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About SHFE
Personal Information Protection Policy
Shanghai Futures Exchange Personal Information Protection Policy
Effective:12/11/2013
The Shanghai Futures Exchange (“SHFE” or “we”) is a futures trading venue and clearing organization established in accordance with the Futures and Derivatives Law of the People’s Republic of China. SHFE and its affiliates understand how important personal information is to you, and will make every effort to keep it safe. Committed to maintaining your trust in us, SHFE will collect, use, and process your personal information in strict accordance with the Civil Code, Futures and Derivatives Law, Cybersecurity Law, Data Security Law, Personal Information Protection Law, and other relevant laws, regulations, and normative documents, and take safety measures to protect it. We endeavor to present this Personal Information Protection Policy (“Policy”) in a clear and comprehensible manner, to provide you with a clear understanding of the purpose, possible use, and other aspects of our information collection before you supply that information to us. For ease of reading and understanding, we have provided definitions of the terminologies appearing in this Policy; you may find them in the “Definitions” section below. This Policy is designed to help you understand what data we collect, why we collect them, and how we use and protect them. Please read this Policy carefully to understand all its contents.
The Policy will help you understand the following:
1. How does SHFE collect and use your personal information
2. How does SHFE share and publicly disclose your personal information
3. How does SHFE protect your personal information
4. What are your rights to your personal information and how to exercise them
5. How is your personal information transferred internationally
6. Hong long does SHFE retain your personal information
7. How to update the Policy
8. How to contact SHFE
I. How SHFE Collects and Uses Your Personal Information
(I) Definitions
The following terms used in this Policy have the meanings assigned to them below:
1. “Shanghai Futures Exchange and its affiliates” refer to Shanghai Futures Exchange, Shanghai International Energy Exchange, Shanghai Futures and Derivatives Research Institute, Shanghai Futures Information Technology Co., Ltd., and SHFE Business Services Co., Ltd.
2. “Personal information” refers to any information about an identified or identifiable natural person that is electronically or otherwise recorded, including, inter alia, the basic personal information, identity information, biometric information, network identification information, health and physiological information, education and work history, assets information, communication records, contact information, online records, frequently-used device information, and location information, excluding anonymized information.
3. “Sensitive personal information” refers to the personal information that, once leaked or illegally used, may easily lead to the infringement of a natural person’s human dignity or endanger personal and property safety, including biometric, religious beliefs, specific identity, medical and health, financial accounts, whereabouts, etc., as well as the personal information of minors under 14 years of age.
4. For the purpose of this Policy, “China” refers to the Mainland of the People’s Republic of China, excluding the Hong Kong Special Administrative Region, the Macau Special Administrative Region, and Taiwan.
(II) Personal information directly collected by SHFE and how it is used
You are aware and agree that SHFE will only collect, use, store and protect your personal information for the purposes described below.
During your use of our products and/or services, SHFE may collect from you the following two types of personal information:
1. the necessary personal information that you must authorize us to collect and use, in order for us to provide you with the basic functions of our products and/ or services. If you refuse to provide the information, we may not be able to process your application, subscription, registration or other requests, and you will not be able to use our corresponding products and services normally;
2. the information that you may authorize us to collect and use, in order for us to provide you with the additional functions of our products and/ or services. If you refuse to provide the information, you may not be able to use specific additional services or functions or experience the intended effect of relevant services, but this does not affect your use of our basic functions or other additional functions.
To provide the following services and functions under the Policy, SHFE will collect and use your personal information:
If you participate in the trading, settlement, delivery, or other related activities of the futures, options, warrants, and other products launched by SHFE, or if you use SHFE’s services, we will collect your relevant information (including but not limited to the following personal information) in a legitimate, lawful and necessary manner and use it for the purposes stated below, in order to perform our self-regulatory duties, regulate market participation, and protect the lawful rights and interests of all parties concerned:
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Information Type
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Processing Purpose
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Business/Function
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Legal Basis
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Name, gender, employer and position, product of interest, address, e-mail, telephone number, etc.
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To offer Futures Auditorium and other training courses
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Market training
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Personal consent
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Contact information provided on or through forms, business cards, phone calls, emails, contracts, or other electronic or written means of communication
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To contact you
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Business correspondence, inquiries and judicial assistance
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Personal consent
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ID card information, etc. of you as a bank employee handling relevant process
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To provide a dedicated channel for bank’s processing of standard warrants pledge
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Standard warrant registration, settlement and other related services
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Statutory duty or obligation of SHFE
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Your ID card information, telephone, etc. as an authorized agent of a Member or overseas special participant (OSP)
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To assign permissions to funds transfer agents
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Settlement-related services
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Statutory duty or obligation of SHFE
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Your ID card information, telephone, etc. as an authorized agent of a Member or OSP
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To grant permissions to settlement and delivery
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Settlement-related services
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Statutory duty or obligation of SHFE
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Your ID card information, etc. as an authorized agent of a Member or OSP
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To enable an Futures Firm Member (“FF Member”) to manually obtain clearing documents when normal approach fails
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Settlement-related services
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Statutory duty or obligation of SHFE
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Your name, cellphone number, ID card information, email address, etc. as an authorized exam liaison or exam taker of a member or OSP
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To administer exams to the trader, settlement and delivery clerks of an FF Member
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Administration of trader, settlement and delivery clerk exams
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Statutory duty or obligation of SHFE
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Client name for futures trading; bond account information (registration organization, full account name, account number, corporate certificates number); the name, telephone number and other contact details of the corporate contact person; information about other valid, SHFE-recognized documentations; specimen signature, etc.
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To enable an FF Member to file for posting government bonds as margin for a client
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Posting of government bonds as margin collaterals
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Statutory duty or obligation of SHFE
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Contact information of the issuer or recipient of tax invoices, including the name, telephone number, and correspondence address
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To issue or receive VAT invoices
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Tax invoice management
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Statutory duty or obligation of SHFE
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Information on the warrant transactions of OTC market participants and on the load-in filings of commodity owners
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To enable off-exchange trading services
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Delivery and related services, such as off-exchange transfer or pledge of warrants
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Necessary for an individual’s execution and performance of a contract
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The account owner’s identity information, trading information (including but not limited to trading strategy, relationship with accounts that are the source of funds, and trading terminals used), and delivery information (including but not limited to delivery intentions and information on standard warrants and OTC trading).
