8. Complaints and Breach Reporting
Individuals can submit their complaints about any breach by Nikko HK of the Privacy Act, the APP or other regulatory obligations on privacy, by contacting Nikko HK on the details below. Unless the complaint is assessed as frivolous or unreasonable, Nikko HK will acknowledge the complaint, investigate it, and reply to the complainant in writing within a reasonable timeframe (we usually aim to respond within 30 days). If, as a result of Nikko HK’s investigation, Nikko HK has come to conclusion that there has been a breach, Nikko HK will take reasonable steps to rectify the breach and implement relevant preventative measures.
Where the breach is assessed to be one with broad impact and may likely cause serious harm to the individuals involved, Nikko HK will immediately report the breach to the Office of the Australian Information Commissioner (OAIC) as required under the Notifiable Data Breaches scheme3.
9. Employee records exemption
In some circumstances, the handling of employee records in relation to Nikko HK’s current or former employees is exempt from the operation of the Privacy Act pursuant to s.7B(3) of the Privacy Act. This may also apply to cases where the employee records are provided to a related party or third party.
10. Contacting the Office of the Australian Information Commissioner (OAIC)
If you would like further information about privacy laws in Australia you can contact the OAIC at www.oaic.gov.au.
11. How to contact Nikko HK about privacy issues
If an individual:
• wants to access, update or correct their Personal Information;
• wants more information concerning how Nikko HK handles Personal Information or any privacy issues; or
• has a complaint in relation to privacy,
he/she should contact Nikko HK at the following address:
SMBC Nikko Securities (Hong Kong) Limited
Nikko HK Privacy Policy Statement
SMBC Nikko Securities (Hong Kong) Limited
Suites 807-811, 8/F, One International Finance Centre
1 Harbour View Street, Central, Hong Kong Phone: (852) 2842 1111
3 The Notifiable Data Breaches (NDB) scheme commenced from 22 February 2018.
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