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Privacy Policy
Yuanta Securities (Thailand) Company Limited. (the "Company," "we," "us," or "our") recognizes the
importance of the protection of your Personal Data (as defined below).
This privacy notice (the "Privacy Policy") applies to the Personal Data (defined below in section 1) of
(1) our prospective, current and former individual customers, and (2) employees, personnel, officers,
representatives, shareholders, authorized persons, members of the board of directors, contact persons,
agents, and other natural persons in connection with our prospective, current and former corporate
customer.
Natural/individual persons, together as "you" or "your" and the individual client and the corporate
client, together as the "Client".
This Privacy Policy describes how we collect, use, disclose and cross-border transfer your Personal
Data. This Privacy Policy applies to our business, websites, mobile applications, call centers, events
and exhibitions, online communication channels, other locations and any means where we collect, use
disclose, or cross-border transfer your Personal Data.
1. Personal data we collect
"Personal Data" means any identified or identifiable information about you as listed below. In
order to offer the Client our services, we might collect your information in a variety of ways.
We may collect your Personal Data directly from you (e.g. through our relationship manager,
salesperson, or call center) or indirectly from other sources (e.g. social media, third partys
online platforms, and other publicly available sources) and through our affiliates, service
providers, business partners, official authorities, or third parties (e.g. third-party custodians,
sub-custodians, and brokers). Which specific types of data collected depends on the Client's
relationship with us, and which services or products the Client requires from us.
"Sensitive Data" means Personal Data classified by law as sensitive data. We will only collect,
use, disclose and/or cross-border transfer Sensitive Data if we have received your explicit
consent or as permitted by law.
Individual Client
We will collect, use, disclose and/or cross-border transfer the following categories and types
of your Personal Data, including but not limited to:
(a) Personal details, such as your title, name, gender, age, occupation, job title, salary,
work place, work position, education, nationality, date of birth, marital status,
information on government-issued cards (e.g. national identification number, passport
number, tax identification number, driver's license details), signature, voice recording,
phone records, picture, CCTV records, house registration, and other identification
information;
(b) Contact details, such as your address, telephone number, mobile number, fax
number, email address, and other electronic communication ID;
(c) Account and financial details, such as your credit card and debit card information,
account number and account type, prompt pay details, current assets, income and
expenses, as well as payment details, service and product application details;
(d) Transaction details, such as the type of products (e.g. securities, derivatives), price
and quantity, order number, broker number, conditions (if any), trading history and
balance, payment and transaction records relating to your assets, financial statements,
liabilities, taxes, revenues, earnings and investments, source of wealth and funds,
representation, trade information, default record, margin balance, and margin loan
record;
(e) Technical details, such as your Internet Protocol (IP) address, web beacon, log,
device ID and type, network, connection details, access details, single sign-on (SSO)
details, login log, access times, time spent on our page, cookies, login data, search
history, browsing details, browser type and version, time zone setting and location,
browser plug-in types and versions, operating system and platform, and other
technology on devices you use to access the platform;
(f) Profile details, such as your account identifiers, username and password, PIN ID
code for trading, interests and preferences, activities, investment objectives,
investment knowledge and experience, and risk tolerance;
(g) Usage details, such as information on how you use the websites, platform, products
and services; and
Corporate Client
We will collect, use, disclose and/or cross-border transfer the following categories and types
of your Personal Data, including but not limited to the followings:
a) Identity Data, such as, first name, last name, title, age, gender, photos, information on
CV, education, work-related information (e.g., position, function, occupation, job title,
company you work for, employed at or holds shares of), information on government-
issued cards (e.g., national identification number, passport number), percentage of shares,
signatures, and other identifiers;
b) Contact Details, such as, telephone numbers, address, country, e-mail, and other similar
information;
c) Personal data generated in connection with the Client's relationship with us, for
example account opening, administration, operation, payment, settlement, processing and
reporting, on behalf of the Client. Such Personal Data may include signatures, and your
correspondence with us;
d) Other information, collected, used or disclosed in connection with the relationship with
us, such as, information you give us in contracts, forms or surveys or data collected when
you participate in
our business functions, seminars, social events; and
We will collect, use, disclose and/or cross-border transfer the following Sensitive Data about
you:
(a) biometric data (which is facial recognition, fingerprint);
(b) health data, such as medical information;
(c) criminal records;
(d) religion; and
(e) sensitive data as shown in the identification document (e.g. race and religion).
