確定客戶財務狀況和投資目標；

conducting credit inquiries or background checks on the Client and ascertaining the Client’s financial situation and investment objectives;

追收債款、行使以昇世匯盈或其他昇世匯盈集團成員為受益人的抵押品、押記或其他權力及權利；

collecting of amounts due, enforcing of security, charges or other rights and interests in favour of WPRESTIGE or any member of WPRESTIGE Group;

為遵守或為促使昇世匯盈集團內之關聯公司或其相關公司遵守任何外國或本地之法律、規例 (包括但不限於外國帳戶稅收合規法案、自動交換財務帳戶資料、共同申報準則及相類似規例)、任何相關司法管轄區內現存或未來設立的法律、監管、政府、稅務、執法或其他機關、交易所、或金融服務提供者的自律組織或行業團體或協會所自行或按協議提供或發出的通知、指示或指引；

complying with and/or enabling any affiliated or related company in the WPRESTIGE Group to comply with any foreign or local laws, regulations (including but not limited to Foreign Account Tax Compliance Act, Automatic Exchange Of Financial Account Information, Common Reporting Standards and similar regulations), notifications, directives, guidelines or guidance given or issued by or in agreement with any legal, regulatory, governmental, tax, law enforcement or other authorities, exchanges, or self-regulatory or industry bodies or associations of financial services providers of the relevant jurisdictions, existing currently and in the future;

為遵守制裁，或遵守防止或偵查洗錢、恐怖份子融資或其他非法活動所適用的法律和法規和昇世匯盈集團的政策、程序、措施及安排；及

complying with sanctions or prevention or detection of money laundering, terrorist financing or other unlawful activities in accordance with applicable laws and regulations and WPRESTIGE Group’s policies, procedures, measures and arrangements; and

與上述任何一條或多條有關或附帶的其他目的。other purposes related or incidental to any one (1) or more of the above.
昇世匯盈可以不時按上述第 (4) 段所述用途，轉移客戶的個人資料予上述第 (3) 段所述人士。客戶可以根據本聲明第 (14) 段聯繫昇世匯盈，要求提供 (a) 第三方／昇世匯盈集團內接收方的聯繫方式，以及 (b) 有關他們如何收集和處理客戶個人資料的更多詳情。昇世匯盈根據適用的法律和法規采取適當措施以保護從昇世匯盈轉移至該等第三方的客戶個人資料，包括但不限於與該等第三方訂立適當的合同安排。

WPRESTIGE may from time to time transfer the personal data of the Client to any of the persons referred to in sub-paragraph (3) of this Statement above and for any of the purposes referred to in sub-paragraph (4) of this Statement above. The Client may request for (a) the contact details of these third parties/recipients within the WPRESTIGE Group and (b) further details about how they collect and process personal data of the Client by contacting WPRESTIGE in accordance with sub- paragraph (14) of this Statement. WPRESTIGE takes appropriate measures in accordance with applicable laws and regulations to safeguard the personal data of the Client transferred to such third parties from WPRESTIGE, including without limitation to, entering into appropriate contractual arrangements with such third parties.

客戶明白及了解，在以下情況及在適用的法律或法規允許的範圍內，昇世匯盈可能會在未經客戶同意的情況下處理客戶的個人資料：

The Client acknowledges and understands that under the following circumstances and to the extent allowed under applicable laws or regulations, WPRESTIGE may process the Client's personal data without consent:

if it is necessary for the conclusion or performance of any contract to which the Client is a party; 如為締結或履行客戶為一方之任何合同所必需；
if it is necessary for performing statutory duties or obligations under applicable laws or regulations; 如為履行適用的法律或法規規定的法定職責或義務所必需；
if it is necessary for responding to public health incidents or for the protection of personal and property security in the case of an emergency;

如為應對公共衛生事件或在緊急情況下保護個人和財產安全所必需；

if such personal data has been disclosed publicly or through other legal channels and the processing is within a reasonable scope; or

在合理的範圍內，處理已經公開或通過其他合法渠道公開的個人資料；或

if conducted under other scenarios permitted by applicable laws and regulations. 如其他適用的法律和法規所允許的情況。
個人資料在「了解你的客戶」要求中的使用 Use of Personal Data for Know-your-Client Requirements

客戶明白及同意昇世匯盈可能會通過開戶程序收集並處理客戶某些個人資料，包括但不限於 (i) 姓名；(ii) 生物識別信息，如臉部圖像和通過人臉識別獲得的關鍵特徵信息；(iii) 銀行卡號；以及 (iv) 身份證件或護照。The Client acknowledges and agrees that WPRESTIGE may collect and process certain personal data of the Client through the Account Opening Process, including without limitation to, (i) name; (ii) biometric information such as facial image and information with respect to the key features obtained through facial recognition; (iii) bank card number; and (iv) identity card or passport.

