*本条款以中文和英文两种文字书写。中文和英文版本若出现不一致，应以英文版本为准。

StoneX Financial Pty Ltd

City Index 隐私政策

StoneX Financial Pty Ltd (ABN 50 141 774 727)（商号为 City Index）及其关联实体 [包括 StoneX Financial Ltd（英国注册编号 05616586）以及不时的其他关联实体]（统称为 “CI”、“本公司”、“我们”或“我方”）高度重视您的隐私，并遵守经不时修正的《1988 年隐私法》（下称“隐私法”）中包含的澳大利亚隐私原则。

本文件说明了本公司有关收集、使用、披露和管理您的个人信息的政策。根据《隐私法》中的定义，个人信息是指有关您作为已识别身份的个人或可识别身份的个人的任何信息或意见（无论是否属实，亦无论是否以实质性形式记录）。

如果您选择向我们提供您的个人信息并接收我们的产品和服务，则表示您同意我们根据本隐私政策的规定收集、持有、使用和披露您的个人信息。

CI 收集和持有的个人信息种类

为了与您开展业务以及向您提供本公司的产品和服务，CI 依据澳大利亚法律的要求需要收集您的个人信息，以识别和核实您的身份。我们收集和持有的有关您的个人信息种类包括：您的姓名、地址、出生日期、联系方式、收入、资产和负债、银行账户余额、财务报表、征信报告信息和工作情况信息。

CI 如何收集个人信息

在您通过申请表向我们提供个人信息时，在本公司开户和维护账户时，使用本公司的产品和服务时，致电我们或访问我们的网站以咨询本公司提供的产品或服务时，或者为方便我们与您开展业务时，我们可能会直接从您收集您的个人信息。我们还可能会需要收集您的个人信息以满足法律的要求。

此外，我们还可能会从第三方收集您的个人信息，包括征信机构和任何其他相关的第三方。

CI 会维护相应的记录，以记录您的个人信息、您在 CI 持有的账户中的所有交易和活动，包括所交易合约的详情以及发出的保证金催缴通知。

请注意，由于本公司所提供产品和服务的性质，加上我们依据澳大利亚法律必须或被授权与声称为其本人的个人开展交易，我们无法允许您选择以匿名的方式与我们交易。

为什么需要收集个人信息？

CI 收集、持有、使用和披露个人信息的目的如下：

• 依据法律 – 我们依据《2006 年反洗钱和反恐怖融资法》的要求必须核实您的身份和其他个人信息。此外，我们还可能会向征信机构或服务提供商披露您的个人信息以确认您的信用等级。
• 开展业务 – 我们持有的个人信息可能会用于建立和维护您的账户，检查您的持续需求，提升客户服务和产品，提供我们认为可能对您相关的持续信息或机会。因此，我们可能不时会通过电子邮件、电话、短信或其他电子通信服务向您发送营销资料。

如果您不向我们提供我们认为有必要的全部信息，我们可能无法提供我们的服务或产品，或者我们提供的服务或产品将受到限制。

如果您不希望收到我们的任何营销资料，请通过电子邮件联系我们的客户服务团队：support.au.cn@cityindex.com。

请注意，除非本隐私政策中规定，我们不会使用或披露您的个人信息，但依据澳大利亚法律允许或要求的除外。

CI 如何持有个人信息

CI 采取合理的措施保护您的个人信息，防止不当使用、破坏和丢失，以及未经授权的访问、修改或披露。这些合理的措施包括实施相应的措施以确保您的个人信息只能由获得恰当授权，并且为了履行其工作职责而需要访问的本公司人员访问。我们可能会以纸质文档或电子方式存储您的个人信息。

我们可能会需要在相当长一段时期保留您的个人信息。但是，如果我们认为您的个人信息对于上述任何目的不再有需要，并且我们依据澳大利亚法律不再需要保留该信息，则我们将采取合理的措施，以安全地销毁您的个人信息，或者确保将该信息脱敏处理。

CI 可能会将个人信息披露给海外接收方和其他实体

CI 可能不时将您的个人信息披露给位于澳大利亚境内外的关联实体，包括英国、亚洲、中东和其他地区。我们将采取合理的措施，以确保披露给相关海外接收方的所有个人信息都由相关接收方根据本隐私政策的规定处理。

