{"id":9011,"date":"2024-08-19T08:45:37","date_gmt":"2024-08-19T08:45:37","guid":{"rendered":"https:\/\/yicko.com\/?page_id=9011"},"modified":"2024-08-19T09:16:29","modified_gmt":"2024-08-19T09:16:29","slug":"appendix1","status":"publish","type":"page","link":"https:\/\/yicko.com\/?page_id=9011","title":{"rendered":"\u6295\u8cc7\u8005\u8b58\u5225\u53ca\u5834\u5916\u8b49\u5238\u532f\u5831\u5236\u5ea6\u4e4b\u5ba2\u6236\u8cc7\u6599\u6536\u96c6\u8072\u660e"},"content":{"rendered":"

\u6295\u8cc7\u8005\u8b58\u5225\u53ca\u5834\u5916\u8b49\u5238\u532f\u5831\u5236\u5ea6\u4e4b\u5ba2\u6236\u8cc7\u6599\u6536\u96c6\u8072\u660e<\/h4>\n

Personal Information Collection Statement concerning Investor Identification and OTC Securities Reporting Regime<\/h5>\n<\/div>

\u5ba2\u6236\uff08\u7b49\uff09\u660e\u767d\u4e26\u540c\u610f\uff0c\u76ca\u9ad8\u8b49\u5238\u6709\u9650\u516c\u53f8\uff08\u300c\u76ca\u9ad8\u300d\uff09\u70ba\u4e86\u5411\u5ba2\u6236\uff08\u7b49\uff09\u63d0\u4f9b\u8207\u5728\u9999\u6e2f\u806f\u5408\u4ea4\u6613\u6240\uff08\u300c\u806f\u4ea4\u6240\u300d\uff09\u4e0a\u5e02\u6216\u8cb7\u8ce3\u7684\u8b49\u5238\u76f8\u95dc\u7684\u670d\u52d9\uff0c\u4ee5\u53ca\u70ba\u4e86\u9075\u5b88\u4e0d\u6642\u751f\u6548\u7684\u806f\u4ea4\u6240\u8207\u8b49\u5238\u53ca\u671f\u8ca8\u4e8b\u52d9\u76e3\u5bdf\u59d4\u54e1\u6703\uff08\u300c\u8b49\u76e3\u6703\u300d\uff09\u7684\u898f\u5247\u548c\u898f\u5b9a\uff0c\u76ca\u9ad8\u53ef\u6536\u96c6\u3001\u5132\u5b58\u3001\u8655\u7406\u3001\u4f7f\u7528\u3001\u62ab\u9732\u53ca\u8f49\u79fb\u8207\u5ba2\u6236\uff08\u7b49\uff09\u6709\u95dc\u7684\u500b\u4eba\u8cc7\u6599\uff08\u5305\u62ec\u5ba2\u6236\uff08\u7b49\uff09\u7684\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\u53ca\u5238\u5546\u5ba2\u6236\u7de8\u78bc\uff09\u3002\u5728\u4e0d\u9650\u5236\u4ee5\u4e0a\u7684\u5167\u5bb9\u7684\u524d\u63d0\u4e0b\uff0c\u7576\u4e2d\u5305\u62ec:<\/p>\n

The client(s) acknowledges and agrees that Yicko Securities Limited (\u201cYSL\u201d) may collect, store, process, use, disclose and transfer personal data relating to the client(s) (including CID and BCAN(s)) as required for YSL to provide services to the client(s) in relation to securities listed or traded on the Stock Exchange of Hong Kong (\u201cSEHK\u201d) and for complying with the rules and requirements of SEHK and the Securities and Futures Commission (\u201cSFC\u201d) in effect from time to time. Without limiting the foregoing, this includes:<\/p>\n

