香港期货交易条款及细则翻译模板 (中英文 第1部分)

日期:2018-02-08 / 人气: / 来源:http://www.rzfanyi.com/ 作者:译声翻译公司

香港期货交易条款及细则翻译模板 (中英文 第1部分)

  Exchange Participant of Hong Kong Futures Exchange Limited

  香港期货交易所有限公司之交易所

期货交易条款及细则翻译

  Terms and Conditions of Futures Trading Agreement (Electronic Trading)

  香港期货交易条款及细则 (电子交易)

  目录 CONTENTS

  1. Interpretation 释义

  2. Transactions subject to Laws, Rules of Exchanges, etc. 交易须符合法律、交易所规则等

  3. Dealing and Clearing 交易及结算

  4. Instructions 指示

  5. Restriction on use of information 对使用数据的限制

  6. Intellectual Property 知识产权

  7. Delivery 交付

  8. Margins/Payments 保证金/付款

  9. Default 违约

  10. Set Off 抵销

  11. Security 保证

  12. No Assignment and Succession 不可转让及继任

  13. No Waiver 不放弃权利

  14. Charges 收费

  15. Liability and Indemnity 责任与弥偿

  16. Warranties and Undertakings 保证与承诺

  17. Currency Transactions 货币交易

  18. Time of Essence 时间要素

  19. Negative Pledge 质押

  20. Suspension and Termination 暂止及终止

  21. Further Assurance 进一步保证

  22. Compliance with Laws 遵守法律

  23. Communications 通知

  24. Translation 翻译

  25. Payment to Client 予客户的付款

  26. Governing Law, Jurisdiction and Service of Legal Documents

  管辖法律、司法管辖权与送达法律文件

  27. Limitation of Liability, Indemnity and Ratification 法律责任范围、弥偿保证和追认规定

  28. General 一般规定

  These terms and conditions set out the rights and obligations of you (the “Client”) and us, OSK Futures Hong Kong Limited (OSKFHK, the “Broker”), in connection with the operation of your electronic trading account(s) opened or to be opened with us for dealing in and with futures and options. All the terms and conditions below are legally binding, so please read them carefully or seek legal professional advice before you agree to be bound by them.

  本条款及细则就阁下(「客户」)使用于侨丰期货有限公司(「侨丰」,「经纪」)已开立或即将开立的交易账户,依据电子交易方式处理期货及期权买卖,列出阁下和经纪各自的权利和义务。以下所有条款及细则均具有法律约束力,故此阁下在同意接受该等条款和细则约束前,请先仔细阅读清楚及征求独立的法律专业意见。

  1. Interpretation 释义

  1.1 In this Agreement, unless the context requires在本合约中,除非下文另有规定,否则 :

  “Access Code” means the Login User Name and/or the PIN/Password;

  「进入密码」 指登入用户名称及/或PIN/密码;

  “Account” means any one or more electronic trading account(s) opened, maintained and operated by the Client with OSKFHK from time to time for use in connection with the purchases, sales, holdings or other dealing in futures and options and other financial products effected through OSKFHK on behalf of the Client;

  「账户」 指已在侨丰开立、维持及运作的一个或以上的电子交易账户,用以透过侨丰代表客户进行期货及期权或其它金融产品的买卖或持有;

  “Account-Opening Documents” means the documents to open an Account (incorporating among others, a Client Information Statement, Risk Disclosure Statement and Disclaimers) duly signed by the Client as well as all those documents furnished by the Client in support of its application for opening account(s) with the Broker;

  「开户文件」 指客户妥为签署的开户文件(包括客户数据表、风险披露声明书及免责声明),并包括客户因支持其申请在经纪处开户而提供的所有该等文件;

  “Agreement” means these terms and conditions, Risk Disclosure Statement, Disclaimers, the circular to Client relating to Personal Data (Privacy) Ordinance, and Client Information Form which shall be read together as one agreement as original executed or thereafter may from time to time be amended or supplemented;

  「本合约」 指本条款及细则、风险披露声明书、免责声明、个人资料(私隐)条例客户通告及客户数据表(上述文件应合并理解为原来签订的或其后不时修订或补充的一份协议);

  “Asset” means items, whether or not capable of being delivered, such as cash, currencies, securities, investments, deposits, commodities or financial instruments (including futures contracts or option contacts) traded on an Exchange;

  「资产」 指在交易所交易的项目(不论该项目能否予以交付),例如现金、货币、证券、投资、存款、商品或金融工具(包括期货合约或期权合约);

  “Authorized Person” means, if the Client consists of one or more individuals, each such individual and any other person specified as an Authorized Person in the Client Information Form or, if the Client is a body corporate, any director or other person specified as an Authorized Person in the Client Information Form, and in either case such other person(s) as appointed in substitution therefor or in addition thereto and notified in writing to the Broker by an Authorized Person from time to time provided that any such appointment of other Authorized Person(s) shall be effective

  from the time of actual receipt of notification by the Broker;

  「获授权人士」 若客户由一名或多于一名个人组成,指该等每个人及客户资料表指明为获授权人士的任何其它人,若客户为法人团体,指客户数据表指明为获授权人士的任何董事或其它人士。在上述两种情况下,还包括经由一位获授权人士以书面通知经纪的获委任作为代替之其它人士或额外委任之作为获授权人士的其它人士,惟上述之其它获授权人士之委任,将于经纪实际收讫通知时生效;

  “Beneficial Identity of a Client” means the ultimate beneficiary of an individual client account or in the case of a company or body corporate, the individuals who are the ultimate beneficial owners of the share capital of the company or body corporate and includes a beneficiary holding an interest through a nominee or trust.

  「客户的受益身份」 指个人客户账户的最终受益人,或如客户为公司或法人团体,则指公司或法人团体的股份资本最终实益拥有人,包括通过代名人或信托而持有利益的受益人;

  “Charged Securities” means such securities, investments and financial instruments (including the benefit of any foreign exchange contracts, commodities contracts or futures contracts or option contracts or any other property whatsoever) as the Client may, with the agreement of the Broker, deposit with or transfer to the Broker by way of security to protect the Broker against any loss or risk of loss on present, future or contemplated Contracts and/or Client Contracts;

  「抵押证券」 指客户可在经纪的同意下以抵押形式存放于或转移予经纪,以保障经纪免受现在、将来或已筹划的合约及/或客户合约的任何亏损或亏损风险的各类证券、投资及金融工具(包括任何外汇合约、商品合约或期货合约或期权合约的权益或任何其它形式的财物);

  “Clearing House” means in relation to HKFE, HKCC and, in relation to any other Exchanges any clearing house providing similar services for such Exchange;

  「结算所」 指就期交所而言,期交所结算有限公司,及就任何其它交易所而言,为该交易所提供同样服务的任何结算所;

  “Clearing House Margin” means the amount of cash required by way of margin, variation adjustment and/or interest rate cash adjustment (howsoever described) under the rules and regulations of the relevant Exchange, and/or Clearing House to be taken by the Broker from the Client together with all sums of margin, variation adjustment and/or interest rate cash adjustment (howsoever described) for which the Broker must account to the relevant Exchange or Clearing House;

  「结算所保证金」 指就有关交易所及/或结算所之规则和规例指定,需要以保证金、变价调整及/或利率现金调整(不论实际称谓如何)的方式,由经纪从客户收取的现金款额,连同经纪必须向有关交易所或结算所作出交代的保证金、变价调整及/或利率现金调整(不论实际称谓如何)的所有金额;

  “Client” means any individual, firm or company under the Account whose particulars are set out in Client Information Form;

  「客户」 指任何个人、公司或商行的账户,其数据详载于客户数据表;

  “Client Contract” means a Futures Contract or Option Contract between the Broker and the Client which is matched by a Contract and is identical in its terms except as to price and/or parties;

  「客户合约」 指经纪与客户之间,以某合约相配并除价格及/或立约人外,其它条款均相同的期货合约或期权合约;

  “Client Information Form” means the form to open an account duly completed and signed by the Client as well as all those documents furnished by the Client in support of the application for opening an account with the Broker;

  「客户数据表」 指客户填写及签署的开立交易账户之表格,并包括客户向经纪申请开立账户而提供的所有文件;