客戶明白及了解，以此方式收集的個人資料將依據適用的法律和法規以及昇世匯盈集團的政策和程序僅用於滿足「了解你的客戶」的要求。

The Client acknowledges and understands that the personal data so collected will only be used for satisfying the "know-your-client" requirements in accordance with applicable laws and regulations and WPRESTIGE Group’s policies and procedures.

客戶可隨時根據本聲明第 (14) 段聯繫昇世匯盈撤消其同意，但客戶明白在撤消同意後昇世匯盈將無法繼續為客戶提供任何服務。

The Client can contact WPRESTIGE any time in accordance with sub-paragraph (14) of this Statement to withdraw consent under this sub- paragraph but the Client acknowledges that WPRESTIGE is unable to continually provide any services for the Client following such withdrawal of consent.

個人資料在直接促銷中的使用 Use of Personal Data in Direct Marketing

昇世匯盈會不時使用客戶的個人資料，用作直接促銷不同的金融產品和服務，其中包括但不限於證券、期貨、固定收益、外匯、商品、財富管理、資產管理、融資融券、股權衍生產品、保險、及其他金融產品及服務。使用於直接促銷的客戶的個人資料將限於：

WPRESTIGE intends to use, from time to time, Client’s personal data in direct marketing of financial products and services, including but not limited to securities, futures, fixed income, currencies, commodities, wealth management, asset management, equity financing, equity derivatives, insurance, and other financial products and services. Only the following kinds of personal data of the Client may be used in such direct marketing:

姓名；name;
性別；gender;
出生日期；date of birth;
身份證或護照號碼的一部分；part of identity card or passport number;
聯絡資料 (包括但不限於電話號碼、電郵地址、通訊地址及住宅地址)；

contact information (including but not limited to phone number, email address, correspondence address and residential address);

客戶已購買或申請的產品及／或服務的資料。information about the products and/or services the Client has purchased or applied for.

除非昇世匯盈已經就擬議使用獲得客戶的同意，否則不得如上所述使用資料。

WPRESTIGE may not so use the data unless it has received the Client’s consent to the intended use. The Client can contact WPRESTIGE any time in accordance with sub-paragraph (14) of this Statement to withdraw consent if the Client no longer wants.

如果客戶不再希望昇世匯盈將客戶的個人資料用作直接促銷，客戶可隨時根據本聲明第 (14) 段聯繫昇世匯盈撤消其同意。對將個人資料用作直接促銷之同意的撤消，不影響客戶對昇世匯盈將個人資料用於本聲明規定的其他用途之同意。

WPRESTIGE to use the personal data of the Client for direct marketing. Such withdrawal of consent for using personal data in direct marketing shall not affect the Client's consent given to WPRESTIGE for using personal data for other purposes as provided in this Statement.

提供個人資料作直接促銷 Provision of Personal Data for Use in Direct Marketing

昇世匯盈會不時 (不論是否收取金錢或其他財物為報酬) 向其他昇世匯盈集團成員提供客戶的個人資料，使其可以使用客戶的個人資料用作直接促銷不同的金融產品和服務，其中包括但不限於證券、期貨、固定收益、外匯、商品、財富管理、資產管理、融資融券、股權衍生產品、保險、及其他金融產品及服務。提供予其他昇世匯盈集團成員使用於直接促銷的客戶的個人資料將限於：

WPRESTIGE intends to provide, from time to time and for money and other property, Client’s personal data to WPRESTIGE Group (other than WPRESTIGE itself) for use by WPRESTIGE Group in direct marketing of financial products and services, including but not limited to securities, futures, fixed income, currencies, commodities, wealth management, asset management, equity financing, equity derivatives, insurance, and other financial products and services. Only the following kinds of personal data of the Client may be provided to WPRESTIGE Group (other than WPRESTIGE itself) for use by WPRESTIGE Group in such direct marketing:

姓名；name;
性別；gender;
出生日期；date of birth;
身份證或護照號碼的一部分；part of identity card or passport number;
聯絡資料 (包括但不限於電話號碼、電郵地址、通訊地址及住宅地址)；

contact information (including but not limited to phone number, email address, correspondence address and residential address);

客戶已購買或申請的產品及／或服務的資料。information about the products and/or services the Client has purchased or applied for.

