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Personal Information Collection Statement

SECURITY AND DISCLOSURE

Rakuten Securities HK respects each individual’s right to privacy. We value our relationship with you, and we take pride in maintaining loyalty and respect with each individual client; all personal information collected by Rakuten Securities HK is protected under stringent security measures. The provisions of this notice apply to former clients, current clients, and applicants.

PERSONAL INFORMATION

When you apply for and/or maintain a live or demo account with Rakuten Securities HK or contact Rakuten Securities HK for any inquiries, Rakuten Securities HK collects personal information, including your name, contact details and other personal particulars for the following purposes, such as evaluating your financial needs, processing your requests and transactions, informing you about investment products and services and providing customer service. The types of personal information may include:

  • Application information. Information you provide to us on applications and other forms, such as your name, address, birth date, identification card number, occupation, assets, and financials.
  • Transaction information. Information about your transactions as well as information about our communications with you. Examples include your account balances, trading activity, your inquiries, and our responses.
  • Verification information. Information necessary to verify your identity, such as a passport or driving license. Additional examples also include background information we receive from public records or from other entities not affiliated with Rakuten Securities HK. Rakuten Securities HK may also be required to collect your information and take actions necessary to verify your identity in accordance with regulatory requirements.
Rakuten Securities HK or Rakuten Group** intends to use your name, telephone number and email address for direct marketing investment products and services and Rakuten Securities HK requires your consent for that purpose. By applying for and/or opening a live or demo Rakuten Securities HK account, you acknowledge and agree that your consent is voluntarily provided to Rakuten Securities HK. If you do not wish Rakuten Securities HK to use your data for use in direct marketing as described in this policy, you may exercise your right to opt-out by notifying Rakuten Securities HK.

In compliance with the Personal Data (Privacy) Ordinance, Rakuten Securities HK would like to inform you that your personal information may be used for the following purposes:

  1. Sharing, cross-checking and transferring that personal data with any Rakuten Securities HK’s affiliated or associated companies or Rakuten Group or FXCM Group^^ whether in relation to new or existing client verification procedures, ongoing account administration or direct or indirect marketing of any investment, dealing or related services or products;
  2. The comparison and or transfer to third party service providers of such personal data for the purposes of credit checking and or data verification;
  3. Any purpose relating to or in connection with the compliance of any law, regulation, court order or order of a regulatory authority, including the provision of any such data to any such regulatory authority as required by law or regulation;
  4. Any other purpose relating to or in connection with Rakuten Securities HK’s business or dealings or the business or dealing of Rakuten Securities HK’s affiliated or associated company or any member of Rakuten Group or FXCM Group.

Your personal data held by Rakuten Securities HK will be kept confidential but Rakuten Securities HK’s affiliated or associated company or Rakuten Group or FXCM Group may provide information to 1) any agent or third party services provider who provides services to any of Rakuten Securities HK’s affiliated or associated companies or Rakuten Group or FXCM Group in connection with the operation of its business 2) any regulatory or governmental authorities which relates to or govern any business of any of Rakuten Securities HK’s affiliated or associated companies or Rakuten Group or FXCM Group and 3) any person that Rakuten Securities HK considers as appropriate or fit including any of Rakuten Securities HK’s affiliated or associated companies or a member of Rakuten Group or a member of FXCM Group and its employees under a duty of confidentiality. Your personal data may be transferred to a place outside Hong Kong where it may not have protection to the same or similar level in Hong Kong.

In accordance with the terms of the Personal Data (Privacy) Ordinance, any client has the right:

  • To determine whether Rakuten Securities HK holds data about that client and of access to such data;
  • To request Rakuten Securities HK correct any inaccurate data relating to the client;
  • To ascertain Rakuten Securities HK’s policies and practices in relation to data and be informed of the kind of personal data held by any of Rakuten Securities HK’s affiliated or associated companies or Rakuten Group or FXCM Group;
  • To request Rakuten Securities HK or its affiliated or associated companies or Rakuten Group or FXCM Group to cease from using his/her personal data for direct or indirect marketing purpose by writing.

