PERSONAL DATA COLLECTION STATEMENT

Purpose of this Statement

China Securities (International) Finance Holding Company Limited and its holding companies, subsidiaries, affiliates and etc. (“CSCI”), CSCI is committed to take appropriate measures to protect your personal data to implement and comply with the Personal Data (Privacy) Ordinance (Cap. 486). This policy shall read in conjunction with Client Agreement, personal data collection statement and other documents as specified by CSCI from time to time.

"personal data" means personal data relating to you including, without limitation, your name and address, details of employment or business, details of properties or other assets, information regarding credit standing, information obtained or provided during the course of our dealings (including, without limitation, information relating to an Account, Transaction, service provided and tax) and any other information in the public domain.

Our policies on personal data collection and use are: (a) collection of your personal data shall be for purposes relating to the provision of financial services or products (including, without limitation, the opening and maintenance of an Account, the management of any dispute or regulatory matter in relation to an Account); (b) practical steps will be taken to ensure that personal data will be kept in accordance with our internal retention policies; (c) personal data will not be used for any purposes other than those intended at the time of collection or purposes necessary or directly related thereto; (d) reasonable steps will be taken to protect the personal data against unauthorized or accidental access, processing or erasure; (e) you have the right of access to and for correction of your personal data held by us; and (f) you will have the opportunity to opt out of the receipt of future marketing information or materials on the first occasion your personal data is used for direct marketing.

Use of Data Collected

Personal data may be used for the following purposes: (a) the daily operation of the Accounts and financial services or products provided to you; (b) the comparison of your data with any other data, and use of the results for taking actions which may or may not be adverse to your interests; (c) evaluating your potential financial needs, conducting market research, and with your express consent direct marketing of other financial, insurance or telecommunications services or products (such direct marketing activities may or may not directly relate to your Accounts, or the financial services or products provided by us); (d) internal data processing, preparation of internal statistical reports, sales revenue reports and rebates/soft dollar arrangement analysis and any other reports among any of our holding companies and/or our Affiliates; (e) enabling an actual or proposed assignee of us, or participant or sub- participant of our rights in respect of you to evaluate the transaction intended to be the subject of the assignment, participation or sub- participation; (f) ensuring ongoing accuracy and relevance of personal data; (g) any other purpose to which you may from time to time agree.

Use of Data in Direct Marketing

We wish to use your personal data for direct marketing and we must obtain your consent for that purpose. In this regard: (a) your name, telephone number, email address, mailing address, financial background, demographic data, products and services portfolio information and transaction pattern and behaviour may be used by us for direct marketing: (b) the following classes of products, services and subjects may be marketed: (i) financial products and services relating to such financial products; (ii) reward, referral, loyalty or privilege programmes and related products and services; and (c) services and products offered by our holding companies, our Affiliates and co-brand partners ("Partners") whose names will be provided during the offer or provision of the relevant services and products.

In addition to marketing the above products, services and subjects, we also provide and/or intend to provide your name, telephone number, email address, mailing address, products and services portfolio information and transaction pattern and behaviour to all or any of our holding companies, our Affiliates and our Partners for use by them in marketing those products, services and subjects, and we must obtain your written consent (which includes an indication of no objection) for that purpose.

We and our Partners may also, from time to time, engage third parties to provide marketing services on their behalf, and may share your personal data with these third parties for such purposes as described above.

Disclosure of and Request for Personal Data
Your personal data may be disclosed in any of the following circumstances: (i) it is pursuant to Applicable Law; (ii) our legitimate business purposes makes disclosure expedient or necessary, such as: (a) to any Agent, Authority, settlement system and any other third party service providers for the purpose of effecting a Transaction or the provision or maintenance of a Service or in relation to the operation of any business of CSIB, its holding companies and any of its Affiliates; (b) to CSIB’s holding companies and any of its Affiliates; (c) to professional advisors including, without limitation, to auditors, legal advisors or others who undertakes or have a duty of confidentiality to us; (d) in accordance with the PDPO or other Applicable Law on data protection; (e) for updating and verification of any personal data provided.

Request for access to personal data or correction of personal data or for particulars regarding policies and practices and the kind of personal data held should be addressed to the Data Protection Officer of:

China Securities (International) Brokerage Company Limited
18/F, Two Exchange Square
8 Connaught Place
Central, Hong Kong

Telephone: (852) 34655600 Fax: (852) 21809495

If you have any questions about your personal data, you shall contact the Data Protection Officer. We reserve the right to charge a reasonable fee for the processing of any personal data access request.

Use of cookies

CSCI may record the information about your use of our website through the use of cookies in order to analyze the number of visitors to our website, general usage pattern and also your personal usage pattern. Cookies are small bit of information automatically stored on your web browser in your computer that can be retrieved from our site. The data will be collected in an anonymous way without recognizing your identity. The data collected from cookies is generally used to improve the functionality of the website and/or to facilitate return visits.

Cybersecurity

CSCI is concerned with the security of personal data collected and has put in place measures to prevent unauthorized access to our database(s). You should however safeguard your login number/username and password and keep them secret and confidential in order to protect your own interests.

Updates to the Privacy Statement

CSCI attaches importance to personal data protection and may update this statement from time to time in observance of any update in legislative or regulatory requirements.

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