  “Close out” means the entering into of a Contract equal and opposite to a Contract previously entered into (and each matching a Client Contract) so as to create a level position in relation to the Assets underlying the Contracts, or in relation to the Contracts themselves and fix the amount of profit or loss arising from such Contracts (and with respect to the corresponding Client Contract); and the terms “closed out Contract” and “closing out” shall be construed accordingly;

  「平仓」 指订立与过往订立的合约等同及相反的合约(而所有均与某客户合约对配),以就有关合约的资产或就该等合约自身造成同等持仓,并订定由该合约(及就相应的客户合约)引起的利润或亏损的款额;而「已平仓合约」及「平仓」等词将据此解释;

  “Code of Conduct” means the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission;

  「操守准则」 指《证券及期货事务监察委员会持牌人或注册人操守准则》;

  “Commission” means the Securities and Futures Commission;

  「证监会」 指证券及期货事务监察委员会;

  “Contract” means a Futures Contract or Option Contract entered into through a Dealer;

  「合约」 指通过交易商订立的期货合约或期权合约;

  “Dealer” means such member of an Exchange and/or Clearing House as is instructed by the Broker to enter into Futures Contracts or Option Contracts on an Exchange, and/or clear the same;

  「交易商」 指被经纪指示订立及/或撤销交易所之期货合约或期权合约的交易所及/或结算所会员;

  “Deposited Securities” means Charged Securities, the certificates or documents of title to which the Client has deposited by way of Margin;

  「寄存证券」 指抵押证券,而客户将其所有权的证明书及文件以保证金方式寄存;

  “Electronic Trading Service” means any facility provided or to be provided by the Broker from time to time under this Agreement which enables the Client to give Instructions relating to any transaction, and send or receive other information services via electronic or telecommunications media (including through the use of mobile phones, touch tones, internet or other electronic or telecommunications devices as the Broker may from time to time prescribe), and including but not limited to services offered through iTrader;

  「电子交易服务」 指经纪在本合约之下不时已提供或将提供的任何便利,使客户能够透过电子或电讯媒介(包括透过使用无线电话、轻触键、互联网或经纪可能不时指定的其它电子或电讯装置),发出有关任何交易的指示并且发送或接收其它信息服务,包括但不限于透过iTrader提供的服务;

  “Instructions” include instructions given by the Client(s) or which appear to the Broker to have been given by Client or on the Client’s/Clients’ behalf by using the Electronic Trading Service, which in any way relate to purchases, sales, holdings or other dealings in futures and options and other financial products effected through OSKFHK on behalf of the Client(s), arising out of and/or are in connection with the Account, whether such instruction was in fact given by the Client(s) or by a person authorized to do so on the Client’s/Clients’ behalf and whether such instructions are given orally, in writing, by facsimile, telex and/or by electronic means;

  「指示」 包括客户使用电子交易服务发出的,或据经纪看来是由客户或由他人代表客户使用电子交易服务发出的,在任何方面有关侨丰代表客户进行的期货及期权及其它金融产品买卖、持有或其它交易的指示。该等指示因账户及/或与客户有关而产生,不论是确实由客户发出或由获授权人士代表客户发出,也不论是以口头、书面、传真、电传及/或电子方式发出;

  “iTrader” means the facility provided by the Broker, and includes the website operated by OSK Holdings Hong Kong Limited and the software comprised in them;

  「iTrader」 指经纪提供的便利,并包括侨丰金融集团(香港)有限公司操作的网站以及其中所包含的软件;

  “Margin” means the amount of cash, approved debt securities, approved securities, variation adjustments, interest rate cash adjustments or any other form of non-cash collateral as may from time to time be demanded by the Broker from the Client for the purpose of protecting the Broker against any loss or risk of loss on present, future, or contemplated Contracts and/or Client Contracts and not being less than the relevant Clearing House Margin;

  「保证金」 指经纪可能不时为保障经纪免受现行、未来或已筹划的合约及/或客户合约的任何亏损或亏损风险而要向客户索求的现金、核准债务证券、核准证券、变价调整、利率现金调整或任何其它形式的非现金抵押品的款额,而该款额应不少于有关结算所保证金;

  “Securities and Futures Ordinance” means the Securities and Futures Ordinance (Chapter 571) and any subsidiary legislation made thereunder of the laws of Hong Kong as the same may be from time to time amended or re-enacted;

  「证券及期货条例」 指不时修订或重新制定立法的《证券及期货条例》(香港法例第571章)及根据该等香港法例制定的任何附属法例;

  “Segregated Bank Account” means a current or deposit account, with an authorized financial institution or with any other person approved by the Commission pursuant to Securities and Futures Ordinance or any relevant subsidiary legislation, in the name of the Broker and in the title of which the word “client”, “segregated”, “Non-House” or such other similar word or phrase appears and which constitutes a segregated bank account of the Broker, for the purpose of holding the Client’s money;

  「独立银行账户」 指与认可金融机构或证监会按照《证券及期货条例》(香港法例第571章)或任何有关的附属立法认可之任何其它人士,以经纪之名义为持有客户款项而开设及在其名称内包括「客户」、「独立」、「非公司」或其它类似的字眼或用语的往来或存款账户,而有关账户亦构成经纪的独立银行账户;

  “Transaction” means the entering into a Client Contract or Contract, closing out or effecting delivery and/or settlement of a Client Contract or Contract (which term shall include exercise or allocation of an Option Contract) in connection with this Agreement.

  「交易」 指就本合约订立客户合约或合约、平仓或完成客户合约或合约的交付或交收(其意义包括期权合约的行使或分配)。

  1.2 Terms and expressions defined in the Ordinances or the HKFE Rules shall unless the context otherwise requires, have the same meanings when used in this Agreement. Further, where the context allows, in this Agreement, references to any agreement or document is to such agreement or document as the same may have been, or may from time to time be, amended, varied, innovated, replaced or supplemented and references to statutory provisions are to those as modified or re-enacted and in force from time to time.

  除非文意另有所指,条例或期交所规则界定的词汇及词句应与本合约所用者意义相同。此外,在本合约之文意许可的情况下,任何协议或文件的提述,指已经或可不时修订、变更、更替、取代或补充的该等协议或文件,对法定条文提述,则指该等经不时修订或重新制订立法及有效的法定条文。

  1.3 Words importing the singular shall, where the context permits, include the plural and vice versa. The expression “person” shall include any firm, partnership, association of person and body corporate and any such persons acting jointly and the personal representatives or successors in title of any such person. Where the Client comprises two or more persons the liabilities and obligations under this Agreement shall be joint and several. References to “writing” shall include telex, cable, facsimile transmission and transmission by electronic means. Headings are inserted for convenience only.

  单数词汇,当内容许可,应包括其众数词义,反之亦然。「人士」应包括任何商号、合伙、人士组织及法人团体及任何该等人士联名行事及该等人士之遗产代理人或所有权继承人。当客户由两个或以上人士组成,本合约下的法律责任应为共同和各别的。「书面」应包括电传、电报、传真及经电子方式传送。标题只为方便查阅而设。

  2. Transactions subject to Laws, Rules of Exchanges, etc. 交易须符合法律、交易所规则等

  2.1 All Client Contracts and all Transactions shall be subject to this Agreement and, in respect of those Exchanges and/or Clearing Houses of which the Broker is a member or participant, the constitution, rules and regulations of the relevant Exchange and/or Clearing House (and in particular as regards Transactions effected on HKFE, the rules, regulations and procedures of HKFE) and to all applicable laws, rules and regulations (whether or not having the force of law) whether imposed on the Client or the Broker. Without prejudice to Clause 16.2, the HKFE Rules contain provisions which require the Broker, upon the request of HKFE or the Commission, to disclose the name, Beneficial Identity and such other information concerning the Client as HKFE or the Commission may require and the Client agrees to provide such information concerning it as the Broker may require in order for the Broker to comply with all the HKFE Rules and Ordinances, and that in the event that the Broker fails to comply with the disclosure requirement under Rule 606(a) or 613(a) of the HKFE Rules, the Chief Executive of HKFE may require the closing-out of positions held by the Broker on behalf of the Client or the imposition of a margin surcharge on the positions of the Client. The Client recognises that Transactions which are executed on Exchanges other than HKFE or in markets other than those organized by the HKFE may have a markedly different level and type of protection in relation to such Transaction as compared to the level and type of protection afforded by the rules and regulations of HKFE. Furthermore: -

