Personal Information Protection Policy

  Dalian Commodity Exchange (with the registered address at No. 129, Hui Zhan Road, Dalian, China, hereinafter referred to as the "Exchange") is committed to protecting your personal information. The purpose of the Policy is to describe the collection, use and any other conditions of your personal information by the Exchange, and to elaborate on the security measures the Exchange has taken to protect the security of your personal information. Please read the Policy carefully to learn how your personal information will be collected, used and the rights you have with respect to your personal information.

  Latest update: September 30, 2020

  The Policy will help you understand the following:

  1.how the Exchange collects and uses your personal information

  2.how the Exchange shares and publicly discloses your personal information

  3.how the Exchange protects your personal information

  4.your rights and how to exercise them

  5.how your personal information is transferred worldwide

  6.the retention period of personal information by the Exchange

  7.how the Policy will be updated

  8.how to contact the Exchange

  The Exchange is fully aware of the importance of personal information to you and will do our best to ensure the security of your personal information. The Exchange is committed to maintaining your trust in the Exchange and will protect your personal information in accordance with the following principles: principle of consistency of authority and responsibility, principle of clear purpose, principle of optional consent, principle of minimum necessity, principle of ensuring security, principle of subject participation, and principle of openness and transparency, etc. In the meantime, the Exchange hereby promises to take appropriate security measures to protect your personal information according to mature standards of the industry.

  I.How the Exchange collects and uses your personal information

  Personal information refers to the relevant information, recorded electronically or otherwise, that can be used alone or in combination with other information to identify a natural person or reflect the activities of a natural person.

  The Exchange will collect, use, store, and protect your personal information only for the purposes described below in the Policy. If you choose not to provide certain required personal information, the Exchange may not be able to provide you with the appropriate products or services or may not be able to process your requests for applications, subscriptions or registrations.

  (i)Personal information directly collected by the Exchange and how it will be used

  If you participate in trading, settlement, delivery and other related activities of various product instruments such as futures, options, swaps, basis trading and warehouse receipts trading and others listed and operated by the Exchange, or you use the services provided by the Exchange, the Exchange will collect your information (including but not limited to the following personal information) and use it for the purposes described below in order to regulate behaviors of participation, better serve the market, protect the legitimate rights and interests of all parties, ensure the normal operation of the Exchange"s market, and fulfill the self-regulatory duties:

Purpose Type of Information Business Function Legal Basis
To provide the futures institute and other relevant training courses of the Exchange Name, gender, date of birth, employer and position, major products of interests, address, email address and telephone number, service user name and password, etc. Market development Personal consents
To liaise with users to fulfill their requests The contact information provided when you interact with the Exchange via filling in the form, giving a business card, calling, emailing or other electronic or written forms, etc. Marketing services Personal consents
Bank to process dedicated channel for standard warehouse receipts pledge ID card information, etc. of you as the   bank personnel   handling related businesses Registration, clearing and other related services regarding standard warehouse receipts Personal consents
Futures Company Member to acquire settlement documents in person due to failure to obtain settlement data normally ID card information, etc. of you as the business personnel authorized by the futures company Clearing-related services Personal consents
Investigation for non-compliance, regulatory measures and management of accounts with actual control relationship Identity information, phone recordings, interview records, cases or accounts and other relevant personal information Self-regulatory Performance of statutory obligations
To get to know the employment candidates Related personal information in the employment application Recruitment Personal consents
To provide customer-tailored feeds of market information Name, contact information, interest and market preference information, etc. Market publicity Personal consents

  When the Exchange intends to use the information collected for specific purposes for other purposes, the Exchange will seek your prior consent in accordance with the law.

