This policy is addressed and provided in connection with your provision of personal data and information (the “Data”) to CPIC Investment Management (H.K.) Co. Ltd. (“CPIC IMHK), a member of the CPIC Group (as defined) and China Pacific Insurance (group) Co., Ltd. (中國太平洋保險（集團）股份有限公司), any of its affiliates, subsidiaries, associated entities and any of their branches and offices, and “any member of the CPIC Group” (collectively, “CPIC Group”) from time to time pursuant to the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) (the “Ordinance”).  CPIC Group is fully committed to protecting your personal privacy interests who provides CPIC IMHK with the Data in relation to the Client, and to complying with the requirements under the Ordinance.

 1.From time to time, it is necessary for you to supply CPIC IMHK with the Data in connection with the account opening or continuations, provision of services to you or compliance with any laws, rules, regulations or guidance issued by regulatory, competent or other authorities (whether in Hong Kong or elsewhere).

 2.In relation to an individual client, the kind of the Data which may be collected by CPIC IMHK includes, without limitation, name, identity card, address, nationality, occupation, country of tax residence and details of financial status.  With respect to a corporate client, the kind of the Data which may be collected by CPIC IMHK includes, without limitation, the personal data and information of the directors, officers, employees, authorized signatory, partners, shareholders, other connected persons thereof.

 3.Failure to supply the Data may result in CPIC IMHK being unable to commence services or continue to provide services to you, or unable to comply with any laws, rules, regulations or guidance issued by regulatory, competent or other authorities (whether in Hong Kong or overseas).

 4.It is also the case that the Data is collected from you in the ordinary course of the continuation of your relationship with CPIC IMHK. For example, collection of the Data occurs during the course of opening the client account, effecting transactions, generally communicating verbally or in writing with you or otherwise carrying out transaction as part of CPIC IMHK’s service.  CPIC IMHK will also collect your Data from third parties, including third parties service providers with whom you interact in connection with the marketing of CPIC IMHK’s services and your application for CPIC IMHK’s services.

5.The purposes for which the Data may be used will vary with the nature of your relationship with CPIC IMHK.  CPIC IMHK intends to use the Data (including any of the Data in relation to third parties provided by you) for any or all of the following purposes:-

 (a)considering and assessing your application for the services to be provided by CPIC IMHK;

 (b)the daily operation of your client accounts and the services to be provided to you;

 (c)conducting verification and credit check procedures for you, and assisting CPIC Group or other financial institutions in conducting these procedures;

 (d)ensuring your ongoing credit worthiness;

 (e)marketing investment, dealing or related services or products;

 (f)executing your instructions or in connection with the business or dealings of CPIC Group;

 (g)establishing and maintaining CPIC IMHK’s or CPIC Group’s risk management related standards;

 (h)ongoing account management, including but not limited to collection of debts, enforcement of guarantees, charges or other rights and interests;

 (i)supporting any statements made in any documents in connection with the services of CPIC IMHK;

 (j)assisting other relevant parties, professionals, institutions or relevant regulatory authorities to verify certain facts in connection with the services of CPIC IMHK;

 (k)complying with any disclosure, reporting, payment, withholding of payment, filing or notification or other similar obligation pursuant to any judicial, statutory or regulatory requirement including compliance with applicable laws, regulations and guidelines of Hong Kong or any other relevant jurisdiction, which CPIC IMHK is bound by or any failure to comply with will result in adverse consequences (sanctions, penalties or imprisonment) for CPIC IMHK or its officers and staff;

 (l)forming part of the records of the recipient of the Data as to the business carried on by it; and

 (m)any other purposes relating to or incidental to any of the above.

 6.CPIC IMHK will keep the Data confidential but CPIC IMHK may provide the Data to the following persons in furtherance of the purposes set in the above paragraph 5:-

 (a)any agent or third party service provider who provides services to CPIC IMHK in connection with the operation of its business;

 (b)an appropriate person who owes a duty of confidentiality to CPIC IMHK including any of the companies under CPIC Group which has undertaken to keep such information confidential;

 (c)any person or institution with which you have or propose to have dealings;

 (d)credit reference agencies and debt collection agencies (in the event of default payment);

 (e)any regulatory authorities or exchanges which relate to or govern any business of CPIC IMHK and any of the companies under CPIC Group;

 (f)any assignee, transferee, delegate, successor or person to whom your accounts or services is transferred and your authorized person; and

 (g)any of CPIC IMHK’s actual or proposed assignee or participant or sub-participant or transferee in the contemplated assignments, participations and transfers.

  7.The Data may be transferred to any place outside Hong Kong, whether for the processing, holding or use of the Data outside Hong Kong, and also to service providers which offer services to any of the companies under CPIC Group in connection with the operation of its business.

 8.To the extent permitted by the applicable laws, rules and regulations, the Data collected by CPIC IMHK from time to time may be used and disclosed in accordance with this Policy.

 9.In accordance with the provisions of the Ordinance, any individual has the right to:

 (a)check whether CPIC IMHK holds the Data, and access to any of the Data; 

 (b)require CPIC IMHK to correct any of the Data relating to you which is inaccurate;

 (c)ascertain CPIC IMHK’s policies and practices in relation to the Data and to be informed of the kinds of the Data held by CPIC IMHK;

 (d)object to the use of the Data for direct marketing purposes and CPIC IMHK shall not use the Data for direct marketing purposes after you communicate your objection to CPIC IMHK.

 10.In accordance with the provisions of the Ordinance, CPIC IMHK has the right to charge a reasonable fee for the process of any data request.

 11.For access to the Data held by CPIC Group, correction of the Data, objection to use of the Data for direct marketing purposes or for information regarding policies and practices and kinds of the Data held, please contact:

Compliance Officer - Data Protection

CPIC Investment Management (Hong Kong) Limited

Suite 7601B-02A, Level 76, International Commerce Centre, 1 Austin Road West, Kowloon, Hong Kong

Fax: +852 39710008

In order to deal with any such request, CPIC IMHK may require evidence from you that you are the individual in respect of whom the request is made or a person permitted under the Ordinance to make the request on that individual’s behalf.