    \n
  1. \u6839\u64da\u4e0d\u6642\u751f\u6548\u7684\u806f\u4ea4\u6240\u53ca\u8b49\u76e3\u6703\u898f\u5247\u548c\u898f\u5b9a\uff0c\u5411\u806f\u4ea4\u6240\u53ca\uff0f\u6216\u8b49\u76e3\u6703\u62ab\u9732\u53ca\u8f49\u79fb\u95a3\u4e0b\u7684\u500b\u4eba\u8cc7\u6599\uff08\u5305\u62ec\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\u53ca\u5238\u5546\u5ba2\u6236\u7de8\u78bc\uff09;
    \ndisclosing and transferring your personal data (including CID and BCAN(s)) to SEHK and\/or the SFC in accordance with the rules and requirements of SEHK and the SFC in effect from time to time;<\/li>\n
  2. \u5141\u8a31\u806f\u4ea4\u6240\uff1a(i) \u6536\u96c6\u3001\u5132\u5b58\u3001\u8655\u7406\u53ca\u4f7f\u7528\u95a3\u4e0b\u7684\u500b\u4eba\u8cc7\u6599\uff08\u5305\u62ec\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\u53ca\u5238\u5546\u5ba2\u6236\u7de8\u78bc\uff09\uff0c\u4ee5\u4fbf\u76e3\u5bdf\u548c\u76e3\u7ba1\u5e02\u5834\u53ca\u57f7\u884c\u300a\u806f\u4ea4\u6240\u898f\u5247\u300b\uff1b(ii) \u5411\u9999\u6e2f\u76f8\u95dc\u76e3\u7ba1\u6a5f\u69cb\u548c\u57f7\u6cd5\u6a5f\u69cb\uff08\u5305\u62ec\u4f46\u4e0d\u9650\u65bc\u8b49\u76e3\u6703\uff09\u62ab\u9732\u53ca\u8f49\u79fb\u6709\u95dc\u8cc7\u6599\uff0c\u4ee5\u4fbf\u4ed6\u5011\u5c31\u9999\u6e2f\u91d1\u878d\u5e02\u5834\u5c65\u884c\u5176\u6cd5\u5b9a\u8077\u80fd\uff1b\u53ca(iii) \u70ba\u76e3\u5bdf\u5e02\u5834\u76ee\u7684\u800c\u4f7f\u7528\u6709\u95dc\u8cc7\u6599\u9032\u884c\u5206\u6790\uff1b\u53ca allowing SEHK to: (i) collect, store, processand use your personal data (including CID and BCAN(s)) for market surveillance and monitoring purposes and enforcement of the Rules of the Exchange of SEHK; and (ii) disclose and transfer such information to the relevant regulators and law enforcement agencies in Hong Kong (including, but not limited to, the SFC) so as to facilitate the performance of their statutory functions with respect to the Hong Kong financial markets; and (iii) use such information for conducting analysis for the purposes of market oversight; and<\/li>\n
  3. \u5141\u8a31\u8b49\u76e3\u6703\uff1a(i) \u6536\u96c6\u3001\u5132\u5b58\u3001\u8655\u7406\u53ca\u4f7f\u7528\u95a3\u4e0b\u7684\u500b\u4eba\u8cc7\u6599\uff08\u5305\u62ec\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\u53ca\u5238\u5546\u5ba2\u6236\u7de8\u78bc\uff09\uff0c\u4ee5\u4fbf\u5176\u5c65\u884c\u6cd5\u5b9a\u8077\u80fd\uff0c\u5305\u62ec\u5c0d\u9999\u6e2f\u91d1\u878d\u5e02\u5834\u7684\u76e3\u7ba1\u3001\u76e3\u5bdf\u53ca\u57f7\u6cd5\u8077\u80fd\uff1b\u53ca(ii) \u6839\u64da\u9069\u7528\u6cd5\u4f8b\u6216\u76e3\u7ba1\u898f\u5b9a\u5411\u9999\u6e2f\u76f8\u95dc\u76e3\u7ba1\u6a5f\u69cb\u548c\u57f7\u6cd5\u6a5f\u69cb\u62ab\u9732\u53ca\u8f49\u79fb\u6709\u95dc\u8cc7\u6599\u3002
    \nallowing the SFC to: (i) collect, store, process and use your personal data (including CID and BCAN(s)) for the performance of its statutory functions including monitoring, surveillance and enforcement functions with respect to the Hong Kong financial markets; and (ii) disclose and transfer such information to relevant regulators and law enforcement agencies in Hong Kong in accordance with applicable laws or regulatory requirements.<\/li>\n
  4. \u5411\u9999\u6e2f\u4e2d\u592e\u7d50\u7b97\u6709\u9650\u516c\u53f8\uff08\u9999\u6e2f\u7d50\u7b97\uff09\u63d0\u4f9b\u5238\u5546\u5ba2\u6236\u7de8\u78bc\u4ee5\u5141\u8a31\u9999\u6e2f\u7d50\u7b97\uff1a(i)\u5f9e\u806f\u4ea4\u6240\u53d6\u5f97\u3001\u8655\u7406\u53ca\u5132\u5b58\u5141\u8a31\u62ab\u9732\u53ca\u8f49\u79fb\u7d66\u9999\u6e2f\u7d50\u7b97\u5c6c\u65bc\u95a3\u4e0b\u7684\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\uff0c\u53ca\u5411\u767c\u884c\u4eba\u7684\u80a1\u4efd\u904e\u6236\u767b\u8a18\u8655\u8f49\u79fb\u95a3\u4e0b\u7684\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\uff0c\u4ee5\u4fbf\u6838\u5be6\u95a3\u4e0b\u672a\u5c31\u76f8\u95dc\u80a1\u4efd\u8a8d\u8cfc\u9032\u884c\u91cd\u8907\u7533\u8acb\uff0c\u4ee5\u53ca\u4fbf\u5229\u9996\u6b21\u516c\u958b\u62db\u80a1\u62bd\u7c64\u53ca\u9996\u6b21\u516c\u958b\u62db\u80a1\u7d50\u7b97\u7a0b\u5e8f\uff1b\u53ca ii)\u8655\u7406\u53ca\u5132\u5b58\u95a3\u4e0b\u7684\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\uff0c\u53ca\u5411\u767c\u884c\u4eba\u3001\u767c\u884c\u4eba\u7684\u80a1\u4efd\u904e\u6236\u767b\u8a18\u8655\u3001\u8b49\u76e3\u6703\u3001\u806f\u4ea4\u6240\u53ca\u5176\u4ed6\u516c\u958b\u62db\u80a1\u7684\u6709\u95dc\u5404\u65b9\u8f49\u79fb\u95a3\u4e0b\u7684\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\uff0c\u4ee5\u4fbf\u8655\u7406\u95a3\u4e0b\u5c0d\u6709\u95dc\u80a1\u4efd\u8a8d\u8cfc\u7684\u7533\u8acb\uff0c\u6216\u70ba\u8f09\u65bc\u516c\u958b\u62db\u80a1\u767c\u884c\u4eba\u7684\u62db\u80a1\u7ae0\u7a0b\u7684\u4efb\u4f55\u5176\u4ed6\u76ee\u7684\u3002
    \nproviding BCAN to Hong Kong Securities Clearing Company Limited (HKSCC) allowing HKSCC to: (i) retrieve from SEHK (which is allowed to disclose and transfer to HKSCC), process and store your CID and transfer your CID to the issuer\u2019s share registrar to enable HKSCC and\/ or the issuer\u2019s share registrar to verify that you have not made any duplicate applications for the relevant share subscription and to facilitate IPO balloting and IPO settlement; and (ii) process and store your CID and transfer your CID to the issuer, the issuer\u2019s share registrar, the SFC, SEHK and any other party involved in the IPO for the purposes of processing your application for the relevant share subscription or any other purpose set out in the IPO issuer\u2019s prospectus.<\/li>\n<\/ol>\n

