Privacy Statements

  • As a client (the “Client”) of Plutus Securities Limited, its subsidiaries and associated companies (collectively “PLUTUS”), it is necessary from time to time for the Client to supply his/her personal data (“Personal Data”), within the meaning ascribed in the Personal Data (Privacy) Ordinance (Cap. 486 of the laws of Hong Kong) (the “Privacy Ordinance”) to PLUTUS when opening or continuation of accounts, or in the establishment, continuation or provision of investment, dealing or related services.
  • Failure to supply Personal Data may result in PLUTUS being unable to open or continue accounts or establish, continue or provide investment, dealing or related services.
  • Personal Data may also be collected in the ordinary course of continuation of the business relationship with PLUTUS.
  • Subject to the provisions of the Privacy Ordinance, any Personal Data may be used for the following purposes:

    • the daily operation of the services provided to the Client ;
    • conducting credit checks ;
    • ensuring ongoing credit worthiness of the Client;
    • marketing investment, dealing or related services or products (please see further details in clause 6 below);
    • supporting any statements made in any documents in connection with the services of PLUTUS;
    • assisting other relevant parties, professionals, institutions or relevant regulatory authorities to verify certain facts in connection with the services of PLUTUS;
    • to comply with any court orders, law, rules, regulations, codes of practice, guidelines or requests, including without limitation to make disclosures of your data to regulators, governmental bodies, tax authorities or industry recognized bodies such as exchanges, fiscal and monetary authorities, securities and banking associations and credit reference agencies, all of which may be within or outside Hong Kong;
    • to comply with any obligations, requirements or arrangements that PLUTUS has or may has in the future with local or foreign regulatory or tax authorities, whether imposed by law or assumed by them for the protection of their financial, commercial business or other legitimate interests in or related to such jurisdictions, including but not limited to compliance with obligations binding on PLUTUS pursuant to arrangements in relation to the Foreign Account Tax Compliance Act of the United States of America (“FATCA”);
    • for establishing whether you are a citizen of the United States, resident of the United States for its federal income tax purposes or otherwise subject to tax in the United States and/or to substantiate whether your account has US status for the purposes of FATCA; and
    • meeting the requirements to make disclosures under the requirements of any laws and/or regulations binding on PLUTUS;
    • forming part of the records of the recipient of the data as to the business carried on by it; and
    • any other purposes relating to or incidental to any of the above.
  • PLUTUS will keep Personal Data confidential but PLUTUS may provide Personal Data to the following persons in furtherance of the purposes set in the above paragraph (4):
    • any agent or third party service provider who provides services to PLUTUS in connection with the operation of its business;
    • an appropriate person under a duty of confidentiality to PLUTUS including any Broker Group Company which has undertaken to keep such information confidential;
    • any person or institution with which the Client has or proposes to have dealings;
    • credit reference agencies and debt collection agencies (in the event of default payment);
    • any regulatory authorities or exchanges which relate to or govern any business of PLUTUS or its Associates;
    • any assignee, transferee, delegate, successor or person to whom the account of the Client is transferred and the authorised person of the Client;
    • any of PLUTUS’s actual or proposed assignee or participant or sub-participant or transferee; and
    • any exchange, entity, agency, regulatory or government body in any jurisdiction (whether within or outside Hong Kong) if required by law or pursuant to any court orders, rules or regulations to which PLUTUS is subject. In such cases, PLUTUS is usually under a duty of secrecy and will not be able to notify a customer or seek his/her consent in relation to such release of information.
  • Use of Data in Direct Marketing

    PLUTUS intends to use the client’s personal data in direct marketing and we require the client’s consent (which includes an indication of no objection) for that purpose. The specific requirement regarding your consent (which includes an indication of no objection) is introduced in Part VIA of the Personal Data (Privacy) Amendment Ordinance 2012. In this connection, please note that:

    • the client’s name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and demographic data held by PLUTUS from time to time may be used by PLUTUS in direct marketing ;
    • the following classes of services, products and subjects may be marketed:
      1. securities, futures, foreign exchange, mutual funds/unit trusts, bonds, derivatives, insurances, mandatory provident fund schemes, commodities, investment, asset management, capital investment entrant scheme and related services and products;
      2. reward, loyalty or privileges programmes in relation to the class of marketing subjects as referred to in paragraph b(i) above;
      3. services and products offered by PLUTUS’s co-branding partners (the names of such co-branding partners can be found in the application form(s) for the relevant services and products, as the case may be) in relation to the class of marketing subjects as referred to in paragraph b(i) above; and
      4. donations and contributions for charitable and/or non-profit making purposes.
    • the above services, products and subjects may be provided or (in the case of donations and contributions) solicited by PLUTUS and/or:
      1. any member of PLUTUS and its Associates;
      2. third party financial institutions, insurers, securities, commodities and investment services providers;
      3. third party reward, loyalty, co-branding or privileges programme providers;
      4. co-branding partners of PLUTUS and its Associates (the names of such co-branding partners can be found in the application form(s) for the relevant services and products, as the case may be); and
      5. charitable or non-profit making organizations;
    • in addition to marketing the above services, products and subjects itself, PLUTUS also intends to provide the data described in paragraph (a) above to all or any of the persons described in paragraph (c) above for use by them in marketing those services, products and subjects (in respect of which we may or may not be remunerated), and PLUTUS requires your written consent (which includes an indication of no objection) for that purpose.
    • If the client does not wish PLUTUS to use or provide to other persons the client’s data for use in direct marketing as described 6(a) to (d) above, the client may exercise the opt-out right by notifying PLUTUS in writing.
  • The Personal Data may be transferred to any place outside Hong Kong, whether for the processing, holding or use of such data outside Hong Kong, and also to service providers which offer services to any Broker Group Company in connection with the operation of its business.
  • To the extent permitted by law, the Personal Data collected by PLUTUS from time to time may be used and disclosed in accordance with the Data Privacy Policy.
  • In accordance with the terms of the Privacy Ordinance, any individual has the right to:

    • check whether PLUTUS holds data about him/her and access to such data;
    • require PLUTUS to correct any data relating to him/her which is inaccurate;
    • ascertain PLUTUS’s policies and practices in relation to data and be informed of the kind of personal data held by PLUTUS; and
    • in relation to customer credit, request to be informed which items of personal data are routinely disclosed to credit reference agencies or debt collection agencies, and be provided with further information to enable the making of an access and correction request to the relevant credit reference agency or debt collection agency.
  • In accordance with the Privacy Ordinance, PLUTUS has the right to charge a reasonable fee for the processing of any data access request. All requests for access to data or correction of data (when client considers that his/her personal data, supplied by PLUTUS following a data access request, are inaccurate) or for information regarding policies and practices and kinds of data held should be addressed as follows:

    The Privacy Protection Officer

    Plutus Securities Limited
    8/F, 80 Gloucester Road, Wan Chai, Hong Kong
    Tel: (852) 2968 1192
    Fax: (852) 2968 5560

Disclaimer & Risk Disclosure

The Asset Management Service of this website is only intended for “Professional Investors” as defined in the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong) (“SFO”). For more information regarding the SFO, please visit The products and services described in the Asset Management Part of this website are not available to and should not be accessed by any person who is a not a Professional Investor.

By clicking “Accept” at the bottom of this page, you are deemed to have confirmed your status as a Professional Investor and have agreed to be bound by any terms and conditions applicable to this website.

Terms & Conditions


The information contained in this website (“Information”) is provided by Plutus Securities and Plutus Asset Management Limited, which are regulated by the Hong Kong Securities and Futures Commission ("SFC"). The content of this website has however not been reviewed by the SFC and the Information is for informational purposes only. Our Funds have not been authorized by the SFC to be marketed to the general public in Hong Kong. If you are in doubt about the Information, you should obtain independent professional advice. Investors should not make any investment decision solely based on the Information.

Changes to the Terms and Information

The Terms and the Information may be changed from time to time. The use of any part of this website will be subject to any such changes once they are made. It is therefore advisable to review any applicable terms and conditions and the Information you intended to use regularly.


The Information, including the layout of this website, any products and / or services may be wholly or partially suspended, withdrawn or changed at any time.

No Offer

None of the Information or any opinion contained on this website constitutes an offer to sell or a solicitation, or offer to buy, any securities or financial instruments or investment advice or any advice or recommendation in respect of such securities or other financial instruments.

Investment Performance

Please note that the value of investments and the income derived from them may fluctuate and an investor may not receive back the amount originally invested. Where past performance is shown it refers to the past and should not be seen as an indication of future performance. The value and any income arising from any investment referred to on this website may go down as well as up. In particular you may not get back the full amount invested. Where overseas securities are held the rate of currency exchange may cause the value of the investment to go up as well as down. Any forecast, projection or target is indicative only and is not guaranteed in any way. We accept no liability for any failure to meet such a forecast, projection or target.

In the case of investments for which there is not a recognized market it may be difficult for investors to sell their investment or to obtain reliable information about its value or the extent of the risks to which it is exposed.

No Warranties

Other than the warranties and representations contained in the Terms, all other warranties and representations, whether expressed, implied or statutory are, to the fullest extent permitted by the law, excluded. We do not exclude or restrict our liabilities or duties to you where or to the extent that this is prohibited by law or regulation. You should assume that the use of this website is at your sole risk.

We do not represent that:

  • the Information will be accurate, complete or up to date or meet your specific requirements,;
  • this website will be available, access to this website will be uninterrupted or that there will be no delays, failures, errors or omissions or loss of information as this website is transmitted to you, no viruses or other contaminating or destructive materials or elements will be transmitted or that your computer system will not be damaged.

We also do not provide any guarantee about the accuracy, functionality or performance of any third party software, content or equipment used in connection with this website.

Exclusion of Our Liability

To the extent permitted by law, neither we nor any member of the Plutus Securities & Plutus Asset Management Limited shall be liable for any damage, loss or liability (whether arising in contract, tort, including negligence, or otherwise) arising out of or in connection with:

  • your use of this website
  • your reliance on or your inability to use the information, products or services on this website; or
  • any failure of performance, error, omission, interruption, defect, delay in operation or transmission, computer virus or line or system failure to this website or your use or attempted use of it.

The above exclusions apply to any damage which is direct, indirect, special, incidental or consequential or consists of loss of profits, business, opportunity or data.

Third Party Websites and Endorsements

Where we provide hypertext links to other locations on this website, we do so for information purposes only. We are not responsible for the content of any websites or pages of third parties linked to or from this website. Following links to any websites or pages of third parties shall be at your own risk. We shall not be responsible or liable for any damages or in any other way in connection with such linking of those websites or pages.

Links to third party downloadable software sites are for convenience only and we are not responsible nor are we liable for any difficulties or consequences associated with downloading that software. You are responsible for obtaining all necessary authorizations to use such software and we give no implied license or warranty in relation to the obtaining of or use of such software whatsoever.

None of the Information or any hyperlinks to or from any third party websites or pages propose to, directly or indirectly, endorse, approve or claims to be responsible for appropriateness of any third parties or their advice, opinions, information, products or services.

Intellectual Property Rights

Unless otherwise expressly noted, all copyright, patent, intellectual and other property rights in connection with the Information are owned by Plutus Securities & Plutus Asset Management Limited or its group.