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To enforce routine risk controls such as abnormal trading surveillance, large trader position report, etc.
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Self-regulation
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Statutory duty or obligation of SHFE
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Account owner’s identity information; trading information (including but not limited to trading strategy, relationship with accounts that are the source of funds, and trading terminals used); delivery information (including but not limited to delivery intentions and information on standard warrants and OTC trading); personal information from call recordings, meeting records, or investigations or accounts, address, etc.; and whether the account owner is or has been investigated by other organizations for a violation
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To conduct regulatory meetings, handle violations, or take other supervisory measures and to manage accounts linked by actual control relationship
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Self-regulation
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Statutory duty or obligation of SHFE
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Personal information provided in job application
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To process job candidates
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Recruitment
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Personal consent
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Name, employer and position, country or region, contact methods, interests, market preference, etc. collected from survey forms and similar means
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To carry out market research and provide personalized market information
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Marketing
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Personal consent
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If SHFE needs to collect or use your information beyond the situations listed above, SHFE will fully inform you of why and how it will collect such information and where and to what extent the information will be used, and obtain your prior consent in accordance with the law. Please note that SHFE may collect and use your personal information without your authorization and consent in circumstances listed under subsection (IV) of this section.
If the information you provide to SHFE contains the personal information of another individual, then you should ensure that you have the lawful authorizations from that individual before sharing that information with us.
(III) Personal information indirectly collected by SHFE and how it is used
In addition to the personal information you directly supply to SHFE, SHFE may also collect relevant information about you (including but not limited to the following personal information) indirectly from a third party, for purposes of regulating market activities, performing our statutory duties and obligations, and protecting the lawful rights and interests of all market participants. By using the products or services of Shanghai Futures Exchange and its affiliates, you agree that we may, for business and cooperation needs, receive from affiliates and partners and use, aggregate, and analyze the personal information you have authorized them or given them consent to share with us.
You agree that we may use your personal information for the purposes stated below:
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Information Type
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Processing Purpose
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Business/Function
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Legal Basis
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Name, date of birth, valid identification number (e.g., ID card number or passport number), address, telephone number, valid supporting identification number (e.g., driver’s license number) of clients, authorized persons for account opening, authorized persons for fund transfer, authorized traders, settlement statement verifiers, managers of special institutional funds, and investment advisors, etc.
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To assign trading code
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Trading
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Statutory duty or obligation of SHFE
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The personal information of the contact person in the application for hedging quota and arbitrage quota, including but not limited to name and telephone number;
The personal information of the contact person of market makers, including but not limited to name, email, telephone number, and work experience.
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To manage trades
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Trading
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Statutory duty or obligation of SHFE
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The personal information of a Member’s shareholders, legal representative, directors, chief risk officer, officers, heads of futures business, heads of outlets/branches, correspondence recipients, emergency contacts, personnel holding Chinese futures qualification certificates/futures business practitioners, etc., including but not limited to name, address, email and telephone number, position, work experience, passport or national identifications, and futures licenses in relation to the member
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To manage members
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Self-regulation
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Statutory duty or obligation of SHFE
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The personal information of an OSP’s legal representative, authorized signatories, directors, chief risk officer, chief compliance officer, heads of futures business, head of trading, head of clearing/settlement, head of technology, designated domestic contacts, personnel holding Chinese futures qualification certificates/futures business practitioners, etc., including but not be limited to name, address, email and telephone number, position, work experience, passport or national identifications, other valid certifications recognized by SHFE, and specimen signature
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To manage OSPs
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Self-regulation
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Statutory duty or obligation of SHFE
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Name, address, email and telephone number, position, work experience, passport or national identifications, other valid certifications recognized by SHFE, and specimen signature of the CEO, heads of futures business, head of futures risk control, and authorized signatories of an overseas intermediary
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To facilitate FF Members and overseas special brokerage participants to complete filing for overseas intermediaries
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Trading
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Statutory duty or obligation of SHFE
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Delivery-related information, including but not limited to the name and telephone number of the contact person of a member or a client taking part in delivery; and the name, gender, telephone number, email, and work experience of the individuals designated by a designated delivery storage facility for handling futures delivery
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To facilitate physical delivery
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Delivery
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Statutory duty or obligation of SHFE
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The personal information provided during the application for and annual inspection of a designated depository bank, including the name, telephone number, and email of the contact persons of the head office and relevant branches; the name, telephone number, email, and relevant work experience of relevant business managers of the branches; and, for a given branch, the name, qualification certificates, and branch-related work experience of the licensed futures professionals at the branch; and, during the specific margin depository business, the name, telephone number, email, etc. of the relevant personnel
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To supervise designated depository banks
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Self-regulation
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Statutory duty or obligation of SHFE
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Information of the relevant personnel or clients of a member, OSP, or overseas intermediary (including but not limited to name, gender, nationality, ID card number or other valid identification numbers, occupation, address, telephone number, and bank account); trading terminal information; device information; service logs; and information related to trading, clearing/settlement, delivery, and other activities
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To enforce such routine risk controls as abnormal trading surveillance and large trader position report, to investigate and handle violations, and to conduct day-to-day supervision of accounts linked by actual control relationship
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Self-regulation
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Statutory duty or obligation of SHFE
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Date, member ID, member name, client ID, client name, client type, total equity, margin, available funds, etc.
