DPMS iPass

Personal Information Collection Statement

Purpose of Collection

The personal data provided in this questionnaire will be used by the Customs and Excise Department for one or more of the following purposes:

Considering and processing applications for the Registration Regime for Dealers in Precious Metals and Stones;
Sending the relevant information of the Registration Regime;
Discharging various duties and functions of the Customs and Excise Department; and
Facilitating communications between you / your company and staff members of the Customs and Excise Department.

Access to and Correction of Personal Data

Under the Personal Data (Privacy) Ordinance, you have a right of access to and correction of your personal data. Your right of access includes the right to obtain a copy of your personal data provided in this questionnaire. In accordance with the terms of the Ordinance, we have the right to charge a reasonable fee for the processing of any data access request.

Enquiries concerning the personal data collected by this questionnaire, including the request for access to and correction of personal data, should be addressed to:

Mail:	Customs and Excise Department Office of Departmental Administration Executive Officer (Personnel)3 31/F, Customs Headquarters Building 222 Java Road, North Point, Hong Kong
Telephone:	(852) 3759 3841
Fax:	(852) 3108 2305

Declaration

I have read and agree to the above "Personal Information Collection Statement".

Start

1. Precious metal	:	gold, silver, platinum, iridium, osmium, palladium, rhodium or ruthenium, in a manufactured or unmanufactured state;
2. Precious stone	:	diamond, sapphire, ruby, emerald, jade or pearl, whether natural or otherwise;
3. Precious product	:	any jewellery or watch that is made up of, containing or having attached to it, any precious metal or precious stone, or both;
4. Precious-asset-backed instrument	:	any certificate or instrument backed by one or more precious metals, precious stones or precious products that entitles the holder to such assets (in entirety or in part) (does not include any securities, a futures contract, any interest in a collective investment scheme, a structured product or an OTC derivative product as defined by the Securities and Futures Ordinance (Cap. 571); or a virtual asset.

You have completed the self-assessment. Thank you.

Required category, eligibility and readiness for registration: Registration is not required

Required category, eligibility and readiness for registration: Registration of Category A registration is required, but not yet ready / ineligible

Required category, eligibility and readiness for registration: Registration of Category A registration is required, with medium readiness and eligibility

Required category, eligibility and readiness for registration: Registration of Category A registration is required, with high readiness and eligibility

The dealer is recommended to apply for registration as early as possible.

Improvement on eligibility and readiness for registration is needed. Please refer to the following recommendations:

Requirement	Recommendation
Possession of a valid Business Registration Certificate or Hawker Licence (Question A1)	The applicant shall hold a valid Business Registration Certificate or Hawker Licence.
Not in a period ordered by the magistrate to be disqualified from being registered as a registrant (Question A2)	The applicant shall not be in a period ordered by the magistrate to be disqualified from being registered as a registrant due to conviction of an offence under the AMLO.
Carrying on precious metals and stones business for a lawful purpose (Question A3)	The precious metals and stones business which the applicant proposes to carry on shall be carried on for a lawful purpose.
Possession of necessary information of businesses premises for declaration (Question A4)	The applicant shall possess the necessary information of all businesses premises for declaration, including any premises used for the purpose of (a) the carrying out of face-to-face transactions with customers; (b) the administration of the affairs or business of the applicant; (c) the processing of transactions; or (d) the storage of documents, data or records.
Display the certificates of registration at premises as required (Question A5)	The applicant shall be able to display the certificates of registration at the principal place of business and premises used for carrying out face-to-face transactions with customers as required.
Criteria for using any domestic premises as business premises (Question A6)	For applicant who wishes to use any domestic premises as business premises, he/she shall secure the written consent of every occupant of the premises for any authorized person as defined by section 8 of the AMLO to enter the premises for the purpose of exercising the powers under section 9 of the AMLO.
Documentation relating to Category A registration (Question A7)	The applicant should study the information relating to the application for Category A registration in Part I and Part II of the Registration Guide.

Required category, eligibility and readiness for registration: Registration of Category B registration is required, but not yet ready / ineligible

Required category, eligibility and readiness for registration: Registration of Category B registration is required, with medium readiness and eligibility

Required category, eligibility and readiness for registration: Registration of Category B registration is required, with high readiness and eligibility

The dealer is recommended to apply for registration as early as possible.