  (ii)Personal information indirectly collected by the Exchange and how it will be used

  In addition to the personal information you directly provide to the Exchange, the Exchange may also obtain information about you (including but not limited to the following personal information) indirectly from third parties in order to regulate the behaviors of market participation, better serve the market, fulfill the self-regulatory duties and protect the legitimate rights and interests of all participants, and the personal information will be used within the scope of achieving the following purposes:

Purpose Type of Information Business Function Legal Basis
To assign trading code Name, date of birth, valid identification document number (e.g. ID number, passport number), reference identification document number (e.g. driving license number), as well as the transaction experience, credit records and records of violating laws and regulations provided by you Organization and supervision of trading, settlement and delivery businesses Performance of statutory obligations
Futures Company Member to file for overseas broker Name, gender, nationality, contact address, telephone number, email address, main practicing experience, passport information, other valid supporting document information recognized by the Exchange and signature of the person in charge of futures business or the head of futures business risk control of the overseas broker; the name and signature etc. of the chief executive officer or authorized signatory of the overseas broker Organization and supervision of trading Performance of statutory obligations
To supervise the Members Personal information of clients, employees, directors, shareholders, legal representatives and persons in charge of futures business of the Member, including but not limited to the name, address, email address and telephone number, position and duty, educational experience, work experience, passport or national identification documents, financial information (bank statement and debit card/credit card statement) and shareholding information related to the Member, futures practicing qualification, etc. Self-regulatory Performance of statutory obligations
To complete physical delivery of futures trading Delivery-related information, including but not limited to the name and telephone number of the contact person of the Member or client involved in the delivery business; the name, gender, telephone number, email address, work experience, etc. of the person designated by the designated delivery warehouse for futures delivery business Organization and supervision of delivery Performance of statutory obligations
To ensure the designated margin depository bank complies with the relevant rules of the Exchange In the course of designated margin depository bank qualification application or annual inspection: the name, telephone number and email address of the contact persons of the head office and relevant branches; the name, telephone number, email address and relevant work experience in banking financial institutions of related business managers (presidents and relevant business managers) of the branches, and the name list, qualification certificates and work experience of personnel with futures practicing qualification in such branches;

In the course of specific margin depository business: the name, telephone number and email address of the relevant business personnel

Self-regulatory Performance of statutory obligations
Investigation, determination and punishment of irregularities and daily monitoring on the accounts with actual control relationship Information of the Member's legal representative or clients (including but not limited to the name, gender, nationality, ID number or other valid identification number, occupation, address, telephone number, bank account), equipment information, service log, information relevant to transaction, clearing, delivery and others Self-regulatory Performance of statutory obligations
To conduct over-the-counter transactions The name and ID number of the legal representative of the enterprise; the name, mailing address, email address and telephone number of the contact person of the enterprise; the name, telephone number and ID number of the person in charge of account opening; the name, telephone number and ID number of the business operator; and the name and telephone number, etc. of the business contact person Provision of information and services related to over-the-counter transactions Personal consents

  (iii)Exceptions of obtaining authorized consent

  The Exchange does not need to obtain your authorized consent to collect and use personal information under the following circumstances:

  1.in connection with the Exchange"s fulfillment of obligations under applicable laws;

  2.in connection with the Exchange"s performance of self-regulatory powers;

  3.directly related to national security and national defense security;

  4.directly related to public safety, public health and major public interests;

  5.directly related to criminal investigation, prosecution, trial and enforcement of court decisions;

  6.for the purpose of protecting your or other individual"s life, property and other major legitimate rights and interests and it is hard to obtain your authorized consent;

  7.the personal information involved is disclosed to the public by yourself;

  8.(the collection and use of personal information are) essential to the signing and performance of a contract requested by you;

  9.collecting personal information from lawfully and publicly disclosed information, such as lawful news reports and government information disclosure;

  10.(the collection and use of personal information are) essential to maintaining safe and stable operation of the products or services provided;

  11.requirements put forward by government institutions, law enforcement institutions or similar institutions; or

  12.other circumstances provided by laws.

  II.How the Exchange shares and publicly discloses your personal information

  (i)Sharing

  The Exchange will not share your personal information with any company, organization or individual other than itself, except with your explicit consent or under any of the circumstances specified in item (iii) of this Article.

  (ii)Public disclosure

  The Exchange will not publicly disclose your personal information, except with your explicit consent or under any of the circumstances specified in item (iii) of this Article.