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To facilitate stress tests and calculations
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Self-regulation
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Statutory duty or obligation of SHFE
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(IV) Exceptions for authorization and consent
According to laws and regulations, regulatory requirements, and national standards, SHFE may collect and use your personal information without your authorization and consent under the following circumstances:
(1) is related to SHFE’s performance of statutory duties or obligations;
(2) is related to SHFE’s exercise of self-regulatory power;
(3) is directly related to national security and defense;
(4) is directly related to public safety, public sanitation, or material public interest;
(5) is directly related to criminal investigation, prosecution, trial, and enforcement;
(6) is necessary for protecting the life, health, property, or other material rights and interests of a natural person during an emergency and the authorization and consent of the natural person is not readily obtainable;
(7) is processed within a reasonable scope of use for such public interest goals as making news reports and supervising public opinions;
(8) is to be processed by SHFE within a reasonable scope of use after it has been voluntarily disclosed by you or lawfully made public, unless you expressly instructs SHFE otherwise. Notwithstanding the foregoing, SHFE will obtain your consent if such processing has a material impact on your rights and interests;
(9) is required for concluding or performing a contract to which you as a natural person is a party, or for human resource management in accordance with the lawfully established employment rules or lawfully executed collective agreement;
(10) is required for the safe and stable functioning of the products and services offered by SHFE;
(11) is required by a government agency, law enforcement department, or a similar body;
(12) falls under any other circumstances specified by laws or administrative regulations.
II. Storage of Personal Information
(I) Security and technical measures
Your personal information is stored in controlled servers within the Chinese Mainland and has restricted access. SHFE manages data security through a category- and level-based authorization system. Any user authorized to access personal information is explicitly required to fulfill the corresponding confidentiality obligations.
SHFE implements such technologies as network isolation, remote backups, access control, and encrypted storage of key information to store and protect personal information from loss, misuse, unauthorized access, leakage, tampering, and destruction.
(II) Retention period
SHFE will retain your personal information only for the shortest period necessary to achieve the purposes of personal information processing as described in this Policy and/or for the period specified by laws.
III. How SHFE Shares and Publicly Discloses Your Personal Information
(I) Sharing
To deliver services or fulfill its futures-related statutory obligations, SHFE may make personal information available to its affiliates to the necessary extent. SHFE will not share your personal information with any third-party company, organization, or individual other than its affiliates unless it is done with your express consent or falls under the circumstances described in subsection (III) of this section.
(II) Public disclosure
SHFE will not publicly disclose your personal information unless it is done with your consent or falls under the circumstances described in subsection (III) of this section.
(III) Exceptions for authorization and consent prior to sharing or public disclosure of personal information:
(1) is related to SHFE’s performance of statutory duties or obligations;
(2) is related to SHFE’s exercise of self-regulatory power;
(3) is directly related to national security and defense;
(4) is directly related to public safety, public sanitation, or material public interest;
(5) is directly related to criminal investigation, prosecution, trial, and enforcement;
(6) is necessary for protecting the life, health, property, or other material rights and interests of a natural person during an emergency and the authorization and consent of the natural person is not readily obtainable;
(7) is processed within a reasonable scope of use for such public interest goals as making news reports and supervising public opinions;
(8) is to be processed by SHFE within a reasonable scope of use after it has been voluntarily disclosed by you or lawfully made public, unless you expressly instructs SHFE otherwise. Notwithstanding the foregoing, SHFE will obtain your consent if such processing has a material impact on your rights and interests;
(9) is required for concluding or performing a contract to which you as a natural person is a party, or for human resource management in accordance with the lawfully established employment rules or lawfully executed collective agreement;
(10) is required for the safe and stable functioning of the products and services offered by SHFE;
(11) is required by a government agency, law enforcement department, or a similar body;
(12) falls under any other circumstances specified by laws or administrative regulations.
IV. How SHFE Protects Your Personal Information
(I) SHFE undertakes that it will, after collecting your personal information, use all reasonable, necessary security measures to protect your personal information from unauthorized access, public disclosure, use, modification, damage or loss, in order to keep your information secure.
(II) SHFE’s information technology system management has obtained the following certifications:
ISO 20000 IT Service Management standard, ISO 27001 Information Security Management Systems standard, and China’s Multi-Level Protection Scheme for cybersecurity, among others.
(III) SHFE’s data security capabilities:
SHFE employs verification technologies or cryptographic technologies to ensure the integrity and confidentiality of personal information. For example, in systems that process personal information, SHFE implements a rigorous user authentication protocol to ensure secure logins. In addition, SHFE uses encryption and other security measures for storage of sensitive personal information.
(IV) SHFE retains your personal information only for the shortest period necessary to achieve the purposes described in this Policy, unless an extension is necessary or permitted by law.
(V) SHFE hereby reminds you that its official website might contain links to third-party websites. You understand that SHFE’s personal information protection measures only apply to the official website. If you leave the official website and browse or use the websites, services or contents to which the above links redirect, SHFE is unable or under no obligation to protect any personal information you submit to any websites other than the official website, regardless of whether your login or browse of the websites is based on the links or guidance on the official website.
(VI) SHFE has formulated data governance rules to standardize data collection, transmission, storage, use, deletion, destruction, and other related activities as well as the security measures required. It has established the principles for category- and level-based data protection to protect your personal information.
(VII) According to SHFE’s administrative measures, any SHFE staff member who can access client information will first need to pass a qualification review. Personnel that have not undergone this review will not be allowed to access client information. For those personnel who may have access to client information, SHFE grants them the minimum level of authorization sufficient for their needs.
(VIII) SHFE has developed a contingency plan to provide for the identification, reporting, and resolution of emergencies. It also organizes regular emergency drills. If any personal information security incident occurs due to accident, force majeure, or otherwise, SHFE will issue a notice or announcement in accordance with laws and regulations and inform the information subjects of the proactive security measures they can take. SHFE will actively report the resolution of such security incidents as required by regulatory authorities.
V. Your Rights and How to Exercise Them
(I) Your rights
SHFE respects your rights over your own personal information. Without adversely affecting SHFE’s performance of contract, statutory obligations, and self-regulatory duties, you have the right to:
1. Right to access and copy
You may access or copy your personal information by contacting SHFE via the contact means set forth in this Policy, unless otherwise provided by law.
2. Addition or rectification
You may request SHFE to rectify or make addition to any of your personal information collected or used by SHFE that you discover is inaccurate or incomplete, unless otherwise provided by law.
3. Delete your personal information;
You may contact SHFE by the means listed in this Policy to request for the deletion of your personal information if:
(1) the purpose of processing such personal information has been achieved or becomes impossible to achieve, or such information is no longer necessary for the purpose;
(2) SHFE discontinues its products or services or the retention period expires;
(3) you withdraw your consent;
(4) SHFE has processed the personal information in violation of laws, administrative regulations, or agreement;
(5) there are any other circumstances for deletion provided by laws or administrative regulations.