除非昇世匯盈已經就擬議使用獲得客戶的同意，否則不得如上所述使用資料。

向交易所和證監會提供個人資料 Provision of personal data to the SEHK and the SFC

客戶明白及同意，昇世匯盈可能收集、儲存、處理、使用、披露及轉移與客戶有關的個人資料 (包括客戶的身份識別資料和券商客戶編碼)，以便昇世匯盈向客戶提供與在交易所上市或交易的證券相關的服務時，遵守與交易所和證監會不時生效的規則及規定。包括但不限於：

The Client acknowledges and agrees that WPRESTIGE may collect, store, process, use, disclose and transfer personal data relating to the Client (including the Client’s CID and BCAN(s)) as required for WPRESTIGE to provide services to the Client in relation to securities listed or traded on the Exchange and for complying with the rules and requirements of the Exchange and the SFC in effect from time to time. Without limiting the foregoing, this includes:

根據交易所和證監會不時生效的規則及規定，向交易所和／或證監會披露並轉移客戶的個人資料 (包括客戶的身份識別資料和券商客戶編碼)；

disclosing and transferring the Client’s personal data (including CID and BCAN(s)) to the Exchange and/or the SFC in accordance with the rules and requirements of the Exchange and the SFC in effect from time to time;

容許交易所：(i) 收集、儲存、處理及使用客戶的個人資料 (包括客戶的身份識別資料和券商客戶編碼) 以作市場監察及執行交易所規則之用途；及 (ii) 向香港相關監管機構和執法機構 (包括但不限於證監會) 披露並轉移該等資料，以配合其履行關於香港金融市場的法定職能；及 (iii) 使用該等資料進行分析，以作市場監察之用途；

allowing the Exchange to: (i) collect, store, process and use the Client’s personal data (including CID and BCAN(s)) for market surveillance and monitoring purposes and enforcement of the Rules of the Exchange; and (ii) disclose and transfer such information to the relevant regulators and law enforcement agencies in HK (including, but not limited to, the SFC) so as to facilitate the performance of their statutory functions with respect to the HK financial markets; and (iii) use such information for conducting analysis for the purposes of market oversight;

容許證監會：(i) 收集、儲存、處理及使用客戶的個人資料 (包括客戶的身份識別資料和券商客戶編碼)，以配合其履行關於香港金融市場的監管、監察及執法職能；及 (ii) 根據適用的法律或監管規定向香港的相關監管機構和執法機構披露並轉移該等資料；以及

allowing the SFC to: (i) collect, store, process and use the Client’s personal data (including CID and BCAN(s)) for the performance of its statutory functions including monitoring, surveillance and enforcement functions with respect to the HK financial markets; and (ii) disclose and transfer such information to relevant regulators and law enforcement agencies in HK in accordance with applicable laws or regulatory requirements; and

向香港中央結算有限公司 (「香港結算」) 提供券商客戶編碼以允許香港結算：(i) 從交易所取得、處理及儲存允許披露及轉移給香港結算屬於閣下的客戶的身份識別資料，及向發行人的股份過戶登記處轉移閣下的客戶的身份識別資料，以便核實閣下未就相關股份認購進行重複申請，以及便利首次公開招股抽籤及首次公開招股結算程序；及 (ii) 處理及儲存閣下的客戶的身份識別資料，及向發行人、發行人的股份過戶登記處、證監會、交易所及其他公開招股的有關各方轉移閣下的客戶的身份識別資料，以便處理閣下對有關股份認購的申請，或為載於公開招股發行人的招股章程的任何其他目的。

providing BCAN to HK Securities Clearing Company Ltd (“HKSCC”) allowing HKSCC to: (i) retrieve from the Exchange (which is allowed to disclose and transfer to HKSCC), process and store your CID and transfer your CID to the issuer’s share registrar to enable HKSCC and/ or the issuer’s share registrar to verify that you have not made any duplicate applications for the relevant share subscription and to facilitate IPO balloting and IPO settlement; and (ii) process and store your CID and transfer your CID to the issuer, the issuer’s share registrar, the SFC, the Exchange and any other party involved in the IPO for the purposes of processing your application for the relevant share subscription or any other purpose set out in the IPO issuer’s prospectus.

