Personal Information and Privacy Protection Policy
HSBC Qianhai Securities Limited(“HSBC Qianhai”, “we” or “us”) take personal information confidentiality and security very seriously, and strive at all times to protect our customers’ and related parties’ personal information and privacy according to law. We therefore formulate this Personal Information and Privacy Protection Policy (this “Policy”) and collect, use, disclose and protect your personal information (including the personal information of the person you represent) in accordance with this Policy. Please be advised to read this Policy carefully to fully understand the purposes, methods, and scope of personal information we collect and use, HSBC Qianhai’s practices regarding personal information and privacy protection, your rights and interests with regard to personal information and privacy and how to assert your rights and interests. If you have any query, please Contact HSBC Qianhai. You may contact us through the contact information listed in this Policy or by calling HSBC Qianhai’s hotline. You may also visit HSBC Qianhai’s official website to enquire other contact information of us suitable for you.
This Policy shall apply to your and related parties’ personal information that may be involved when you visit, browse, use any website or mobile device application of HSBC Qianhai, apply for or use any product, device or service of HSBC Qianhai, handle any business at HSBC Qianhai or make any transaction with HSBC Qianhai, participate in any marketing events and surveys of HSBC Qianhai, apply for any position at HSBC Qianhai and/or in any way contact or correspond with HSBC Qianhai, no matter the information is provided by yourself or by the related parties, or collected or acquired by HSBC Qianhai from other sources according to law, regulation, regulatory provision, or based on your or related parties’ authorisation or consent. You shall understand and agree that we may collect, verify, store, use, process, disclose, transfer, protect your and related parties’ personal information in accordance with this Policy and other terms and conditions otherwise agreed between you and HSBC Qianhai. If there is any discrepancy between this Policy and the other terms and conditions agreed between you and HSBC Qianhai, such other terms and conditions shall prevail.
Personal Information and Privacy Protection Policy Overview
To preserve the confidentiality, security and privacy of all personal information you provide to us, we follow the principle of reasonableness, legitimacy and rightfulness, and maintain the following policies to protect personal information and privacy:
- We only collect personal information that we believe to be relevant and required for us to comply with law, regulation and regulatory provision, understand your needs, build up, review, maintain and develop our relationship with you, provide you with products and services, and continuously improve our products and services.
- We use your personal information with the aim to comply with law, regulation and regulatory provision, provide you with better products and services, and build up, review, maintain and develop our relationship with you.
- We may for specific purposes provide your personal information to other members of the HSBC Group, our respective agents or other third parties, as permitted by law.
- We will not disclose your personal information to any third party, unless the disclosure is made to comply with law, regulation and regulatory provision or in accordance with this Policy or other agreement between you and HSBC Qianhai.
- We may be required from time to time to disclose your personal information to our regulators, other governmental or judicial bodies or agencies, but we will only do so following the requirement of law and regulation, our regulators or other authorities and to the extent that we deem necessary.
- We aim to keep your personal information on our records accurate and up-to-date.
- We maintain strict security systems designed to prevent unauthorised access to your personal information by anyone.
- All members of the HSBC Group, all our staff and all third parties with permitted access to your personal information are specifically required or legally responsible to observe our confidentiality obligations.
By maintaining our commitment to these policies, we will ensure that we respect the inherent trust that you place in us.
- Information security is our top priority. We will endeavour at all times to safeguard your personal information against unauthorised or accidental access, processing or erasure. We maintain this commitment to information security by implementing appropriate physical, electronic and managerial measures to secure your personal information.
- We exercise strict management over our staff members who may have access to your personal information, including but not limited to access control applied to different positions, contractual obligation of confidentiality agreed with relevant staff members, formulation and implementation of information security related policies and procedures, and information security related training offered to staff. When we use services provided by external service providers (entities or individuals), we also request them to abide by our security standards.
- For the security of your personal information, you take on the same responsibility as us. You shall keep your personal information secret and confidential, such as your securities account information, identity verification information (e.g. user name, password, dynamic password, verification code, etc.), and all the documents, materials, devices or other media that may contain or record or otherwise relate to such information, and shall ensure your personal information and relevant documents, materials, devices or other media are used only in a secured environment. You shall not, at any time, disclose to any other person or allow any other person to use such information and relevant documents, materials, devices or other media. Once you think your personal information and/or relevant documents, materials, devices or other media have been disclosed, lost or stolen and may so endanger the relation between you and HSBC Qianhai or cause your securities account being used for any unauthorised transaction, you shall notify us immediately so that we may take appropriate measures to prevent further loss from occurring.
- We will comply with all statutory and regulatory requirements concerning the retention of identifiable personal information.