In accordance with applicable laws, your deletion request may be ignored (i.e., the personal information will not be deleted) but SHFE will still stop its processing activities other than for purposes of storage and the necessary security measures, if:
(1) your personal information is processed so that SHFE can comply with its lawful obligations or protect the public interest;
(2) your personal information is processed to facilitate criminal investigation, prosecution, defense, trial, and enforcement;
(3) your personal information is processed for the purpose of performing SHFE’s statutory duties, obligations, or self-regulatory power;
(4) the retention period specified by laws and administrative regulations has yet to expire, or such deletion is technically infeasible;
(5) there are other circumstances for ignoring your request as specified in this Policy.
4. Change to scope of consent; withdrawal of consent
Certain basic personal information is required for performing a service. You may give or withdraw your consent to the collection and use of unnecessary personal information at any time via the contact means set forth in this Policy.
After you withdraw your consent, SHFE will stop collecting or using the relevant personal information and will delete your personal information in a timely manner. However, your withdrawal of consent will not affect the prior collection and use of your personal information to which you consent.
5. Restriction of automatic processing
Except as required by law, SHFE will not, in the absence of human interference, use the collected personal information to make any automatic decision that is legally binding on you or has similar major impact. If you find that SHFE violates the foregoing provision and your lawful rights and interests are significantly affected, you may request SHFE for explanation and SHFE will provide proper remedies.
6. Data portability
You may obtain a copy of your personal information through the manners set forth in this Policy. Where it is technically possible, SHFE will provide you with a copy of your personal information to the extent reasonable and according to law.
7. Restriction or rejection of collection and use
You may restrict or reject SHFE’s collection and use of your personal information even if such activity is conducted on justifiable grounds. When deciding whether or not to respond to your request, it may take time for SHFE to check if the legal ground based on which it previously processed your personal information precedes your right to restriction or rejection. For instance, if you do not want to receive commercial advertisements from SHFE, you may reject further advertisement push by contacting SHFE via the contact means set forth in this Policy.
8. Request for explanation
You may request SHFE to explain the rules on personal information processing via the manners set forth in this Policy.
9. Pre-death arrangements
You may make pre-death arrangements of your personal information by contacting SHFE via the contact means set forth in this Policy. In the absence of the arrangements, your close relatives may, upon your death and for their own lawful, justifiable interests, exercise the rights provided in this section to consult, copy, rectify, delete, etc. your relevant personal information.
(II) How to exercise your rights
You may get to know if the above rights are applicable to you and how to exercise these rights via the contact means set forth in this Policy.
Please note that to ensure the security of your personal information, SHFE needs to verify your identity before replying any data subject request (DSR).
SHFE will respond to your request as soon as possible. In general, SHFE will send you a reply within 15 business days of receiving your request and respond to your request if the circumstances permit.
SHFE generally charges no fees for your reasonable requests; however, for repetitive requests or requests beyond a reasonable extent, SHFE will charge costs as it deems necessary.
Please understand that SHFE may reject a request that has been repeatedly raised without justification, or requires excessive technical operation (such as the development of new systems or fundamental change in existing practices), or poses risks to the lawful rights and interests of others, or is totally impractical. If you are not satisfied with SHFE’s decision to reject your request, you may file a complaint via SHFE’s personal information protection officer.
SHFE may not be able to respond to your request in the following circumstances:
(1) is related to SHFE’s performance of statutory duties or obligations;
(2) is related to SHFE’s exercise of self-regulatory power;
(3) is directly related to national security and defense;
(4) is directly related to public safety, public sanitation, or material public interest;
(5) is directly related to criminal investigation, prosecution, trial, and enforcement;
(6) There is sufficient evidence of malice or abuse;
(7) is necessary for protecting the life, health, property, or other material rights and interests of a natural person during an emergency and the authorization and consent of the natural person is not readily obtainable;
(8) is processed within a reasonable scope of use for such public interest goals as making news reports and supervising public opinions;
(9) is to be processed by SHFE within a reasonable scope of use after it has been voluntarily disclosed by you or lawfully made public, unless you expressly instructs SHFE otherwise. Notwithstanding the foregoing, SHFE will obtain your consent if such processing has a material impact on your rights and interests;
(10) Responding to your request will materially harm your lawful rights and interests or those of other individuals and organizations;
(11) The request concerns confidential commercial information.
(12) is required for concluding or performing a contract to which you as a natural person is a party, or for human resource management in accordance with the lawfully established employment rules or lawfully executed collective agreement;
(13) is required for the safe and stable functioning of the products and services offered by SHFE;
(14) is required by a government agency, law enforcement department, or a similar body;
(15) falls under any other circumstances specified by laws or administrative regulations.
VI. How Your Personal Information is Moved Globally
In principle, the personal information that SHFE collects and processes within the Mainland of the People’s Republic of China will be stored in the Mainland. If you receive services from SHFE and resides outside the Chinese Mainland, the service-related personal information will in general be stored in the Mainland, but may be transferred or accessed outside the Mainland based on your authorization and consent or for other legitimate reasons. In this case, SHFE will conduct a security evaluation and take the corresponding security measures to meet the legal and compliance requirements on international transfer of personal information.
VII. How This Policy is Updated
Without your express consent, SHFE will not diminish the rights you are entitled to under this Policy. To serve you better, we will, according to your needs, business rules and the requirements of laws and regulations, update or modify the terms of this Policy from time and time and release the updated or modified version immediately. Any change to this Policy will be published on this webpage. SHFE recommends you to review the SHFE Personal Information Protection Policy on a regular basis. Your continued use of SHFE products or services following the update of this Policy indicates that you have fully read, understand, and accepted the updated Policy.
VIII. How to contact SHFE
SHFE has assigned a dedicated officer in charge of personal information protection. If you have any question, comment or suggestion about this Policy, please contact the dedicated officer via the following means:
Tel.: 021 - 68400921
Fax: 021 - 68402037
E-mail: info@shfe.com.cn
To make sure that you receive quick responses, we recommend you use the aforesaid manners to contact us. After receiving your question, we will respond to you in a timely manner and generally within fifteen (15) business days.