  所有客户合约及所有交易需受制于本合约,及就经纪乃其会员或参与者之交易所及/或结算所而言,有关交易所及/或结算所之宪章、规则和规例(及尤其当交易于期交所完成时,期交所之规则、规例和程序)以及所有不论管制客户或经纪的适用法律、规则和规例(不论是否具有法律效用)。在不损害第16.2条款规定之前提下,期交所规则规定经纪需应期交所或证监会的要求,披露客户的名称、实益身份及期交所或证监会可能需要的其它有关的客户数据,而客户同意提供经纪可能需要的有关数据,以便经纪能够符合期交所所有规则及条例。如经纪未能符合期交所规则第606(a)条或第613(a)条下的披露规定,期交所行政总裁可能要求经纪代客户持有的仓盘平仓或在客户持仓上强加保证金附加费。客户明白若客户的交易是于期交所以外的交易所或于期交所组织的市场以外的其它市场内执行,该等交易的保障水平及类型与期交所之规则和规例所提供的保障水平及类型相比可能有明显的分别。此外:

  (a) in the event of any conflict between (i) this Agreement and (ii) any such constitutions, rules, regulations and laws, the latter shall prevail;

  如(i)本合约与(ii)任何上述宪章、规则、规例及法律有任何冲突,以后者为准;

  (b) the Broker may take or omit to take any action it considers fit in order to ensure compliance with such constitutions, rules, regulations and laws including, without limitation, adjusting the Account, disregarding any unexecuted orders or rescinding any executed Transactions;

  旨在确保遵守该等宪章、规则、规例及法律,经纪可采取或不采取任何它认为适当的行动,包括(但不限于)调整账户,不理会任何尚未执行的指令或撤销任何已执行的交易;

  (c) such constitutions, rules, regulations and laws as are so applicable and all such actions so taken shall be binding upon the Client; and

  该等宪章、规则、规例及法律(如若适用)及经纪采取的所有行动对客户均具约束力;及

  (d) the Client shall be responsible for obtaining in advance and maintaining any governmental or other consents required in connection with the Client entering into this Agreement or any Client Contract or the Broker effecting any Transaction in connection with this Agreement.

  客户负责事先领取任何有关客户订立本合约或任何客户合约或经纪执行与本合约有关的交易的政府或其它许可,并维持其有效。

  2.2 The Client consents to the disclosure of any information the Broker may have concerning the Client by the Broker and its agents as may be required from time to time by any applicable rules, regulations and laws.

  客户同意经纪及其代理人可不时按适用的规则、规例和法律披露任何经纪可能拥有关于客户的资料。

  2.3 If any provisions of this Agreement are or should become inconsistent with any present or future law, rule or regulation of HKFE and/or any Exchange or any other relevant authority or body having jurisdiction over the subject matter of this Agreement, such provision shall be deemed to be rescinded or modified in accordance with any such law, rule or regulation. In all other respects, this Agreement shall continue and remain in full force and effect.

  若任何在本合约列出之条文是或者变成与任何现行或将来之法律、期交所及/或任何交易所或任何其它对本合约的内容有司法管辖权的有关主管机构或团体之规则或规例有任何不符,该条文应被视作已撤销或按任何该等法例、规则或规例而被修改。在所有其它方面,本合约

  仍继续及维持十足效力及作用。

  3. Dealing and Clearing 交易及结算

  3.1 SUBJECT TO THE PROVISIONS OF THE RELEVANT ORDINANCES (AS DEFINED IN THE SECURITIES AND FUTURES ORDINANCE) AND ANY APPLICABLE LAW AND PROVIDED THAT THE TRADING IS EXECUTED COMPETITIVELY ON OR THROUGH THE FACILITIES OF AN EXCHANGE IN ACCORDANCE WITH THE RULES AND REGULATIONS OF SUCH EXCHANGE GOVERNING THE RELEVANT MARKETS, THE BROKER MAY TAKE THE OPPOSITE POSITION TO THE CLIENT’S ORDER WHETHER ON THE BROKER’S OWN ACCOUNT OR FOR THE ACCOUNT OF ANY BROKER’S GROUP COMPANY OR OTHER CLIENTS OF THE BROKER.

  在不抵触有关条例(《证券及期货条例》所界定的)及任何适用法律的情况下,假若买卖是以公平竞争的方式,或透过任何交易所的设施并根据该等交易所管制有关市场的规则及规例而执行的,经纪可采取与客户的买卖指示相反的买卖盘,不论是为经纪本身或经纪之任何集团公司或其它客户而进行。

  3.2 The Broker shall be entitled but not bound to act on a request from the Client to carry out a Transaction (whether directly or through a Dealer). The Broker may at any time and from time to time impose any limits including position limits on the Account and the Client agrees not to exceed such limits. Except as directed by the Client in circumstances where the Client is not in default under this Agreement and no Event of Default (as defined in clause 9 below) has occurred, the Broker shall have no obligation to close out any Contract or Client Contract.

  经纪有权(但不受约束)应客户要求执行交易(不论直接或通过交易商)。经纪可以随时及不时对账户强加任何限制,包括账户的持仓限制,而客户同意不超越该等限制。除客户在没有违反本合约及无违约事件(阐明于下列第9条款)发生的情况下发出指示外,经纪并无责任将任何合约或客户合约平仓。

  3.3 Because of physical restraints on any Exchange and because of the very rapid changes in the prices of Assets that frequently take place, there may, on occasions, be a delay in making prices or in dealing. The Broker may not always be able to trade at the prices or rates quoted at any specific time or “at best” or “at market”. The Broker shall not be liable for any loss howsoever arising by reason of its failing, or being unable, to comply with the terms of any limit order undertaken on behalf of the Client. Where the Broker is for any reason whatsoever unable to perform the Client’s order in full, it may in its discretion effect partial performance only. The Client shall in any event accept and be bound by the outcome when any request to execute orders is made.

  由于任何交易所在营运上的限制及资产价格非常急速及频密的改变,造价或交易有时可能会遭延误。经纪或未能经常按任何特定时间所报的价格或息率或按「最佳值」或「市价」交易。经纪无需就因其并未遵守或不能遵守代客户采取任何限制指令的条款所产生的任何损失负责。当经纪因任何原因而无法执行任何客户指令之全部时,经纪有酌情权只局部执行指令。当客户作出任何执行指令的要求时,客户必须在任何情况下接受其后果及受其约束。

  3.4 The Broker shall not be liable for any expense, loss or damage suffered by the Client or to account to the Client for any profit or gain accruing to the Broker as a result of the Broker:-

  经纪无须就下列事宜,为客户蒙受的任何支出、亏损或损害负责或就经纪所获得之任何利润或收益向客户作出交代:

  i) trading or dealing in futures contracts or option contracts or in any Asset underlying any Contract or Client Contract; and

  交易或买卖期货合约或期权合约或有关任何合约或客户合约的任何资产;及

  ii) dealing in respect of Contracts or Client Contracts with the Client.

  与客户就合约或客户合约的买卖。

  3.5 The Client shall indemnify the Broker and its directors, employees, agents and correspondents against all expenses, liabilities, claims and demands arising out of anything lawfully done by the Broker or such persons in connection with this Agreement.

  客户将对经纪及其董事、雇员、代理人及商业伙伴就经纪或该等人士依本合约所作出之任何合法行为而引起的所有支出、负债、索偿及索求作出弥偿。

  3.6 The Broker may from time to time trade on its own account on any Exchange or with any Dealer or on the account of any of the Broker's Group Company. A director or an employee of the Broker may trade on its own account on any Exchange or with any Dealer.

  经纪可不时为经纪自身在任何交易所或与任何交易商或为经纪之任何集团公司进行交易。经纪的董事或雇员可以为自身在任何交易所或与任何交易商交易。

  3.7 The Client acknowledges that Clearing House may do all things necessary to transfer any Open Contract held by the Broker on the Client’s behalf and any money and security standing to the credit of the Account to another exchange participant of HKFE in the event the rights of the Broker as an exchange participant of HKFE are suspended or revoked.

