Nikko HK Privacy Policy Statement (Hong Kong) – Page 1

SMBC Nikko Securities (Hong Kong) Limited (the “Company”) PRIVACY POLICY STATEMENT
PERSONAL DATA (PRIVACY) ORDINANCE – PRIVACY POLICY STATEMENT GENERAL
This policy statement provides information on the obligations and policies of the Company, under the Hong Kong SAR Personal Data (Privacy) Ordinance – Cap.486 (the “Ordinance”).
The Company committed to the protection of the privacy and confidentiality of individual’s personal data and information, and the Company will ensure that the Company, our employees, and the Company’s agents comply with the requirements of the Ordinance.
This policy specifically addresses the Company’s obligations in respect of the data privacy laws of the Hong Kong SAR. As such, the Company undertakes to apply, where practicable, those principles and the processes set out herein to its operations globally.
Where the Company’s operations are subject to privacy legislation other than that of Hong Kong SAR, then this policy shall be applied so far as practicable and consistent with such local legislation.
1 COMPANY CORPORATE POLICY
The Company shall fully comply with the obligations and requirements of the Ordinance. The Company’s officers, management, and members of staff shall, at all times, respect the confidentiality of and endeavour to keep safe any and all personal data collected, stored, transmitted and/or used for, or on behalf of, the Company.
The Company shall endeavour to ensure all collection, storage, transmission and other handling or usage of personal data by the Company shall be done in accordance with the obligations and requirements of the Ordinance.
Where an individual legitimately requests access to and/or correction of personal data relating to the individual, held by the Company, then the Company may provide and/or correct that data in accordance with the time and manner stipulated within the Ordinance.
2 TYPES OF PERSONAL DATA COLLECTED FROM CUSTOMERS
For the purpose of carrying on the Company’s businesses, including provision and related services, you as our customer may be requested to provide personal data such as, but not limited to, the following, without which it may not be possible to satisfy your request:
(a) Your name;
(b) Address;
(c) Account details, including account numbers, service numbers, or user accounts (bank account details);
(d) Contact details, including contact name and telephone number or email address; or
(e) Information for the verification of identity, including identification type and identification number.
In some instances, you may also be requested to provide certain data that may be used to further improve the Company’s services and/or better type of information presented to you. In most cases, his type of data is optional although, where the requested service is a personalised service, or

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