Improvement on eligibility and readiness for registration is needed. Please refer to the following recommendations:

Requirement	Recommendation
Possession of a valid Business Registration Certificate or Hawker Licence (Question B1)	The applicant shall hold a valid Business Registration Certificate or Hawker Licence.
Not in a period ordered by the magistrate to be disqualified from being registered as a registrant (Question B2)	The applicant shall not be in a period ordered by the magistrate to be disqualified from being registered as a registrant due to conviction of an offence under the AMLO.
Possession of necessary information of businesses premises for declaration (Question B3)	The applicant shall possess the necessary information of all businesses premises for declaration, including any premises used for the purpose of (a) the carrying out of face-to-face transactions with customers; (b) the administration of the affairs or business of the applicant; (c) the processing of transactions; or (d) the storage of documents, data or records.
Display the certificates of registration at premises as required (Question B4)	The applicant shall be able to display the certificates of registration at the principal place of business and premises used for carrying out face-to-face transactions with customers as required.
Criteria for using any domestic premises as business premises (Question B5)	For applicant who wishes to use any domestic premises as business premises, he/she shall secure the written consent of every occupant of the premises for any authorized person as defined by section 8 of the AMLO to enter the premises for the purpose of exercising the powers under section 9 of the AMLO.
Fit and Proper Test (Question B6)	If the relevant person has been convicted of an offence in Hong Kong (see Remark 1) or a place outside Hong Kong (see Remark 2) relating to money laundering or terrorist financing, or committed any offences for which it was necessary to find that the person had acted fraudulently, corruptly or dishonestly, he/she will not pass the fit and proper test.
Fit and Proper Test (Question B7)	If the relevant person has failed to comply with a requirement imposed under the AMLO or a regulation made under section 53ZVS of the AMLO, he/she will not pass the fit and proper test.
Fit and Proper Test (Question B8)	If the relevant person is an undischarged bankrupt or is the subject of any bankruptcy proceedings under the Bankruptcy Ordinance (Cap. 6), he/she will not pass the fit and proper test.
Fit and Proper Test (Question B9)	If the relevant person is in liquidation or is the subject of a winding up order, or there is a receiver appointed in relation to it, it will not pass the fit and proper test.
Fit and Proper Test (Question B10)	The applicant should study the Guide on Criteria for Determining Fitness and Propriety (Category B Registration).
Describing company background and structure (Question B11)	The applicant shall be able to illustrate company history, organizational structure, number of employees, business nature, types of goods and services provided, etc.
Describing profile of customers engaging in specified cash transactions (Question B12)	The applicant shall be able to illustrate profile of customers, inlcuding ratio of walk-in to long-term customers, ratio of non-Hong Kong customers, major places of residence of the non-Hong Kong customers, etc.
Describing overview of specified cash transactions to be carried out (Question B13)	The applicant shall be able to illustrate expected yearly total revenue of the precious metals and stones business, total amount of cash to be received and delivered related to specified cash transactions, any limit or restriction on cash transactions and follow-up arrangements on cash received, such as depositing in bank and payments for suppliers, etc.
Information of the local or overseas group holding company to which the applicant belongs (Question B14)	The applicant shall be able to illustrate brief introduction of the group holding company, business relationship between the applicant and the group holding company, whether the group holding company is currently subject to other type(s) of supervision, such as a licence granted by other regulator/competent authority, etc.
Documentation relating to Category B registration (Question B15)	The applicant should study Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615) and the Guideline on Anti-Money Laundering and Counter-Financing of Terrorism, and shall understand the respective requirements for a category B registrant who deals in precious metals and stones.
Anti-money laundering and counter-terrorist financing measures (Question B16)	The applicant shall put in place adequate and appropriate policies, procedures and controls to comply with the anti-money laundering and counter-terrorist financing requirements, as evidenced by policy statement(s) or other written documents.
Anti-money laundering and counter-terrorist financing measures (Question B17)	Before establishing business relationships or before carrying out specified cash transactions with customers, the applicant shall conduct customer due diligence measures to identify and verify the identity of the customers and their beneficial owners, and to obtain information on the purpose and intended nature of the business relationships with the applicant.
Anti-money laundering and counter-terrorist financing measures (Question B18)	The applicant shall carry out enhanced customer due diligence measures when dealing with situations which present a high risk of money laundering or terrorist financing (e.g. the customers have not been physically present for identification purposes or the customers are politically exposed persons).
Anti-money laundering and counter-terrorist financing measures (Question B19)	The applicant shall adopt the risk-based approach to continuously monitor its business relationship with the customers and their transactions, so as to ensure that the business relationship and transactions are consistent with the applicant's knowledge of the customers (e.g. to differentiate the "normal" business activities and transaction size of a particular customer from the "abnormal" ones) and identify suspicious transactions.
Anti-money laundering and counter-terrorist financing measures (Question B20)	The applicant shall put in place a system or procedures to submit suspicious transaction reports to the Joint Financial Intelligence Unit as required under the Organized and Serious Crimes Ordinance (Cap. 455), Drug Trafficking (Recovery of Proceeds) Ordinance (Cap. 405) and United Nations (Anti-Terrorism Measures) Ordinance (Cap. 575).
Anti-money laundering and counter-terrorist financing measures (Question B21)	The applicant shall provide staff with appropriate training on prevention and detection of money laundering and terrorist financing activities, including training to raise their awareness of business practices against money laundering or terrorist financing.
Anti-money laundering and counter-terrorist financing measures (Question B22)	The applicant shall provide staff with policies or guidelines in relation to the conduct of customer due diligence, criteria for identifying suspicious transactions, and relevant anti-money laundering and counter-terrorist financing measures for reference.
Anti-money laundering and counter-terrorist financing measures (Question B23)	The applicant shall be able to implement an effective screening mechanism and know whether the customers are Politically Exposed Persons during the Customer Due Diligence procedures.
Anti-money laundering and counter-terrorist financing measures (Question B24)	The applicant shall be able to keep records of transactions and records of customers obtained through customer due diligence measures for at least 5 years.
Appointment of Key Personnel (Question B25)	The senior management of the applicant shall implement effective AML/CTF systems that can adequately manage the money laundering and terrorist financing risks identified.
Appointment of Key Personnel (Question B26)	The applicant shall appoint a Compliance Officer (CO) at the management level to have the overall responsibility for the establishment and maintenance of the applicant's AML/CTF systems.
Appointment of Key Personnel (Question B27)	The applicant shall appoint senior staff as the Money Laundering Reporting Officer (MLRO) to act as the central reference point for suspicious transaction reporting.
Documentation relating to Category B registration (Question B28)	The applicant should study the information relating to the application for Category B registration in Part I and Part III of the Registration Guide.