  客户确认期货结算所可在经纪作为期交所的交易所参与者的权利遭暂停或撤销时,采取一切必要行动,以便将经纪代表客户持有的任何未平仓合约,及客户在账户内的任何款项及证券,转调到期交所的另一个交易所参与者。

  3.8 The Client acknowledges客户确认: -

  (a) (i) that every contract executed on HKFE is subject to the charge of an Investor Compensation Levy;

  所有在期交所内成交的合约均需缴交投资人士赔偿征费;

  (ii) that every contract executed on HKFE is subject to the charge of a levy pursuant to the Securities and Futures Ordinance;

  所有在期交所内成交的合约均需缴交根据《证券及期货条例》所收取的征费;

  (iii) that the Client shall pay to the Broker brokerage commission and such other charges and fees at such rate or rates as the Broker may from time to time notify the Client;

  客户须按经纪不时通知客户的比率向经纪交付经纪佣金及其它收费及费用;

  and further acknowledges that the cost of each such levy attributable to the Client shall be borne by the Client; and

  及进一步确认所有归因于客户的征费概由客户承担;及

  (b) that, as regards HKFE, in the case of a default committed by the Broker and the Client having suffered pecuniary loss thereby, the liability of the Investor Compensation Fund will be restricted to valid claims as provided for in the relevant Ordinances (as defined in the Securities and Futures Ordinance) and will be subject to the monetary limits specified in such relevant Ordinances and accordingly that there can be no assurance that any pecuniary loss sustained by reason of such a default will necessarily be recouped from the Investor Compensation Fund in full, in part, or at all.

  就期交所而言,在经纪失责而客户蒙受金钱损失的情况下,投资者赔偿基金所承担的法律责任只限于有关条例(《证券及期货条例》所界定的)内所规定的有效索偿,并须受制于该等有关条例内所订明的金额上限,因此不能保证客户在因该等失责而蒙受的任何金钱损失,可以从投资者赔偿基金中获得全数、部份或任何赔偿。

  3.9 The Client acknowledges that the Broker is bound by the HKFE Rules which permit HKFE to take steps to limit the positions or require the closing out of contracts on behalf of the Client if HKFE is of the opinion that the Client is accumulating positions which are or may be detrimental to any particular market or markets or which are or may be capable of adversely affecting the fair and orderly operation of any market or markets as the case may be.

  客户确认经纪受期交所规则所约束,而该等规则容许期交所采取行动,限制持仓的数量或规定可代表客户将合约平仓,倘若期交所认为客户所累积的仓盘正在或可能会对任何一个或多个特定的市场造成损害或正在或可能会对某个或多个市场(视乎情况而定)的公平及有秩序的运作产生不良影响。

  3.10 All orders whether made by telex, cable, facsimile, mail, electronic means or orally are accepted and transmitted at the Client’s risk. The Broker shall not be responsible for the non-performance of its obligations under this Agreement by reason of any cause beyond the Broker’s control including, without limitation, transmission or computer delays, errors or omissions, strikes and similar industrial action or the failure of any Dealer, Exchange or Clearing House to perform its obligations.

  所有不论以电传、电报、传真、邮寄、电子形式或口头作出的指令均会在客户承担风险的情况下被接受及转传。经纪无须因为任何非经纪能控制的原因,包括(但不限于)传递或计算机的延误、错误或遗漏、罢工及相类的工业行动或任何交易商、交易所或结算所不履行责任,而致令不能履行本合约的责任而需要负责。

  3.11 Any one of the Authorized Persons is authorized by the Client to give instructions on behalf of the Client and the Client undertakes with the Broker from time to time and at all times to ratify and confirm any instructions whatsoever given or purported to be given by any of the Authorized Persons for and on behalf of the Client, including without limitation, any Instructions which may be given or purported to be given by an Authorized Person between the revocation of the authority of such Authorized Person and the actual receipt by the Broker of notice of such revocation. Any instructions given or purported to be given by any Authorized Person after revocation by the Client of his authority shall be valid and effectual in favour of the Broker if the Broker at the time of the receipt of such instructions did not have actual notice of such revocation.

  任何一位获授权人士均获客户授权代表客户发出指示。在此客户不时及任何时间内向经纪作出承诺,将会追认及确认经由或声称是经由任何一位授权人士代表客户给予之任何指示,包括(但不限于)在上述获授权人士之授权被撤销之时开始至经纪实际收讫有关上述撤销授权之通知为止之间,经由或声称是经由该获授权人士所给予之任何指示。于客户撤销任何获授权人士之授权后,经由或声称是经由该获授权之人士给予之任何指示,应以有利于经纪的形式而有效及有用,如经纪收讫有关指示之时,实际上未有收到有关撤销授权通知。

  3.12 Unless otherwise proved beyond all doubt to the contrary, the Client acknowledges and agrees that any dealing in or with Futures Contracts or Option Contracts effected by the Broker pursuant to the instructions of the Client or any Authorized Person shall not have resulted from the advice of the Broker.

  除非能够在无任何疑点下证明相反情况,否则客户承认及同意,经纪根据客户或任何授权人士的指示对期货合约或期权合约所作出的任何处理,并非由经纪的意见所导致。

  3.13 The Client confirms and agrees that, for mutual protection of the Broker and the Client, the Broker may electronically monitor or tape record all conversations with the Client and/or any Authorized Person whether conducted on the telephone or through any other media and save in the case of manifest error, the Client will accept the contents of any such electronic record or tape recording as final and conclusive evidence of the instructions of the conversation concerned and its content.

  客户确认及同意,为着保障经纪和客户双方利益,经纪可将与客户及/或任何获授权人士的所有谈话进行电子监察或录音,不论该等谈话是透过电话或其它媒介进行。除有明显错误外,客户将接纳上述任何电子记录或录音的内容为有关谈话的指示及其内容之最后及最终定论证据。

  3.14 All orders given pursuant to this Agreement which may be executed on more than one Exchange may be executed on any Exchange the Broker selects.

  所有根据本合约发出而可在一个或以上交易所内执行之指令,可以按经纪选择在任何交易所内执行。

  3.15 The Broker shall not be liable (in respect of matching Client Contracts or otherwise) if the relevant Exchange, Clearing House and/or Dealer has ceased for any reason (including setting off the Broker’s positions with it) to recognize the existence of any Contract or fails to perform or close out any Contract, but such cessation or failure shall not affect the Client’s obligations and liabilities under this Agreement in respect of such Contracts which the Client has required the Broker to open and which have not been closed out or other obligations or liabilities of the Client arising therefore.

  如有关交易所、结算所及/或交易商因任何原因(包括抵销经纪的持仓)终止确认任何合约的存在或未能履行任何合约或将任何合约平仓,经纪无须(就相对的客户合约或其它方面)负责。但该等终止或不履行应不影响客户在本合约下有关于客户已要求经纪订立及尚未平仓的该等合约的义务及责任或其它由该等合约所引起的义务及责任。

  3.16 The Broker may at any time without prior notice in its absolute discretion take such steps as it may consider necessary or desirable to comply with or perform, cancel or satisfy any obligations of the Broker to the relevant Exchange, Clearing House and/or Dealer in respect of Contracts acquired on the instructions of the Client, including closing out and/or performing any and all such Open Contracts, and may for such purpose:-

  经纪可就客户指示下取得的合约,在任何时间及无需事先通知,并在其绝对酌情决定权下,采取其认为必须或适当的步骤,以遵守或履行、取消或清偿经纪对有关交易所、结算所及/或交易商的任何义务(包括履行任何及全部该等未平仓合约及将该等未平仓合约平仓);并可

  为此等目的而:

  i) buy or sell (in any manner howsoever and including from itself) the Asset underlying any Open Contract; and/or

  购入或出售(以任何方式,包括从其自身)任何未平仓合约下的资产;及/或

  ii) borrow, buy or sell any currency; and/or 借取、买入或出售任何货币;及/或

  iii) apply any 保证金Margin or Charged Securities in each case so that all sums expended by the Broker in excess of any sums held by the Broker on the Client’s behalf shall be paid by the Client to the Broker forthwith on demand.

  在所有情况下应用任何保证金或抵押证券,以使客户须应要求将所有超越经纪代客户持有的金额的经纪开支立即缴付予经纪。

  3.17 The Broker’s written confirmations of contracts entered into and settlement statements and statements of open and/or closed positions in respect of the Account shall be conclusive against the Client if not objected to in writing by the Client within seven (7) business days after transmission of the information contained in such confirmations whether by telephone, mail, electronic mail or otherwise to the Client. The records of the Broker shall in the absence of manifest error be conclusive and binding on the Client as to the amount standing to the debit or credit of the Account.