    \u95a3\u4e0b\u4ea6\u540c\u610f\uff0c\u5373\u4f7f\u95a3\u4e0b\u5176\u5f8c\u5ba3\u7a31\u64a4\u56de\u540c\u610f\uff0c\u76ca\u9ad8\u5728\u95a3\u4e0b\u5ba3\u7a31\u64a4\u56de\u540c\u610f\u5f8c\uff0c\u4ecd\u53ef\u7e7c\u7e8c\u5132\u5b58\u3001\u8655\u7406\u3001\u4f7f\u7528\u3001\u62ab\u9732\u6216\u8f49\u79fb\u95a3\u4e0b\u7684\u500b\u4eba\u8cc7\u6599\u4ee5\u4f5c\u4e0a\u8ff0\u7528\u9014\u3002\u5982\u95a3\u4e0b\u672a\u80fd\u5411\u76ca\u9ad8\u63d0\u4f9b\u500b\u4eba\u8cc7\u6599\u6216\u4e0a\u8ff0\u540c\u610f\uff0c\u53ef\u80fd\u610f\u5473\u8457\u6211\u5011\u4e0d\u6703\u6216\u4e0d\u80fd\u5920\u518d\uff08\u8996\u60c5\u6cc1\u800c\u5b9a\uff09\u57f7\u884c\u95a3\u4e0b\u7684\u4ea4\u6613\u6307\u793a\u6216\u5411\u95a3\u4e0b\u63d0\u4f9b\u8b49\u5238\u76f8\u95dc\u670d\u52d9\uff0c\u60df\u51fa\u552e\u3001\u8f49\u51fa\u6216\u63d0\u53d6\u95a3\u4e0b\u73fe\u6709\u7684\u8b49\u5238\u6301\u5009\uff08\u5982\u6709\uff09\u9664 \u5916\u3002
    \nYou also agree that despite any subsequent purported withdrawal of consent by you, your personal data may continue to be stored, processed, used, disclosedor transferred for the above purposes by YSL after such purported withdrawal of consent. Failure to provide YSL with your personal data or consent as described above may mean that we will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any).<\/p>\n

