Personal Information Collection Statement

This Statement is prepared by Prominence Financials Limited (“Company”) in accordance with the Personal Data (Privacy) Ordinance of Hong Kong (“PDPO”). It is intended to notify you why personal data is collected, how it will be used and to whom data access requests are to be addressed. In this Statement, the term “you” and “customer” are used interchangeably and shall include prospective customer where appropriate.

Collection of Data

1. From time to time, it is necessary for customers to supply the Company with personal data in connection with the opening or continuation of accounts, the Company’s establishment or continuation of provision of brokerage, investment products distribution, credit facilities and/or other financial services.

2. Failure to supply such data may result in the Company being unable to open or continue accounts or establish or continue the provision of brokerage, investment products distribution, credit facilities and/or other financial services.

3. It is also the case that data are collected from customers in the ordinary course of business relationship between customers and the Company, for example, when a customer places a trading order.

Purpose

4. Personal data relating to a customer may be used for the following purposes:

(a) daily operation of the services and credit facilities provided to customers;

(b) conducting credit checks/background search;

(d) assisting other financial institutions to conduct credit checks and collect debts;

(e) ensuring ongoing credit worthiness of customers;

(f) designing financial services or related products for customer’s use;

(g) marketing services and products (including reward, loyalty or privileges programmes and related services and products) whereas these services and products are provided and/or marketed by:

(i) the Company and/or any of its related company (including ultimate holding company, subsidiary, associated or affiliated companies) (“the Group”);

(ii) third party securities and investment services providers, insurers or other financial institutions;

(iii) third party reward, loyalty or privileges programme providers; and

(iv) co-branding partners of the Company and/or any member of the Group (the names of such co-branding partners can be found in the application forms for the relevant services and products, as the case may be).

(h) determining the amount of indebtedness owed to or by customers;

(i) collection of amounts outstanding from customers and those providing guarantee or security for customers’ obligations;

(j) meeting the requirements and obligations on the Company of any applicable law, regulation, judgment, court order, sanctions regime, guidelines or requests given or issued by any legal, regulatory, governmental, tax authority, law enforcement, exchange, self-regulatory, industry bodies or otherwise within or outside Hong Kong existing currently and in the future (e.g. the Foreign Account Tax Compliance Act of the United States and the Inland Revenue Ordinance of Hong Kong and its provisions including those concerning automatic exchange of financial account information);

(k) enabling an actual or proposed assignee of the Company of all or any part of the Company’s business and/or assets or participant or sub-participant of the Company’s rights in respect of the customer to evaluate the transaction intended to be the subject of the assignment, participation or sub-participation and enabling the actual assignee to use data of the customer in the operation of the business or rights assigned;

(l) conducting matching process; and

(m) purposes relating thereto.

Transfer

5. Data held by the Company relating to a customer will be kept confidential but the Company may provide such information to the following parties (whether within or outside Hong Kong):

(i) broker, agent, contractor or third party service provider who provides administrative, telecommunications, computer, financial, legal, auditing, trade execution, payment, securities clearing or settlement or other services to the Company in connection with the operation of its business;

(ii) financial institution or dealer with which the customer has or proposes to have dealings;

(iii) credit reference agency and in the event of default, debt collection agency;

(iv) actual or proposed assignee of the Company or participant or sub-participant or transferee of the rights of the Company in respect of the customer;

(v) any entity to whom the Company is under an obligation to make disclosure for the purpose set out in provision 4(j);

(vi) any member of the Group;

(vii) third party reward, loyalty or privileges programme providers;

(viii) co-branding partners of the Company and/or any member of the Group; and

(ix) external service providers that the Company engages for the purpose set out in provision 4(g) (including but not limited to mailing houses, telecommunication companies, telemarketing and direct sales agents, call centres, data processing companies and information technology companies).

Use of Data in Direct Marketing

6. The Company intends to use the customer’s data for direct marketing and the Company requires the consent (which includes an indication of no objection) of the customer for that purpose. In this connection, please note that:

(a) your name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and demographic data held by the Company may be used by the Company from time to time in direct marketing;

(b) the following classes of services, products and subjects may be marketed:

(i) securities, financial, insurance, wealth management, investment services, immigrant investor programs and related services and products;

(ii) reward, loyalty or privileges programmes;

(iii) services and products offered by the Company or any member of the Group with the co-branding partners (the names of such co-branding partners can be found in the application forms for the relevant services and products, as the case may be); and

(iv) donations or contributions for charitable and/or non-profit making purposes.

(c) The above services, products and subjects may be provided (or solicited in the case of donations and contributions) by the Company and/or the following parties (whether within or outside Hong Kong):

(i) any member of the Group;

(ii) third party financial institutions, insurers, securities and investment services providers, immigration consulting companies;

(iii) reward, loyalty or privileges programme providers;

(iv) co-branding partners of the Company or any member of the Group; and

(v) charitable or non-profit making organisations.

