Agreement&Declaration

Rich List International Securities Futures is a trusted licensed securities firm in Hong Kong

Personal Information Collection Statement (Supplement)

Personal Information Collection Statement (Supplement)

 Investor Identification Code and Off‑Market Securities Reporting (For securities listed or traded on The Stock Exchange of Hong Kong Limited only)


I understand and agree that FTFT INTERNATIONAL SECURITIES AND FUTURES LIMITED(“FTFT INTERNATIONAL SECURITIES AND FUTURES”) may collect, store, process, use, disclose and transfer my personal information (including my Client Identification Information and Broker‑Client Code) for the purpose of providing me with services relating to securities listed or traded on The Stock Exchange of Hong Kong Limited (the “Stock Exchange”) and for complying with the rules and regulations of the Stock Exchange and the Securities and Futures Commission (the “SFC”) as in force from time to time. Without limiting the generality of the foregoing, such use includes:

 

(a) disclosing and transferring my personal information (including Client Identification Information and Broker‑Client Code) to the Stock Exchange and/or the SFC in accordance with the rules and regulations of the Stock Exchange and the SFC as in force from time to time;

 

(b) allowing the Stock Exchange:

(i) to collect, store, process and use my personal information (including Client Identification Information and Broker‑Client Code) for the purpose of monitoring and regulating the market and enforcing the Rules of the Stock Exchange;

(ii) to disclose and transfer such information to relevant regulatory and law‑enforcement authorities in Hong Kong (including but not limited to the SFC) for them to perform their statutory functions in relation to the Hong Kong financial markets; and

(iii) to use such information for analysis for market monitoring purposes; and

 

(c) allowing the SFC:

(i) to collect, store, process and use my personal information (including Client Identification Information and Broker‑Client Code) for the performance of its statutory functions, including regulating, monitoring and enforcing the Hong Kong financial markets; and

(ii) to disclose and transfer such information to relevant regulatory and law‑enforcement authorities in Hong Kong in accordance with applicable legislation or regulatory requirements.

 

I further agree that even if I subsequently purport to withdraw my consent, FTFT INTERNATIONAL SECURITIES AND FUTURES LIMITED may continue to store, process, use, disclose or transfer my personal information for the above purposes after such purported withdrawal.

 

If I fail to provide FTFT INTERNATIONAL SECURITIES AND FUTURES LIMITED with my personal information or the above consent, it may mean that FTFT INTERNATIONAL SECURITIES AND FUTURES LIMITED will not or cannot (as the case may be) execute my trading instructions or provide me with securities‑related services, except for the sale, transfer out or withdrawal of my existing securities positions (if any).

 

Note: The terms “Broker‑Client Code” and “Client Identification Information” shall have the meaning as defined in paragraph 5.6 of the *Securities and Futures Commission Code of Conduct for Licensed or Registered Persons* as amended from time to time.