Privacy Policy Statement of Tiger Securities Asset Management Company Limited

Last Updated: August 27, 2025

1. Our Commitment to Privacy

Tiger Securities Asset Management Company Limited ("the Company," "we," "us," or "our") is committed to protecting your personal data and privacy in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) (the "PDPO") and relevant codes and guidelines issued by the Securities and Futures Commission of Hong Kong (the "SFC").

This policy explains how we collect, use, store, transfer, and protect your personal data.

2. Collection of Personal Data

We may collect and process the following personal data from you:

• Personal Identification Information: Such as your name, identity document number and copy, date of birth, nationality, proof of address, contact telephone number, and email address.
• Financial Information: Such as your income status, net worth, investment experience, risk tolerance profile, bank account details, and transaction history.
• Technical Information: Such as your IP address, browser type, operating system, and records of your activity on our website or trading platforms.
• Correspondence Records: Such as recordings of telephone conversations, email correspondence, and other communications with us.

We collect your personal data when:

• You apply to open or maintain a trading or investment account with us.
• You make enquiries to us about our services and products.
• You use our website, applications, or trading platforms.
• We are required to fulfill our legal, regulatory, or compliance obligations.

3. Purpose of Collection and Use of Personal Data

Your personal data is collected for the following purposes, which are directly related to the services we provide as an SFC-licensed corporation for Types 1, 4, and 9 regulated activities:

(a) Account Administration and Service Provision (related to Type 1, 4, 9 licenses)

• To process your account opening applications and to conduct "Know Your Client" (KYC) and customer due diligence procedures.
• To execute your dealing instructions for securities (Type 1 License).
• To provide you with investment advice and research reports (Type 4 License).
• To manage your investment portfolio and assets (Type 9 License).
• To provide administrative, clearing, and support services related to our services.

(b) Regulatory Compliance and Risk Management

• To comply with applicable laws, regulations, rules, codes, or guidelines in Hong Kong and other relevant jurisdictions, including but not limited to the Anti-Money Laundering and Counter-Terrorist Financing Ordinance, Automatic Exchange of Financial Account Information (AEOI), and Tax Information Exchange Agreements.
• To conduct risk assessments, credit checks, and internal audits.
• To prevent, detect, or investigate crime, fraud, or misconduct.

(c) Communication and Marketing

• To communicate with you regarding your account and our services.
• Subject to your consent, to provide you with marketing information regarding our financial products and services. You may opt-out of receiving such information at any time.

(d) Business Operations

• To improve our website, products, and services.
• For our internal business, operational, and management purposes.

4. Transfer and Disclosure of Personal Data

We will keep your personal data confidential but may, where necessary for the purposes stated above, provide your data to the following parties:

• (a) Service Providers: Any agent, contractor, or third-party service provider who provides administrative, telecommunications, computer, payment, data processing, or other services to us in connection with our business operations (e.g., IT service providers, custodians, clearing houses).
• (b) Affiliated Companies: Any holding company, subsidiary, or affiliate of the Company.
• (c) Regulatory and Governmental Bodies: Any government, regulatory authority, exchange, or law enforcement agency to whom we are required to disclose information under applicable laws or regulations (e.g., the SFC, Hong Kong Exchanges and Clearing Limited, Inland Revenue Department).
• (d) Professional Advisors: Our legal counsel, accountants, auditors, and other professional advisors.
• (e) Business Transfers: Any actual or proposed assignee or purchaser of our business in the event of a business transfer, merger, or acquisition.

Your personal data may be transferred to places outside of Hong Kong. If we do so, we will ensure that the data is protected to a standard not less than that required by the PDPO.

5. Data Security

We have implemented reasonable physical, electronic, and managerial measures to safeguard and secure your personal data from unauthorized or accidental access, processing, erasure, loss, or use. Our employees and third-party service providers are subject to strict confidentiality obligations.

6. Data Retention

We will retain your personal data for as long as is necessary to fulfill the purposes for which it was collected, or as required by relevant laws, regulations, and accounting requirements. Generally, we will retain your data for a reasonable period after you close your account (e.g., for at least 7 years) to comply with regulatory obligations.

7. Use of Cookies

Our website may use cookies to enhance your user experience, analyze site traffic, and for security purposes. You may refuse the use of cookies by adjusting your browser settings, but this may affect your ability to use certain features of our website.

8. Direct Marketing

We will not use your personal data for direct marketing purposes without your prior consent. Even if you have given consent, you may opt-out of direct marketing at any time, free of charge, by contacting us using the details below.

9. Your Rights of Access and Correction

Under the PDPO, you have the right to:

• Check whether we hold personal data about you and request access to such data.
• Request us to correct any of your personal data which is inaccurate.

Requests for access to or correction of data should be made in writing and addressed to our Data Protection Officer. We may charge a reasonable fee for processing your data access request.

11. Policy Amendments

We reserve the right to amend this Privacy Policy Statement at any time. Any amendments will be posted on our website. We recommend that you check this policy periodically for the latest version.