(d) Besides marketing by its own, the Company may provide the data mentioned in provision 6(a) to any parties mentioned in provision 6(c) for the purpose for direct marketing of the services, products and subjects mentioned in provision 6(b)(the Company may or may not be remunerated by this). The Company requires the consent (which includes an indication of no objection) of the customer for such transfer of data.

(e) If the customer does not wish the Company to use or provide to other parties his data for use in direct marketing as described above, the client may exercise his opt-out right.

Right of Access and Correction

7. Under the PDPO, the customer has the right (subject to certain exemptions) including but not limited to:

(a) check whether the Company holds data about him and request access to such data; and

(b) require the Company to correct any data relating to him which is inaccurate.

8. The Company has the right to charge a reasonable fee for the processing of any data access request under the PDPO.

9. The customer may request for access to data and/or correction of data and/or opt-out of direct marketing by addressing the following person of the Company:

Data Protection Officer, Prominence Financials Limited

Suites 3001-11, Tower Two, Times Square, 1 Matheson Street, Causeway Bay, Hong Kong

Telephone: (852) 3159 5700, Fax: (852) 3151 7522

Section Relating to the Stock Connect Northbound Trading Service

Processing of Personal Data as Part of the Stock Connect Northbound Trading

10. You acknowledge and agree that in the Company’s providing the Stock Connect Northbound Trading Service to you, the Company will be required to:

(a) tag each of your orders submitted to the China Stock Connect System with a Broker-to-Client Assigned Number (“BCAN”) that is unique to you or the BCAN that is assigned to your joint account with the Company, as appropriate; and

(b) provide to the Stock Exchange of Hong Kong Limited (“SEHK”) your assigned BCAN and such identification information (“CID”) relating to you as the SEHK may request from time to time under its rules.

11. Without being limited to any notification the Company has given you or consent obtained from you, you acknowledge and agree that the Company may collect, store, use, disclose and transfer your personal data as required as part of the Company’s Stock Connect Northbound Trading Service, including:

(a) to disclose and transfer your BCAN and CID to the SEHK and the relevant SEHK subsidiaries from time to time, including tagging your BCAN when inputting a China Connect order into the China Stock Connect System, which will be routed to the relevant China Connect Market Operator on a real-time basis;

(b) to allow each of the SEHK and the relevant SEHK subsidiaries to: (i) collect, use and store your BCAN, CID and any consolidated, validated and mapped BCANs and CID information provided by the relevant China Connect Clearing House (in the case of storage, by any of them or via the Hong Kong Exchanges and Clearing Limited) for market surveillance and monitoring and enforcement of the rules of the SEHK; (ii) transfer such information to the relevant China Connect Market Operator (directly or through the relevant China Connect Clearing House) from time to time for the purposes set out in (c) and (d) below; and (iii) disclose such information to the relevant regulators and law enforcement agencies in Hong Kong so as to facilitate the performance of their statutory functions with respect to the Hong Kong financial markets;

(c) to allow the relevant China Connect Clearing House to: (i) collect, use and store your BCAN and CID for the consolidation and validation of BCANs and CID and the mapping of BCANs and CID information with its investor identification database, and provide such consolidated, validated and mapped BCANs and CID information to the relevant China Connect Market Operator, the SEHK and the relevant SEHK subsidiaries; (ii) use your BCAN and CID to perform its regulatory functions of securities account management; and (iii) disclose such information to the Mainland China regulatory authorities and law enforcement agencies having jurisdiction over it so as to facilitate the performance of their regulatory, surveillance and enforcement functions with respect to the Mainland financial markets; and

(d) to allow the relevant China Connect Market Operator to: (i) collect, use and store your BCAN and CID to facilitate their surveillance and monitoring of securities trading on the relevant China Connect Market through the use of the China Connect Service and enforcement of the rules of the relevant China Connect Market Operator; and (ii) disclose such information to the Mainland regulatory authorities and law enforcement agencies so as to facilitate the performance of their regulatory, surveillance and enforcement functions with respect to the Mainland financial markets.

12. By instructing the Company in respect of any transaction relating to China Connect Securities, you acknowledge and agree that the Company may use your personal data for the purposes of complying with the requirements of the SEHK and its rules as in force from time to time in connection with the Stock Connect Northbound Trading. You also acknowledge that despite any subsequent purported withdrawal of consent by you, your personal data may continue to be stored, used, disclosed, transferred or otherwise processed for the above purposes, whether before or after such purported withdrawal of consent.

Consequences of Failing to Provide Personal Data or Consent

13. Failure to provide the Company with your personal data or consent as described above may mean that the Company will not, or no longer be able, as the case may be, to carry out your trading instructions or provide you with the Company’s Stock Connect Northbound Trading Service.

Note: In case of inconsistency between the English and the Chinese versions of this Statement, the English version shall prevail.