Processing of Personal Data under Hong Kong Investor Identification Regime (“HKIDR”) and Over-the-counter Securities Transactions Reporting Regime (“OTCR”)

For the avoidance of doubt, if you have accounts with two or more of the above named companies, notwithstanding anything to the contrary contained in this Client Consent Form – Hong Kong Investor Identification Regime and Over-the-counter Securities Transactions Reporting Regime (“Client Consent Form”), this consent is given to all such companies and all such companies are hereinafter jointly and severally referred to as “EBSI”.

Without limitation to any notification EBSI has given you or consent EBSI has obtained from you in respect of the processing of your personal data in connection with your account and our services to you, you acknowledge and agree that EBSI may collect, store, process, use, disclose and transfer personal data relating to you (including Client Identification Data (“CID”) and Broker-to-Client Assigned Number(s) (“BCAN(s)”) together with any requisite data relating to your transaction and/or account as required by the Regulatory Rules (as defined below)) as required for EBSI to provide services to you in relation to securities listed or traded on The Stock Exchange of Hong Kong (SEHK) or traded on any over-the-counter market, network or facility and for complying with the rules and requirements of SEHK and the Securities and Futures Commission (SFC) (“Regulatory Rules”) in effect from time to time. Without limiting the foregoing, this includes –

1. disclosing and transferring your personal data (including CID and BCAN(s) together with any requisite data relating to your transaction and/or account as required by the Regulatory Rules) to SEHK and/or the SFC in accordance with the rules and requirements of SEHK and the SFC in effect from time to time;
2. allowing SEHK to: (i) collect, store, process and use your personal data (including CID and BCAN(s) together with any requisite data relating to your transaction and/or account as required by the Regulatory Rules) for market surveillance and monitoring purposes and enforcement of the Rules of the Exchange of SEHK; and (ii) disclose and transfer such information to the relevant regulators and law enforcement agencies in Hong Kong (including, but not limited to, the SFC) so as to facilitate the performance of their statutory functions with respect to the Hong Kong financial markets; and (iii) use such information for conducting analysis for the purposes of market oversight; and
3. allowing the SFC to: (i) collect, store, process and use your personal data (including CID and BCAN(s) together with any requisite data relating to your transaction and/or account as required by the Regulatory Rules) for the performance of its statutory functions including monitoring, surveillance and enforcement functions with respect to the Hong Kong financial markets; and (ii) disclose and transfer such information to relevant regulators and law enforcement agencies in Hong Kong in accordance with applicable laws or regulatory requirements.
4. providing your BCAN(s) to Hong Kong Securities Clearing Company Limited (HKSCC) allowing HKSCC to: (i) retrieve from SEHK (which is allowed to disclose and transfer to HKSCC), process and store your CID and transfer your CID to the issuer’s share registrar to enable HKSCC and/ or the issuer’s share registrar to verify that you have not made any duplicate applications for the relevant share subscription and to facilitate initial public offering (“IPO”) balloting and IPO settlement; and (ii) process and store your CID and transfer your CID to the issuer, the issuer’s share registrar, the SFC, SEHK and any other party involved in the IPO for the purposes of processing your application for the relevant share subscription or any other purpose set out in the IPO issuer’s prospectus.

You also agree that despite any subsequent purported withdrawal of consent by you, your personal data may continue to be stored, processed, used, disclosed or transferred for the above purposes after such purported withdrawal of consent.

Consequences of failing to provide Personal Data or Consent

Failure to provide EBSI with your personal data or consent as described above may mean that EBSI will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any).

Acknowledgement and Consent

I/We acknowledge I/we have read and understand the content of this Client Consent Form provided by EBSI. By ticking the box below, I/we signify my/our consent for EBSI to use my/our personal data (including CID and BCAN(s) together with any requisite data relating to my/our transaction and/or account as required by the Regulatory Rules) on the terms of and for the purposes set out in this Client Consent Form.

*The above services are provided by Everbright Securities Investment Services (HK) Limited, Everbright Securities Digital Finance (HK) Limited and China Everbright Securities (HK) Limited, wholly-owned subsidiaries of China Everbright Securities International Company Limited. All these companies are collectively referred to as “Everbright Securities International”.

Notes:

1. The terms “BCAN” and “CID” used in this Client Consent Form shall bear the meanings as defined in paragraph 5.6 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.
2. If there is any conflict or inconsistency between the English and Chinese versions of this letter, the English version shall prevail.