Haitong International UK Privacy Notice and Policy

Our contact details Name: Haitong International (UK) Limited and Haitong International Securities (UK) Limited (together “Haitong International UK”) Address: 8 Finsbury Circus, London, EC2M 7EA, United Kingdom
Phone Number: 0207 456 9191
Website: v211.cn

This Privacy Notice and Policy sets out the basis on which your personal data, which you provide to us, that we create or that we obtain about you from other sources, will be processed by us.?

The type of personal information we collect

We currently collect and process the following information:

• Personal Information, for security, identification and verification purposes, such as name, addresses, telephone numbers, passport number, driving license number, residence records and vehicle records;

• Biographical Information, such as age and photographic images;

• Employment Information, such as National Insurance Number (or similar), job position, workplace names and addresses, education and professional information;

• Financial information, such as financial accounts and banking information;

• Legal and regulatory information, such as individual registration numbers, convictions, proceedings and criminal acts; and

• Analysis and assessment information such as service performance.

How we get the personal information and why we have it

Most of the personal information we process is provided to us directly by you if you are a client or prospective client, supplier or prospective supplier, contacts and all other persons we hold information about.

Use of information

We use the information that you have given us in order to:

• provide our services to you and manage our relationships;

• give you information about our relationship with you;

• address any issues you raise with us;

• evaluate and develop our services to you and other clients;

• carry out automated anti-money laundering, credit, sanctions and market abuse checks in order to prevent, detect and investigate fraud, money laundering and other crimes, confirming your identity, and carrying out any other regulatory checks;

• monitor, record and analyse any communications between you and us, including phone calls;

• share your information with UK or other relevant tax authorities, credit reference agencies, fraud prevention agencies, and UK and overseas regulators and authorities;

• fulfil our legal and regulatory obligations; and

• carry out our obligations arising from any agreements you enter into with us.

We may share this information with our affiliated group companies.

Lawful purposes

Under the UK General Data Protection Regulation (UK GDPR), the lawful bases we rely on for processing this information are:
(a) Your consent. You are able to remove your consent at any time. You can do this by contacting the UK Data Protection Officer of Haitong International UK.
(b) We have a contractual obligation.
(c) We have a legal obligation.
(d) We have a vital interest.
(e) We need it to perform a public task.

Uses of your personal data

We are entitled to use your personal data in these ways:

• because we have legal and regulatory obligations that we have to discharge;

• in order to establish, exercise or defend our legal rights or for the purpose of legal proceedings; or

• where it is necessary for our legitimate business interests (or the legitimate interests of one or more of our affiliates) such as to make sure that our client relationships are well-managed so that our clients are provided with a high standard of service and to protect our business interests and the interests of our clients.

Disclosure of your information to third parties

We may disclose your personal data to our affiliates in the circumstances described below:

• where necessary to carry out an agreement with you; and

• where providing some services for us or on our behalf.

We will take steps to ensure that the personal data is accessed only by employees of such affiliates that have a need to do so for the purposes described in this Notice and Policy.

We may also share your personal data outside Haitong International UK and our affiliates:

• if we sell any of our business or assets, in which case we may disclose your personal data to the prospective buyer for due diligence purposes;

• if we are acquired by a third party, in which case personal data held by us about you will be disclosed to the third party buyer;

• to third party agents or contractors (for example, the providers of our electronic data storage services) for the purposes of providing services to us. These third parties will be subject to confidentiality requirements and they will only use your personal data as described in this Privacy Notice and Policy; and

• to the extent required by law, for example if we are under a duty to disclose your personal data in order to comply with any legal obligation, establish, exercise or defend our legal rights.

How we store your personal information
Your information is securely stored.

How long we hold your personal data for will vary. The retention period will be determined by various criteria including:

• the purpose for which we are using it – we will need to keep the data for as long as is necessary for that purpose; and

• legal obligations – laws or regulation may set a minimum period for which we have to keep your personal data.

Your data protection rights

Under data protection law, you have rights including:

Your right of access - You have the right to ask us for copies of your personal information.
Your right to rectification - You have the right to ask us to rectify personal information you think is inaccurate. You also have the right to ask us to complete information you think is incomplete.
Your right to erasure - You have the right to ask us to erase your personal information in certain circumstances.
Your right to restriction of processing - You have the right to ask us to restrict the processing of your personal information in certain circumstances.
Your right to object to processing - You have the the right to object to the processing of your personal information in certain circumstances.
Your right to data portability - You have the right to ask that we transfer the personal information you gave us to another organisation, or to you, in certain circumstances.
You are not required to pay any charge for exercising your rights. If you make a request, we have one month to respond to you.

Contacting us

If you would like further information on the collection, use, disclosure, transfer or processing of your personal data or the exercise of any of the rights listed above, or if you wish to make a request, please address questions, comments and requests to [email protected]

How to complain

If you have any concerns about our use of your personal information, you can make a complaint to us using our contact details provided above. You can also complain to the ICO if you are unhappy with how we have used your data.
The ICO’s address:
Information Commissioner’s Office
Wycliffe House
Water Lane
Wilmslow
Cheshire
SK9 5AF

Helpline number: 0303 123 1113

September 2022