Rakuten Securities HK has the right to charge a reasonable fee for the processing of any data access request in accordance with the terms of the Personal Data (Privacy) Ordinance. Requests for access to data or correction of data or for information regarding Rakuten Securities HK’s privacy policy and practices should be addressed to the following:

The Data Protection Officer, Unit 501, 5/F, Nexxus Building, 41 Connaught Road Central, Hong Kong
Telephone: (852) 2119-0116 Fax: (852) 2119-0117

You are not required to supply any of the personal information that we may request. However, failure to provide all required information may prevent us from opening and/or maintaining your account or providing services to you. While we make every effort to ensure that all information we hold about you is accurate, complete, and up to date, you can help us considerably in this regard by promptly notifying us if there are any changes to your personal information.

ABOUT COOKIES

Cookies are small files containing information that a Web site uses to track its visitors. Rakuten Securities HK may set and access Rakuten Securities HK cookies on your computer, enabling us to learn which advertisements and promotions bring users to our Web site. Rakuten Securities HK or any of its divisions or Rakuten Group or FXCM Group may use cookies in connection with Rakuten Securities HK’s products and services to track your activities on our Web sites. Such information that we collect and share would be anonymous and not personally identifiable.

SECURITY TECHNOLOGY

Rakuten Securities HK uses Secure Socket Layer (SSL) encryption technology in order to protect certain information that you submit. This type of technology protects you from having your information intercepted by anyone other than Rakuten Securities HK while it is being transmitted to us. We work hard to ensure that our Web sites are secure and that they meet industry standards. Rakuten Securities HK also uses other safeguards such as firewalls, authentication systems (e.g., passwords and personal identification numbers), and access control mechanisms to control unauthorized access to systems and data.

SHARING INFORMATION WITH OUR AFFILIATES

Rakuten Securities HK may share personal information described above with our affiliates or Rakuten Groupfor business purposes, such as, but not limited to, servicing customer accounts and informing customers about new investment products and services, or to aid in the trading activity of the company, its affiliates, or employees, and as permitted by applicable law. Our affiliates may include companies controlled or owned by us as well as companies that have an ownership interest in our company. The information we share with affiliates or Rakuten Group may include any of the information described above, such as your name, address, transaction and account information. Our affiliates or Rakuten Group maintain the privacy of your information to the same extent Rakuten Securities HK does in accordance with this Policy.

If you do not wish to have your personal information disclosed to our affiliates or other third parties as described in this Policy, please contact us via e-mail at: compliance@sec.rakuten.com.hk, or send your request to:

Rakuten Securities Hong Kong Limited
Attention: Compliance Officer
Unit 501, 5/F, Nexxus Building, 41 Connaught Road Central, Hong Kong
Hong Kong

SHARING INFORMATION WITH THIRD PARTIES

Rakuten Securities HK does not disclose your personal information to third parties, except as described in this Policy. Third party disclosures may include sharing such information with non-affiliated companies that perform support services for your account or facilitate your transactions with Rakuten Securities HK, including Rakuten Group and FXCM Group and those that provide professional, legal, or accounting advice to Rakuten Securities HK. Non-affiliated companies that assist Rakuten Securities HK in providing services to you are required to maintain the confidentiality of such information to the extent they receive it and to use your personal information only in the course of providing such services and only for the purposes that Rakuten Securities HK describes in this policy.

We may also disclose your personal information to third parties to fulfill your instructions or pursuant to your expressed consent.

We want you to know that Rakuten Securities HK will not sell your personal information.

REGULATORY DISCLOSURE

Under limited circumstances, Rakuten Securities HK may disclose your personal information to third parties as permitted by, or to comply with, applicable laws and regulations. For example, we may disclose personal information to cooperate with regulatory authorities and law enforcement agencies to comply with subpoenas or other official requests, and as necessary to protect our rights or property. Except as described in this privacy policy, we will not use your personal information for any other purpose, unless we describe how such information will be used at the time you disclose it to us or we obtain your permission.