  就经纪订立的合约的书面确认书及成交单据及就账户有关的未平仓及/或已平仓合约的结单,倘若该等确认书内所载数据不论透过电话、邮寄、电子邮件或其它形式传送予客户后的7个营业日内,客户不以书面方式向经纪提出反对,其所载事项将作为定论。经纪的纪录,在没有明显错误的情况下,就列于账户贷方或借方的款额,将不可被推翻并对客户具约束力。

  3.18 Upon request from the Client, the Broker shall provide the specifications of, or copies of any prospectus or other offering document relating to products comprised in any Transaction which may be entered into on behalf of the Client under this Agreement and an explanation of margin procedures and the circumstances under which the Client’s positions may be closed without the Client’s consent.

  经纪应按照客户要求,提供依本合约代客户进行的任何交易的产品的规格,或任何章程副本或其它要约文件,及解释收取保证金的程序及在什么情况下经纪可无需客户同意而将客户的持仓出售或平仓。

  3.19 The Client acknowledges and agrees that the Broker shall, at its absolute discretion, be entitled to solicit, accept and retain any benefit in connection with any transaction effected with any person for the Client pursuant to the terms and subject to the conditions of this Agreement, including any commissions, rebates or similar payments received in connection therewith, and rebates from standard commissions charged by brokers or other agents to their clients. The Broker shall also, at its absolute discretion, be entitled to offer any benefit in connection with any transaction effected with any person for the Client pursuant to the terms and subject to the conditions of this Agreement, including any benefit relating to the commission or similar payments in connection therewith.

  客户知悉及同意经纪可以行使其绝对酌情权,索取、接受及保留任何为客户按照本合约条款并受其条件约束,与任何人士完成之任何交易有关之利益,包括为此等交易而收取的任何佣金、回佣或类似的款项,以及其它经纪或其它代理人向其客户收取的标准佣金内的回扣的金

  钱。经纪亦可以行使其绝对酌情决定权,提供代客户按照本合约条款及受其条件约束,与任何人士完成之任何交易有关之利益,当中包括跟佣金有关的任何利益或跟此等交易有关的类似款项。

  The Client acknowledges that securities derivatives markets may have certain trading limits and disclosure requirements on securities and/or futures and options contracts that may be held or controlled by a person; and require a person holding or controlling a reportable position to notify the relevant Exchanges, and that in relation to the Hong Kong securities derivatives market, the Client is subject to the trading limits and reporting obligations under the Securities and Futures (Contracts Limits and Reportable Positions) Rules and the Rules of the Exchange. The Client further acknowledges that it is the Client’s responsibility to observe position limits and to make reports where applicable.

  客户知悉证券衍生市场对任何人士持有或控制的证券及/或期货及期权合约的数目作出某些交易限制及披露要求,及要求持有或控制须申报的持仓量的人士通知有关交易所,及就有关香港证券衍生市场,客户须遵守《证券及期货条例(合约限量及须申报的持仓量)》规则及交易所规则之交易限制及申报责任。客户进一步知悉客户有责任遵守持仓上限及在有需要时作出申报(如适用)。

  3.20 The Client authorises the Broker to allocate to the Broker's Client Offset Claim Account maintained by the Broker with Derivatives Central Clearing and Settlement System all the positions that are considered eligible under the Clearing House Procedures for Futures/Options Contracts Traded on the Automated Trading System of the Exchange for margin offset claim.

  客户授权经纪可根据于交易所自动交易系统内买卖的期货/期权合约之结算程序,把所有视为合资格的持仓分配到经纪在衍生产品结算及交收系统内维持的客户按金对销账户作按金对销。

  4. Instructions 指示

  4.1 The Client may only access the Account and give Instruction to the Broker via the Electronic Trading Service. The Client acknowledges and agrees that the Client shall be the only authorized user of the Electronic Trading Service under the Account. The use of the Electronic Trading Service shall be subject to the terms of this Agreement and other terms and conditions as may be prescribed by the Broker from time to time.

  客户仅可透过电子交易服务来存取账户及向经纪发出指示。客户知悉及同意,客户是在账户之下唯一获授权使用电子交易服务的用户。对电子交易服务之使用,须受本合约的条款以及经纪可能不时指定的其它条款及细则所制约。

  4.2 The Broker shall have the absolute discretion to accept or reject any Instructions without assigning any reasons therefore. In particular, but without limitation to the foregoing, the Broker shall have the right not to execute any Instruction until there is a sufficient cleared fund or sufficient securities in the Account.

  经纪有绝对酌情权决定是否接受任何指示,无须为此给予任何理由。尤其是,但不限制上述规定,经纪有权不执行任何指示,直至账户之内有足够的可实时动用的资金或有足够的证券为止。

  4.3 The Client hereby consents to using the various media offered via the Electronic Trading Service for communication or transmission of data or information. In particular, the Client hereby consents to the use of electronic media for the purpose of giving Instructions to and other communications with the Broker and authorizes the Broker to accept electronic Instruction and other communication from the Client as the original Instruction or communication from the Client.

  客户特此同意把透过电子交易服务提供的各个媒介用于数据或信息的通讯或传输。尤其是,客户特此同意使用电子媒介作为向经纪发出指示或与经纪进行其它通讯之用,并授权经纪将客户发出的电子指示及其它通讯,作为原来由客户发出的指示或通讯予以接受。

  4.4 The Client acknowledges and agrees that it shall not usually be possible to cancel an Instruction after it has been given.

  客户知悉及同意,一旦指示已经发出,一般而言是不可能取消的。

  4.5 If the Client experiences any problems in reaching the Broker through any particular method, the Client should attempt to use alternate methods to communicate with the Broker and shall inform the Broker of such problems. However, the Client must note that if the Client has given the same Instruction through more than one method, the Broker will treat the duplicate Instruction as a separate Instruction unless the Broker is actually informed by the Client that the Instruction was a duplicate before the Instruction is executed.

  如果客户在透过任何特定方法与经纪联络时出现任何问题,客户应尝试使用其它方法与经纪联络,并应把该等问题通知经纪。然而,客户必须注意,倘若客户已透过一个以上方法发出相同指示,则除非客户在该指示被执行之前实际上已知会经纪该指示是重复的指示,否则经

  纪将把重复的指示作为独立的指示处理。

  4.6 The Client hereby authorizes the Broker to act upon any Instructions given with the use of the Access Codes. All Instructions given or purported to be given through the use of the Access Codes are binding on the Client.

  客户特此授权经纪按照使用进入密码发出的任何指示行事。透过使用进入密码发出的或看来是使用进入密码发出的所有指示均对客户具有约束力。

  4.7 The Client shall be, and shall procure its directors, officers, employees and agents to be, responsible for the confidentiality, security and use of the Access Codes and undertakes:

  客户应对(并应促使其董事、高级职员、雇员及代理人对)客户的进入密码的保密性、安全性和使用负责,并承诺:

  . not to disclose the Access Codes to any third party; and 不向任何第三方披露进入密码;及

  . not to write down or record the Access Codes in a way that could facilitate misuse or fraud.

  不以会促使不当使用或诈骗的方式写下或记录进入密码。

  The Client understands that the Client shall be solely responsible for all Instructions entered via the Electronic Trading Service using the Access Codes (whether authorized by the Client or not and regardless of any other mandate instructions the Client may provide the Broker). Instructions provided by the Client electronically or through any other telecommunications media shall be treated as if they have been made in writing and signed by the Client. The Client shall be liable to the Broker for all losses and damages incurred or suffered by the Broker in connection with or resulting from any breach of the provisions in this Clause 4.7.

  客户明白,客户须自行对使用进入密码透过电子交易服务而输入的一切指示负责(不论是否经客户授权输入,亦不论客户可能向经纪提供任何其它委托指示)。客户透过电子媒介或任何其它电讯媒介作出的指示应视作为经由客户以书面作出及签署的指示。经纪如就本第4.7条的规定被违反或因该等违反而招致或蒙受损失和损害,客户须就一切该等损失和损害向经纪负责。

  4.8 The Client undertakes to contact the Broker of any loss, unauthorized disclosure or misuse of the Access Codes within 24 hours from the time the Client becomes aware of such matter. Unless and until the Broker actually receives such notification, the Client shall have no claim whatsoever against the Broker and shall be liable to the Broker for致使经纪招致或蒙受损失和损害all losses and damages incurred or suffered by the Broker in respect of any use of the Client’s Access Codes, whether authorized by the Client or not.