客戶亦同意，即使未來客戶計劃撤消其同意，客戶的個人資料在其撤消同意後會就上述目的繼續被儲存、使用、披露或轉移。

The Client also agrees that despite any subsequent purported withdrawal of consent by the Client, the Client’s personal data may continue to be stored, processed, used, disclosed or transferred for the above purposes after such purported withdrawal of consent.

客戶不能如上述向昇世匯盈提供個人資料或拒絕或撤消同意，將可能導致昇世匯盈 (按情況) 不會或不可繼續執行客戶的交易指示或為客戶提供證券有關服務 (出售、轉讓或撤回客戶當前持有的證券份額 (如有) 除外)。

Failure to provide WPRESTIGE with the Client's personal data or withholding or withdrawing consent as described above may mean that WPRESTIGE will not, or will no longer be able to, as the case may be, carry out the Client’s trading instructions or provide the Client with securities related services (other than to sell, transfer out or withdraw the Client’s existing holdings of securities, if any).

在本聲明中，「券商客戶編碼」是指由相關持牌人或注冊人根據交易所規定所產生的「經紀商至客戶分配號碼」，是交易所規定格式的唯一識別碼，「客戶的身份識別資料」是指與分配到券商客戶編碼的客戶有關的下列信息：(i) 客戶身份證件中顯示的客戶全名；(ii) 身份證件的簽發國家或司法管轄區；(iii) 身份證件類型；以及 (iv) 身份證件號碼。

For the purposes of this Statement, “BCAN” shall mean a “Broker-to-Client Assigned Number”, being a unique identification code in the format prescribed by Exchange, generated by a relevant licensed or registered person in accordance with the Exchange’s requirements and “CID” shall mean the following information in relation to a Client to whom a BCAN is assigned: (i) the full name of the Client as shown in the Client’s identity document; (ii) the issuing country or jurisdiction of the identity document; (iii) the identity document type; and (iv) the identity document number.

中華通證券交易服務 China Connect Securities Trading Service

客戶明白及同意，昇世匯盈為客戶提供中華通證券交易服務時，昇世匯盈須要：

The Client acknowledges and agrees that in providing WPRESTIGE’s China Connect securities trading service to the Client, WPRESTIGE will be required to:

在提交每一客戶交易指令予「中華通」買賣盤訂單傳遞系統時，在交易指令中附加上客戶唯一的券商客戶編碼或 (如客戶賬戶為聯名賬戶) 客戶聯名賬戶獲分配的券商客戶編碼；及

tag each of the Client’s orders submitted to the China Stock Connect System (“CSC”) with a BCAN that is unique to the Client or the BCAN that is assigned to the Client’s joint account with WPRESTIGE, as appropriate; and

向交易所提供客戶唯一的券商客戶編碼及一切交易所按照其規則不時要求索取的關於客戶的身份識別資料。

provide to the Exchange the Client’s assigned BCAN and such CID relating to the Client as the Exchange may request from time to time under the Rules of the Exchange.

不受限於昇世匯盈就因應客戶的賬戶或提供服務予客戶而處理客戶個人資料而給予客戶的通知或取得的客戶同意，客戶明白及同意，作為昇世匯盈中華通證券交易服務的一部份，昇世匯盈可以作出下述的收集、儲存、使用、披露及轉移客戶的個人資料的行為：

Without limitation to any notification WPRESTIGE has given the Client or consent WPRESTIGE has obtained from the Client in respect of the processing of the Client’s personal data in connection with the Client’s account and WPRESTIGE’s services to the Client, the Client acknowledges and agrees that WPRESTIGE may collect, store, use, disclose and transfer personal data relating to the Client as required as part of WPRESTIGE’s China Connect securities trading service, including as follows:

不時向交易所及相關交易所附屬公司披露及轉移客戶的券商客戶編碼及客戶的身份識別資料，包括在中華通買賣盤訂單傳遞系統輸入中華通證券交易指令時顯示客戶的券商客戶編碼，並實時轉傳至相關中華通證券交易營運者；

to disclose and transfer the Client’s BCAN and CID to the Exchange and the relevant SEHK Subsidiaries from time to time, including by indicating the Client’s BCAN when inputting a China Connect Order into the CSC, which will be further routed to the relevant China Connect Market Operator on a real-time basis;