泰嘉證券資產管理有限公司私隱政策聲明

最後更新日期：2025年8月27日

1. 我們的承諾

泰嘉證券資產管理有限公司（下稱「本公司」、「我們」）致力於根據香港特別行政區法例第486章《個人資料（私隱）條例》（下稱「《私隱條例》」）及香港證券及期貨事務監察委員會（下稱「證監會」）發出的相關守則及指引，保護您的個人資料及私隱。

本政策旨在說明我們如何收集、使用、儲存、轉移及保護您的個人資料。

2. 個人資料的收集

我們可能會收集及處理您的以下個人資料：

• 個人身份信息：例如您的姓名、身份證明文件號碼及副本、出生日期、國籍、住址證明、聯絡電話及電郵地址。
• 財務信息：例如您的收入狀況、資產淨值、投資經驗、風險承受能力評估、銀行賬戶詳情及交易記錄。
• 技術信息：例如您的IP地址、瀏覽器類型、操作系統、以及您在我們網站或交易平台上的活動記錄。
• 通訊記錄：例如您與我們的電話錄音、電郵往來及其他通訊內容。

我們會在以下情況收集您的個人資料：

• 當您申請開立或維持交易或投資賬戶時。
• 當您向我們查詢有關我們的服務及產品時。
• 當您使用我們的網站、應用程式或交易平台時。
• 當我們需要履行法律、監管或合規責任時。

3. 收集及使用個人資料的目的

我們收集您的個人資料主要用於以下目的，這些目的與我們作為持有證監會第1、4、9類牌照的機構所提供的服務直接相關：

(a) 賬戶管理與服務提供 (第1、4、9類牌照相關)

• 處理您的開戶申請，並進行「認識你的客戶」(KYC) 及客戶盡職審查程序。
• 執行您的證券交易指令 (第1類牌照)。
• 向您提供投資意見及研究報告 (第4類牌照)。
• 為您管理投資組合及資產 (第9類牌照)。
• 提供與我們服務相關的行政、結算及支援服務。

(b) 監管合規與風險管理

• 遵守香港及其他相關司法管轄區的法律、法規、規則、守則或指引，包括但不限於《打擊洗錢及恐怖分子資金籌集條例》、自動交換財務賬戶資料(AEOI)及《稅務信息交換安排》等。
• 進行風險評估、信貸審查及內部審計。
• 防止、偵測或調查罪案、欺詐或不當行為。

(c) 通訊與市場推廣

• 就您的賬戶及我們的服務與您聯絡。
• 在取得您的同意後，向您提供有關我們金融產品及服務的市場推廣資訊。您可以隨時選擇拒絕接收此類資訊。

(d) 業務營運

• 改善我們的網站、產品和服務。
• 用於我們的內部業務、營運及管理目的。

4. 個人資料的轉移及披露

我們將對您的個人資料保密，但我們可能在為實現上述目的而有需要的情況下，將您的資料提供給以下各方：

• (a) 服務供應商：任何為我們業務運作提供行政、電訊、電腦、付款、數據處理或其他服務的代理、承包商或第三方服務供應商（例如，資訊科技服務商、託管人、結算公司）。
• (b) 關聯公司：本公司的任何控股公司、附屬公司或關聯公司。
• (c) 監管及政府機構：根據法律或監管要求，我們有責任向其披露資料的任何政府、監管機構、交易所或執法機關（如證監會、香港交易所、稅務局等）。
• (d) 專業顧問：我們的法律顧問、會計師、核數師等專業顧問。
• (e) 業務轉讓：在任何業務轉讓、合併或收購中，涉及本公司的實際或潛在的承讓人或收購方。

我們可能會將您的個人資料轉移至香港以外的地區。在這種情況下，我們會確保該等資料受到不低於《私隱條例》要求的保護。

5. 資料保安

我們採取了合理的實體、電子及管理措施來保護您的個人資料，以防止未經授權或意外的查閱、處理、刪除、丟失或使用。我們的員工及第三方服務供應商均須遵守嚴格的保密責任。

6. 資料的保留

我們將在為履行收集資料的用途所需的時間內，或為遵守相關法律、法規及會計要求所需的時間內，保留您的個人資料。一般而言，在您關閉賬戶後，我們仍會將您的資料保留一段合理的時間（例如，不少於7年）以符合監管規定。

7. Cookie的使用

我們的網站可能會使用Cookies以提升您的用戶體驗、分析網站流量及用於安全目的。您可以通過修改瀏覽器設置來拒絕使用Cookies，但這可能會影響您使用我們網站的部分功能。

8. 市場推廣

我們在取得您的同意前，不會使用您的個人資料作直接促銷用途。即使您已表示同意，您仍可隨時透過以下聯絡方式，免費要求我們停止將您的個人資料用於市場推廣。

9. 您查閱及更正資料的權利

根據《私隱條例》，您有權：

• 查核我們是否持有您的個人資料，並要求查閱該等資料。
• 要求我們更正任何不準確的個人資料。

如需提出查閱或更正資料的請求，請以書面形式郵寄至以下地址。我們在處理您的請求時，可能會收取合理的費用。

11. 政策修訂

我們保留隨時修訂本私隱政策聲明的權利。任何修訂將會在我們的網站上公布。我們建議您定期查閱本政策以獲取最新版本。