Personal Information Collection Statement

Last Updated on 30 August, 2018

This Statement is provided to the Customer as an individual Customer of Phillip Group (the “Group”) in accordance with the requirements of the Hong Kong Personal Data (Privacy) Ordinance (the “Ordinance”). 

  1. Definitions

“Account” means any one or more accounts now or hereafter opened in the name of the Customer with the Company; 

“Account Opening Form” means the prescribed document the Customer completes and signs for the opening of an account with the Company; 

“Associate” means, in relation to the Group, a body corporate which is its subsidiary or affiliated company in Hong Kong or elsewhere including, where appropriate, but not limited to Phillip Securities (Hong Kong) Limited, Phillip Commodities (HK) Limited, Phillip Capital Management (HK) Limited, Phillip Financial Advisors Limited, Phillip Bullion Limited and Phillip Finance (HK) Limited;  

“Client Agreement” means the agreement signed between the Customer and the Company, including the Account Opening Form and the various schedules attached, as originally executed or as thereafter from time to time amended or supplemented; 

“Company” means the corporate body with whom the Customer entered into a Client Agreement; 

“Correspondent Agent” means anyone who acts as the Company’s agent, contractor or third party service provider (whether in Hong Kong or elsewhere) who provides administrative, telecommunications, computer, payment, debt collection or securities clearing, custodian, audit, banking, financing, insurance, risk management, business consulting, outsourcing, customer relationship management, marketing or other services to the Group in connection with the operation of its business; 

“Customer” means the party whose name, address, and details are set out in the Account Opening Form; and 

“Instructions” means any instructions or orders communicated by the Customer or its authorized persons to the company. 

  1. Disclosure Obligation

Unless otherwise stated the Customer must supply the personal data requested on the enclosed Account Opening Form to the Company. If the Customer does not supply this data, it will not be possible for the Customer to open an Account with the Company as the Company will not have sufficient information to open and administer the Account. 

  1. Collection and Use of Personal Data

3.1 Users

AII personal data concerning the Customer (whether provided by the Customer or any other person, and whether provided before or after the date the Customer receives the Client Agreement containing this information) may be used by any of the following companies or persons (each, a “User”):

(i)               any member of the Group;  

(ii)              any director, officer or employee or agent of the Group;  

(iii)             any person (such as lawyers, advisers, nominee, custodian etc.) authorized by the Group when carrying out the Customer's Instructions and/or the business of the Group;  

(iv)             any actual or proposed assignee of any rights and obligations of the Group in relation to the Customer;  

(v)              any governmental, regulatory or other bodies or institutions, whether as required by law or regulations applicable to any member of the Group; and 

(vi)             any Correspondent Agent.

Any person when processing your Hong Kong securities trading and IPO application, including but not limited to the issuer, the issuer’s share registrar, SSE, SZSE, the SFC, SEHK and any other party involved for the purposes of processing your transaction/ application.


3.2 Purposes

All personal data concerning the Customer may be used by any User for the following purposes:

(i)              processing the Customer’s Account opening application; 

(ii)             carrying out new or existing client verification and credit checking procedures and assisting other financial institutions to do so; 

(iii)            ongoing Account administration, including the collection of amounts due, enforcement of security, charge or other rights and interests ; 

(iv)            designing further products and services or marketing a Group product to the Customer. 

(v)             transfer of such data to any place outside Hong Kong; 

(vi)            comparison with the Customer's personal data (irrespective of the purposes and sources for which such data were collected, and whether collected by a User or any other person) for
                 the purpose of:

                 (A) credit checking; (B) data verification; and/or (C) otherwise producing or verifying data which may be used for the purpose of taking such action that a User or any other person
                 may consider

                 appropriate (including action that may relate to the rights, obligations or interest of the Customer or any other person);  

(vii)           providing on the terms of any other agreements and services relating to the Customer; 

(viii)          any purpose relating to or in connection with compliance with any law, regulation, court order or order of any regulatory body; 

(ix)            investigating suspicious transactions; and 

(x)             any other purpose relating to the execution of the Customer's Instructions or in connection with the business or dealings of the Group.

(xi)            disclosing and transferring your personal data (including CID and BCAN(s)) to the issuer, the issuer’s share registrar, SSE, SZSE, the SFC, SEHK and any other party involved in
                 accordance with the rules and requirements of SEHK and the SFC in effect from time to time.

3.3 Use of Data in Direct Marketing

The Company intends to use and /or transfer the Customer's data to its Associates for direct marketing and the Company requires the consent (including no objection) of the Customer for that purpose. In this connection, please note that:

(i)              the name, contact details, portfolio information, transaction pattern and financial background of the Customer may be used in direct marketing of investment or financial related
                 products and services of the Group; and  

(ii)             if a Customer does not wish the Company to use and /or transfer the Customer's data for use in direct marketing, the Customer may, without charge, exercise the right to opt-out. 


3.4 Duration of Use

The Company shall store the Customer’s data for no longer than required under the rules, regulations, and laws of all relevant regulators.


3.5 Collection of data

The Group may collect personal data provided voluntarily by visitors to this website/application. Individual customer (which includes you) may be required to provide us with the following data: (a) their personal data, including name, age, occupation, marital status, email address, telephone number, personal identity information, biometric data, photograph, video, electronic signature, address and other contact information, financial information, credit history, source of wealth, risk tolerance, investment experiences and objectives; (b) transaction records; (c) account balance and securities portfolio; (d) IP address, browser type and version, time zone settings, browser plugin types, operating systems or platform and device data (including where the IMEI number of mobile device, wireless networks and general network data); The Group may also obtain your personal data from publicly available sources of information, recording telephone conversations and/or communications by using electronic media, or from third party risk intelligence applications.

Your personal data and non-personal data will be recorded when you visit this website/application, used for the purposes of data analysis, including analyzing the number of visitors to the website/application.

  1. Rights of the Customer

The Customer has the right to have access to and correction of the Customer's personal data as set out in the Ordinance. In general, and subject to certain exemptions, the Customer is entitled to:

(i)              enquire whether an Associate holds personal data in relation to the Customer; 

(ii)              request access to the Customer's personal data within a reasonable time, at a fee which is not excessive, in a reasonable manner and in a form that is intelligible;  

(iii)             request the correction of the Customer's personal data; 

(iv)             be given reasons if a request for access or correction is refused, and object to any such refusal;

(v)              object to the use of its data as listed under clause 3.2 above, however the objection to any one of the uses contained therein shall prevent the Company from administering the
                  account. Therefore any objections shall be treated as a request to close the Customer’s account with the Company; and 

(vi)             lodge a complaint with a relevant supervisory authority if the Customer considers that the processing of his/her data infringes on his/her rights.

  1. Disclosure of Personal Data

Upon the death of the Customer, the Company shall upon the request of the surviving spouse, child, or parent of the Customer (the Applicant) disclose the account balance and such other information concerning the Customer as the Applicant may require if the Applicant provides a certified true copy of the Customer’s government issued death certificate to the Company.

  1. Contact Person

If the Customer wishes to request access to and /or correct personal data and/or opt out of receiving direct marketing material, the Customer should contact the Data Protection Officer of the Company on 2277 6555 or



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