容許交易所及各相關交易所附屬公司：(i) 收集、使用及儲存客戶的券商客戶編碼及客戶的身份識別資料以及相關中華通結算所所提供 (以儲存而言，它們通過香港交易所進行) 的合併、核實及配對的券商客戶編碼及客戶的身份識別資料資料，以作市場監察及執行交易所規則用途；(ii) 基於下列 (c) 及 (d) 所述目的，不時 (直接或通過相關中華通結算所) 轉移該等資料予相關中華通證券交易營運者；及 (iii) 披露該等資料予香港相關監管機構及執法機關，以配合其履行關於香港金融市場的法定職能；

to allow each of the Exchange and the relevant SEHK Subsidiaries to: (i) collect, use and store the Client’s BCAN, CID and any consolidated, validated and mapped BCANs and CID information provided by the relevant China Connect Clearing House (in the case of storage, by any of them or via HKEX) for market surveillance and monitoring purposes and enforcement of the Rules of the Exchange; (ii) transfer such information to the relevant China Connect Market Operator (directly or through the relevant China Connect Clearing House) from time to time for the purposes set out in (c) and (d) below; and (iii) disclose such information to the relevant regulators and law enforcement agencies in HK so as to facilitate the performance of their statutory functions with respect to the HK financial markets;

容許相關中華通結算所：(i) 收集、使用及儲存客戶的券商客戶編碼及客戶的身份識別資料，以對券商客戶編碼及客戶的身份識別資料作出合併及核實並與其投資者身份識別資料庫作出配對，及把合併、核實及配對的券商客戶編碼及客戶的身份識別資料資料提供予相關中華通證券交易營運者、交易所及相關交易所附屬公司； (ii) 使用客戶的券商客戶編碼及客戶的身份識別資料，以履行其證券賬戶管理的法定職能；及 (iii) 披露該等資料予中國相關監管機構及執法機關，以配合其履行關於中國金融市場的監管、監察及執法職能；及

to allow the relevant China Connect Clearing House to: (i) collect, use and store the Client’s BCAN and CID to facilitate the consolidation and validation of BCANs and CID and the mapping of BCANs and CID with its investor identification database, and provide such consolidated, validated and mapped BCANs and CID information to the relevant China Connect Market Operator, the Exchange and the relevant SEHK Subsidiary; (ii) use the Client’s BCAN and CID for the performance of its regulatory functions of securities account management; and (iii) disclose such information to PRC regulatory authorities and law enforcement agencies having jurisdiction over it so as to facilitate the performance of their regulatory, surveillance and enforcement functions with respect to PRC financial markets; and

容許相關中華通證券交易營運者：(i) 收集、使用及儲存客戶的券商客戶編碼及客戶的身份識別資料，以監察通過使用中華通服務在相關中華通市場進行之證券交易，和執行相關中華通證券交易營運者之規則；及 (ii) 披露該等資料予中國相關監管機構及執法機關，以配合其履行關於中國金融市場的監管、監察及執法職能。

to allow the relevant China Connect Market Operator to: (i) collect, use and store the Client’s BCAN and CID to facilitate their surveillance and monitoring of securities trading on the relevant China Connect Market through the use of the China Connect Service and enforcement of the rules of the relevant China Connect Market Operator; and (ii) disclose such information to PRC regulatory authorities and law enforcement agencies so as to facilitate the performance of their regulatory, surveillance and enforcement functions with respect to PRC financial markets.

當客戶指示昇世匯盈進行任何中華通證券的交易時，客戶明白及同意，昇世匯盈可以使用客戶的個人資料於遵守交易所的要求及其對中華通北向交易不時生效的規則。客戶也明白，即使未來客戶計劃撤消其同意，客戶的個人資料 (不論客戶撤消客戶同意前或後) 會繼續被儲存、使用、披露、轉移或其他方式處理，以達至上述目的。

By instructing WPRESTIGE in respect of any transaction relating to China Connect Securities, the Client acknowledges and agrees that WPRESTIGE may use the Client’s personal data for the purposes of complying with the requirements of the Exchange and its rules as in force from time to time in connection with the Stock Connect Northbound trading. The Client also acknowledges that despite any subsequent purported withdrawal of consent by the Client, the Client’s personal data may continue to be stored, used, disclosed, transferred and otherwise processed for the above purposes, whether before or after such purported withdrawal of consent.

客戶不能如上述向昇世匯盈提供個人資料或拒絕或撤消同意，將可能導致昇世匯盈 (按情況) 不會或不可繼續執行客戶的交易指示或向客戶提供中華通證券交易服務。

Failure to provide WPRESTIGE with the Client’s personal data or withholding or withdrawing consent as described above may mean that WPRESTIGE will not, or no longer be able, as the case may be, to carry out the Client’s trading instructions or provide the Client with WPRESTIGE’s China Connect securities trading service.

