This personal data privacy statement is provided pursuant to the Hong Kong Personal Data (Privacy) Ordinance (the “Ordinance”) and relates to personal data or information (the “Data”) provided from time to time to Goldhorse Securities Limited (“Goldhorse Securities”).
Securities Trading Services
Collection:
- You are required from time to time to provide Data to Goldhorse Securities in connection with various matters (for example, opening or continuing to operate an account, providing services to you, or complying with any guidelines issued by legal, regulatory or other authorities).
- The types of Data that may be collected include (but are not limited to) name and address, occupation, contact details, date of birth, marital status, nationality, identity card or passport number, and details of financial and investment circumstances.
- Failure to provide such Data may result in Goldhorse Securities being unable to open an account for you or continue to provide services to you, or being unable to comply with any guidelines and codes issued by legal, regulatory or other authorities.
- In the ordinary course of continuing your relationship with Goldhorse Securities, your Data will also be collected, for example when you instruct Goldhorse Securities to effect a transaction, or when you communicate with Goldhorse Securities orally or in writing.
Purposes and Uses
The purposes for which Data are used will vary according to the nature of your relationship with Goldhorse Securities. Goldhorse Securities intends to use Data for any or all of the following purposes:
- processing applications to open an account with Goldhorse Securities (including confirming and verifying your identity);
- the day-to-day operation of your account and the services provided to you;
- any administrative purposes relating to the products and services provided by Goldhorse Securities;
- researching, designing and promoting financial and investment services or related products for clients;
- complying with disclosure, reporting and compliance requirements under any laws or regulations, codes, guidelines applicable to Goldhorse Securities in Hong Kong or elsewhere, or under Goldhorse Securities’ internal compliance policies; and
- any other purposes directly related to any of the above.
Retention and Access
- Collected Data may be retained for the period required by applicable law or for as long as necessary to fulfil the purposes stated above.
- Data held by Goldhorse Securities about you will be kept confidential. Goldhorse Securities will take all reasonable measures to ensure that Data are kept securely and are not accessed, lost, disclosed or destroyed without authorisation. Whether in or outside Hong Kong, Goldhorse Securities may provide such information for the purposes set out in the “Purposes and Uses” section above to the following parties:
- a) the ultimate holding company of Goldhorse Securities, its subsidiaries, representative offices, associated companies and/or affiliates;
- b) service providers of Goldhorse Securities, including but not limited to trustees, investment managers, registrars, transfer agents, custodians, administrative service agents, lawyers, accountants and auditors
- c) any agent, contractor or third-party service provider who provides administrative, research, design, marketing, digital or telecommunications, clearing and settlement or other services to Goldhorse Securities in connection with its business operations;
- d) employees, staff and directors of Goldhorse Securities; and
- e) any party entitled to request information under law or regulation or at the request of a regulatory authority (including but not limited to government, regulatory authorities or courts of competent jurisdiction).
In addition, under the Ordinance, you have the right to:
- a) check whether Goldhorse Securities holds Data about you, and to access such Data;
- b) require Goldhorse Securities to correct any Data about you that is inaccurate;
- c) ascertain Goldhorse Securities’ policies and practices in relation to Data, and to be informed of the kinds of Data held by Goldhorse Securities; and
- d) object to the use of Data for direct marketing. After you have objected to Goldhorse Securities, Goldhorse Securities must not use your Data for direct marketing.
Cross-border Transfer of Personal Data
For the purposes set out above, Goldhorse Securities may transfer clients’ personal data, including but not limited to name, identity documents, contact details, financial background and demographic data, to credit reporting intermediaries, executing brokers, agents or nominees, contacts, individuals or corporations, auditors of Goldhorse Securities and/or service providers providing administrative support and other back-office services to Goldhorse Securities located outside Hong Kong, including the People’s Republic of China and/or other overseas regions where data protection laws may not be substantially similar to the Ordinance or used for the same purposes. This means that clients’ personal data may not receive the same or a similar level of protection as in Hong Kong.
If a client does not wish Goldhorse Securities to transfer their Data outside Hong Kong as described above, the client may at any time notify Goldhorse Securities to exercise the right to refuse the transfer of Data outside Hong Kong. No fee is charged for this arrangement.
Data Access Requests
Under the Ordinance, Goldhorse Securities is entitled to charge a reasonable fee for processing any data access request.
To access Data held by Goldhorse Securities about you, correct such Data, object to the use of Data for direct marketing and/or the transfer of Data outside Hong Kong, or to obtain information about policies and practices and the kinds of Data held, please contact:
Goldhorse Securities Limited
Room 4308, 43/F, COSCO Tower, 183 Queen’s Road Central, Hong Kong
Personal Data Privacy Officer
Email: icompliance@goldhorse.com.hk
Fax: (852) 3974 5275
Nothing in this statement limits the rights you enjoy under the Ordinance.