**RAKUTEN GROUP
Rakuten, Inc., a publicly traded company listed on the Tokyo Stock Exchange (TOKYO: 4755), and its consolidated subsidiaries. Rakuten Securities HK is a wholly owned subsidiary of Rakuten Securities, Inc., a member company of Rakuten Group.

^^FXCM Group
FXCM Inc., a publicly traded company listed on the New York Stock Exchange (NYSE:FXCM), and its consolidated subsidiaries. FXCM Inc. is a business partner of Rakuten Group.

^ Rakuten Securities was ranked as the world’s fifth largest retail forex broker by volume in August 2017 from Finance Magnates.
Ŧ Only available for clients who hold a Rakuten FX account.
¤ Fixed spreads are offered in Rakuten FX account during at least 95% of the time of the monthly core-time trading period (8am to 2am HKT of every trading day). Spreads shown above and in our website are for reference only and are not guaranteed and may widen beyond the average spreads depending on the market volatility, especially under circumstances of extremely low liquidity, news events or public holidays. Please always refer to the trading platforms for the most updated spreads.
ɞ Order execution rate is calculated based on the AS Streaming and Streaming trading orders in 10k or less order size with lower than 1 pip slippage setting in which were executed during the period between Jan 1 to Nov 1, 2017.
§ Rakuten Securities HK offers Trading Station platform through its partner FXCM.
※ Commission is charged per trade side on both open trade(s) and close trade(s). All commission fees may be subject to change from time to time without prior notice. Please always refer to the most updated Schedule of Standard Fees and Charges.
ʊ MARKETSPEED FX platform is the winner of “Online Forex Trading Platform” by Good Design Award in 2012.

To safeguard your trading account(s), you are highly recommended to set a strong password and change it regularly.

When executing customers’ trades, Rakuten Securities HK can be compensated in several ways, which include, but are not limited to: charging fixed lot-based commissions at the open and close of a trade, adding a markup to the spreads, acting as a counterparty in the transactions. As a result, Rakuten Securities HK’s interests may be in conflict with yours.

Rakuten Securities Hong Kong Limited (“Rakuten Securities HK” SFC CE Number: AIM232) is a wholly owned subsidiary of Rakuten Securities, Inc. (*) Rakuten Securities, Inc., one of the major online brokers in Japan, founded in 1999, is a subsidiary of Rakuten, Inc. (TOKYO: 4755).
The risk of loss in leveraged foreign exchange trading can be substantial. You may not be suitable as you may sustain losses in excess of your initial margin funds. Leverage can work against you. Placing contingent orders, such as “stop-loss” or “stop-limit” orders, will not necessarily limit losses to the intended amounts. Market conditions may make it impossible to execute such orders. You may be called upon at short notice to deposit additional margin funds. If the required funds are not provided within the prescribed time, your position may be liquidated. You will remain liable for any resulting deficit in your account. You should therefore carefully consider whether such trading is suitable in light of your own financial position and investment objectives. Do not speculate with capital that you cannot afford to lose. If you decide to trade products offered by Rakuten Securities HK, you must read and understand the information and disclosure provided by Rakuten Securities HK. Rakuten Securities HK may provide general commentary which is not intended as investment advice and must not be construed as such. Seek advice from a separate financial advisor. Rakuten Securities HK and Rakuten Group assumes no liability for errors, inaccuracies or omissions; does not warrant the accuracy, completeness of information, text, graphics, links or other items contained within these materials. Read and understand the Terms and Conditions on Rakuten Securities HK’s website prior to taking further action.
Information Security on Internet: To protect your privacy, do not access your trading account via public or shared computer or save your password locally in any computer or mobile device after logging in. Rakuten Securities HK will never ask you to send any of your personal information such as account number and password to us directly via e-mails.
(*)Company Registration ID (in Japan): Kanto Local Finance Bureau (Financial Instruments Firms) No.195