SMBC Nikko Securities (Hong Kong) Limited

Nikko HK Privacy Policy Statement (Hong Kong) – Page 3

in accordance with specific schedules based on the above criteria and the Company’s internal procedures.
Under any of the following circumstances, the Company shall voluntarily delete your personal data; and, if the Company fails to delete such data, you shall have the right to request it to do so:
(a) The processing purpose has been achieved or cannot be achieved, or it is no longer necessary to achieve the processing purpose;
(b) The Company ceases the provision of products or services, or the retention period has expired;
(c) You withdraw the consent;
(d) The Company processes personal data in violation of any applicable laws or regulations or the contractual arrangement;
(e) Other circumstances as provided by applicable laws or regulations.
Where the retention period provided by any applicable laws or regulations has not expired, or it is difficult to realize the deletion of personal data technically, the Company shall cease the processing of personal data other than storing and taking necessary security protection measures for such data.
5 DISCLOSURE OF PERSONAL DATA
All personal data held by the Company will be kept confidential but the Company may, where such disclosure is necessary to satisfy the purpose, or a directly related purpose, for which the data was collected provide such information to the following parties (“Recipients”):
(a) Any holding companies, associated companies, or affiliates of, or companies controlled by, or under common control with the Company;
(b) Any person or company who is acting for or on behalf of the Company, or jointly with the Company, in respect of the purpose or a directly related purpose for which the data was provided;
(c) Any other person or company who is under a duty of confidentiality to the Company and has undertaken to keep such information confidential, provided such person or company has a legitimate right to such information;
(d) the Company’s dealers, agents, contractors, suppliers and other financial service providers; its professional advisers, including its accountants, auditors and lawyers;
(e) Government and regulatory authorities and law enforcement agencies and other organisations, as required or authorised by law; and
(f) Any financial institutions, charge or credit card issuing companies, credit information or reference bureau, or collection agencies, necessary to establish and support the payment of any services being requested.
The Recipients also have strict confidentiality and protection obligations for the data received data, and can only use such data for the agreed purposes. The Company will release specific name list of the Recipients on its official website and updated on a regular basis, you can check it online or contact the Contact person for detailed information. If you have any questions, doubts, or intentions of refusing the Company to provide your information to the Recipients, please also contact the Contact person.
Personal data may also be disclosed to any person or persons pursuant to any statutory or contractual obligations or as required by court of law, provided such person or persons are able to prove the required right/authority to access such information. Your personal data may also be disclosed to a third party where consented to or requested by you.
6 SECURITY OF PERSONAL DATA
Physical records containing personal data are securely stored in locked areas and/or containers when
not in use.
Computer data are stored on computer systems and storage media to which access is strictly
controlled and/or are located within restricted areas.

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