收集個人資料聲明 Personal Information Collection Statement

 

本聲明乃第一金和昇證劵有限公司 (下稱「第一金和昇」或「本公司」)根據香港特別行政區《個人資料(私隱)條例》(「私隱條例」) 作出，目的是向客戶闡明收集個人資料的原因、用途和查詢個人資料記錄的途徑。 This Statement is made by First Worldsec Securities Limited (“First Worldsec” or “We”) in accordance with the Personal Data (Privacy) Ordinance of the Hong Kong Special Administrative Region ('the Ordinance'). The Statement is intended to notify customers of why personal data is collected, how it will be used and to whom data access requests are to be addressed.

 

1.     客戶在申請開立戶口、延續戶口及建立或延續交易或信貸設施或要求第一金和昇提供金融、證券、衍生產品、投資、信貸、財富管理、投資者教育及相關服務、產品及設施時，須要不時向第一金和昇提供資料。From time to time, it is necessary for customers to supply First Worldsec with data in connection with the opening or continuation of accounts and the establishment or continuation of trading or credit facilities or provision of financial, securities, derivatives, investment, financing, wealth management, investor education and related services, products and facilities.

 

2.     若客戶未能向第一金和昇提供有關資料，可能會導致第一金和昇無法開立或延續戶口或建立或延續交易或信貸設施或提供上文第1款所述的服務、產品或設施。 Failure to supply such data may result in First Worldsec being unable to open or continue accounts or establish or continue trading or credit facilities or provide the services, products or facilities mentioned in clause 1 above.

 

3.     在客戶與第一金和昇的正常業務往來過程中，第一金和昇亦會收集客戶的資料。It is also the case that data are collected from customers in the ordinary course of the continuation of the business relationship between customers and First Worldsec.

 

4.      客戶的資料可能會(無論在香港或香港以外)用於下列用途：
The purposes for which data relating to customers may be used (whether within or outside Hong Kong) are as follows:

 

(i)         為客戶提供服務及設施之日常運作; the daily operation of the services and facilities provided to customers;

(ii)        作信貸檢查; conducting credit checks;

(iii)       協助其他金融機構作信貸檢查; assisting other financial institutions to conduct credit checks;

(iv)       確保客戶的信用維持良好; ensuring ongoing credit worthiness of customers;

(v)        為客戶設計上文第1款所述的服務、產品或設施; designing the services, products or facilities mentioned in clause 1 above for customers' use;

(vi)       宣傳上文第1款所述的服務、產品及設施(有關第一金和昇使用及提供個人資料作直接促銷用途的詳情載於下文第6款); marketing the services, products and facilities mentioned in clause 1 above (details of the use or provision of personal data by First Worldsec for direct marketing purposes are set out in clause 6 below);

(vii)     確定第一金和昇對客戶或客戶對第一金和昇的債務; determining the amount of indebtedness owed to or by customers;

(viii)    向客戶及為客戶提供擔保或抵押的人士追收欠款; collection of amounts outstanding from customers and those providing guarantee or security for customers' obligations;

(ix)      根據第一金和昇須遵守的法律及／或監管要求或法庭命令作出披露; meeting the requirements to make disclosure under the requirements of any legal and/or regulatory requirements or court orders binding on First Worldsec;

(x)       遵守任何適用的業界成規;及 enabling First Worldsec to comply with any applicable industry practices; and

(xi)       與上述任何項目有關的其他用途。purposes relating to any of the above.

 

第一金和昇可能會不時將客戶的個人資料轉至香港以外的地方作任何上述之用途。

First Worldsec may from time to time transfer customers' data outside of Hong Kong for any of the above purposes.

