E&P Asia Privacy Policy

Personal Information Collection Statement

E&P Asia is committed to protecting your privacy and the confidentiality of personal data. We set out in this notice how we collect, store, share and use your personal data

Your privacy matters to us

This Personal Information Collection Statement sets out how we manage personal data. It provides information on the sorts of information we collect and hold, the sources we collect if from and for what purposes. It also provides information on how we share your data with others, and where your data may be stored or transferred. It provides information on your rights to access and correct (if necessary) the data we hold about you.

E&P Asia has systems and procedures in place to protect your privacy whenever we collect, store, use or disclose your personal data. This Personal Information Collection Statement applies to all personal data we collect about you, whenever collected. By using E&P’s services you consent to us collecting, using and sharing your data under the terms of this Personal Information Collection Statement.

If you require more information about how we manage personal information or protect your privacy, please contact the Privacy Officer on the numbers or at the addresses listed in the last Section (‘Other Important Matters’) of this Privacy Policy.

Definitions

In this Privacy Policy, a reference to:

Evans & Partners means Evans and Partners Pty Ltd ABN 85 125 338 785. Evans & Partners is a group company of ours.
E&P Asia, we, our, and us means E&P Asia (HK) Limited, a corporation licensed by the Hong Kong Securities and Futures Commission
HKID means Hong Kong identification card
PICS means this Privacy Information Collection Statement (otherwise referred to as this Privacy Policy)
Services means the services provided by us to you or on your behalf which may be dealing in securities or advising on securities.
You and your refer to the individual whose data we collect and hold for the purposes of providing our Services. Depending on the context, it may also refer to the organisation you represent.

Personal Data Collected

Data we may collect and store from you includes your:

• identification details, including your name, unique identification number (eg HKID or passport number), residential and postal address and date of birth;
• electronic contact details (including phone numbers, fax and e-mail addresses);
• banking details;
• tax status and related information;
• your employer’s name and address;
• data from people who act for you or who you deal with through our Services;
• your financial circumstances (i.e. your occupation, investment objectives, financial situation and needs), including your salary, other sources of income, levels of cashflow and debt and expenses, and your investments, investable funds, trading experience and your attitude to investment risk;
• usernames and passwords that you create when registering for an account with us;
• details of services we provide to you;
• information about how you use the services we provide;
• records of our communications with you, including messages you send us; and
• other matters which you tell us about or that is included in information you give us.

How do we collect personal data?

Personal data will be collected from you, or your duly authorised representative(s):

• when you apply for an account, apply to receive emails from us, request services, submit a query or request to us, respond to a survey we run or complete a form on our website;
• during face to face interviews and meetings (whether in person or through media applications), telephone discussions or other communications with you (for example, by email);
• during negotiation of service arrangements or requirements with us or mandate negotiation process (which may be submitted electronically); and
• in the course of your use of our website if you input any personal data and if we access cookies on your computer, to monitor and observe your use of our website, compile aggregate data about that use, and also to help customise your website experience (see Internet Privacy below).

We may also collect personal data about you from third parties such as:

• Evans & Partners if you are a joint client with us and Evans & Partners;
• An agent or other person providing services to you where they have introduced you to us or have arranged for E&P Asia to provide certain services to you;
• credit reference agencies, debt collection and or financial crime prevention agencies or related initiatives;
• banks or other financial institutions (for example, opinions about your creditworthiness);
• public sources (for example, telephone directories and financial product registries);
• your financial adviser, accountant, margin lender, investment banker or mortgage broker; or
• government agencies.

Internet Privacy

With the help of our service partners, we may collect data from you when you use any of our online services (such as our website and other online communications).

We collect data through the use of cookies and other tracking technologies. Cookies generally do not identify you, but rather allow us to track use of our online services so that we can understand user habits. We do this so that we can improve your experience and communicate effectively with you and similar customer audiences. In some instances, you may receive cookies which collect personal data. You can often choose to accept cookies which collects personal data in order to enhance your online experience (e.g. where you request for your browser to remember your username when logging into our website). If you prefer not to receive cookies, you can configure your browser to reject them or to notify you when they are being used.

