个人资料收集� �明 (公司/机构).pdf

The document is a Personal Information Collection Statement dated February 2022 for clients of Guotai Junan Securities (Hong Kong) Limited and its affiliates. It outlines how personal data will be collected, used, and shared.

1. Data Collection: Clients may be requested to provide personal data through forms or the GTJA mobile app. Failure to supply this data can prevent account opening or continuation.

2. Data Sharing: Personal data may be shared with:
- Nominees for securities/assets registration.
- Members of the GTJA Group, including parent/subsidiary companies.
- Contractors, advisers, agents, and third-party service providers.
- Credit reference agencies and debt collection agencies in case of default.
- Persons involved in transactions on behalf of the client.
- Financial services providers working with GTJA.
- Exchanges and clearing houses for securities/futures transactions.
- Assignees or successors to agreements with GTJA.
- Governmental, regulatory, tax, law enforcement authorities.

3. Data Usage: Personal data may be used for:
- Executing client orders and instructions.
- Providing financial services/products.
- Offering personalized financial analysis/planning.
- Marketing relevant services/products.
- Conducting credit inquiries/background checks.
- Collecting due amounts, enforcing rights/interests.
- Complying with laws/regulations (e.g., FATCA, AEOI).
- Preventing money laundering and unlawful activities.

4. Data Transfer: GTJA may transfer personal data to third parties for the above purposes. Clients can request contact details of these recipients by contacting GTJA.

5. Consent Exceptions: GTJA may process personal data without consent under certain conditions, such as contract performance, statutory duties, public health emergencies, or if the data is publicly disclosed.

6. Know-Your-Client Requirements: Personal data collected through the app (e.g., name, biometric information) will be used to meet "know-your-client" requirements. Clients can withdraw consent but may lose access to services.

7. Direct Marketing: GTJA intends to use personal data for direct marketing of financial products/services.