  (iii)Exceptions of obtaining prior authorized consent for sharing and publicly disclosing the personal information:

  1.in connection with the Exchange"s fulfillment of obligations under applicable laws;

  2.in connection with the Exchange"s performance of self-regulatory powers;

  3.directly related to national security and national defense security;

  4.directly related to public safety, public health and major public interests;

  5.directly related to criminal investigation, prosecution, trial and enforcement of court decisions;

  6.for the purpose of protecting your or other individual"s life, property and other major legitimate rights and interests and it is hard to obtain consent of the subject;

  7.the personal information involved is disclosed to the public by yourself;

  8.(the collection and use of personal information are) essential to the signing and performance of a contract requested by you;

  9.collecting personal information from lawfully and publicly disclosed information, such as lawful news reports and government information disclosure;

  10.requirements put forward by government institutions, law enforcement institutions or similar institutions; or

  11.directly related to handling of irregularities by the Exchange.

  III.How the Exchange protects your personal information

  (i)The Exchange has put in place security measures to protect the personal information you provide from unauthorized access, public disclosure, use, modification, damage or loss. The Exchange will take all reasonable and practical steps to protect your personal information.

  (ii)The Exchange has obtained the following certifications:

  ISO 9000 Quality Management System, ISO 20000 IT Service Management System, ISO 27001 Information Security Management System, ISO 22301 Business Continuity Management System, etc.

  (iii)The Exchange"s data security capabilities

  The Exchange has adopted the verification or cryptographic techniques to ensure the integrity and confidentiality of personal information.

  (iv)The Exchange will take all reasonable and practical steps to ensure that the unrelated personal information is not collected. The Exchange will only retain your personal information for the period necessary to achieve the purposes set forth in the Policy, except for the need to extend the retention period or as permitted by law.

  (v)The Exchange hereby reminds you that the website of the Exchange may contain links to websites of third parties. When you visit any website via such links, the Exchange cannot control over such website, and the Exchange is not responsible for the legality and security of the privacy policy, practices and contents of the relevant third party.

  IV.Your rights and how to realize them

  (i)Your rights

  The Exchange respects your right to take control of your personal information and, without prejudice to the performance of the Exchange"s contractual or statutory obligations and self-regulatory duties, you have the following rights:

  1.Accessing your personal information

  Except as otherwise provided by law, you may access your personal information by contacting the Exchange through the contact information disclosed in the Policy.

  2.Correcting your personal information

  Except as otherwise provided by law, if you find that the Exchange collects or uses your personal information in an erroneous or incomplete manner, you may contact the Exchange to request corrections or supplements.

  3.Deleting your personal information

  Under the following circumstances, you may request the Exchange to delete your relevant personal information through the contact information disclosed in the Policy:

  (1)the collection or use of your personal information by the Exchange violates the provisions of law;

  (2)the collection or use of your personal information by the Exchange violates the agreement with you; or

  (3)the law provides that the Exchange shall delete your personal information.

  In accordance with relevant laws, your deletion request may not be responded to under the following circumstances, that is, may not be deleted:

  (1)the Exchange collects, uses and stores your personal information when performing tasks in order to comply with the legal obligations or to protect the public interests;

  (2)the Exchange collects, uses and stores your personal information when providing cooperation with regard to criminal investigation, prosecution, response to prosecution, trial, and enforcement of court decisions; or

  (3)other circumstances specified in the Policy under which the Exchange is unable to respond to your request.

  4.Changing the scope of your authorized consent

  Each business function needs some basic personal information to complete. For the collection and use of non-essential personal information, you may give or withdraw your consent to the Exchange through the contact information disclosed in the Policy.

  When you withdraw your consent, the Exchange will no longer collect or use the corresponding personal information. However, your decision to withdraw your consent will not affect the previous collection and use of personal information based on your authorization.

  5.Restricting the automatic decision-making of information system

  Except as otherwise provided by law, the Exchange will not use the personal information collected to make any automated decision that would have a legal effect or similar material impact on you without manual intervention. If you become aware of such behavior, you have the right to request an explanation from the Exchange, and the Exchange will provide appropriate remedies.