Personal Information Collection Statement

Purpose of Collection

Access to and Correction of Personal Data

Declaration

Applicant's Information

Disclaimer

Whether registration is required and for which category of registration shall be applied?

Remarks: Exception is provided for any person who carries on a logistics service business which only imports and exports precious metals, precious stones or precious products in the ordinary course of that business.

*A non-Hong Kong precious metals and stones dealer means a person who deals in precious metals and stones in Hong Kong if –

Readiness of the precious metals and stones dealer for category A registration application

*Businesses premises means that any premises at which the applicant carries on a precious metals and stones business, including but not limited to any premises used for the purpose of:

Remark: Please choose "Not Applicable" if you do not use any domestic premises as business premises.

Registration Guide

Readiness of the precious metals and stones dealer for category B registration application

*Businesses premises means that any premises at which the applicant carries on a precious metals and stones business, including but not limited to any premises used for the purpose of:

Remarks: Please choose "Not Applicable" if you do not or will not use any domestic premises as business premises.

Fit and Proper Test

Remark 1: Whether the relevant person has been convicted of -

Remark 2: Whether the person has a conviction in a place outside Hong Kong -

Remarks: If the relevant person is a corporation, please choose "Not Applicable".

Remarks: If the relevant person is an individual, please choose "Not Applicable".

Descriptions of Precious Metals and Stones Business

*Specified cash transaction means a transaction filfulling the following description:

*Specified cash transaction means a transaction filfulling the following description:

Remarks: If the applicant does not belong to any local or overseas group, please choose "Not Applicable".

Policies, Procedures and Controls under Anti-Money Laundering and Counter-Terrorist Financing Measures

Remark 1: A category B registrant must carry out customer due diligence measures in relation to a customer:

Remark 2: For Customer Due Diligence and Record-keeping requirements, please see the circular (DPSB/AML/2023/01) issued by the Customs and Excise Department

*Specified cash transaction means a transaction filfulling the following description:

Remark 1: A category B registrant must carry out customer due diligence measures in relation to a customer:

Remark 2: For Customer Due Diligence and Record-keeping requirements, please see circular (DPSB/AML/2023/01) issued by the Customs and Excise Department

Remarks: For Customer Due Diligence and Record-keeping requirements, please see circular (DPSB/AML/2023/01) issued by the Customs and Excise Department

Appointment of Key Personnel

*Senior management includes a hawker, the sole proprietor, a partner authorized by all partners of a partnership, a director or a senior management staff authorized by the board of directors of a corporation.

You have completed the self-assessment. Thank you.