2. The Purpose of collection, use or disclosure of
your Personal Data
We may collect, use, disclose and/or cross-border transfer your Personal Data and Sensitive
Data for the following purposes.
2.1 Purpose for which consent is required
We rely on your consent to:
(a) provide marketing communications, special offers, promotional materials
about the products and services of the Company, our affiliates and
subsidiaries and the third parties which we cannot rely on other legal grounds;
(b) collect, use, and/or disclose your Sensitive Data for the following purposes:
(i) biometric data (which is facial recognition, fingerprint) for [the
access to premises/application and authentication and verification];
(ii) health data, such as medical information for facilitation
(iii) criminal records for background check;
(iv) religion for facilitation;
(v) sensitive data as shown in the identification document (e.g. race and
religion) for the purpose of authentication and verification; and
(c) cross-border transfer your Personal Data to a country which may not have an
adequate level of data protection, for which consent is required by law.
Where legal basis is consent, you have the right to withdraw your consent at any time.
This can be done so, by contacting E-mail: online@yuanta.co.th
or Tel. 0 2009 8000.
The withdrawal of consent will not affect the lawfulness of the collection, use, and
disclosure of your Personal Data and Sensitive Data based on your consent before it
was withdrawn.
2.2 Purpose for which we may rely on other legal grounds for processing your
Personal Data
We may collect, use, disclose, and/or cross-border transfer your Personal Data by
relying on the following legal grounds: (1) a contractual basis, for our initiation or
fulfillment of a contract with you; (2) a legal obligation; (3) the legitimate interest of
ourselves and third parties, to be balanced with your own interest and fundamental
rights and freedoms in relation to the protection of your Personal Data; (4) vital
interest, for preventing or suppressing a danger to a persons life, body or health; and
(5) public interest, for the performance of a task carried out in the public interest or for
the exercise of official actions.
We rely on the legal grounds in (1) to (5) above for the following purposes of
collection, use, disclosure, and/or cross-border transfer of your Personal Data:
Individual Client
(a) contacting you prior to your entering into a contract with us;
(b) processing applications for account opening, account maintenance, and
operations relating to your accounts, including without limitation, processing
your applications or requests for services or products, processing your
transactions, generating your account statement, and operating and closing
your accounts;
(c) providing services to you, such as financial planner/advisor securities
brokerage, securities dealing, securities underwriting, mutual fund
management, private fund management, investment advisory, securities
lending and borrowing, derivatives dealing, derivatives brokerage,
derivatives advisory, and derivatives fund management services, from time to
time and dealing with all matters relating to the services;
(d) providing investment products, offering choices to you (including investment
products of third parties) from time to time and dealing with all matters
relating to the investment products;
(e) managing your relationship with us and administration of your account with
us;
(f) preventing customers with certain limitations (e.g. elderly person) from
engaging in certain types of transactions by themselves for the purpose of
damage control;
(g) carrying out your instructions or responding to your inquiries or feedback,
and resolving your complaints;
(h) conducting identity verification and credit checks, know-your-customer (KYC)
and customer due diligence (CDD) processes, other checks and screenings,
and ongoing monitoring that may be required under any applicable law;
(i) preventing, detecting and investigating fraud, misconduct, or any unlawful
activities, whether or not requested by any governmental or regulatory
authority, and analyzing and managing risks;
(j) complying with all applicable laws, regulations, rules, directives, orders,
instructions and requests from any governmental, tax, law enforcement or
other authorities or regulators (whether local or foreign), such as the Stock
Exchange of Thailand, Thailand Futures Exchange, Thailand Securities
Depository, Thailand Clearing House, Office of the Securities and Exchange
Commission of Thailand, Bank of Thailand, Anti-Money Laundering Office,
and Thai Revenue Department;
(k) managing our infrastructure, internal control, [internal] audit and business
operations and complying with our policies and procedures that may be
required by applicable laws and regulations including those relating to risk
control, security, audit, finance and accounting, systems and business
continuity,;
(l) addressing or investigating any complaints, claims or disputes;
(m) provide marketing communications, information, special offers, promotional
materials about the products and services of the Company, our affiliates and
subsidiaries and the third parties;
(n) developing new services and products and updating you on our services and
products from time to time;
(o) carrying out research, planning and statistical analysis, for example, on your
investment limit and investment behavior, for the purpose of developing our
services and products;
(p) organizing our promotional campaign or events, conferences, seminars, and
company visits;
(q) enforcing our legal or contractual rights including, but not limited to,
recovering any and all amounts owed to us;
(r) facilitating financial audits to be performed by an auditor, or receiving legal
advisory services from legal counsel appointed by you or us;
(s) performing our obligations under any agreements to which we are a party, e.g.