Collection of Personal Information
- As required for us to provide you with various products and services and continuously improve our products and services, or in order to contact or communicate with you, understand your needs, build up, review, maintain and develop our relationship with you, or for the purpose to comply with law, regulation and regulatory provision, during the time when you visit, browse, use any website or mobile device application of HSBC Qianhai, apply for or use any product, device or service of HSBC Qianhai, handle any business at HSBC Qianhai or make any transaction with HSBC Qianhai, participate in any marketing events and surveys of HSBC Qianhai, apply for any position at HSBC Qianhai, and/or in any way contact or correspond with HSBC Qianhai, HSBC Qianhai may receive and keep the personal information provided by yourself or by related parties, or, according to law, regulation, regulatory provision, your authorisation or consent, collect, enquire, verify by proper methods your and/or related parties’ personal information from/with members of the HSBC Group or other third parties (including but not limited to credit reference agencies, information service providers, relevant authorities, employers, counterparties, other relevant entities, joint applicants, contact persons, close relatives and other persons). The personal information we so collect may include information in paper, electronic or any other forms.
- For above purposes, the personal information collected by the HSBC Qianhai according to this Policy mainly include:
- Personal identity information, including name, sex, nationality, citizenship, registered residence (Hu Kou), ethnic, type/number/validity period of ID certificate, occupation, education, diploma, contact information, age, birth date, place of birth, marital status, health status, family status, place of residence, work address, photo, personal virtual identity and authentication information, etc.;
- Personal property information, including personal income, real property, movable property (e.g. vehicle, financial assets, etc.), indebtedness, investment, tax-paid amount, tax residence, taxpayer identification number, amount paid for the provident fund, etc.;
- Personal biometrics information, such as signature, handwriting, portrait, fingerprint, voice, iris, face recognition information, etc.;
- Personal account information, including account number, time of account opening, institution with which the account is opened, account balance, account transaction information, etc.;
- Personal credit information, including credit card, loan and other credit transaction information and any other information about personal credit status;
- Personal financial transaction information, including personal information acquired, kept, recorded during any brokerage, settlement or other securities business, personal information generated from transactions made through securities companies with any third party institution like insurance company, banks, fund house, futures company or payment agency, and etc.;
- Derivative information, including consumption habit, product/service/internet use habit, transaction or risk preference, risk appetite, investment intention, investment goal, knowledge and experience, and other information about particular person’s situation derived from processing and analysis of raw data;
- Any other personal information acquired or kept during the establishment or maintenance of business or other relationship with individuals, e.g. time/location (including geographic location and network address) of service use, log information, image and video record, audio record, network information, device identifier, hardware type, operating system version, etc.
Use of Personal Information
- Use of Personal Information
Your personal information and data collected by HSBC Qianhai may be used for the following purposes (or any of them, depending on the nature of your relationship with HSBC Qianhai):
- to provide you with products or services, to identify or verify your identity, to approve, manage, handle, execute or effect transactions requested or authorised by you;
- to comply with any Applicable Laws (“Applicable Laws” refer to any applicable local or foreign statute, law, regulation, ordinance, rule, judgment, decree, voluntary code, directive, sanctions regime, court order applicable to any member of the HSBC Group, agreement between any member of the HSBC Group and an authority, or agreement or treaty between authorities and applicable to HSBC Qianhai or a member of the HSBC Group) and any order or requirement from any authority;
- to perform HSBC Qianhai and/or the HSBC Group’s compliance obligations (including regulatory compliance, tax compliance and/or compliance with any Applicable Laws or requirement of any authority), or to implement any policy or procedure made by HSBC Qianhai and/or the HSBC Group for performance of their compliance obligations;
- to detect, investigate and prevent any real, suspected or potential financial crime (including money laundering, terrorist financing, bribery, corruption, tax evasion, fraud, evasion of economic or trade sanctions, and/or violations, or acts or attempts to circumvent or violate any Applicable Laws relating to these matters) and to manage financial crime risk;
- to enforce or defend HSBC Qianhai or any member of the HSBC Group’s rights, or to perform HSBC Qianhai or any member of the HSBC Group’s obligations (whether statutory obligations or contractual obligations, including but not limited to HSBC Qianhai’s obligations under any agreement entered into with any real or potential business and/or asset assignee, business partner or transaction participator);
- as required by or to fulfil HSBC Qianhai or the HSBC Group’s internal operational requirements (including for credit and risk management, data statistics, analysis, processing and handling, system, product and service design, research, development and improvement, planning, insurance, audit and administrative purposes);
- to contact or communicate with you, understand your needs, build up, review, maintain and develop HSBC Qianhai’s or any member of the HSBC Group’s overall relationship with you (including to market or promote relevant products or services to you, to assess your interests in relevant products or services, to conduct market research or survey or satisfaction survey, to review, approve or handle your application for any position at HSBC Qianhai, etc.),
- to obtain or utilize administrative, consultancy, telecommunications, computer, payment, data storage, processing, outsourcing and/or other products or services.