CI 可能会向其披露您的个人信息的其他实体包括：

• CI 在正常经营过程中与之交易的金融机构和其他类似机构，或者您指定的机构；
• 向我们提供服务的外部服务提供商和专业顾问（可能位于海外）；
• 经您申请的任何组织或代表您行事的任何人，包括您的财务顾问、经纪人、律师或会计师；
• 与我们有互惠关系的转介经纪商（可能位于欧洲经济区之内或之外）以及向我们介绍您的转介经纪商；
• 政府、执法或监管机构；
• 信用报告机构或征信机构；
• 您另行表示同意的任何其他实体；以及
• 依据澳大利亚法律（包括《隐私法》）允许或要求的任何其他实体。

CI 网站

在提交申请表（无论是在线提交，还是通过移动应用或其他方式提交）或其他文件时，或者访问我们的网站或交易我们的产品时，CI 将会收集并保留此信息。

我们还会收集有关本公司网站访客的统计信息，例如访客数量、查看的页面、执行的进程类型、在线时间以及下载的文件。此信息将用于评估和改进本公司网站的性能。除非您已经向我们提供了您的个人信息，除统计信息外，我们不会通过本公司网站收集任何个人信息。

您还应注意我们会在本公司网站上使用 Cookie。Cookie 是从网站的计算机发送到您的浏览器并存储在您的计算机硬盘上的少量数据，通常会包含一个唯一识别号或值。

如果您的浏览器允许，每个网站都可能向您的浏览器发送自己的 Cookie。但是，为全面保护隐私，您的浏览器可以仅允许网站访问其发送到您的计算机的 Cookie。

本公司网站上的 Cookie 用于收集上述统计信息，以便您可以在线访问您的账户。在线访问账户时，将会创建一个 Cookie 来唯一识别计算机、用户名和密码。从而让您不需要在每次在线访问账户时重复输入上述数据。

大部分互联网浏览器都设置为接受 Cookie。如果您不希望接收 Cookie，您也许可以通过修改浏览器设置来拒绝所有 Cookie，或者让您的计算机每次在发送 Cookie 时通知您，从而让您可以选择是否接受。如果您拒绝所有 Cookie，则您将无法在线访问账户。您还可以从计算机上删除之前创建的 Cookie。

您可随时通过cookie设置修改您的偏好设置。

更改偏好设置

电话录音

CI 可能会记录电话录音和‘实时’聊天内容。我们将在通话时告知您通话可能会被录音，如果您不希望我们录音，您可以告诉我们。这些录音或录音转录文件可以用于解决您与我们之间可能出现的任何争议。

CI 录制的录音或转录文本可依据 CI 的正常惯例销毁。

个人信息的查阅和更正

如果您希望查阅或更正我们持有的您的个人信息，请通过电话或电子邮件联系我们。

澳大利亚客户请拨打：1800 354 182

其他地区客户请拨打：+61 2 9270 3682

或发送电子邮件至：support.au.cn@cityindex.com

我们通常会在 14 天内处理您的申请。对于查阅个人信息的申请通常不会收取费用，不过根据申请事项的复杂性，我们可能会收取处理该申请的手续费，详见本公司 PDS 中的披露。

隐私投诉的处理

如果您要投诉我们违反澳大利亚隐私原则或违反本隐私政策的行为，请通过电话或电子邮件联系合规部或 CI。

澳大利亚客户请拨打：1800 354 182

其他地区客户请拨打：+61 2 9270 3682

或发送电子邮件至：compliance.au@stonex.com

我们将会调查投诉的性质并在 30 天内向您告知我们的调查结果。如果您对我们的投诉处理不满意，您可以致电澳大利亚信息专员办公室的热线电话：1300 363 992，也可发送电子邮件至：foi@oaic.gov.au。

可通报数据泄露通报计划

NDB 计划从 2018 年 2 月 22 日起适用于依据《澳大利亚 1988 年隐私法》（隐私法）承担有个人信息安全义务的所有机构和组织，包括 CI。

NDB 计划要求在发生可能导致严重伤害的数据泄露时，向涉及其个人信息的相关个人通报。通报的内容必须包括有关个人针对该泄露应采取的措施的建议。此外，符合条件的数据泄露还必须通报澳大利亚信息专员（专员）。

