Personal Information Collection Statement – Page 1

SMBC Nikko Securities (Hong Kong) Limited (the “Company”) Personal Information Collection Statement
The following information is provided to you in relation to personal data (i.e. information relating to a living individual from whom it is practicable for the identity of the individual to be directly or indirectly ascertained) provided to the Company in accordance with the requirements of the Personal Data (Privacy) Ordinance (“PDPO”).
1 Disclosure Obligation
Unless otherwise stated, you must provide and supply personal data requested by the Company in connection with entering into a contractual relationship with the Company or the provision of services by the Company. If you do not supply this data, it will not be possible for the Company to enter into a relevant contract with you or provide services or products to you or companies related to you as the Company may not have sufficient information to do so.
2 Use of Personal Data
2.1 User
All personal data (whether provided by you or any other person, and whether provided before or after the date you receive this statement) may be provided to, exchanged with or transferred to, any of the following entities or persons as the Company may consider necessary whether or not they are in or outside Hong Kong (each, a “User”):
(a)The Company or any entity that directly controls the Company, or any entity directly or indirectly undercommon control with the Company (together “Sumitomo Mitsui Financial Group”) or our or their branchesor offices;
(b)any director, officer, employee or representative of the Sumitomo Mitsui Financial Group only whencarrying out the business of the Sumitomo Mitsui Financial Group;
(c)any agent, contractor or third party service provider who provides employment, administrative,telecommunications, computer, payment, or securities clearing, nominee, custodian or other services, to anySumitomo Mitsui Financial Group company;
(d)any person who owes a duty of confidentiality to the Company or who has undertaken to keep suchinformation confidential;
(e)any financial institutions with which you have or propose to have dealings;
(f)where data is collected by a Sumitomo Mitsui Financial Group company as agent of any other person or forforwarding to or otherwise for the purpose of making any application or request to any other person for anyfacility or service, any such person who may not be in Hong Kong and may not be subject to the PDPO and notrestricted in the use of the data;
(g)any trustee, registrar or custodian of any relevant unit trust or other collective investment scheme or anyinsurance company in connection with any service provided or any services provided by the Company; or
(j) any other third parties:
(i) as are necessary to provideany of theservices
(ii)where required by law, regulation, court order or request from any governmental orregulatory body;

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