agreements with our business partners, vendors, or other asset management
companies, or under which we are acting as an agent; and
If
the Personal Data we collect from you is required to meet our legal obligations or
enter into an agreement with you, we may not be able to provide (or continue to
provide) our products and services to you if we cannot collect your Personal Data
when requested.
Corporate Client
(a) Business communication, such as, communicating with the Client about our
products or services, e.g., by responding to inquiries or requests;
(b) The Client selection, such as, verifying your identity and the Client status,
conducting due diligence or any other form of background checks or risk
identification on you and the Client (including screening against publicly
available government law enforcement agency and/or official sanctions lists
as required if law), evaluating suitability and qualifications of you and the
Client, issuance of request for quotation and bidding, execution of contract
with you or the Client;
(c) The Client data management, such as, maintaining and updating
lists/directories of the Clients (including your Personal Data), keeping
contracts and associated documents in which you may be referred to;
(d) Relationship management, such as, planning, performing, and managing the
(contractual) relationship with the Client, e.g., by performing transactions and
orders of products or services, processing payments, performing accounting,
auditing, billing and collection activities, arranging shipments and deliveries,
providing support services;
(e) Business analysis and improvement, such as, conducting research, data
analytics, assessments, surveys and reports on our products, services and your
or the Client's performance, development and improvement of marketing
strategies and products and services;
(f) IT systems and support, such as providing IT and helpdesk supports,
creating and maintaining code and profile for you, managing your access to
any systems to which we have granted you access, removing inactive
accounts, implementing business controls to enable our business to operate,
and to enable us to identify and resolve issues in our IT systems, and to keep
our systems secure, performing IT systems development, implementation,
operation and maintenance;
(g) Security and system monitoring, such as authentication and access controls
and logs where applicable, monitoring of system, devices and internet,
ensuring IT security, prevention and solving crimes, as well as risk
management and fraud prevention;
(h) Dispute handling, such as solving disputes, enforcing our contracts,
establishing, exercising or defense of legal claims;
(i) Internal investigation, any investigation, complaints and/or crime or fraud
prevention;
(j) Internal compliance, such as compliance with internal policies and
applicable laws, regulations, directives and regulatory guidelines;
(k) Compliance with laws and government authorities, such as liaising and
interacting with and responding to government authorities or courts;
(l) Marketing purposes, such as informing you of our news and publications
which may be of interest, events, offering new services, conducting surveys;
(m) Complying with reasonable business requirements, such as management,
training, auditing, reporting, control or risk management, statistical, trend
analysis and planning or other related or similar activities.
3. How we disclose or transfer your Personal Data
We may disclose or transfer your Personal Data to the following third parties (including their
personnel and agents) who process Personal Data in accordance with the purposes under this
Privacy Policy. These third parties may be located in or outside Thailand. You can visit their
privacy policies to learn more details on how they process your Personal Data.
Individual Client
3.1 Yuanta Financial Holdings
As Yuanta Securities (Thailand) Company Limited is part of a Yuanta Financial
Holdings, we may need to transfer your Personal Data to, or otherwise allow access
to such Personal Data by, other companies within Yuanta Financial Holdings for the
purposes set out above. Please see list of companies and scope of activities within
Yuanta Financial Holdings [here].
3.2 Our service providers
We may use other companies, agents or contractors to perform services on our behalf
or to assist with the provision of products and services to you. We may share your
Personal Data to these service providers, including but not limited to: (a) IT service
providers; (b) research agencies; (c) analytics service providers; (d) survey agencies; (e)
marketing, advertising media and communications agencies; (f) payment service
providers; and (g) administrative and operational service providers.
