Personal Data Collection Statement

This statement is made by Capital Securities (Hong Kong) in accordance with the Hong Kong Special Administrative Region's "Personal Data (Privacy) Ordinance" ("Privacy Ordinance"). The purpose is to clarify to customers the reasons, uses, and ways to inquire about personal data records.

1. When applying to open, maintain an account, or establish or continue a transaction or credit facility, or when requesting Capital Securities (Hong Kong) to provide financial, securities, commodities, derivative products, investment, investor education, and related services, products, and facilities, the customer will need to provide information to Capital Securities (Hong Kong) from time to time.
2. If the customer fails to provide the relevant information, Capital Securities (Hong Kong) may be unable to open or maintain the account, or establish or continue the transaction, credit facility, or provide the services, products, or facilities mentioned in paragraph 1 above.
3. Capital Securities (Hong Kong) will also collect customer information in the normal course of business with the customer.
4. The customer's information may be used (whether in Hong Kong or outside Hong Kong) for the following purposes:
   1. The daily operation of the services and facilities provided to the customer;
   2. Credit checks;
   3. Assisting other financial institutions in conducting credit checks;
   4. Ensuring that the customer's credit remains in good standing;
   5. Designing services, products, or facilities mentioned in paragraph 1 for the customer;
   6. Promoting the services, products, and facilities mentioned in paragraph 1 (for details on the use and provision of personal data for direct marketing by Capital Securities (Hong Kong), see paragraph 6 below);
   7. Determining the debts of the customer to Capital Securities (Hong Kong) or Capital Securities (Hong Kong) to the customer;
   8. Collecting debts from the customer and guarantors or persons providing security for the customer;
   9. Disclosing under legal and/or regulatory requirements or court orders that Capital Securities (Hong Kong) must comply with;
   10. Complying with any applicable industry standards; and
   11. Any other related purposes.

Capital Securities (Hong Kong) may transfer the customer's personal data to places outside Hong Kong from time to time for any of the above purposes.

5. Capital Securities (Hong Kong) will keep the customer's relevant information confidential, but may provide such information to the following persons (whether in Hong Kong or outside Hong Kong):
   1. Any agent, contractor, or third-party service provider who provides administrative, telecommunications, computer, financial investment, transaction execution services, or cash, securities, and/or contract settlement or delivery services related to the operations of Capital Securities (Hong Kong);
   2. Anyone with a confidentiality obligation to Capital Securities (Hong Kong), including but not limited to any member of the Capital Securities Group who has promised to keep such information confidential;
   3. Any financial institution or trader with which the customer has or proposes to have dealings;
   4. Any credit reference agency and in case of delinquency, to a debt collection agency;
   5. Any actual or proposed transferee, participant, or sub-participant of Capital Securities (Hong Kong)'s rights in relation to the customer;
   6. Any person providing or proposing to provide a guarantee or security for the customer's obligations; and
   7. Any exchange, entity, agent, regulatory, or government body that Capital Securities (Hong Kong) must comply with under applicable laws, court orders, or regulatory requirements of any jurisdiction. In such cases, Capital Securities (Hong Kong) may not be able to notify the customer or obtain the customer's consent before disclosing the relevant information to the above persons.
6. Use of Data in Direct Marketing

   With the customer's consent (including indicating no objection), Capital Securities (Hong Kong) may use the customer's personal data for direct marketing purposes. Please note:

   1. The customer's personal data, such as name, phone number, email address, mailing address, account number, product and service investment portfolio information, transaction patterns and behavior, financial background, investment goals, and experience, may be used for direct marketing;
   2. The following categories of services, products, facilities, and promotional targets may be promoted:
      1. Financial, securities, commodities, derivative products, investment, credit, insurance, MPF/occupational retirement plans, wealth management, investor education, and related services, products, and facilities;
      2. Rewards, seniority awards, or preferential plans and related services, products, and facilities;
      3. Services, products, and facilities provided by any business partner of the Capital Securities Group (these business partners are suppliers of any services, products, and facilities described in paragraph 6(ii)(1)); and
      4. Donations and contributions for charitable and/or non-profit purposes;
   3. The above services, products, facilities, and promotional targets may be provided or solicited by Capital Securities (Hong Kong) and/or any of the following persons:
      1. Any member of the Capital Securities Group;
      2. Third-party financial institutions and suppliers of any services, products, and facilities described in paragraph 6(ii)(1);
      3. Third-party reward, seniority, joint or preferential plan providers;
      4. Any business partner of the Capital Securities Group (these business partners are suppliers of any services, products, and facilities described in paragraph 6(ii)(1)); and
      5. Charitable or non-profit organizations;
   4. With the customer's written consent (including indicating no objection), Capital Securities (Hong Kong) may also provide the personal data described in paragraph 6(i) to any of the persons mentioned in paragraph 6(iii) for their direct marketing of the services, products, and facilities mentioned in paragraph 6(ii). Capital Securities (Hong Kong) may benefit from providing personal data to these persons for use in direct marketing.

   If the customer wishes Capital Securities (Hong Kong) to stop using their personal data and providing it to others for direct marketing purposes, the customer may notify the Data Protection Officer of Capital Securities (Hong Kong) in writing. The mailing address and fax number are provided in paragraph 10 below. Thereafter, Capital Securities (Hong Kong) must stop using and providing the customer's personal data for direct marketing purposes free of charge.

7. Customers may provide personal data to Capital Securities (Hong Kong) via electronic means (such as the Internet or voice recording systems). Despite Capital Securities (Hong Kong)'s best efforts to ensure the security and reliability of its systems, telecommunications transmissions can involve various unforeseen situations, which may affect the reliability of electronic communications. Customers should exercise extra caution when using electronic media to transmit personal data.
8. In accordance with the provisions of the Privacy Ordinance, any individual has the right to:
   1. Check whether Capital Securities (Hong Kong) holds the customer's data and access such data;
   2. Request Capital Securities (Hong Kong) to correct any inaccurate data relating to the individual;
   3. Inquire about Capital Securities (Hong Kong)'s policies and practices regarding the handling of data and the types of personal data held by Capital Securities (Hong Kong).
9. According to the provisions of the Privacy Ordinance, Capital Securities (Hong Kong) has the right to charge a reasonable fee for processing any data access request.
10. To request to stop using the customer's personal data for direct marketing purposes, or to inquire or correct data, or inquire about policies, practices, and types of data, please contact:

    Capital Futures (Hong Kong) Limited
    3204-3207 Cosco Tower, 183 Queen's Road Central, Sheung Wan, Hong Kong
    Tel: (852) 2105-1207
    Fax: (852) 2105-1193

11. Capital Securities (Hong Kong) may make changes, revisions, or supplements to this statement from time to time. The latest version of the statement can be accessed on Capital Securities (Hong Kong)'s website or obtained in writing from Capital Securities (Hong Kong).