You have control over any personal data we collect from you through online forms, “contact us” messages, including chat transcripts, emails to us or email newsletter subscription information, and any information collected will be used:

• for the purposes for which the data was requested and other related purposes
• when required or authorised by or under law to disclose the data or with your consent.

You may be able to access external websites by clicking on links we have provided. Those other websites are not subject to our privacy standards, policies and procedures. You will need to contact or review those websites directly to ascertain their privacy standards, policies and procedures.

Dealing with unsolicited personal data

If we receive any personal data about you which we have not requested, we will determine within a reasonable period whether we could have collected that data in accordance with this PICS. If we determine that we could not collect that data, we will, as soon as practicable, and if lawful and reasonable, ensure that the data is de-identified.

Uses of your personal data

How do we use your personal data?

We may use your personal data to:

• verify your identity and conduct other “know-your-client” processes;
• check whether you are eligible for our services and provide services to you;
• conduct credit checks and check your ability to carry, access or guarantee debt;
• send you direct marketing if you’ve consented to it (see Direct Marketing);
• improve our website based on your information and feedback;
• review and provide advice about your investment holdings or portfolio;
• to answer your queries and requests;
• arrange an application or redemption of an unlisted product, or to buy or sell a market- traded product for you, using the service infrastructure of the relevant specialists (for example, persons who provide clearing and settlement services or other brokers who can trade in markets where we are not authorised to trade directly);
• to comply with any applicable rules, laws or regulations, regulatory policies, industry codes of practice or guidelines, judgments, orders, notices, directions or requests issued by any court, or any administrative, governmental or regulatory body, whether in Hong Kong or otherwise, including but not limited to rules and regulations relating to anti-money laundering and countering the financing of terrorism, compliance with applicable sanctions laws and the carrying out of audit checks, surveillance and investigations;
• assist us to manage our business or administer a product or service for you;
• facilitating authorised direct credit/debit payment arrangements with your bank or other financial institution or product provider;
• instructing couriers, delivery companies and mail houses to make deliveries of documents and other material to you;
• running and improving our business (for example, training our staff, preventing fraud, record keeping, accounting, enhancing our services, statistical analysis of our client activities and services, planning and forecasting and other internal business processes);
• to provide you with sector insights and information; and/or
• inviting you to attend, or following up your attendance at a seminar or forum we have arranged, sponsored or presented at.

E&P Asia may also use your personal data for other secondary purposes, related to any of the above or which you have consented.

Do we use your HKID number or other government related identifier?

We do not use your HKID number as an account number or as an ‘identifier’. We only use your HKID for the purposes required by law, as permitted by the Personal Data (Privacy) Ordinance and related codes or guidelines and as instructed by you.

Direct marketing – Do you want to hear about new or current services

We may from time to time use your personal data in order to send you marketing materials about products or services that we think you may be interested in (including in some cases products and services that are provided by a third party). We may not use your personal data unless we have received your consent.

There are several ways you can stop receiving direct marketing communications from us. Click the ‘unsubscribe’ or ‘opt-out’ link in any email communication that we send you, or email us at enquiries@eapasia.com.hk. We will then stop any further marketing related emails from ourselves. Please note that you may continue to receive communications for a short period after changing your preferences while our systems are fully updated. In relation to any third-party marketing, we will get your express opt-in consent before we share your personal data with any other company for any marketing purposes.

We may use your following personal data for the purpose of direct marketing:

• identifying information, such as your name and date of birth
• contact information, such as your postal address, email address and telephone number
• products and services portfolio information and demographic data held by us from time to time

If we use your personal data in any direct marketing communications, you have the right to request that we provide you with the source of that personal data. There is no fee for requesting this information. We will provide you with the source of the personal data, unless it is impracticable or unreasonable to do so.

Please indicate your consent to receiving information relating to the above by contacting us at enquiries@eapasia.com.hk.

Disclosure of personal data

If you use our services without raising any concern in relation to how and why we collect, and the way we use, store or disclose your personal data as described in this PICS, we will assume you have consented to us doing all these things.

Do we usually disclose data to other organisations or people?

Your personal data may be capable of being accessed by all representatives of E&P Asia and Evans & Partners, in order for us to provide you with the products and services we offer efficiently and effectively.