Personal Information Protection Policy
Shanghai Futures Exchange Personal Information Protection Policy
Effective:12/11/2013
The Shanghai Futures Exchange (“SHFE” or “we”) is a futures trading venue and clearing organization established in accordance with the Futures and Derivatives Law of the People’s Republic of China. SHFE and its affiliates understand how important personal information is to you, and will make every effort to keep it safe. Committed to maintaining your trust in us, SHFE will collect, use, and process your personal information in strict accordance with the Civil Code, Futures and Derivatives Law, Cybersecurity Law, Data Security Law, Personal Information Protection Law, and other relevant laws, regulations, and normative documents, and take safety measures to protect it. We endeavor to present this Personal Information Protection Policy (“Policy”) in a clear and comprehensible manner, to provide you with a clear understanding of the purpose, possible use, and other aspects of our information collection before you supply that information to us. For ease of reading and understanding, we have provided definitions of the terminologies appearing in this Policy; you may find them in the “Definitions” section below. This Policy is designed to help you understand what data we collect, why we collect them, and how we use and protect them. Please read this Policy carefully to understand all its contents.
The Policy will help you understand the following:
1. How does SHFE collect and use your personal information
2. How does SHFE share and publicly disclose your personal information
3. How does SHFE protect your personal information
4. What are your rights to your personal information and how to exercise them
5. How is your personal information transferred internationally
6. Hong long does SHFE retain your personal information
7. How to update the Policy
8. How to contact SHFE
I. How SHFE Collects and Uses Your Personal Information
(I) Definitions
The following terms used in this Policy have the meanings assigned to them below:
1. “Shanghai Futures Exchange and its affiliates” refer to Shanghai Futures Exchange, Shanghai International Energy Exchange, Shanghai Futures and Derivatives Research Institute, Shanghai Futures Information Technology Co., Ltd., and SHFE Business Services Co., Ltd.
2. “Personal information” refers to any information about an identified or identifiable natural person that is electronically or otherwise recorded, including, inter alia, the basic personal information, identity information, biometric information, network identification information, health and physiological information, education and work history, assets information, communication records, contact information, online records, frequently-used device information, and location information, excluding anonymized information.
3. “Sensitive personal information” refers to the personal information that, once leaked or illegally used, may easily lead to the infringement of a natural person’s human dignity or endanger personal and property safety, including biometric, religious beliefs, specific identity, medical and health, financial accounts, whereabouts, etc., as well as the personal information of minors under 14 years of age.
4. For the purpose of this Policy, “China” refers to the Mainland of the People’s Republic of China, excluding the Hong Kong Special Administrative Region, the Macau Special Administrative Region, and Taiwan.
(II) Personal information directly collected by SHFE and how it is used
You are aware and agree that SHFE will only collect, use, store and protect your personal information for the purposes described below.
During your use of our products and/or services, SHFE may collect from you the following two types of personal information:
1. the necessary personal information that you must authorize us to collect and use, in order for us to provide you with the basic functions of our products and/ or services. If you refuse to provide the information, we may not be able to process your application, subscription, registration or other requests, and you will not be able to use our corresponding products and services normally;
2. the information that you may authorize us to collect and use, in order for us to provide you with the additional functions of our products and/ or services. If you refuse to provide the information, you may not be able to use specific additional services or functions or experience the intended effect of relevant services, but this does not affect your use of our basic functions or other additional functions.
To provide the following services and functions under the Policy, SHFE will collect and use your personal information:
If you participate in the trading, settlement, delivery, or other related activities of the futures, options, warrants, and other products launched by SHFE, or if you use SHFE’s services, we will collect your relevant information (including but not limited to the following personal information) in a legitimate, lawful and necessary manner and use it for the purposes stated below, in order to perform our self-regulatory duties, regulate market participation, and protect the lawful rights and interests of all parties concerned:
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Information Type
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Processing Purpose
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Business/Function
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Legal Basis
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Name, gender, employer and position, product of interest, address, e-mail, telephone number, etc.
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To offer Futures Auditorium and other training courses
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Market training
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Personal consent
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Contact information provided on or through forms, business cards, phone calls, emails, contracts, or other electronic or written means of communication
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To contact you
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Business correspondence, inquiries and judicial assistance
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Personal consent
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ID card information, etc. of you as a bank employee handling relevant process
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To provide a dedicated channel for bank’s processing of standard warrants pledge
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Standard warrant registration, settlement and other related services
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Statutory duty or obligation of SHFE
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Your ID card information, telephone, etc. as an authorized agent of a Member or overseas special participant (OSP)
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To assign permissions to funds transfer agents
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Settlement-related services
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Statutory duty or obligation of SHFE
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Your ID card information, telephone, etc. as an authorized agent of a Member or OSP
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To grant permissions to settlement and delivery
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Settlement-related services
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Statutory duty or obligation of SHFE
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Your ID card information, etc. as an authorized agent of a Member or OSP
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To enable an Futures Firm Member (“FF Member”) to manually obtain clearing documents when normal approach fails
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Settlement-related services
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Statutory duty or obligation of SHFE
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Your name, cellphone number, ID card information, email address, etc. as an authorized exam liaison or exam taker of a member or OSP
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To administer exams to the trader, settlement and delivery clerks of an FF Member
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Administration of trader, settlement and delivery clerk exams
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Statutory duty or obligation of SHFE
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Client name for futures trading; bond account information (registration organization, full account name, account number, corporate certificates number); the name, telephone number and other contact details of the corporate contact person; information about other valid, SHFE-recognized documentations; specimen signature, etc.
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To enable an FF Member to file for posting government bonds as margin for a client
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Posting of government bonds as margin collaterals
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Statutory duty or obligation of SHFE
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Contact information of the issuer or recipient of tax invoices, including the name, telephone number, and correspondence address
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To issue or receive VAT invoices
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Tax invoice management
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Statutory duty or obligation of SHFE
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Information on the warrant transactions of OTC market participants and on the load-in filings of commodity owners
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To enable off-exchange trading services
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Delivery and related services, such as off-exchange transfer or pledge of warrants
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Necessary for an individual’s execution and performance of a contract
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The account owner’s identity information, trading information (including but not limited to trading strategy, relationship with accounts that are the source of funds, and trading terminals used), and delivery information (including but not limited to delivery intentions and information on standard warrants and OTC trading).
