PERSONAL DATA (PRIVACY) ORDINANCE NOTICE
《個人資料(私隱)條例》通知
為開立及維持與大西部證券（香港）有限公司(「本公司」)之帳戶以便本公司提供客戶要求之服務，客戶須不時按照香港及其他有關司法管轄區之有關監管機構發出之適用法律、守則、指引及規例向本公司提供個人資料為開户之先決條件。
若客戶未能向本公司提供充分之個人資料，將導致本公司不能為客戶開立或管理其帳戶，或接收客戶指示，從而不能向客戶提供服務。
個人資料可用作以下用途:
(a) conducting due diligence for opening and maintaining accounts
就開立及管理帳戶而進行盡職審查
(b) attending to daily operation of account(s) for provision of services to clients
為帳戶的日常運作提供服務
(c) conducting credibility checks on clients to ensure ongoing credit-worthiness of clients
對客戶進行信用審查，以確保客戶維持可靠信用
開發新金融產品及/或服務，以滿足客戶需求
向客戶推銷適合的金融產品及/或服務
(f) collection of amounts due, enforcement of security, charge or other rights and interests in favour of the Company
為本公司追收欠款、強制執行抵押、押記或其他權利及權益
(g) making disclosures as imposed on the Company by the applicable laws or regulatory requirements
按適用法律或監管要求之規定作出披露
(h) making disclosures as required by law or regulatory requirements applicable to the institution(s) with which we have or propose to have dealings for the purpose of rendering services to clients
按照法律規定或監管要求向與本公司有事務往來或進行事務往來的機構作出適用的披露以便提供服務予客戶
(i) any other purposes incidental to any of the above
與上述項目有關之任何其他用途
本公司持有之客戶個人資料將被保密，惟按照對本公司具約束力之法例本公同被強制作出披露的，則可作出披露予以下人士:
(a) any agent, contractor, or service provider who offers administrative, data processing, telecommunications, computer, financial, professional, custodial, settlement, banking, clearing, printing or other services to the Company in connection with the operation of the Company’s business;
任何代理人、承包商、或服務供應商以提供行政、數據處理、電訊、電腦、金融、專業、保管、交收、銀行、結算、印刷或其他與本公司業務運作有關之服務;
(b) any person to whom the Company is under an obligation to make disclosure under the requirements imposed by the applicable law or under and for the purposes of any rules, codes, guidelines issued by the regulatory or other authorities that are applicable to the Company;
任何按照適用之法律規定或根據或基於監管或其他機構所發出適用於本公司的任何規則、守則、指引本公司有責任向其作出披露的人士;
(c) any assignee, transferee, participant, sub-participant, delegate, successor or person to whom the
account is transferred; and
承讓人、受讓人、參與者、分參與者、獲轉授人、承繼人或獲轉讓有關帳戶之人士;及
(d) any person under a duty of confidentiality to the Company which has undertaken to keep such information confidential;
對本公司有保密責任並承諾將有關資料保密的人士
(e) any financial institution with which the Company has or proposes to have dealings for the purpose of rendering services to clients when the Company compelled to make disclosure under the requirements of any laws binding on the Company.
任何金融機構為向客戶提供服務而與本公司有事務往來，或建議進行事務往來。
按照該條例的條文，任何個人客戶有權:
(a) check whether the Company hold any personal data about him/her and gain access to such data
查核本公司是否持有其個人資料及查閱該等資料
(b) require the Company to correct any personal data relating to him/her which is inaccurate
要求本公司改正有關其不準確之個人資料
(c) ascertain the policies and practice of the Company in relation to personal data and be informed of the kind of personal data held by the Company
查明本公司有關個人資料之政策及實行措施，並獲告知本公司持有之個人資料種類
憑藉該條例第 28 條之規定，本公司可就處理任何查閱資料之要求收取合理費用。
在直接促銷中使用資料
The Company intends to use a client's data in direct marketing and the Company requires the client's consent (which includes an indication of no objection) for that purpose. In this connection, please note that:
本公司擬把客戶資料用於直接促銷，而本公司爲該用途須獲得客戶同意(包括表示不反對)。請注意:
(i) the name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and demographic data of a Client held by the Company from time to time may be used by the Company in direct marketing;
本公司可能把本公司不時持有的客戶姓名、聯絡資料、産品及服務組合資料、交易模式及行爲、財務背景及人口統計數據用於直接促銷;
(ii) the following classes of services, products and subjects may be marketed:
可用作促銷下列類別的服務、産品及促銷標的:
(1) financial, insurance, investment, wealth and asset management and related services and products;
財務、保險、投資、財富及資產管理和相關服務及産品;
(2) reward, loyalty or privileges programmes and related services and products;
獎賞客戶或優惠計劃及相關服務及産品;
(3) the Company’s partners may be provide and promotion information for the relevant services and products to you, as the case may be); and
本行合作夥伴或許向閣下提供其相關服務及産品
(iii) the above services, products and subjects may be provided or solicited by the Company and/or:
上述服務、産品及促銷標的可能由本公司及/或下列各方提供或徵求:
(1) the Company's group companies;
本公司集團成員公司;
(2) third party financial institutions, insurers, co-operation companies, securities and investment services providers;
第三方金融機構、承保人、合作公司、證券及投資服務供應商;
(3) third party reward, loyalty, co-branding or privileges programme providers;
第三方獎賞、客戶或合作品牌或優惠計劃供應商;
(4) co-branding partners of the Company and the Company's group companies.
本行及本行集團成員公司之合作品牌夥伴。
(iv) in addition to marketing the above services, products and subjects itself, the Company also intends to provide the data described in paragraph (7)(i) above to all or any of the persons described in paragraph (7)(iii) above for use by them in marketing those services, products and subjects, and the Company requires the Client's written consent (which includes an indication of no objection) for that purpose;
除由本行促銷上述服務、産品及促銷標的以外，本行亦擬將以上(7)(i)段所述的資料提供予以上 (7)(iii)段所述的全部或任何人士，以供該等人士在促銷該等服務、産品及促銷標的中使用，而本 行爲此用途須獲得客戶書面同意(包括表示不反對);
(v) The Company may receive money or other property in return for providing the data to the other persons in paragraph (7)(iv) above and, when requesting the Client's consent or no objection as described in paragraph (7)(iv) above, the Company will inform the Client if it will receive any money or other property in return for providing the data to the other persons.
本公司可能因如以上(7)(iv)段所述將資料提供予其他人士而獲得金錢或其他財産的回報。如本公司因提供資料予其他人士而獲得任何金錢或其他財産的回報，本公司會於以上(7)(iv)段所述徵求客戶同意或不反對時如是通知客戶。