客戶明白及了解，提供給昇世匯盈的某些個人資料可能構成敏感個人資料。昇世匯盈只為上述本聲明第 (4) 段之用途收集和處理這些資料。昇世匯盈承諾保護客戶的個人資料，並已就此採取措施。為了防止未經授權的人員或一方能夠存取客戶的個人資料，昇世匯盈已經採取了一系列技術性和組織性措施，以根據適用的法律和法規保護和保障客戶的個人資料。

The Client acknowledges and understands that certain personal data provided to WPRESTIGE may constitute sensitive personal data. WPRESTIGE collects and processes such data solely for the purposes in sub-paragraph (4) of this Statement above. WPRESTIGE commits to protect the Client's personal data and has taken steps in this regard. In order to prevent unauthorized people or parties from being able to access the Client's personal data, WPRESTIGE has put in place a range of technical and organisational measures to safeguard and secure the Client's personal data in accordance with applicable laws and regulations.

在受限於技術可行性的前提下，昇世匯盈將始終只為上述第 (4) 段之用途合理需要時保留客戶的個人資料，或依據適用的法律和法規及昇世匯盈集團政策和程序長期保留客戶的個人資料，或保留客戶的個人資料至收到客戶刪除個人資料之要求時。

WPRESTIGE will always only keep the Client's personal data for as long as WPRESTIGE reasonably needs it for the purposes in sub- paragraph (4) of this Statement above or on a longer term basis in accordance with applicable laws and regulations and WPRESTIGE Group’s policies and procedures, or until receipt of the Client's request to delete such personal data, subject to limitations on technical feasibility.

客戶可以查詢並要求昇世匯盈提供其個人資料的副本，及可以要求對其個人資料進行刪除、在需要時進行更正或撤消同意。在某些情況下，客戶還可能享有資料可攜權，要求昇世匯盈將客戶的個人資料轉移給第三方。任何此類要求必須依據適用的法律和法規要求提出，並應致予昇世匯盈資料保護主任，地址為：香港銅鑼灣希慎道 33 號利園一期 1103 室。客戶還可以通過發送電郵至cs@wealthgroup.com.hk，或致電至 (852) 2116 1108 以提出該等要求。客戶明白昇世匯盈將就重複且不合理的要求收取費用。對於可能給他人合法權利帶來風險或不具有操作／技術可行性的不合理請求，昇世匯盈保留依據適用的法律和法規拒絕客戶請求的權利。

The Client has the right to access and request a copy of such personal data and may request the deletion, correction of the personal data (if applicable), or the withdrawal of consent. In some circumstances, the Client may also have a data portability right to require WPRESTIGE to transfer the Client's personal data to a third party. Any such requests must be made in accordance with the requirement under applicable laws and regulations and shall be addressed to the Data Protection Officer of WPRESTIGE at the address at Room 1103, Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong. The Client can also email to cs@wealthgroup.com.hk, or call (852) 2116 1108 to make such request. The Client understands that a fee shall be charged by WPRESTIGE for repeated and unreasonable requests. For unreasonable requests which may bring risk to other individuals' legitimate rights or are not operationally/technically feasible, WPRESTIGE reserves the right to decline the Client's requests in accordance with applicable laws and regulations.

客戶明白，如果客戶的任何個人資料發生泄露或損失，或發生其他個人信息泄露事件，昇世匯盈會依據適用的法律和法規采取補救措施，並可能依據適用的法律和法規通知或不通知客戶。客戶明白及同意，昇世匯盈可能將此類事件通知客戶，在此情形下，昇世匯盈可能會使用一種或多種方式發送通知，包括但不限於在昇世匯盈網站上彈出視窗通知、發送短訊／電子郵件或致電。客戶明白，在采取上述通知行動其中之一後，昇世匯盈即被視爲履行了適用的法律和法規項下的通知義務。

The Client acknowledges that if there is any leakage or loss of any personal data of the Client, or any other personal data breach event, while WPRESTIGE will take remedial measures in accordance with applicable laws and regulations and may notify or may not notify the Client in accordance with applicable laws and regulations. The Client acknowledges and agrees that WPRESTIGE may notify the Client of such event, if so notified, WPRESTIGE may use one (1) or more methods, including without limitation, popping-up window notification on WPRESTIGE 's website, sending text message/emails or making calls. The Client acknowledges that WPRESTIGE is deemed as satisfying its notification obligation under applicable laws and regulations upon taking one of the above notification action.