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To enforce routine risk controls such as abnormal trading surveillance, large trader position report, etc.
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Self-regulation
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Statutory duty or obligation of SHFE
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Account owner’s identity information; trading information (including but not limited to trading strategy, relationship with accounts that are the source of funds, and trading terminals used); delivery information (including but not limited to delivery intentions and information on standard warrants and OTC trading); personal information from call recordings, meeting records, or investigations or accounts, address, etc.; and whether the account owner is or has been investigated by other organizations for a violation
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To conduct regulatory meetings, handle violations, or take other supervisory measures and to manage accounts linked by actual control relationship
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Self-regulation
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Statutory duty or obligation of SHFE
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Personal information provided in job application
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To process job candidates
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Recruitment
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Personal consent
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Name, employer and position, country or region, contact methods, interests, market preference, etc. collected from survey forms and similar means
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To carry out market research and provide personalized market information
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Marketing
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Personal consent
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If SHFE needs to collect or use your information beyond the situations listed above, SHFE will fully inform you of why and how it will collect such information and where and to what extent the information will be used, and obtain your prior consent in accordance with the law. Please note that SHFE may collect and use your personal information without your authorization and consent in circumstances listed under subsection (IV) of this section.
If the information you provide to SHFE contains the personal information of another individual, then you should ensure that you have the lawful authorizations from that individual before sharing that information with us.
(III) Personal information indirectly collected by SHFE and how it is used
In addition to the personal information you directly supply to SHFE, SHFE may also collect relevant information about you (including but not limited to the following personal information) indirectly from a third party, for purposes of regulating market activities, performing our statutory duties and obligations, and protecting the lawful rights and interests of all market participants. By using the products or services of Shanghai Futures Exchange and its affiliates, you agree that we may, for business and cooperation needs, receive from affiliates and partners and use, aggregate, and analyze the personal information you have authorized them or given them consent to share with us.
You agree that we may use your personal information for the purposes stated below:
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Information Type
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Processing Purpose
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Business/Function
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Legal Basis
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Name, date of birth, valid identification number (e.g., ID card number or passport number), address, telephone number, valid supporting identification number (e.g., driver’s license number) of clients, authorized persons for account opening, authorized persons for fund transfer, authorized traders, settlement statement verifiers, managers of special institutional funds, and investment advisors, etc.
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To assign trading code
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Trading
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Statutory duty or obligation of SHFE
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The personal information of the contact person in the application for hedging quota and arbitrage quota, including but not limited to name and telephone number;
The personal information of the contact person of market makers, including but not limited to name, email, telephone number, and work experience.
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To manage trades
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Trading
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Statutory duty or obligation of SHFE
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The personal information of a Member’s shareholders, legal representative, directors, chief risk officer, officers, heads of futures business, heads of outlets/branches, correspondence recipients, emergency contacts, personnel holding Chinese futures qualification certificates/futures business practitioners, etc., including but not limited to name, address, email and telephone number, position, work experience, passport or national identifications, and futures licenses in relation to the member
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To manage members
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Self-regulation
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Statutory duty or obligation of SHFE
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The personal information of an OSP’s legal representative, authorized signatories, directors, chief risk officer, chief compliance officer, heads of futures business, head of trading, head of clearing/settlement, head of technology, designated domestic contacts, personnel holding Chinese futures qualification certificates/futures business practitioners, etc., including but not be limited to name, address, email and telephone number, position, work experience, passport or national identifications, other valid certifications recognized by SHFE, and specimen signature
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To manage OSPs
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Self-regulation
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Statutory duty or obligation of SHFE
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Name, address, email and telephone number, position, work experience, passport or national identifications, other valid certifications recognized by SHFE, and specimen signature of the CEO, heads of futures business, head of futures risk control, and authorized signatories of an overseas intermediary
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To facilitate FF Members and overseas special brokerage participants to complete filing for overseas intermediaries
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Trading
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Statutory duty or obligation of SHFE
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Delivery-related information, including but not limited to the name and telephone number of the contact person of a member or a client taking part in delivery; and the name, gender, telephone number, email, and work experience of the individuals designated by a designated delivery storage facility for handling futures delivery
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To facilitate physical delivery
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Delivery
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Statutory duty or obligation of SHFE
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The personal information provided during the application for and annual inspection of a designated depository bank, including the name, telephone number, and email of the contact persons of the head office and relevant branches; the name, telephone number, email, and relevant work experience of relevant business managers of the branches; and, for a given branch, the name, qualification certificates, and branch-related work experience of the licensed futures professionals at the branch; and, during the specific margin depository business, the name, telephone number, email, etc. of the relevant personnel
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To supervise designated depository banks
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Self-regulation
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Statutory duty or obligation of SHFE
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Information of the relevant personnel or clients of a member, OSP, or overseas intermediary (including but not limited to name, gender, nationality, ID card number or other valid identification numbers, occupation, address, telephone number, and bank account); trading terminal information; device information; service logs; and information related to trading, clearing/settlement, delivery, and other activities
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To enforce such routine risk controls as abnormal trading surveillance and large trader position report, to investigate and handle violations, and to conduct day-to-day supervision of accounts linked by actual control relationship
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Self-regulation
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Statutory duty or obligation of SHFE
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Date, member ID, member name, client ID, client name, client type, total equity, margin, available funds, etc.
