Privacy Statements

• the daily operation of the services provided to the Client ;
• conducting credit checks ;
• ensuring ongoing credit worthiness of the Client;
• marketing investment, dealing or related services or products (please see further details in clause 6 below);
• supporting any statements made in any documents in connection with the services of PLUTUS;
• assisting other relevant parties, professionals, institutions or relevant regulatory authorities to verify certain facts in connection with the services of PLUTUS;
• to comply with any court orders, law, rules, regulations, codes of practice, guidelines or requests, including without limitation to make disclosures of your data to regulators, governmental bodies, tax authorities or industry recognized bodies such as exchanges, fiscal and monetary authorities, securities and banking associations and credit reference agencies, all of which may be within or outside Hong Kong;
• to comply with any obligations, requirements or arrangements that PLUTUS has or may has in the future with local or foreign regulatory or tax authorities, whether imposed by law or assumed by them for the protection of their financial, commercial business or other legitimate interests in or related to such jurisdictions, including but not limited to compliance with obligations binding on PLUTUS pursuant to arrangements in relation to the Foreign Account Tax Compliance Act of the United States of America (“FATCA”);
• for establishing whether you are a citizen of the United States, resident of the United States for its federal income tax purposes or otherwise subject to tax in the United States and/or to substantiate whether your account has US status for the purposes of FATCA; and
• meeting the requirements to make disclosures under the requirements of any laws and/or regulations binding on PLUTUS;
• forming part of the records of the recipient of the data as to the business carried on by it; and
• any other purposes relating to or incidental to any of the above.

• any agent or third party service provider who provides services to PLUTUS in connection with the operation of its business;
• an appropriate person under a duty of confidentiality to PLUTUS including any Broker Group Company which has undertaken to keep such information confidential;
• any person or institution with which the Client has or proposes to have dealings;
• credit reference agencies and debt collection agencies (in the event of default payment);
• any regulatory authorities or exchanges which relate to or govern any business of PLUTUS or its Associates;
• any assignee, transferee, delegate, successor or person to whom the account of the Client is transferred and the authorised person of the Client;
• any of PLUTUS’s actual or proposed assignee or participant or sub-participant or transferee; and
• any exchange, entity, agency, regulatory or government body in any jurisdiction (whether within or outside Hong Kong) if required by law or pursuant to any court orders, rules or regulations to which PLUTUS is subject. In such cases, PLUTUS is usually under a duty of secrecy and will not be able to notify a customer or seek his/her consent in relation to such release of information.

PLUTUS intends to use the client’s personal data in direct marketing and we require the client’s consent (which includes an indication of no objection) for that purpose. The specific requirement regarding your consent (which includes an indication of no objection) is introduced in Part VIA of the Personal Data (Privacy) Amendment Ordinance 2012. In this connection, please note that:

• the client’s name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and demographic data held by PLUTUS from time to time may be used by PLUTUS in direct marketing ;
• the following classes of services, products and subjects may be marketed：
  1. securities, futures, foreign exchange, mutual funds/unit trusts, bonds, derivatives, insurances, mandatory provident fund schemes, commodities, investment, asset management, capital investment entrant scheme and related services and products;
  2. reward, loyalty or privileges programmes in relation to the class of marketing subjects as referred to in paragraph b(i) above;
  3. services and products offered by PLUTUS’s co-branding partners (the names of such co-branding partners can be found in the application form(s) for the relevant services and products, as the case may be) in relation to the class of marketing subjects as referred to in paragraph b(i) above; and
  4. donations and contributions for charitable and/or non-profit making purposes.
• the above services, products and subjects may be provided or (in the case of donations and contributions) solicited by PLUTUS and/or：
  1. any member of PLUTUS and its Associates;
  2. third party financial institutions, insurers, securities, commodities and investment services providers;
  3. third party reward, loyalty, co-branding or privileges programme providers;
  4. co-branding partners of PLUTUS and its Associates (the names of such co-branding partners can be found in the application form(s) for the relevant services and products, as the case may be); and
  5. charitable or non-profit making organizations；
• in addition to marketing the above services, products and subjects itself, PLUTUS also intends to provide the data described in paragraph (a) above to all or any of the persons described in paragraph (c) above for use by them in marketing those services, products and subjects (in respect of which we may or may not be remunerated), and PLUTUS requires your written consent (which includes an indication of no objection) for that purpose.
• If the client does not wish PLUTUS to use or provide to other persons the client’s data for use in direct marketing as described 6(a) to (d) above, the client may exercise the opt-out right by notifying PLUTUS in writing.

• check whether PLUTUS holds data about him/her and access to such data;
• require PLUTUS to correct any data relating to him/her which is inaccurate;
• ascertain PLUTUS’s policies and practices in relation to data and be informed of the kind of personal data held by PLUTUS; and
• in relation to customer credit, request to be informed which items of personal data are routinely disclosed to credit reference agencies or debt collection agencies, and be provided with further information to enable the making of an access and correction request to the relevant credit reference agency or debt collection agency.

The Privacy Protection Officer