  客户承诺,如遗失进入密码或进入密码未经授权而被披露,或被不当使用,客户应在得悉事件之时起计24小时内联络经纪。除非经纪已确实收到该项通知,否则在此之前,客户无权向经纪提出任何申索。如任何人士(不论是否由客户授权)使用客户的进入密码,致使经纪招致或蒙受损失和损害,客户须就一切该等损失和损害向经纪负责。

  4.9 The Broker shall not be deemed to have received the Client’s Instructions or executed the Client’s orders unless and until the Client is in receipt of the Broker’s acknowledgement or confirmation relating to the execution of orders either in writing or by phone or by e-mail or other electronic or other means as prescribed by the Broker from time to time (including, without limitation, posting on a section or sections of the website(s) specifically designated for access by the Client). The Client further acknowledges and agrees that, as a condition of using the Electronic Trading Service to give Instructions, the Client shall immediately notify the Broker in writing if:

  除非客户收到经纪的通知,承认或确认已执行客户以书面方式或透过电话或电邮或经纪不时订明的其它电子方式或其它方式发出的指令(包括但不限于在网站上特别指定供客户进入的栏目上刊登),否则,在此之前,经纪不应被视为已收到该等指示或已执行该等指令。客户进一步承认并同意,作为使用电子交易服务发出指示的条件,如果有下列情况,客户应立即书面通知经纪:

  . an Instruction has been placed via the use of the Electronic Trading Service and the Client has not received an order number;

  指示已透过使用电子交易服务发出,但客户并未收到指令号码;

  . an Instruction has been placed via the use of the Electronic Trading Service and the Client has not received an acknowledgement or an accurate acknowledgment (whether through hard copy, electronic, or verbal means) of the Instruction or of the execution; or

  指示已透过使用电子交易服务发出,但客户并未接获通知承认已收到指示或执行指示,或指示获认收,但其中的内容并不准确(不论该等认收通知的形式是书面、电子或口头的);或

  . the Client has received acknowledgment (whether through hard copy, electronic, or verbal means) of an execution for an Instruction which the Client did not place.

  客户收到已执行指示的确认通知(不论其形式是书面、电子或口头的),而客户并无发出该指示。

  If the Client fails to notify the Broker in writing of the occurrence of any of the above events within 24 hours, the Client shall be deemed to have accepted the outcome. Neither the Broker nor any of its officers, employees or agents shall have any responsibility or liability to Client or to any other person whose claim may arise through the Client for any claims with respect to the handling,

  mishandling or loss of any Instruction.

  如果客户没有在上述任何事件发生后24小时内立即书面通知经纪,则客户应被视为已接纳其结果,而经纪或其任何高级职员、雇员、代理人均无须就有关处理、不当处理或遗失任何指示的任何申索对客户或可能透过客户提出申索的任何其它人士负责。

  4.10 The Client further agrees that the Broker shall not be liable for:

  客户进一步同意,经纪无须对下列各项负责:

  . any consequential, incidental, special, or indirect damage (including lost profits, trading losses and damages) that result from inconvenience, delay or loss through the use of the Electronic Trading Service; and

  由于电子交易服务的不方便、延误或透过使用电子交易服务引起的损失而导致的任何相应损害、附带损害、特殊损害或间接损害(包括利润损失、交易损失和损害赔偿);及

  . any losses resulting from a cause over which the Broker does not have direct control, including but not limited to the failure of electronic or mechanical equipment or communication lines, telephone or other interconnection problems (e.g. if the Client is unable to access the online service provider), unauthorized access, theft, operator errors, severe weather, earthquakes, floods

  and strikes or other labor problems.

  由于经纪不能直接控制的原因导致的任何损失,该等原因包括(但不限于)电子或机械设备故障,或通讯线路、电话或其它接驳问题(例如,客户无法使用网络服务供货商的服务)、擅自存取、盗窃、操作员的错误、恶劣天气、地震、水灾,以及罢工或其它劳资问题。

  4.11 The Broker may (but shall not be obliged to) monitor electronically or record any or all telephone conversations with the Client and/or any of the Client’s Instructions or orders given through the use of the Electronic Trading Service. The Client agrees to accept the contents of any such electronic records or recordings as final and conclusive evidence of the contents and are binding on the Client. The Client agrees that such records shall be admissible in court as evidence of the existence of the transactions and communications and of the facts contained therein, to the extent permitted by applicable law.

  经纪可以(但并非必须)对其与客户进行的任何或一切电话通话及/或客户透过使用电子交易服务发出的任何指示或指令进行电子监察或记录。客户同意接受任何该等电子纪录的内容作为该等内容的最终和决定性的证据,而且该等内容对客户有约束力。客户同意,在适用法律允许的范围内,该等内容可在法庭上被接纳为证据,证明交易及通讯以及其中所载事实的存在。

  4.12 The Client accepts that the Broker may (but shall not be obliged to) send trade confirmations (either in the form of contract note or otherwise), notices, information, data or other documents to the Client via such electronic media as the Broker may prescribe or may provide such information to the Client through the electronic posting of such information, and the Client consents to receiving such information in electronic form. The Client shall print out such information forthwith without delay to maintain the Client’s own records if necessary.

  客户接受,经纪可以(但并非必须)透过其指定的电子媒介向客户发出交易确认书(可以是成交单据或其它形式)、通知、数据、数据或其他文件,或透过将该等数据以电子形式张贴而提供该等数据,而客户同意以电子方式收取该等数据。如有需要,客户应立即印出该等资

  料,以便自行保存纪录。

  4.13 The Client acknowledges and agrees that iTrader and the software comprised therein are proprietary to the Broker, OSK Holdings Hong Kong Limited and/or third party service providers. The Client warrants and undertakes that the Client shall not, and shall not attempt to, tamper with, modify, decompile, reverse engineer or otherwise alter in any way, and shall not attempt to gain unauthorized access to any part of iTrader or any of the software comprised therein, and shall inform the Broker if the Client is aware that any person does so or attempts to do so.

  客户承认并同意,iTrader及其中的软件均属经纪、侨丰金融集团(香港)有限公司和/或第三方服务提供者所有。客户保证并承诺,客户不得(亦不得詴图)干扰、修改、反汇编、以反向工程的方式或任何其它方式更改iTrader或其中任何软件的任何部份,亦不得试图擅自使用iTrader或其中任何软件的任何部份。如果客户察觉有任何人这样做或詴图这样做,应通知经纪。

  4.14 iTrader may provide, for information purpose only, data or information about futures and options and other investments published or disseminated by third parties. The Client understands that the third parties may assert a proprietary interest in all of the data they furnish. The Client acknowledges that neither the Broker nor any third parties guarantee the timeliness, sequence, accuracy or completeness of such data or information. The Client further acknowledges that owing to market volatility and possible delay in the data-transmission process, data available through iTrader may not be real-time market quotes for the relevant futures and options and investment. The Client agrees to hold harmless the Broker and such third parties, for:

  iTrader可能提供由第三方公布或发布的关于期货及期权及其它投资的数据或数据,以供参考之用。客户理解,该等第三方可以就其提供的一切数据宣称拥有所有权权益。客户承认,经纪或任何第三方均不就该等数据或数据的时间性、先后次序、准确性或完整性作出担保。客户亦承认,由于市场的波动性及数据传送过程可能有所延误,透过iTrader获得的数据未必是有关期货及期权和投资的实时市场报价。客户同意使经纪及上述第三方免受因下列各项造成的损害:

  . any inaccuracy, error, or delay in, or distortion or omission of (i) any such data, information, or message or (ii) the transmission or delivery of any such data, information, or message; or

  以下各项的任何不准确、错误或延误或失真或遗漏:(i) 任何该等数据、数据或讯息或 (ii) 任何该等数据、数据或讯息的传送或交付;或

  . any loss or damage arising from or occasioned by (i) any such inaccuracy, error, delay, distortion or omission, (ii) non-performance, or (ii) interruption of any such data, information, or message.