 

5.     第一金和昇會把客戶的相關資料保密，但第一金和昇可能會把該等資料提供給以下人士(無論在香港或香港以外)：
Data held by First Worldsec relating to a customer will be kept confidential but First Worldsec may provide such data to the following parties (whether within or outside Hong Kong):

 

(i)         任何代理人、承辦商或向第一金和昇提供與第一金和昇的業務運作有關的行政、電訊、電腦、金融投資、執行交易服務或現金、證券及／或合約結算或交收服務或其他服務的第三方服務供應商; any agent, contractor or third party service provider who provides administrative, telecommunications, computer, financial, trade execution, cash, securities and/or contracts clearing or settlement or other services to First Worldsec in connection with the operation of its business;

(ii)        任何對第一金和昇有保密責任的人，包括但不限於已承諾把該等資料保密的任何第一金和昇或其相關公司; any other person under a duty of confidentiality to First Worldsec including but not limited to any member of the First Worldsec or its related parties which has undertaken to keep such information confidential;

(iii)       任何與客戶已有或建議有交易往來的金融機構或交易商; any financial institution or dealer with which the customer has or proposes to have dealings;

(iv)       任何信貸資料服務機構及於欠賬時給予收數公司; any credit reference agency and in the event of default, any debt collection agency;

(v)        任何第一金和昇的實在或建議受讓人或參與人或附屬參與人或第一金和昇對客戶權利的受讓人; any actual or proposed assignee of First Worldsec or participant or sub-participant or transferee of First Worldsec's rights in respect of the customers;

(vi)       任何為客戶的責任提供或建議提供擔保或抵押的人士;及any person providing or proposing to provide guarantee or security for customers' obligations; and

(vii)     在第一金和昇必須符合任何司法管轄區的有關法律、法庭指令或監管條例或規則的要求下：任何交易所、實體、代理人、監管或政府機構。通常在此情況下，第一金和昇須要遵守保密責任而將不能通知客戶或在徵求客戶的同意後才向上述人士披露有關資料。any exchange, entity, agency, regulatory or government body in any jurisdiction if required by law or pursuant to any court orders, rules or regulations to which First Worldsec is subject. In such cases, First Worldsec is usually under a duty of secrecy and will not be able to notify a customer or seek his/her consent in relation to such release of information.

 

6.     在直接促銷中使用資料USE OF DATA IN DIRECT MARKETING

在獲得客戶的同意（包括表示不反對）下，第一金和昇可能會把客戶的個人資料用作於直接促銷。就此，請注意：
First Worldsec may use a customer's personal data in direct marketing with the customer's consent (which includes an indication of no objection) for that purpose. In this connection, please note that:

 

(i)         客戶的個人資料，例如: 姓名、電話號碼、電郵地址、通信地址、帳戶號碼、產品及服務投資組合信息、交易模式及行為、風險範圍、財務背景及投資目標及經驗等，可能會被使用於直接促銷; the customer's personal data such as the customer's name, telephone number, email address, correspondence address, account number, products and services portfolio information, transaction pattern and behaviour, risk profile, financial background and investment objectives and experience may be used by First Worldsec in direct marketing;

(ii)       以下類別的服務、產品、設施及推廣標的可用作促銷; the following classes of services, products, facilities and marketing subjects may be marketed:

a)         金融、證券、衍生產品、期貨、期權、投資、信貸、財富管理、資產管理、投資者教育及相關顧問或其他服務、產品及設施; financial, securities, derivatives, futures, options, investment, financing, wealth management, asset management, investor education and related advisory or other services, products and facilities;

b)         由第一金和昇或其相關公司的商業夥伴所提供的服務、產品及設施(該等商業夥伴為提供任何上文第6(ii)(a)款所述的服務、產品及設施的供應商) services, products and facilities offered by business partners of any member of First Worldsec or its related parties providing any of the services, products and facilities referred to in clause 6(ii)(a) above; and

(iii)       上述服務、產品、設施及推廣標的可由第一金和昇及／或任何下述各方提供或招攬：
the above services, products, facilities and marketing subjects may be provided or solicited by First Worldsec and/or any of the following persons:

a)     第一金和昇及其相關公司; any related party of First Worldsec;

b)     第三方金融機構及提供任何上文第6(ii)(a)款所述的服務、產品及設施的供應商; third party financial institutions and providers of any of the services, products and facilities referred to in clause 6(ii)(a) above;

c)     第一金和昇的商業夥伴(該等商業夥伴為提供任何上文第6(ii)(a)款所述的服務、產品及設施的供應商) business partners of First Worldsec providing any of the services, products and facilities referred to in clause 6(ii)(a) above; and