- Disclosure of Personal Information
For the purposes set out above, HSBC Qianhai may provide or disclosure your personal information to the following recipients (the recipients may also, for the aforesaid purposes, use, process and further disclose the information they receive):
- any member of the HSBC Group;
- any contractor, subcontractor, agent, third party product or service provider, licensor, professional consultant, business partner, or associated person of the HSBC Group (including their employees, directors and officers);
- any regulator or other authority of HSBC Qianhai or any member of the HSBC Group, or any organisation or individual designed by such regulators or authorities;
- anyone acting on your behalf, beneficiaries, account nominees, intermediary, clearing houses, clearing or settlement systems, market counterparties, upstream withholding agents, swap or trade repositories, stock exchanges, companies in which you have an interest in securities (where such securities are held by HSBC Qianhai for you);
- any person or related party who has the right or obligation, acquires an interest or assumes risk, in or in connection with any product or service you receive from HSBC Qianhai, or any business you handle at HSBC Qianhai or any transaction you make with HSBC Qianhai;
- other financial institutions, industrial associations (including without limitation Securities Association of China, Asset Management Association of China), information service providers;
- any third party fund manager providing you with asset management services;
- any broker that provides referral, agency or intermediary service to HSBC Qianhai, or any third party to whom HSBC Qianhai provides referral, agency or intermediary service;
- any party in connection with any business transfer, restructure, disposal (including securitization), merger or acquisition transactions of HSBC Qianhai;
- any person to whom HSBC Qianhai or any member of the HSBC Group is under an obligation or otherwise required to make disclosure for the aforesaid purposes.
Such provision or disclosure may involve cross border transmission of personal information, including information transmission to jurisdictions which do not have data protection laws that provide the same level of protection as the jurisdiction in which HSBC Qianhai is located. Whether it is processed in a home jurisdiction or overseas, in accordance with applicable data protection legislation, your personal information will be protected by a strict code of secrecy and security which all members of the HSBC Group, their staff and third parties are subject to.
Personal Information related Rights
- You have the right to request us to protect and secure your personal information in accordance with the provisions of the law, regulation and this Policy.
- You have the right to check with HSBC Qianhai whether HSBC Qianhai holds your personal formation and to check the personal information your have provided to HSBC Qianhai.
- You have the right to check with HSBC Qianhai for HSBC Qianhais policies on personal information and privacy protection. When you have any query about this Policy, you have the right to seek explanation/interpretation from HSBC Qianhai to help you understand our practices regarding personal information and privacy protection and their possible consequence, and understand your rights and interests under this Policy in relation to personal information and privacy.
- You have the right and obligation to update your personal information at HSBC Qianhai to ensure all information be accurate and up-to-date. You have the right to require HSBC Qianhai to provide convenience for you to update your personal information at HSBC Qianhai and to correct any of your information that is inaccurate.
- To the extent allowed by law and regulation, HSBC Qianhai reserves the right to charge a reasonable fee for the processing of any information access or correction request. Requests for access to or correction of personal information, for HSBC Qianhai’s policies and practices regarding personal information and privacy protection, or for any personal information held by HSBC Qianhai should be addressed to:
The Compliance Officer
HSBC Qianhai Securities Limited
Building 27AB, Qianhai Enterprise Dream Park,
No.63 Qianwan Yi Road,
- If at any time you would like us to cease using or providing to others your personal information for advertisement promotion purpose, you are entitled to notify HSBC Qianhai and exercise your right of choice not to receive such advertisement promotion any more. If you so choose to reject advertisement promotion message, please contact our Service Hotline: (86) 0755-8898 3288. After receipt of your request we will, as soon as practical (usually no later than 30 days from your request), take actions to ensure no more advertisement promotion message should be sent to you.
- You may supervise or make suggestions for HSBC Qianhai’s practices regarding personal information and privacy protection, and to lodge complaints or demand compensation according to law against HSBC Qianhai or its staff for any infringement of your rights and interests in your personal information and privacy.
- Nothing in this Policy shall limit your rights as a personal information subject under Chinese law.
Note: In case of discrepancy between the Chinese and English versions, the Chinese version shall apply and prevail.
IMPORTANT: When you apply for or use any product, device or service of HSBC Qianhai, handle any business at HSBC Qianhai, make any transaction or enter into relevant agreement with HSBC Qianhai, visit, browse, use any website or mobile device application of HSBC Qianhai, participate in any marketing events and surveys of HSBC Qianhai, apply for any position at HSBC Qianhai, and/or in any way contact or correspond with HSBC Qianhai, you will be deemed having accepted the above terms of this Policy and agreed that HSBC Qianhai may collect, use and disclose your relevant information according to this Policy.