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To facilitate stress tests and calculations
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Self-regulation
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Statutory duty or obligation of SHFE
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(IV) Exceptions for authorization and consent
According to laws and regulations, regulatory requirements, and national standards, SHFE may collect and use your personal information without your authorization and consent under the following circumstances:
(1) is related to SHFE’s performance of statutory duties or obligations;
(2) is related to SHFE’s exercise of self-regulatory power;
(3) is directly related to national security and defense;
(4) is directly related to public safety, public sanitation, or material public interest;
(5) is directly related to criminal investigation, prosecution, trial, and enforcement;
(6) is necessary for protecting the life, health, property, or other material rights and interests of a natural person during an emergency and the authorization and consent of the natural person is not readily obtainable;
(7) is processed within a reasonable scope of use for such public interest goals as making news reports and supervising public opinions;
(8) is to be processed by SHFE within a reasonable scope of use after it has been voluntarily disclosed by you or lawfully made public, unless you expressly instructs SHFE otherwise. Notwithstanding the foregoing, SHFE will obtain your consent if such processing has a material impact on your rights and interests;
(9) is required for concluding or performing a contract to which you as a natural person is a party, or for human resource management in accordance with the lawfully established employment rules or lawfully executed collective agreement;
(10) is required for the safe and stable functioning of the products and services offered by SHFE;
(11) is required by a government agency, law enforcement department, or a similar body;
(12) falls under any other circumstances specified by laws or administrative regulations.
II. Storage of Personal Information
(I) Security and technical measures
Your personal information is stored in controlled servers within the Chinese Mainland and has restricted access. SHFE manages data security through a category- and level-based authorization system. Any user authorized to access personal information is explicitly required to fulfill the corresponding confidentiality obligations.
SHFE implements such technologies as network isolation, remote backups, access control, and encrypted storage of key information to store and protect personal information from loss, misuse, unauthorized access, leakage, tampering, and destruction.
(II) Retention period
SHFE will retain your personal information only for the shortest period necessary to achieve the purposes of personal information processing as described in this Policy and/or for the period specified by laws.
III. How SHFE Shares and Publicly Discloses Your Personal Information
(I) Sharing
To deliver services or fulfill its futures-related statutory obligations, SHFE may make personal information available to its affiliates to the necessary extent. SHFE will not share your personal information with any third-party company, organization, or individual other than its affiliates unless it is done with your express consent or falls under the circumstances described in subsection (III) of this section.
(II) Public disclosure
SHFE will not publicly disclose your personal information unless it is done with your consent or falls under the circumstances described in subsection (III) of this section.
(III) Exceptions for authorization and consent prior to sharing or public disclosure of personal information:
(1) is related to SHFE’s performance of statutory duties or obligations;
(2) is related to SHFE’s exercise of self-regulatory power;
(3) is directly related to national security and defense;
(4) is directly related to public safety, public sanitation, or material public interest;
(5) is directly related to criminal investigation, prosecution, trial, and enforcement;
(6) is necessary for protecting the life, health, property, or other material rights and interests of a natural person during an emergency and the authorization and consent of the natural person is not readily obtainable;
(7) is processed within a reasonable scope of use for such public interest goals as making news reports and supervising public opinions;
(8) is to be processed by SHFE within a reasonable scope of use after it has been voluntarily disclosed by you or lawfully made public, unless you expressly instructs SHFE otherwise. Notwithstanding the foregoing, SHFE will obtain your consent if such processing has a material impact on your rights and interests;
(9) is required for concluding or performing a contract to which you as a natural person is a party, or for human resource management in accordance with the lawfully established employment rules or lawfully executed collective agreement;
(10) is required for the safe and stable functioning of the products and services offered by SHFE;
(11) is required by a government agency, law enforcement department, or a similar body;
(12) falls under any other circumstances specified by laws or administrative regulations.
IV. How SHFE Protects Your Personal Information
(I) SHFE undertakes that it will, after collecting your personal information, use all reasonable, necessary security measures to protect your personal information from unauthorized access, public disclosure, use, modification, damage or loss, in order to keep your information secure.
(II) SHFE’s information technology system management has obtained the following certifications:
ISO 20000 IT Service Management standard, ISO 27001 Information Security Management Systems standard, and China’s Multi-Level Protection Scheme for cybersecurity, among others.
(III) SHFE’s data security capabilities:
SHFE employs verification technologies or cryptographic technologies to ensure the integrity and confidentiality of personal information. For example, in systems that process personal information, SHFE implements a rigorous user authentication protocol to ensure secure logins. In addition, SHFE uses encryption and other security measures for storage of sensitive personal information.
(IV) SHFE retains your personal information only for the shortest period necessary to achieve the purposes described in this Policy, unless an extension is necessary or permitted by law.
(V) SHFE hereby reminds you that its official website might contain links to third-party websites. You understand that SHFE’s personal information protection measures only apply to the official website. If you leave the official website and browse or use the websites, services or contents to which the above links redirect, SHFE is unable or under no obligation to protect any personal information you submit to any websites other than the official website, regardless of whether your login or browse of the websites is based on the links or guidance on the official website.
(VI) SHFE has formulated data governance rules to standardize data collection, transmission, storage, use, deletion, destruction, and other related activities as well as the security measures required. It has established the principles for category- and level-based data protection to protect your personal information.
(VII) According to SHFE’s administrative measures, any SHFE staff member who can access client information will first need to pass a qualification review. Personnel that have not undergone this review will not be allowed to access client information. For those personnel who may have access to client information, SHFE grants them the minimum level of authorization sufficient for their needs.
(VIII) SHFE has developed a contingency plan to provide for the identification, reporting, and resolution of emergencies. It also organizes regular emergency drills. If any personal information security incident occurs due to accident, force majeure, or otherwise, SHFE will issue a notice or announcement in accordance with laws and regulations and inform the information subjects of the proactive security measures they can take. SHFE will actively report the resolution of such security incidents as required by regulatory authorities.
V. Your Rights and How to Exercise Them
(I) Your rights
SHFE respects your rights over your own personal information. Without adversely affecting SHFE’s performance of contract, statutory obligations, and self-regulatory duties, you have the right to:
1. Right to access and copy
You may access or copy your personal information by contacting SHFE via the contact means set forth in this Policy, unless otherwise provided by law.
2. Addition or rectification
You may request SHFE to rectify or make addition to any of your personal information collected or used by SHFE that you discover is inaccurate or incomplete, unless otherwise provided by law.
3. Delete your personal information;
You may contact SHFE by the means listed in this Policy to request for the deletion of your personal information if:
(1) the purpose of processing such personal information has been achieved or becomes impossible to achieve, or such information is no longer necessary for the purpose;
(2) SHFE discontinues its products or services or the retention period expires;
(3) you withdraw your consent;
(4) SHFE has processed the personal information in violation of laws, administrative regulations, or agreement;
(5) there are any other circumstances for deletion provided by laws or administrative regulations.
