CLSA ASIA-PACIFIC
ANNEX - Personal Data Protection Laws

1.

Definitions and Interpretation

1.1

In this Annex, capitalised terms shall have the meanings given to them in the“CLSA Asia-Pacific Terms of Business” and its “Agency Schedule” (the “Terms ofBusiness”).

1.2

References in this Annex to “we”, “us” and “our” mean CLSA and, where thecontext requires, will also include any company in the CLSA Group, or persons
connected with the CLSA Group.

2.

Effect of Annex; Amendment of Terms of Business

2.1

This Annex shall apply to you if: (a) you are a natural person or you provide
us with any personal data of a natural person; and (b) your personal data
will be collected, processed, stored, or otherwise used in Singapore, ortransferred to or from Singapore, or dealt with in any way that may be regulatedby the Singapore Personal Data Protection Act 2012 (the “PDPA”) or the personal
data protection laws of any other relevant jurisdictions.

2.2

The terms and conditions set out in this Annex shall be in addition to, andsupplemental to, the terms and conditions set out in the Terms of Business andin any applicable Market Annex(es). Accordingly, the terms and conditions inthis Annex are legally binding on you and the Underlying Principals.

3.

Personal Data Protection

3.1

We may need you to provide us with information about a natural person and/or
information relating to any of your Account(s). Your information may also becollected or compiled in the ordinary course of your relationship with us.
Such information or part thereof may constitute “personal data” under the PDPA
or the personal data protection laws of other relevant jurisdictions.

3.2

You acknowledge and consent to our collection of your personal data for thepurposes listed in paragraph 3.4 below, as may be amended from time to timeassetoutin
ourPrivacy
Policypostedonhttps://www.clsa.com/privacypolicy-statement/(collectively, the “Purposes” ).
Where you provide us with the personal data of a natural person, you confirm
that such natural person has consented to our collection of his/her personal
data for the Purposes and such natural person has been informed of, and hasaccepted, the provisions of these terms. Each of you and the natural person
shall be referred to as the “data subject” in these terms.

3.3

Each data subject shall be entitled to withdraw his/her consent for the collection,use or disclosure of his/her personal data at any point in time by notifying us inaccordance with paragraph 4.

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3.4 We may use, disclose and/or process the personal data of the data subject for any
one or more of the following purposes:(a)processing applications for account opening, account maintenance andoperations relating to your account(s), including without limitation,
processing your applications or requests for services and/or products,
processing your transactions, operating and closing your account(s);(b)

providing services and products to you (including the services andproducts of external providers) from time to time and dealing with allmatters relating to the services and products;(c)managing your relationship with us and/or administration of youraccount(s) with us including those of your Underlying Principals;(d)carrying out your instructions or responding to your enquiries or feedback;(e)

conducting identity and/or credit checks, and carrying out customer due
diligence and other checks and screening and ongoing monitoringthat may be required under any applicable law, regulation or
directive or internal policies and procedures of CLSA (including but notlimited to those designed to combat bribery and corrupt
practices,money laundering, terrorist financing and financial crime);(f)preventing, detecting and investigating fraud, misconduct, any
unlawful activities whether or not requested by any relevant governmental
or regulatory authorities, and analysing and managing commercial
risks;(g)(unless you have indicated your preference to opt out) providing you
with marketing, advertising and promotional information, materials
and/or documents relating to banking, investment, credit and/or financial
products and/or services that CLSA may be selling, marketing, offeringor promoting, whether such products or services exist now or are
created in the future;(h)complying with all applicable laws, regulations, rules, directives, orders,instructions and requests from any governmental, tax, law enforcement
or other authorities (whether local or foreign);(i)developing new services and/or products and updating you on ourproducts and services from time to time;(j)managing
CLSA’sinfrastructure
andbusiness
operations andemployees and complying with CLSA’s policies and procedures that
may be required by applicable laws and regulations including thoserelating to risk control, compliance, security, audit, finance and accounting,human resources, systems and business continuity;(k)addressing or investigating any complaints, claims or disputes;

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(l)carrying out research, planning and statistical anaylysis;

(m)
(n)

organising promotional events; andenforcing our legal and/or contractual rights against you including, but notlimited to, recovering any and all amounts owed to us or any members ofthe CLSA Group.

3.5

In carrying out one or more of the Purposes, we may disclose the personal dataof the data subject to: (i) other members of the CLSA Group; (ii) any third party
service providers; (iii) our professional advisers (including our lawyers) andagents or third parties necessary for us performing/providing services to you(including our executing brokers, clearing houses and settlement agents); (iv)ourauditors; (v) any person to whom disclosure is permitted or required by law or
any court order; (vi) any local or foreign government agencies, regulatory
authorities and statutory bodies having jurisdiction over us; and/or (vii) any
successors and assigns, whether located in or outside the relevant jurisdiction.
We will not disclose the personal data of the data subject for any purposes forwhich we have not obtained consent. Upon request by you we may provide you(where available) with the privacy policies of third parties to whom we provide
your personal data.

3.6

In certain circumstances, we may need to transfer the personal data of the data
subject outside of the relevant jurisdiction. Any such transfer of your personal
data outside of the relevant jurisdiction will be carried out in accordance withthe personal data protection law of the relevant jurisdiction.

3.7

Each data subject acknowledges and consents to the transfer of his/her personal
data to other members of the CLSA Group, our third party service providers, ourprofessional advisers, agents and to any other person, body, agency, organizationor entity referred under paragraph 3.5 above, whether located in or outside of
the relevant jurisdiction for the Purposes.

3.8

Each data subject is entitled to request details of such transfer from us at any
time in accordance with paragraph 3.10.

3.9

We may hold the personal data of the data subject as long as it isnecessary to fulfil the Purposes, or as required or permitted by applicable laws.
We shall cease to retain such personal data, or remove the means by which such
personal data can be associated with the data subject as soon as it is reasonable
to conclude that the Purposes is no longer served by retention of such personal
data and retention is no longer necessary for legal or business purposes.

3.10

Each data subject may contact our Data Protection Officer if he/she has anyquestions or issues relating to his/her personal data collected by us or wishes tohave access to or correct such data. Please refer paragraph 6 below for our Data
Protection Officer’s contact details.

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Revocation of Consent
If you do not wish for us to continue to use your personal data or the personal
data provided by you to us for any of the Purposes at any time in the future, you
shall notify us in writing to withdraw your consent in accordance with theprovisions of the personal data protection laws of the relevant jurisdiction. Such
notification shall be delivered to our Data Protection Officer at the address set
forth in paragraph 3.10. Depending on the circumstances, your withdrawalof consent may result in our inability to provide you with the services andproducts that we have been offering to you, and consequently, may result in thetermination of your relationship and/or account(s) with us.

5.

Statutory Rights
Under relevant circumstances where the personal data protection laws of therelevant jurisdictions permits us to collect, use, process, transfer or disclose thepersonal data of the data subject without his/her consent, such permission orrights granted by the law shall continue to apply notwithstanding anything hereinto the contrary.

6.

Communication
If you have any questions or issues relating to the content of this Annex or ourpolicy on the collection, use and disclosure of your personal data, you may contact
our Data Protection Officer. Updated contact details of our Data Protection Officer
are available at https://www.clsa.com/privacy-policy-statement/ or through ourlocal offices.

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