In the course of providing these services, the service providers may have access to
your Personal Data. However, we will only provide our service providers with the
Personal Data that is necessary for them to perform the services, and we ask them not
to use your Personal Data for any other purposes. We will ensure that all the service
providers we work with will keep your Personal Data secure.
3.3 Our business partners
We may transfer your Personal Data to persons acting on your behalf or otherwise
involved in the provision of the type of product or service you receive from us,
including payment recipients, beneficiaries, account nominees, intermediaries (such as
third-party securities companies, or asset management companies), custodians,
correspondents, agents, vendors, co-brand business partners, market counterparties,
issuers of products, or global trade repositories to whom we disclose Personal Data in
the course of providing products and services to you and whom you authorize us to
disclose your Personal Data to, provided that these data recipients agree to treat your
Personal Data in a manner consistent with this Privacy Policy.
3.4 Third parties permitted by law
In certain circumstances, we may be required to disclose or share your Personal Data
to a third party in order to comply with legal or regulatory obligations. This includes
any law enforcement agency, court, regulator, government authority or other third
party for which we believe disclosure or transfer is necessary to comply with a legal
or regulatory obligation, or otherwise to protect our rights, the rights of any third
party's or individuals personal safety, or to detect, prevent, or otherwise address
fraud, security or safety issues.
3.5 Professional advisors
We may disclose or transfer your Personal Data to our professional advisors relating
to audit, legal, accounting, and tax services who assist in running our business and
defending or bringing any legal claims.
3.6 Third parties as assignees, transferees, or novatees
We may assign, transfer, or novate our rights or obligations to a third party, to the
extent permitted under the terms and conditions of any contract between you and us.
We may disclose or transfer your Personal Data to assignees, transferees, or novatees,
including prospective assignees, transferees, or novatees, provided that these data
recipients agree to treat your Personal Data in a manner consistent with this Privacy
Policy.
3.7 Third parties connected with business transfer
We may disclose or transfer your Personal Data to our business partners, investors,
significant shareholders, assignees, prospective assignees, transferees, or prospective
transferees in the event of any reorganization, restructuring, merger, acquisition, sale,
purchase, joint venture, assignment, dissolution or any similar event involving the
transfer or other disposal of all or any portion of our business, assets, or stock. If any
of the above events occur, the data recipient will comply with this Privacy Policy to
respect your Personal Data.
Corporate Client
We may have to share your Personal Data with other parties for the purposes set out in section
3 above, such as, our affiliates within Yuanta Financial Holdings, our other business partners,
third party service providers engaged by us (e.g., Freewill Solutions Co., Ltd., The Thailand
Securities Depository Co., Ltd., Settrade Dot Com Co., Ltd., Papermate (Thailand) Co., Ltd.,
T.K.S. Technologies public company limited, ACIS Professional Center Co., Ltd., Capital
Market Risk Advisor Sdn Bhd. etc.). In some cases, we may share your Personal Data to any
government authority, law enforcement agency, court, regulator, or other third party where
we believe this is necessary to comply with a legal or regulatory obligation, or otherwise to
protect our rights, the rights of any third party or individual’s personal safety, or to detect,
prevent, or otherwise address fraud, security or safety issues.
When we transfer Personal Data to the third parties, we will take steps to ensure the
protection of your Personal Data, such as confidentiality arrangements or other appropriate
security measures as required by law.
4. International transfers of your Personal Data
We may disclose or transfer your Personal Data to third parties or servers located overseas,
and the destination countries may or may not have the same data protection standards as
Thailand. We have taken steps and measures to ensure that your Personal Data is securely
transferred, that the data recipients have suitable data protection standards in place, and that
the transfer is lawful by relying on the derogations as permitted under the law.
5. How long do we keep your Personal Data
We retain your Personal Data for as long as is reasonably necessary to fulfill the purposes for
which we have obtained it as set out in this Privacy Policy, and to comply with our legal and
regulatory obligations. However, we may have to retain your Personal Data for longer
duration, if required by applicable law.