    \u5099\u8a3b\uff1a\u6709\u95dc\u300c\u5238\u5546\u5ba2\u6236\u7de8\u78bc\u300d\u53ca\u300c\u5ba2\u6236\u8b58\u5225\u4fe1\u606f\u300d\u5c07\u4f9d\u64da\u4e0d\u6642\u4fee\u8a02\u7684\u300a\u8b49\u5238\u53ca\u671f\u8ca8\u4e8b\u52d9\u76e3\u5bdf\u59d4\u54e1\u6703\u6301\u724c\u4eba\u6216\u8a3b\u518a\u4eba\u64cd\u5b88\u6e96\u5247\u300b\u7b2c 5.6 \u6bb5 \u6240\u754c\u5b9a\u7684\u542b\u7fa9\u3002
    \nNote: The terms \u201cBCAN\u201d and \u201cCID\u201d used in the above-mentioned shall bear the meanings as defined in paragraph 5.6 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.<\/p>\n

    \u78ba\u8a8d\u548c\u540c\u610f Acknowledgment and Consent
    \n\u672c\u4eba\u78ba\u8a8d\u5df2\u95b1\u8b80\u4e26\u7406\u89e3\u7531\u76ca\u9ad8\u6240\u767c\u5e03\u7684\u9019\u4efd\u8072\u660e\u4e4b\u5167\u5bb9\u3002\u901a\u904e\u52fe\u9078\u4e0b\u9762\u7684\u65b9\u6846\uff0c\u672c\u4eba\u8868\u793a\u540c\u610f\u76ca\u9ad8\u6839\u64da\u672c\u8072\u660e\u4e2d\u7684\u689d\u6b3e\u548c\u76ee\u7684\u4f7f\u7528\u672c\u4eba\u7684\u500b\u4eba\u8cc7\u6599\u3002
    \nI acknowledge I have read and understand the content of this statement issued by YSL. By ticking the box below, I signify my consent for YSL to use my personal data on the terms of and for the purposes set out in this statement.<\/p>\n<\/div>\n

    \n

    <\/p>

      <\/ul><\/div>\n
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