Personal Information Collection Statement

This Statement is provided to the client of Huajin Financial (International) Holdings Limited’s group of companies (together hereinafter the “Group”), including but not limited to Huajin Securities (International) Limited, Huajin Futures (International) Limited and Huajin Research (International) Limited, in accordance with the requirements of the Hong Kong Personal Data (Privacy) Ordinance (the “Ordinance”).

  1. From time to time, it is necessary for clients (which term shall include a client's (i) authorized signatories, (ii) shareholders, directors, officers, managers, employees and beneficial owners of corporate customers; (iii) applicants for banking services or facilities, and (iv) sureties, guarantors and parties providing security, guarantee or any form of support for obligations owed to the Group) (collectively, “Client”) to supply the Group with personal data in connection with the opening or continuation of Accounts and the establishment or continuation of credit facilities or provision of securities brokerage, nominee and investment advisory service.  At the same time, some of the personal data is collected orally or in written pursuant to laws, regulations, rules or codes binding on the Group.

  2. Failure to supply such personal data may result in the Group being unable to open or continue the Account or establish or continue credit facilities or provide Securities brokerage, nominee and investment advisory services.

  3. The personal data that is collected from Client may be used in the ordinary course of the continuation of the business relationship.

  4. The purposes for which personal data relating to the Client may be used are as follows:

    a. the daily operation of the services and credit facilities provided to the Client;

    b. conducting credit enquiries or checks on the Client and ascertaining objectives, and enabling or assisting any other person so to do;

    c. assisting other financial institutions to conduct credit checks;

    d. ensuring ongoing creditworthiness of the Client;

    e. enforcing the Client’s obligations owned to the Group;

    f. assessing the merits and suitability of the Client as actual or potential applicants for securities, commodities, futures, investment and related services and products, and approving their applications, renewals and cancellations;

    g. marketing financing services or related products and other subjects;

    h. determining the amount of indebtedness owed to or by Client;

    i. collection of amount outstanding from clients and those providing security for Client’s obligation;

    j. meeting the requirements to make disclosure under the requirements of any laws, regulations, rules, codes binding on the Group;

    k. direct marketing and promotion of existing and future services or products or other subjects of the Group (please refer to Paragraph 5); and

    l. purposes ancillary or related thereto.

  5. Use of data in direct marketing

    The Group intends to use the Client’s data in direct marketing and the Group requires the Client’s consent (which includes an indication of no objection) for that purpose.  In this regard, please note the following:

    a. the name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and statistics held by the Group may from time to time be used by the Group in direct marketing;

    b. the following classes of services, products and subjects may be marketed:

    (i) financial services and products;

    (ii) investment related services and products (including but not limited to Capital Investment Entrant Scheme and investment consultancy services);

    c. the above services, products and marketing subjects maybe provided or solicited by the Group and/or third party financial institutions, insurers, securities and investment services providers;

    d. in addition to marketing the above services, products and subjects itself, the Group also intends to provide the data described in Paragraph 5(a) above to all or any of the persons described in Paragraph 5(c) above for use by them in marketing those services, products and subjects, and the Group requires the Client’s written consent (which includes an indication of no objection) for that purpose;

    e. the Group may receive money or other property in return for providing the data to the other persons in Paragraph 5(d) above and, when requesting the Client’s consent or no objection as described in Paragraph 5(d) above, the Group will inform the Client if it will receive any money or other property in return for providing the data to the other persons;

    f. Client may, at any time, request the Group to cease using his/her personal data for direct marketing purposes by writing to the Data Protection Officer at the address provided in Paragraph 12;

    g. The Client understands that if the Client so requests, the Group is required to cease to use the data for such purpose without charge to the Client.  In addition, to comply with all relevant laws, regulations, guidelines or guidance, the Group, while retaining such data, shall cease from using such data for direct marketing.

  6. Please note that the Group may not be able to use your personal data for direct marketing purposes unless it has received your consent.  By signing the Account Opening Form, you are deemed to have given the Group your consent for the above uses and purposes.  The Group shall cease using your personal data in direct marketing if so requested by you without any charge.  Any such request can be sent to the Data Protection Officer of the Group. 

  7. Personal data held by the Group relating to a client will be kept confidential but the Group may disclose or transfer such information to the following parties within or outside Hong Kong to the extent permitted by law:

    a. any agent, contractor or third party service provider who provides administrative, telecommunications, computer (including computers servers and cloud-based information technology services) , payment or Securities clearing, printing or other services to the Group in connection with the operation of its business;

    b. any other companies within the Group, including the parent company;

    c. any other person under a duty of confidentiality to the Group including a company of the Group which has undertaken to keep such information confidential;

    d. any financial institution with which the client has or proposes to have dealings;

    e. any actual or proposed assignee of the Group or participant or sub-participant or transferee of the Group’s rights in respect of the client;

    f. any other person that the Group is compelled to make disclosure under the requirements of any laws binding on the Group;

    g. any person with the client’s express or implied consent;

    h. any person in the event that the Group’s interests require disclosure.

  8. In the course of performing our duties, the Group may, as permitted by law, match, compare, disclose, transfer or exchange any personal data provided by the client, or hereafter obtained, for these or any other purposes by the Group, with data held by government bodies, other regulatory authorities, corporations, organizations or individuals in Hong Kong or overseas for the purpose of verifying those data.

  9. Under and in accordance with the terms of the Ordinance, any individual:

    a. has the right to check whether the Group holds personal data about him/her and has the right of access to such personal data;

    b. has the right to require the Group to correct any personal data relating to him/her which is inaccurate;

    c. has the right to ascertain the Group’s policies and practices in relation to personal data and to be informed of the kind of personal data held by the Group.

  10. Client may in some circumstances elect to provide personal data to the Group via electronic means (such as the Internet or voice recording system).  Whilst the Group has used its best endeavour to ensure the security and reliability of its system, the reliability of telecommunications may be affected as a result of unforeseeable circumstances.  Client should therefore pay attention to this when transmitting personal data via electronic means.

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

  12. The person to whom requests for access to data or correction of data or for information regarding policies and practices and kinds of personal data held are to be addressed is as follows:

    The Data Protection Officer
    Suite 1101, 11/F,
    Champion Tower,
    3 Garden Road, Central,
    Hong Kong
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