CI 将通过可通报数据泄露声明向专员通报。

NDB 计划仅适用于涉及个人信息并且可能会导致受影响个人受到严重伤害的数据泄露。此类事件称为‘合格数据泄露’。

本隐私政策的变更

我们保留随时自行酌定修订本隐私政策的任何部分的权利。建议您定期查看本隐私政策，以了解任何相关变更。

CI 澳大利亚隐私政策 2024

City Index Privacy Policy

StoneX Financial Pty Ltd (ABN 50 141 774 727) trading as City Index, and its related entities including StoneX Financial Ltd (UK Reg 05616586) and any other related entities from time to time (CI’, 'we', 'us' or 'our') recognise the importance of your privacy and abides by the Australian Privacy Principles contained in the Privacy Act 1988 as amended from time to time (the Privacy Act).

This document sets out our policy for the collection, use, disclosure and management of your personal information. Personal information is defined in the Privacy Act as any information or opinion (whether true or not, and whether recorded in a material form or not) about you as an identified individual or an individual who is reasonably identifiable.

By choosing to provide your personal information to us and receiving products and services from us, you consent to our collecting, holding, using and disclosing your personal information in accordance with this Privacy Policy.

The kinds of personal information that CI collects and holds

In order to conduct business with you and provide you with our products and services, CI is required by Australian law to collect your personal information to identify and verify you. The kinds of personal information that we may collect and hold about you may include your name, address, date of birth, contact details, income, assets and liabilities, bank account balances, financial statements, credit reporting information and employment details.

How CI collects personal information

We may collect your personal information directly from you when you give it to us in your application form, open and maintain an account with us, when you use our products and services, call us or visit our website to inquire about a product or service offered by us or so that we may conduct business with you. We may also need to do so to meet legal requirements.

We may also collect your personal information from third parties, including credit reporting bodies and any other relevant third parties.

CI maintains records of your personal information and all transactions and activities on accounts that you have with CI, including details of contracts traded and margin calls made.

Please note that because of the nature of the products and services we provide, and because we are required or authorised by or under an Australian law to deal with individuals who have identified themselves, we are unable to allow you the option of dealing with us on an anonymous basis.

Why is personal information required?

The purposes for which CI collects, holds, uses and discloses your personal information are:

• Legal – we are required to confirm your identity and other personal information by the Anti-Money Laundering and Counter-Terrorism Financing Act 2006. We may also disclose your personal information to credit reporting bodies or service providers to confirm your credit rating.
• Conducting business –The personal information we hold may be used for establishing and managing your account, reviewing your ongoing needs, enhancing customer service and products and providing ongoing information or opportunities that we believe may be relevant to you. As a result, we may send you marketing material from time to time by email, telephone, SMS or other electronic messaging services.

If you do not provide us with all the information we consider to be necessary, we may be unable to provide, or be limited in the provision of, services or products that we offer.

If you do not wish to receive any marketing material from us, please let us know by emailing our customer service team at support.au.cn@cityindex.com.

Importantly, except as set out in this Privacy Policy, we will not use or disclose your personal information unless permitted or required to do so by or under an Australian law.

How CI holds personal information

CI takes reasonable steps to protect your personal information from misuse, interference and loss, and from unauthorised access, modification or disclosure. Such reasonable steps include having measures in place to ensure that your personal information can only be accessed by our personnel who are properly authorised and are required to have access in the performance of their employment duties. We may store your personal information in hardcopy documents or electronically.

We may need to retain your personal information for a significant period of time. However, if we consider that your personal information is no longer needed for any of the purposes described above, and we are not required by or under an Australian law to retain the information, we will take reasonable steps to securely destroy your personal information or to ensure that the information is de-identified.

CI may disclose personal information to overseas recipients and other entities

CI may disclose your personal information to its related entities either in Australia or abroad, including the United Kingdom, Asia, the Middle East and elsewhere in the world from time to time. We will take reasonable steps to ensure that all personal information disclosed to such overseas recipients will be handled by those recipients in accordance with this Privacy Policy.