  因以下各项引起或造成的任何损失或损害:(i) 任何上述不准确、错误、延误、失真或遗漏,(ii) 不履行责任,或 (iii) 任何该等数据、数据或讯息受干扰。

  4.15在不损害本合约任何其它条文下Without any prejudice to any other provisions of this Agreement, the Client agrees that certain information accessible on iTrader is provided or compiled by the Stock Exchange or Stock Exchange Information Services Ltd. or other information providers pursuant to agreements between the Broker and such information providers. The information providers may issue direction to the Broker from time to time and the Client shall provide such assistance as the Broker may reasonably require enabling it to comply with such direction. The Client also agrees that, without the prior approval of the information providers, the Client shall not, with respect to any information provided by such information providers:

  在不损害本合约任何其它条文下,客户同意,可以在iTrader存取的某些数据是由联交所或香港联合交易所信息服务有限公司或其它数据提供者根据经纪与该等资料提供者订立的协议而提供或编纂的。数据提供者可能不时向经纪发出指引,而且客户应提供经纪合理要求的协助,使经纪能够遵守该指引。客户亦同意,未经数据提供者事先批准,客户不得对由该等数据提供者提供的任何数据进行以下各项:

  . disseminate any such information to any other third party;

  向任何其它第三方散布任何该等数据;

  . use or permit the use of any such information for any illegal purpose;

  使用或准许使用任何该等数据作任何非法用途;

  . use any such information other than in the ordinary course of the Client’s business (which shall not include dissemination of any such information to third parties); and

  除在客户的日常业务运作中使用(不应包括向第三方散布任何该等数据)外,不使用任何该等数据;及

  . use any such information to establish, maintain or provide or to assist in establishing, maintaining or providing any trading floor or dealing service for transactions outside the Stock Exchange.

  使用任何该等数据以建立、维持或提供或协助建立、维持或提供联交所以外的任何交易大堂或交易服务。

  The Client shall comply with such reasonable directions issued by the information providers from time to time concerning the permitted use of information provided by such information providers.

  客户应遵守数据提供者不时发出的关于准许使用由该等数据提供者提供的数据的合理指引。

  4.16 The Client agrees that the Broker may provide to the information providers:

  客户同意,经纪可向数据提供者提供以下各项:

  . information regarding the media by which the Client receives information, the number of persons or devices (and its type) permitted by the Client to access information within and outside Hong Kong; and

  关于客户接收数据所使用的媒介的数据、客户准许在香港境内外存取数据的人数或装置(及其类别);

  . the Client’s name and address in the event that the Broker or the information providers suspect that the Client has breached the provisions in this Agreement.

  在经纪或数据提供者怀疑客户已违反本合约的条文时,提供客户的姓名及地址。

  4.17 The Client further agrees to permit the information providers and the Broker to inspect the Client’s premises and records in order to ascertain whether the license fees in the Client’s respect are properly accounted for, or whether the Client have been using information contrary to the provisions of this Agreement.

  客户进一步同意准许数据提供者及经纪视察客户的处所及查核客户的记录,以确定有关客户的许可费是否已适当地予以支付,或客户是否违反本合约的规定使用数据。

  4.18 The Client shall not be entitled to use the Electronic Trading Service if there exists any restriction whatsoever on the Client’s account imposed either by the Broker or by any relevant authorities, including without limitation any initial margin requirements restriction.

  若然存在由经纪或任何有关当局对客户账户施加的任何限制,包括但不限于任何最初保证金要求的限制,则客户无权使用电子交易服务。

  4.19 The Client agrees that the Client shall be liable for all losses, debts and deficiencies in the Account including all debts and deficiencies resulting directly or indirectly from liquidation of assets held in the Account.

  客户同意对账户内的所有损失、债务及短缺数额负责,包括因为账户所持资产被清算而直接或间接导致的所有债务及短缺数额。

  5. Restriction on use of information 对使用数据的限制

  5.1 The distribution of materials via the Electronic Trading Service and/or iTrader may be restricted by law in certain jurisdictions. It is the Client’s responsibility to find out what those restrictions are and observe them.

  某些司法管辖区的法律可能对透过电子交易服务及/或 iTrader分发数据加以限制。客户须自行负责找出并遵守该等限制。

  5.2 Any information and material made available to the Client via the Electronic Trading Service and/or iTrader shall not be regarded as an offer, solicitation, invitation, advice or recommendation to buy or sell investments securities or any other instrument or product of the Broker or any other issuer.

  透过电子交易服务及/或iTrader向客户提供的任何数据和信息,不应被视作要约、游说、邀请、建议或推荐购买或出售经纪或任何其它发行商的投资项目、证券或任何其它金融工具或产品。

  5.3 Use of the products or services described via the Electronic Trading Service and/or iTrader may not be permitted in some countries and if in doubt, the Client should check with the Client’s local legal advisor, regulator or authority before requesting information. The Broker does not possess any licensing or regulatory status in any jurisdiction other than Hong Kong and the Broker will not offer any of its products or services described herein to persons or entities resident in countries where licensing or registration under their local law is required for its provision of such products or services.

  电子交易服务及/或 iTrader所述的产品或服务可能不获准在一些国家使用。客户如有疑问,应在要求获得资料前向客户的当地法律顾问、监管机构或主管机构查询。经纪并不拥有在香港以外任何司法管辖区的任何执照或注册登记地位。如果经纪欲向任何人士或实体提供销售

  本合约所述的产品或服务,而根据该等人士或实体的居住国法律规定,经纪提供该等产品或服务须持有执照或注册登记,则经纪将不向该等人士或实体提供销售该等产品或服务。

  6. Intellectual Property 知识产权

  6.1 The copyright of all contents published via the Electronic Trading Service and/or on iTrader including, but not limited to the text, graphics, links and sounds belong to the Broker, members of the Broker’s Group Company or third parties and may not be copied, downloaded, distributed or published in any way without the Broker’s prior written consent.

  透过电子交易服务及/或在iTrader公布的全部内容(包括但不限于文字、图形、连结和声音)的版权均属于经纪、经纪的集团公司或第三方所有,未经经纪事先书面同意,不得以任何方式复制、下载、分发或出版。

  6.2 In relation to any information or materials which the Client submits to the Broker using the Electronic Trading Service, the Client grants to the Broker a worldwide royalty-free perpetual license of the copyright and intellectual property rights in such information or materials for any purpose including, without limitation, the copying, transmission, distribution and publication thereof, unless restricted by applicable law. The Client agrees that the Broker shall not be under any obligation of confidentiality to the Client regarding any such information or materials submitted to it using the Electronic Trading Service unless agreed otherwise in a separate direct contract between the Client and the Broker or as required by law.

  对于客户使用电子交易服务提交予经纪的任何数据或信息,客户向经纪授予就任何用途(包括但不限于复制、传送、分发和出版该等数据或信息)在全球使用该等数据或信息的版权和知识产权权利的永久性特许,无须支付使用费,但如果适用法律有所限制则除外。客户同意,经纪概不就使用电子交易服务向经纪提交的任何该等数据或信息对客户承担任何保密责任,但如果客户与经纪另行直接订立的合约另外协议或法律规定的则除外。

  7. Delivery 交付

  The Client accepts that each Client Contract (and also other Transactions made for the Account) contemplates actual performance in accordance with its terms including delivery and receipt of any Assets and payment therefor.

  客户同意所有客户合约(及为账户进行的所有其它交易)均预算会按其条款实际履行,包括交付及收取任何资产及付款。

  8. Margins/Payments 保证金/付款

  8.1 The Client shall at all times maintain with the Broker, in such amount and such form as the Broker may from time to time requires, Margin in excess of the Client’s indebtedness or obligations to the Broker whether by way of trading or otherwise howsoever and the amount of which may be greater than any relevant HKFE and/or Clearing House Margin.

  客户须在所有时候,以经纪不时要求的款额及形式,于经纪处存有超越客户对经纪不论因交易或其它原因引致的负债或义务的保证金。保证金数额可较有关的期交所及/或结算所保证金为大。

  8.2 All amounts (including Margin) payable by the Client in connection with this Agreement shall be due on demand and in the currency of the Broker’s choice subject only to any restrictions which may be imposed by the appropriate Exchange and/or relevant Clearing House, if any, upon which the Client Contract or the Contract concerned was executed on the Client’s behalf. Demands for Margin and/or for variation adjustment must be met within 24 hours or such shorter period as the Broker may in its absolute discretion determine to be necessary and specify to the Client. The Broker may close out all open contracts in respect of which demands for Margin or for variation adjustment are not met within the period specified by the Broker or at the time of making such call(s) or demand(s). The Broker is obliged to report to HKFE and the Commission particulars of all open positions in respect of which two successive margin calls, demands for variation adjustments and interest rate cash adjustments are not met within the period specified by the Broker.