6. Other important information about your Personal Data
6.1 Cookies and how they are used
If you visit our websites, we will gather certain information automatically from you
by using Cookies. Cookies are tracking technologies that are used in analyzing trends,
administering our websites, tracking users movements around the websites, and
remembering users settings.
Most Internet browsers allow you to control whether or not to accept Cookies. If you
reject Cookies, your ability to use some or all of the features or areas of our websites
may be limited.
6.2 Personal Data used by minors
Our activities are not generally aimed at minors and we do not knowingly collect
Personal Data from customers who are minors (those who have not reach the legal
age (20 years of age or by marriage)) without their parental consent when it is
required, or from quasi-incompetent persons and incompetent persons without their
legal guardian's consent. If you are a minor, quasi-incompetent or incompetent person
and wish to engage in a contractual relationship with us, you must obtain the consent
from your parent or legal guardian prior to contacting us or providing us with your
Personal Data. If we learn that we have unintentionally collected Personal Data from
any minor without parental consent when it is required, or from quasi-incompetent
person or incompetent person without their legal guardians' consent, we will delete it
immediately or continue to process such Personal Data if we can rely on other legal
bases apart from consent.
6.3 Personal Data related to third parties
If you provide the Personal Data of any third party (such as your spouse and children,
shareholders, directors, beneficiary, emergency contact, referral, and references) to us,
e.g. their name, family name, email address, and telephone number, you should ensure
that you have the authority to do so and to permit us to use the Personal Data in
accordance with this Privacy Policy. You are also responsible for notifying the third
party of this Privacy Policy and, if required, obtaining consent from the third party or
rely on other legal basis.
7. Your rights with regard to your Personal Data
Subject to the applicable laws and exceptions thereto, you may have the following rights
regarding your Personal Data:
(a) Access: you may have the right to access or request a copy of the Personal Data we
are processing about you;
(b) Data Portability: you may have the right to obtain Personal Data hold about you, in a
structured, electronic format, and to transmit this data to another data controller;
(c) Objection: in some circumstances, you may have the right to object to how we
process your Personal Data in certain activities which specified in this Policy;
(d) Deletion: you may have the right to request that we delete, destroy, or de-identify your
Personal Data that we process about you, e.g. if the data is no longer necessary for the
purposes of processing;
(e) Restriction: you may have the right to restrict our processing of your Personal Data if
you believe such data to be inaccurate, that our processing is unlawful, or that we no
longer need to process this data for a particular purpose;
(f) Rectification: you may have the right to have Personal Data that is incomplete,
inaccurate, misleading, or out-of-date rectified;
(g) Consent withdrawal: you may have the right to withdraw consent that was given to
us for the processing of your Personal Data, unless there are restrictions on the right
to withdraw consent as required by the law, or a contract that benefits you; and
(h) Lodge a complaint: you may have the right to lodge a complaint to the competent
authority if you believe our processing of your Personal Data is unlawful or non-
compliance with applicable data protection law.
8. Changes to this Privacy Policy
From time to time, we may change or update this Privacy Policy. We encourage you to read
this Privacy Policy carefully and periodically revisit http://www.yuanta.co.th/nd-
content/uploads/file_managers/source/ClientPrivacyPolicy.PDF to review any changes that
may occur in accordance with the terms of this Privacy Policy. We will notify you or obtain
your consent again if there are material changes to this Privacy Policy, or if we are required to
do so by law.
9. Contacting Us
If you wish to contact us to exercise the rights relating to your Personal Data or if you have
any queries or complaints about your Personal Data under this Privacy Policy, please contact
us or our Data Protection Officer via the following avenues:
(a) Yuanta Securities (Thailand) Company Limited
127 Gaysorn Tower 15
th
Floor Ratchadamri Road, Lumpini, Pathumwan,
Bangkok, 10330
E-mail: online@yuanta.co.th
Tel. 0 2009 8000
(b) Data Protection Officer
Mr. Kiattisak Sirirattanakit
127 Gaysorn Tower 15
th
Floor Ratchadamri Road, Lumpini, Pathumwan,
Bangkok, 10330
E-mail: Kiattisak.S@yuanta.co.th
Tel. 0 2009 8703, 0 2009 8111
