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Privacy NOTICE

The Personal Data Protection Act (“PDPA”) has been introduced in Singapore. The data protection provisions of the PDPA came into force on 2 July 2014. This Privacy Notice (“Notice”) will form part of the terms and conditions that govern your relationship with SMBC Nikko Securities (Singapore) Pte. Ltd. (“Nikko SG”) (“Terms and Conditions”).

  1. In this Notice, Personal Data refers to any data about an individual who can be identified (a) from the data or (b) from that data and other information to which Nikko SG has or are likely to have access, including data in Nikko SG’s records as may be updated from time to time or data Nikko SG collects from third party sources. Examples of Personal Data include an individual’s name, NRIC, passport or other identification number, telephone number, address, email address, images, CCTV footage and any other information relating to any individual which you have provided Nikko SG in any forms you may have submitted to Nikko SG or via any other form of interaction with you.
  2. To the extent applicable, Nikko SG and its subsidiaries, affiliates, related corporations, business partners, and authorised service providers (including banks, brokers and other financial institutions) and agents (collectively, “Nikko Representatives”) shall collect, use, disclose and/or process Personal Data belonging to you, your shareholders, beneficial owners, directors, authorized signatories, traders, managers, employees and representatives (“Relevant Personnel(s)”) for the following purposes:
    1. account opening (including where such accounts are opened with Nikko Representatives), and operations relating to an account including closing the account;
    2. providing products, services and facilities from time to time including for the effective execution of any transactions and/or to provide account aggregation, portfolio visualization, analytics, customization and reporting functionalities to you;
    3. administration and / or managing the relationship between Nikko SG and/or the Nikko Representatives and you;
    4. facilitating communications between Nikko SG and/or the Nikko Representatives and you including providing alerts, insights or other updates on your portfolio or accounts, providing support and troubleshooting, data quality improvement and/or notifying you of new features or changes to the services, facilities or functionalities provided to you;
    5. facilitating communications between Nikko SG and/or the Nikko Representatives and you including providing alerts, insights or other updates on your portfolio or accounts, providing support and troubleshooting, data quality improvement and/or notifying you of new features or changes to the services, facilities or functionalities provided to you;
    6. conducting credit checks;
    7. carrying out due diligence or other screening activities (including identity, reference and background checks) in accordance with legal or regulatory obligations or Nikko SG or any Nikko Representative’s internal risk management procedures (including but not limited to those designed to combat financial crime, fraud, “know-your-customer”, anti-money laundering, counter¬terrorist financing or anti-bribery) that may be required by law or that may have been put in place by Nikko SG or the relevant Nikko Representative (as the case may be);
    8. improving or enhancing services and/or products provided by Nikko SG or any Nikko Representative or developing new services and / or products from time to time;
    9. processing any applications or requests for new services and / or products made by you;
    10. generating financial, regulatory, management or other related reports and analysis;
    11. delivering online or e-mail advertising and commercial messages that may be of interest to you under any direct marketing activities;
    12. risk management, capital management, financial accounting and management reporting purposes;
    13. internal administration of the accounts, services and facilities and record keeping;
    14. internal research and analysis;
    15. intra-Group reporting;
    16. handling customer enquiries, requests, feedback or complaints;
    17. facilitating proposed or actual assignment, transfer of any of Nikko SG’s rights or obligations in respect of your relationship with Nikko SG;
    18. meeting or complying with any of Nikko SG or any Nikko representative's internal policies and procedures;
    19. meeting or complying with any applicable rules, laws, regulations, regulatory policies, industry codes of practice or guidelines, judgments, orders, directions or requests issued by any court, legal, government agencies statutory boards, revenue authorities, supervisory or regulatory bodies (both local and foreign), including but not limited to rules and regulations relating to anti-money laundering and countering the financing of terrorism and the carrying out of audit checks, surveillance and investigation;
    20. legal purposes (including but not limited to enforcing Nikko SG and/or any Nikko Representative’s legal and/ or contractual rights, resolving dispute, protecting intellectual property rights, obtaining legal advice and engaging debt collection agencies);
    21. purposes which are reasonably related to the aforesaid.
  3. By providing Personal Data relating to your Relevant Personnel(s) to Nikko SG, you represent and warrant that you have notified such individual of the purposes for which Nikko SG requires such individual’s personal data and obtained his/her consent for Nikko SG’s collection from you and Nikko SG’s use and disclosure of his/her personal data for such purposes; or you are duly authorized by such individual to consent on his/her behalf to Nikko SG’s collection, use and disclosure of his/her personal data, and you do so consent on his/her behalf.
  4. Personal Data of the Relevant Personnel(s) held by Nikko SG shall be kept confidential. However, in order to carry out the purposes listed above, where Nikko SG considers it necessary Nikko SG may share such Personal Data with Nikko SG’s related corporations and third parties whether in Singapore or elsewhere, including the Nikko Representatives.
  5. As Nikko SG relies on the Personal Data of the Relevant Personnel(s) to provide the services to you, you shall ensure that at all times the information of the Relevant Personnel(s) provided by you to Nikko SG is correct, accurate and complete. You shall update Nikko SG in a timely manner of all changes to the information provided to Nikko SG.
  6. If a Relevant Personnel shall at any time wish to withdraw his/her consent, you agree to inform Nikko SG in writing immediately. Nikko SG may as a result of such withdrawal be unable to continue to provide Nikko SG’s services to you. Such withdrawal may be considered to terminate the contractual relationship between you and Nikko SG. Nikko SG’s legal rights and remedies in such event are expressly reserved.
  7. Nikko SG may need to maintain records containing personal data for a significant period of time, as long as it is necessary to fulfil the purpose for which it was collected, or as required or permitted by applicable laws.
  8. The person to whom requests under the Act, including complaints and requests for information regarding policies and practices and type of information held are to be addressed is as follows: The Data Protection Officer (by telephone no.: (+65) 66904425, by email: or by mail: 88 Market Street #33-02 CapitaSpring Singapore 048948)
  9. This Notice does not derogate from the Terms and Conditions. Nikko SG’s rights under this Notice shall be without prejudice to other rights of collection, use and disclosure available pursuant to the Terms and Conditions or under the law and nothing herein is to be construed as limiting any of these other rights.