E&P Asia will also use the personal information we have collected from you with third party service providers we use to enable execution and/or timely clearing and settlement of market transactions entered into on your behalf, and for the purpose of completing applications to issuers for Initial Public Offerings (IPOs) or other new issues of financial products (New Issues).

This will include providing data to clearing houses exchange. By way of non-exhaustive example, with respect to ASX and Cboe transactions, information may be provided to the Clearing House Electronic Sub-Register System (CHESS) and other entities within the ASX group of companies (such as those involved in clearing, settlement and market surveillance), share registries, financial institutions, other service providers (such as software providers) of any such entities, and, where applicable, margin lenders.

We may also share your personal data with:

• underwriters, corporate advisers or issue managers where you are applying for financial products in an IPO or New Issue;
• related bodies corporate who assist in providing, managing or administering your product or service;
• third party service providers who help us to provide services to you or who act for us;
• credit reporting agencies and credit information services, and credit reference and debt collection agencies where you fail to meet your contractual obligations;
• if ever relevant, your executor, administrator, trustee, guardian or attorney;
• your bank or other financial institution(s) to arrange or make direct credits/debits or other payments;
• your agents, including your legal or financial advisers, or those who have referred you to us;
• event organisers to ensure you are invited to seminars and forums we believe would be of interest to you;
• stockbrokers and custodians for the purposes of completing transactions in foreign financial products;
• complaints and dispute resolution schemes or arbitration schemes which have jurisdiction over us;
• our auditors, external advisers, consultants and other contractors to whom certain functions and activities are contracted and/or outsourced (including portfolio administration and reporting services);
• local or overseas law enforcement agencies, industry bodies, regulators, authorities and any partnerships between law enforcement and the financial sector;
• any person who you hold a joint account with;
• any third party who we may transfer our business or assets to so it can evaluate our business and use your data after any transfer;
• partners and providers of reward, co-branding or loyalty programs, charities or non-profit organisations; and/or
• social media advertising partners.

Where relevant, confidentiality arrangements will apply to prohibit these organisations from using or accessing your personal data except for the specific purpose for which it needs to be accessed or supplied to them.

Our relationship with Evans & Partners

Transparency is important to us and we want to be clear about the intergroup data sharing arrangement between us and Evans & Partners, our Australian sister company.

Evans & Partners provides certain services to us and may execute trades on our behalf, for you. Services provided by Evans & Partners may involve the transfer of your data for storage or use by them. Evans & Partners will not use your data for any purposes, or disclose your data to any third party, in contravention of this PICS. In addition, Evans & Partners own Privacy Policy can be accessed https://www.evansandpartners.com.au/privacy.

Access to, and correction of, personal data

You can request access to personal data we hold about you (see the last section of this PICS). If you are entitled to access the data, the lead time we require before giving you the data or access will depend on the type of data requested.

To protect the integrity and security of the information we hold, we may ask that you follow a defined access procedure, which may include steps to verify your identity. Sometimes, we will ask you to put your request in writing, for example, when it is necessary for us to retain a record of your request or where you want copies of material or access to older data or files which are not current.

In certain cases we may charge a fee for giving you access to your data, which will vary but will be based on our costs (internal and external) in locating the information and arranging the form of access you require. If we propose to charge a fee for giving access, we will give you an estimate of the fee and an opportunity to confirm you still want access to the information. Our fee (if any) will not be excessive. We do not impose any charge for requesting access.

In limited circumstances, we may refuse access. If this is the case, we will tell you and where reasonable and not prohibited by law, provide reasons for the refusal or restricted access (for example, where access would infringe the privacy or personal security of others, the data relates to anticipated legal proceedings, the law prevents us from doing so, we believe the request to be frivolous and vexatious, or some of the data is commercially sensitive) and we will provide you with information about the mechanisms available to you to complain about the refusal.

If the information we hold about you is no longer up to date, wrong, or otherwise incorrect, you have the right to have this information rectified.. Even if you do not request access to and/or correct your personal data held by us, if we are satisfied that, having regard to the reasons for which we hold your personal data, that personal data is inaccurate, incomplete, out-of-date, irrelevant or misleading, we may take reasonable steps to correct that information.