Other entities to whom CI may disclose your personal information include:

• financial institutions and other similar organisations that CI deals with in the course of its business activities, or those that are nominated by you;
• external service providers and professional advisers (which may be located overseas) that provide services to us;
• any organisation at your request or any persons acting on your behalf, including your financial adviser, broker, solicitor or accountant;
• introducing brokers with whom we have a mutual relationship (any of whom may be within or outside the European Economic Area) and who have introduced you to us;
• government, enforcement or regulatory bodies;
• credit reporting bodies or reference agencies;
• any other entities where you have otherwise consented; and
• any other entities if it is otherwise permitted or required by or under an Australian law, including the Privacy Act.

CI Websites

When submitting an application form (whether online or via a mobile application or otherwise) or other documents, or when visiting our website or dealing in our products, CI will collect and retain this information.

We also collect statistical information about visitors to our websites such as the number of visitors, pages viewed, types of processes executed, time online and documents downloaded. This information is used to evaluate and improve the performance of our websites. Unless you have provided your personal information to us, we do not collect any personal information through our websites other than statistical information.

You should also be aware that we use cookies on our websites. A cookie is a small amount of data, which often includes a unique identification number or value that is sent to your browser from a website’s computer and stored on your computer’s hard drive.

Each website can send its own cookies to your browser if your browser allows it. However, to protect privacy generally, your browser may only allow a website to access the cookies it has sent to your computer.

Cookies are used on our websites to collect the aforementioned statistical information so that you can access your accounts online. When accessing accounts online, a cookie will be created which uniquely identifies the computer, username and password. This eliminates the need to re-enter the aforementioned data each time accounts are accessed online.

Most internet browsers are set up to accept cookies. If you do not wish to receive cookies, you may be able to change the browser settings to refuse all cookies or have your computer notify you each time a cookie is sent, thereby giving the choice whether to accept it or not. If you reject all cookies, you will be unable to access accounts online. You can also delete cookies from computers after they have been created.

Telephone conversations

CI may record telephone conversations and ‘live’ chats. We will advise you at the time of the telephone conversation that the call may be recorded and, if you do not wish to have it recorded, you can let us know. Such recordings or transcripts from such recordings may be used to resolve any dispute that you may have with us.

Recordings or transcripts made by CI may be destroyed under CI’s normal practice.

Access to your information and corrections

If you wish to access or correct your personal information which we hold, please contact us by telephone or email.

For customers in Australia: 1800 354 182

For customers elsewhere: +61 2 9270 3682

or email support.au.cn@cityindex.com

We will process your request usually within 14 days. There is normally no fee for requesting access to your personal information, although depending on the complexity of your request, we may charge a fee for processing the request, which is disclosed in our PDS.

Resolving your privacy complaints

If you wish to complain about a breach by us of the Australian Privacy Principles or a violation of this Privacy Policy, please contact the Compliance Department or CI by telephone or email.

For customers in Australia: 1800 354 182

For customers elsewhere: +61 2 9270 3682

or email compliance.au@stonex.com

We will investigate the nature of your complaint and notify you within 30days of our findings. If you are not satisfied with our response to your complaint, you can telephone the Office of the Australian Information Commissioner's hotline on 1300 363 992 or email them at foi@oaic.gov.au.

Notifiable Data Breaches scheme

The NDB scheme applies to all agencies and organisations with existing personal information security obligations under the Australian Privacy Act 1988 (Privacy Act) from 22 February 2018, as such this includes CI.

The NDB scheme introduced an obligation to notify individuals whose personal information is involved in a data breach that is likely to result in serious harm. This notification must include recommendations about the steps individuals should take in response to the breach. The Australian Information Commissioner (Commissioner) must also be notified of eligible data breaches.

CI will notify the Commissioner through the Notifiable Data Breach statement..

The NDB scheme only applies to data breaches involving personal information that are likely to result in serious harm to any individual affected. These are referred to as ‘eligible data breaches’. 

Changes to this Privacy Policy

We reserve the right, at our discretion, to change any part of this Privacy Policy at any time. You should review this Privacy Policy periodically so that you are updated on any changes.

CI Australia Privacy Policy 2024