  6.Being able to carry your personal information

  You have the right to obtain the copies of your personal information by means disclosed in the Policy. The Exchange will provide you with copies of your personal information in accordance with the law to the extent technically practicable and reasonable.

  7.Limiting or rejecting the collection and use of personal information

  Even if the collection and use of your personal information are based on legitimate reasons, you can still make a request to the Exchange to limit or reject the Exchange"s collection and use of your personal information. When the Exchange decides whether to respond to your request, it may take some time to verify whether the previous legitimate reason for the Exchange to process your personal information takes precedence over your right to do so.

  For example, if you do not want to accept the commercial advertisements sent by the Exchange, you may reject subsequent delivery of commercial advertisements through the contact information disclosed in the Policy.

  (ii)Exercise of the above rights

  You may find out whether the above rights are applicable to you and how to exercise them through the contact information disclosed in the Policy.

  In order to ensure security, the Exchange may ask you to verify your identity before processing your request. The Exchange will respond to your request as soon as possible. Generally, the Exchange will reply within 30 days from the date of receipt of your request and respond to your claims if possible.

  The Exchange will not charge fees for your reasonable requests in principle; however, the Exchange will charge a certain amount of fees for repeated requests beyond reasonable limits, as the case may be. The Exchange may reject requests that involve unwarranted repetition, require excessive technical means (e.g., developing a new system or fundamentally changing existing practices), pose risks to the legitimate rights and interests of others, or are highly impractical.

  The Exchange may not be able to respond to your request under some of the following circumstances:

  1.in connection with the Exchange"s fulfillment of obligations under applicable laws;

  2.in connection with the Exchange"s performance of self-regulatory powers;

  3.directly related to national security and national defense security;

  4.directly related to public safety, public health and major public interests;

  5.directly related to criminal investigation, prosecution, trial and enforcement of court decisions;

  6.there being sufficient evidence to prove that you have subjective malice or abuse your rights;

  7.for the purpose of protecting your or other individual"s life, property and other major legitimate rights and interests and it is hard to obtain consent of the subject;

  8.responding to your request will cause serious damage to the legitimate rights and interests of you or other individuals and organizations; or

  9.in case of involving trade secrets.

  V.How your personal information is transferred worldwide

  In principle, the personal information collected and generated by the Exchange within the territory of the People"s Republic of China ("China") will be stored within the territory of China. But if you are a natural person outside the territory of China who accepts the services provided by the Exchange, the personal information relating to your acceptance of the services will in principle be stored within the territory of China, however, your personal information may be transferred outside of China or may be accessed from outside of China based on your authorized consent or other legitimate reasons; under such circumstance, the Exchange will conduct security assessment and take other corresponding security measures to satisfy the legal and compliance requirements for the outward transmission of personal information.

  VI.The retention period of personal information by the Exchange

  The Exchange shall only retain your personal information collected for the period necessary to achieve the personal data processing purposes set forth in the Policy and/or within the period prescribed by law.

  VII.How the Policy will be updated

  The Exchange reserves the right to update or modify the Policy from time to time. The Exchange will publish any changes to the Policy on this webpage, and the Exchange recommends that you regularly review the Personal Information Protection Policy. Your continuing use of the products or services provided by the Exchange after the Policy has been updated means that you have fully read, understood, and accepted the updated policy on the protection of personal information.

  VIII.How to contact the Exchange

  If you have any questions, comments or suggestions on the Policy, the Exchange has set up the personal information protection specialist, and you may contact the Exchange through the following ways:

  Telephone: 0411-84808888

  Facsimile: 0411-84808588

  E-mail: info@dce.com.cn

  Disclaimer: This English translation may be used for reference only. In case there is any discrepancy between the English version and the original Chinese version, the original Chinese version shall prevail. Dalian Commodity Exchange may change or update this English translation without any prior notice and shall accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or change with regard to this English translation.

Address : No.129 Huizhan Road, Dalian 116023, China
Tel : 86-411-84808888 Fax : 86-411-84808588
Email : inquiries@dce.com.cn Support IPv6
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