In accordance with applicable laws, your deletion request may be ignored (i.e., the personal information will not be deleted) but SHFE will still stop its processing activities other than for purposes of storage and the necessary security measures, if:
(1) your personal information is processed so that SHFE can comply with its lawful obligations or protect the public interest;
(2) your personal information is processed to facilitate criminal investigation, prosecution, defense, trial, and enforcement;
(3) your personal information is processed for the purpose of performing SHFE’s statutory duties, obligations, or self-regulatory power;
(4) the retention period specified by laws and administrative regulations has yet to expire, or such deletion is technically infeasible;
(5) there are other circumstances for ignoring your request as specified in this Policy.
4. Change to scope of consent; withdrawal of consent
Certain basic personal information is required for performing a service. You may give or withdraw your consent to the collection and use of unnecessary personal information at any time via the contact means set forth in this Policy.
After you withdraw your consent, SHFE will stop collecting or using the relevant personal information and will delete your personal information in a timely manner. However, your withdrawal of consent will not affect the prior collection and use of your personal information to which you consent.
5. Restriction of automatic processing
Except as required by law, SHFE will not, in the absence of human interference, use the collected personal information to make any automatic decision that is legally binding on you or has similar major impact. If you find that SHFE violates the foregoing provision and your lawful rights and interests are significantly affected, you may request SHFE for explanation and SHFE will provide proper remedies.
6. Data portability
You may obtain a copy of your personal information through the manners set forth in this Policy. Where it is technically possible, SHFE will provide you with a copy of your personal information to the extent reasonable and according to law.
7. Restriction or rejection of collection and use
You may restrict or reject SHFE’s collection and use of your personal information even if such activity is conducted on justifiable grounds. When deciding whether or not to respond to your request, it may take time for SHFE to check if the legal ground based on which it previously processed your personal information precedes your right to restriction or rejection. For instance, if you do not want to receive commercial advertisements from SHFE, you may reject further advertisement push by contacting SHFE via the contact means set forth in this Policy.
8. Request for explanation
You may request SHFE to explain the rules on personal information processing via the manners set forth in this Policy.
9. Pre-death arrangements
You may make pre-death arrangements of your personal information by contacting SHFE via the contact means set forth in this Policy. In the absence of the arrangements, your close relatives may, upon your death and for their own lawful, justifiable interests, exercise the rights provided in this section to consult, copy, rectify, delete, etc. your relevant personal information.
(II) How to exercise your rights
You may get to know if the above rights are applicable to you and how to exercise these rights via the contact means set forth in this Policy.
Please note that to ensure the security of your personal information, SHFE needs to verify your identity before replying any data subject request (DSR).
SHFE will respond to your request as soon as possible. In general, SHFE will send you a reply within 15 business days of receiving your request and respond to your request if the circumstances permit.
SHFE generally charges no fees for your reasonable requests; however, for repetitive requests or requests beyond a reasonable extent, SHFE will charge costs as it deems necessary.
Please understand that SHFE may reject a request that has been repeatedly raised without justification, or requires excessive technical operation (such as the development of new systems or fundamental change in existing practices), or poses risks to the lawful rights and interests of others, or is totally impractical. If you are not satisfied with SHFE’s decision to reject your request, you may file a complaint via SHFE’s personal information protection officer.
SHFE may not be able to respond to your request in the following circumstances:
(1) is related to SHFE’s performance of statutory duties or obligations;
(2) is related to SHFE’s exercise of self-regulatory power;
(3) is directly related to national security and defense;
(4) is directly related to public safety, public sanitation, or material public interest;
(5) is directly related to criminal investigation, prosecution, trial, and enforcement;
(6) There is sufficient evidence of malice or abuse;
(7) is necessary for protecting the life, health, property, or other material rights and interests of a natural person during an emergency and the authorization and consent of the natural person is not readily obtainable;
(8) is processed within a reasonable scope of use for such public interest goals as making news reports and supervising public opinions;
(9) is to be processed by SHFE within a reasonable scope of use after it has been voluntarily disclosed by you or lawfully made public, unless you expressly instructs SHFE otherwise. Notwithstanding the foregoing, SHFE will obtain your consent if such processing has a material impact on your rights and interests;
(10) Responding to your request will materially harm your lawful rights and interests or those of other individuals and organizations;
(11) The request concerns confidential commercial information.
(12) is required for concluding or performing a contract to which you as a natural person is a party, or for human resource management in accordance with the lawfully established employment rules or lawfully executed collective agreement;
(13) is required for the safe and stable functioning of the products and services offered by SHFE;
(14) is required by a government agency, law enforcement department, or a similar body;
(15) falls under any other circumstances specified by laws or administrative regulations.
VI. How Your Personal Information is Moved Globally
In principle, the personal information that SHFE collects and processes within the Mainland of the People’s Republic of China will be stored in the Mainland. If you receive services from SHFE and resides outside the Chinese Mainland, the service-related personal information will in general be stored in the Mainland, but may be transferred or accessed outside the Mainland based on your authorization and consent or for other legitimate reasons. In this case, SHFE will conduct a security evaluation and take the corresponding security measures to meet the legal and compliance requirements on international transfer of personal information.
VII. How This Policy is Updated
Without your express consent, SHFE will not diminish the rights you are entitled to under this Policy. To serve you better, we will, according to your needs, business rules and the requirements of laws and regulations, update or modify the terms of this Policy from time and time and release the updated or modified version immediately. Any change to this Policy will be published on this webpage. SHFE recommends you to review the SHFE Personal Information Protection Policy on a regular basis. Your continued use of SHFE products or services following the update of this Policy indicates that you have fully read, understand, and accepted the updated Policy.
VIII. How to contact SHFE
SHFE has assigned a dedicated officer in charge of personal information protection. If you have any question, comment or suggestion about this Policy, please contact the dedicated officer via the following means:
Tel.: 021 - 68400921
Fax: 021 - 68402037
E-mail: info@shfe.com.cn
To make sure that you receive quick responses, we recommend you use the aforesaid manners to contact us. After receiving your question, we will respond to you in a timely manner and generally within fifteen (15) business days.
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