(iv)       在獲得客戶的書面同意（包括表示不反對）下，第一金和昇亦可能會把上文第6(i)款所述的個人資料提供予上文第6(iii)款所述的任何人士，以供該等人士在其直接促銷上文第6(ii)款所述的服務、產品及設施時使用。第一金和昇可能會為得益而向該等人士提供個人資料，以供該等人士用於直接促銷。First Worldsec may, with the customer's written consent (which includes an indication of no objection), also provide the personal data described in clause 6(i) above to any of the persons referred to in clause 6(iii) above for use by any of them in direct marketing of the services, products, facilities and marketing subjects referred to in clause 6(ii) above. First Worldsec may so provide the personal data to such persons for direct marketing purposes for gain.

 

如客戶希望第一金和昇停止使用客戶的個人資料及提供予其他人士作直接促銷用途，客戶可以書面方式通知第一金和昇資料保護專員，其郵寄地址及傳真號碼載於下文第10款。此後，第一金和昇必須停止使用及提供客戶的個人資料作直接促銷用途，費用全免。If a customer wishes First Worldsec to cease to use and provide his/her personal data to other persons for use in direct marketing, the customer may notify First Worldsec in writing by mailing or faxing the written notification to the postal address or fax number provided in clause 10 below. First Worldsec shall then cease to use and provide his/her personal data for direct marketing purposes without any charge.

 

7.     在若干情況下客戶可能透過電子途徑（例如互聯網或話音錄音系統）向第一金和昇提供個人資料。儘管第一金和昇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，客戶在利用電子媒介傳送個人資料時應倍加留意。

There may be instances where customers elect to provide personal information to First Worldsec through electronic means (such as Internet or voice recording system). Whilst First Worldsec generally uses best endeavors 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.

 

8.     在符合私隱條例之條款情況下，任何個人有權：
Under and in accordance with the terms of the Ordinance, an individual has the right to:

 

(i)         查核第一金和昇是否持有客戶的資料及查閱有關的資料; check whether First Worldsec holds data about him/her and the right of access to such data;

(ii)        要求第一金和昇更正與該人士有關而不準確的資料; 及require First Worldsec to correct any data relating to him/her which is inaccurate; and

(iii)       查悉第一金和昇對處理資料的政策與實務及第一金和昇所持有的個人資料的種類。ascertain First Worldsec's policies and practices in relation to data and to be informed of the kind of personal data held by First Worldsec.

 

9.     根據私隱條例的規定，第一金和昇有權就處理任何查閱資料的要求收取合理費用。

In accordance with the terms of the Ordinance, First Worldsec has the right to charge a reasonable fee for the processing of any data access request.

 

10.  如欲要求停止使用客戶的個人資料作直接促銷用途或查詢或更正資料或查詢有關政策、慣例及資料的種類，請向以下人士提出: The person to whom requests for ceasing to use of personal data in direct marketing, access to data, correction of data or information regarding policies and practices and kinds of data held are to be addressed as follows:
第一金和昇證券有限公司First Worldsec Securities Limited
香港中環德輔道中199號無限極廣場10樓1003室
Room 1003, 10/F., Infinitus Plaza, 199 Des Voeux Road Central, Hong Kong
電話： (852) 2867 7288 Tel : (852) 2867 7288
傳真： (852) 2810 0281 Fax : (852) 2810 0281

 

11.  第一金和昇可對本聲明不時作出修改、修訂或補充。最新版本的聲明可於第一金和昇之網站 http://iportal.infocastfn.com/FirstWorldSec_aspx/Home/Index.aspx 取覽或以書面方式向第一金和昇索取。

This Statement may be revised, amended or supplemented from time to time by First Worldsec. The most up-to-date statement can be found in First Worldsec's website at http://iportal.infocastfn.com/FirstWorldSec_aspx/Home/Index.aspx or available from First Worldsec upon written request.

 

 

如本聲明的中英文版本有任何歧義，概以英文版本為準。

In case of discrepancies between the English and Chinese versions, the English version shall prevail.