  除受限于任何适当的交易所及/或有关结算所的限制外,而该等限制适用于经纪代客户执行的有关客户合约或合约,否则就本合约须由客户缴付的所有款额(包括保证金)须应要求并按经纪选择的货币付款。保证金及/或变价调整的付款要求须于24小时内或经纪以其绝对酌情决定权所厘定并知会客户的该较短时段内达成。经纪可以就客户未能在经纪所订明的限期之前缴交,或未能在作出催缴或要求时缴付保证金及/或变价调整的所有有关未平仓合约平仓。如果客户连续两次未能在经纪订明的期限内,就未平仓合约缴付催缴的保证金及变价调整及利率现金调整要求,经纪可能需要就所有未平仓合约的详情向期交所及证监会报告。

  8.3 All amounts held by way of Margin shall be held on trust to apply the same for the following purposes:

  所有以保证金形式持有的款额将以信托形式持有,就以下目的应用该款额:

  i) to pay to the relevant Exchange and/or Clearing House all Clearing House Margin due from the Broker to it, or to any Dealer all margin demanded by it from the Broker, in each case on such terms as the Broker may think fit and in respect of all contracts held by the Broker for all clients and for its own account and all repayments of Clearing House Margin shall be held on the trusts

  hereof;

  向有关交易所及/或结算所缴付,所有经纪应付的结算所保证金,或向任何交易商缴付该交易商向经纪要求缴付的所有保证金;并在所有情况下,以经纪认为适当的条款,及就所有由经纪代客户及为其自身持有的合约而缴付。所有结算所保证金的退还,应以信托方式持有;

  ii) to apply in or towards satisfaction, or in reimbursement of the Broker, of all costs, damages, losses, liabilities and expenses incurred under or in respect of all and any Contracts, Transactions and/or Client Contracts and all liabilities and expenses (including Charges) incurred as a result of the performance by the Broker of its duties or the exercise by the Broker of its rights, powers and/or privileges under this Agreement (irrespective of the currency in which the same may be denominated); and

  应用以清偿或补还经纪就所有及任何合约、交易及/或客户合约所招致的任何费用、损害赔偿、亏损、负债及支出,及因经纪履行其职责或经纪行使其在本合约下的权利、权力及/或特权所招致的所有负债及支出(包括收费)(不论该等费用、损害赔偿、亏损、负债及支出是以何种货币为单位);及

  iii) subject to the Broker being satisfied that all such costs, damages, losses, liabilities and expenses referred to in Clause 8.3(ii) have been satisfied, discharged or otherwise released, to repay any surplus which is, in the absolute opinion of the Broker, attributable to such Transaction, Contract or Client Contract to the Client.

  受制于经纪信纳第8.3(ii)条款提述的所有该等费用、损害赔偿、亏损、负债及支出已被清偿、解除或以其它形式免除,退回按经纪全权意见认为可归因于某交易、合约或客户合约的任何盈余予客户。

  8.4 The Broker shall in its discretion as to the terms thereof and any rate of return earned thereon have power to invest, realise such investment and/or reinvest any amounts paid by way of Margin in any investment, security, currency or deposit it thinks fit; and whether or not by leaving the same on deposit with any Clearing House. The limitations on the type of or method of investment

  contained in the Trustee Ordinance (Chapter 29) shall not apply. The Broker shall not be liable to account to the Client for any interest or other profit earned or derived from or accrued to any such sums.

  经纪在其酌情决定的条款及赚取的任何回报率下,有权将以保证金形式缴付的任何款额投资、变现该等投资及/或再投资在其认为合适的任何投资、证券、货币或存款;及是否将款额继续存放于结算所。受托人条例(香港法例第29章)内就投资方式或方法的限制并不适用。经纪不须就从任何该等款项赚取或取得或孳生的任何利润或利息向客户交代。

  8.5 All sums payable by the Client in connection with this Agreement shall be exclusive of all Taxation. If any Taxation is required by law to be withheld from such payments, the amount payable by the Client shall be increased to the extent necessary to ensure that, after the making of any withholding, the Broker receives on the due date a net sum equal to what it would have received and retained had no deduction been made.

  客户就本合约缴付的所有款项并不包括任何税项。如法律规定任何税项需从付款中扣除,客户须缴付的款额将增加至可确保进行扣除后,经纪在到期日收到的净款额等同于如没扣除时可收到及保留的款额。

  8.6 All monies paid to the Broker whether on deposit or however described shall not be entitled to earn interest from the Broker and any debit balances on the Account shall be charged with interest at such rate as may be notified from time to time to the Client or failing such notification, at a rate per annum not exceeding 5% above the higher from time to time of either the Hong Kong dollar prime rate quoted from time to time by The Hong Kong and Shanghai Banking Corporation Limited or such other bank in Hong Kong as the Broker may select, or the cost of funding of the Broker (as determined and certified by the Broker).

  不论以按金或不论以何种形式描述缴付予经纪的所有款项,均不可从经纪处赚取利息。账户任何借方结余须向经纪支付利息,而其利率则为经纪不时通知客户之利率,若并无通知客户,则其利率相等于以下两者之中较高者加年息不多于5厘:香港上海汇丰银行有限公司或经纪所选择的香港其它银行报出的港元最优惠利率,或经纪的资金成本(由经纪厘定及签署证明)。

  8.7 All monies, securities and other property received by the Broker from the Client or from any other person (including the Clearing House) for the account of the Client shall be held by the Broker as trustee and segregated from the Broker’s own assets, and such monies, securities and other property so held by the Broker shall not form part of the assets of the Broker for insolvency or winding up purposes but shall be returned to the Client promptly upon the appointment of a provisional liquidator, liquidator or similar officer over all or part of the Broker’s business or assets.

  经纪为客户而从客户或任何其它人士(包括结算所)所收取的全部款项、证券及其它财物,均须由经纪以受托人身份持有,并与经纪本身的资产分开。由经纪以上述方式持有的款项、证券及其它财物,在经纪无力偿债或清盘时并不构成经纪的资产的一部份,并须在就经纪所有或任何部份的业务或资产委任临时清盘人、清盘人或拥有类似职能的高级人员后,立即归还予客户。

  8.8 Any monies, approved debt securities or approved securities received by the Broker from the Client or from any other person (including the Clearing House) shall be held in the manner specified under paragraphs 7 to 12 of Schedule 4 to the Code of Conduct and the Client authorizes the Broker to apply such monies, approved debt securities or approved securities in the manner specified under paragraphs 14 to 15 of Schedule 4 to the Code of Conduct. In particular, the Broker may apply such monies, approved debt securities or approved securities in or towards meeting the Broker’s obligations to any party insofar as such obligations arise in connection with or incidental to Futures and/or Option Contracts transacted on the Client’s behalf.

  经纪从客户或任何其它人士(包括结算所)收取的任何款项、核准债务证券或核准证券,均须根据操守准则附表4第7至12段所指明的方式持有,而且客户授权经纪可按照操守准则附表4第14至15段所订明的方式,运用任何该等款项、核准债务证券或核准证券。经纪尤其可运用该等款项、核准债务证券或核准证券以履行其对任何人士的责任,但该等责任必须是在与其代表客户进行期货合约及/或期权合约买卖有关的情况下或附带于有关买卖而产生的。

  8.9 The Client acknowledges that in respect of any account of the Broker maintained with the Clearing House, whether or not such account is maintained wholly or partly in respect of Futures Contracts or Option Contracts transacted on behalf of the Client and whether or not monies, approved debt securities or approved securities paid or deposited by the Client has been paid to or deposited with the Clearing House, as between the Broker and the Clearing House, the Broker deals as principal and accordingly no such account is impressed with any trust or other equitable interest in favour of the Client and monies, approved debt securities or approved securities paid to or deposited with the Clearing House are thereby freed from the trust referred to in Clause 8.7.

  客户确认就经纪在结算所开立的任何账户而言,不论该账户是全部或部份因代表客户进行期货合约或期权合约买卖而开立的,以及不论客户所支付或存放的款项、核准债务证券或核准证券是否已支付予或存放于结算所,在经纪与结算所之间,经纪以当事人身份操作该账户,

  因此该账户并不存在以客户为受益人的信托或其它衡平法权益,而支付予或存放于结算所的款项、核准债务证券及核准证券亦不受第8.7条款所提述的信托所制约。

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