Storage and security of data

E&P Asia holds your personal data in both electronic and hard copy form. We will take reasonable steps to ensure your personal data is kept secure and protected from loss and unauthorised access, modification or disclosure.

We use a range of physical and technical security processes and procedures to protect confidential data such as financial data from interception and hacking. We cannot be held responsible for lapses in security caused by third-party access to data as a result of your failure to keep your personal data private. We reserve the right to gather more extensive data about any attempted access to our website that raises security issues and, if appropriate, make disclosures to the relevant authorities.

Cross-border disclosure of personal data

If you require us to buy or sell foreign financial products we will need to disclose your personal data to the stockbrokers, custodians or funds that we use in locations outside of Hong Kong (including, but not limited to, Australia) in order to perform the services you require. We have not assessed whether these jurisdictions maintain privacy laws that are substantially similar to the privacy law of Hong Kong or whether they afford a similar level of privacy protection. You nevertheless consent to us disclosing your personal data overseas for this purpose.

Other than as contemplated in the previous paragraph, we will not transfer your personal data outside Hong Kong without:

• obtaining your express consent; or
• otherwise complying with applicable privacy legislation.

Personal Data Security

How do we hold personal data about you?

Your personal data is stored within our secure premises or on our computer system, which is protected by logins and passwords, and which can only be accessed by authorised personnel. Access to our office premises is protected by security systems and locks. We use up- to-date processes to protect personal data from:

• unauthorised access, modification and disclosure; and
• misuse, interference and loss,

and (subject to record retention regulations) we will destroy or permanently de-identify personal data we no longer need, unless it is controlled in a Commonwealth Government record or we are required by law to retain the personal data.

Please note that even if we are no longer providing services to you, we are obliged by regulatory requirements to retain your personal data in a form which does identify you for a period of up to 7 years.

Your consent

By using our website, providing personal data and/or using any of our products or services, you agree that:

• you consent to this PICS, as updated from time to time; and
• if you have provided personal data to us relating to any other person, you:
  • have a right to provide that information;
  • have provided a copy of this Privacy Policy, as updated from time to time, to that person; and
  • each such person has agreed to those terms.

What if you don’t provide the personal data requested or don’t consent to us using it as described?

If you do not consent to your personal data being collected and used as described in this PICS, it may prevent us from providing or arranging for you to be provided with some or all of the services you may require. The regulations governing the services we provide require your identity to be made known to and verified by us. Without that data, we cannot provide our services. You don’t have the option of providing ‘anonymous’ personal data or using a pseudonym.

Obscuring your identity may be reportable by us to regulatory authorities.

What if you are a corporation, association or partnership or if you act on behalf of any other person?

If you are a company, association or partnership or act on behalf of any other person, and have provided us with personal data about an officer, employee, partner of yours or other person on whose behalf you act in respect of your service arrangements account with us, please ensure you show this PICS to them.

Other Important Matters

How do you contact us to make further enquiries about the management of your personal data or to complain about a breach of your privacy?

If you require more data about the way we manage personal data or you wish to make a complaint about a breach of your privacy, please speak to our Privacy Officer.

Call us

The Privacy Officer
E&P Asia (HK) Limited
Telephone: +852 3899 6673

Write to us

The Privacy Officer
E&P Asia (HK) Limited
Email: enquiries@eapasia.com.hk
Suite 2076, Level 20, One International Finance Centre
No. 1 Harbour View Street
Central, Hong Kong

We will investigate your concerns and provide you with a written response as soon as practicable, and no later than 30 days from the date on which we received your complaint. If we are unable to satisfactorily resolve your concerns about the privacy or handling of your personal information, you can contact the Office of the Privacy Commissioner for Personal Data, Hong Kong (“Commissioner”). To lodge a complaint with the Commissioner about how we have handled your personal information see the contact information available at: https://www.pcpd.org.hk/english/complaints/how_complaint/complaint/complaint.html.

Changes to this Privacy Policy

We reserve the right to review and amend this Privacy Policy from time to time and to notify you by posting an updated version on our website.

Additional Privacy Information

Further information on privacy requirements may be obtained from the website of the Commissioner at https://www.pcpd.org.hk/index.html.

This Privacy Policy was last updated as at May 2021.