香港期货交易条款及细则翻译模板 (中英文 第2部分)

日期:2018-02-09 / 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2部分)

  9. Default 违约

  9.1 The following shall constitute Events of Default: 以下事项将构成违约事件:

  i) if, in respect of any Client Contract, the Client shall fail: 如就任何客户合约,客户未能:

  (a) to provide Margin when called upon to do so; or 在要求下提供保证金;或

  (b) to make or take delivery of any Asset when required under such contract; or

  在该等合约要求下接收及交付任何资产;或

  (c) to pay any purchase price or other payment thereunder when due;

  于到期时缴付任何购入价或该等合约下的其它付款;

  ii) the death of the Client (being an individual); 客户(如为个人)去世;

  iii) the filing of a petition in bankruptcy or, as the case may be, winding up or the commencement of other analogous proceedings, or the appointment of a receiver, in respect of the Client;

  针对客户,破产呈请书的提交或视乎属何种情况而定,清盘或其它类似法律程序的展开或接管人的委任;

  iv) the levying of an attachment against the Account; 向账户以扣押方式征取;

  v) default by the Client in the due performance or observance of any of the terms and conditions of this Agreement;

  客户未能妥善履行或遵守本合约的任何条款及细则;

  vi) any representation or warranty made in or in pursuance of this Agreement or in any certificate, statement or other document delivered to the Broker being or becoming incorrect in any material respect;

  按本合约或在本合约内订明的任何陈述或保证,或任何交付予经纪的证明文件、账户单据或其它文件,在任何重要方面,属于或变成不正确;

  vii) any of the consents, authorizations, approvals, licences, or board resolutions required from the Client to enter into this Agreement or any Client Contract being modified in a manner unacceptable to the Broker or being wholly or partly revoked, withdrawn, suspended or terminated or expiring and not being renewed or otherwise failing to remain in full force and effect;

  客户订立本合约或任何客户合约所须的任何许可、授权、批准、特许或董事局决议被修改至经纪不能接纳,或全部或部份被撤销、撤回、暂止或终止或届满但不获续发或在其它情况下未能保持十足效力及作用;

  viii) the Client being in breach, voluntarily or otherwise, of any of the conditions contained in this Agreement or of the by-laws, rules and regulations of any Exchange or Clearing House; and

  客户不论自愿与否,违反任何本合约内的细则或任何交易所或结算所的附例、规则及规例;及

  ix) the occurrence of any event which, in the Broker’s sole discretion, the Broker feels shall or might put in jeopardy the Broker’s rights or remedies under this Agreement.

  发生任何事件而使在经纪完全酌情决定下,经纪认为将会或可能危及经纪根据本合约的权利或补救。

  9.2 Without prejudice to any other right or remedy which the Broker may have, if any Event of Default shall occur, the Broker shall be authorized, in its absolute discretion, to take one or more of the following actions but shall not be bound to take any such action:

  在不损害经纪可享有的其它权利或补救的原则下,如发生任何违约事件,经纪应被授权,在其绝对酌情决定权下,采取下列一个或以上的行动(但无需一定要采取任何行动):

  i) satisfy any obligation or liability the Client may have to the Broker out of any Charged Securities either alone or jointly with others and any other collateral security deposited with the Broker;

  从任何单独或与他人联合的抵押证券及寄存于经纪的任何其它附属抵押品,清偿客户对经纪的任何责任或负债;

  ii) sell any or all Client Contracts or Assets held or carried for the Client or purchase any or all Client Contracts or Assets held or carried as a short position for the Client;

  出售任何或所有为客户持有的客户合约或资产,或购入任何或所有为客户持有作为空仓的客户合约或资产;

  iii) cancel any or all outstanding orders or contracts or any other commitments made on behalf of the Client;

  取消任何或所有代表客户所作出但尚未履行的指令或合约或任何其它承诺;

  iv) call upon any security including but not limited to any guarantees and letters of credit which may have been issued to or in favour of the Broker as security for the Account;

  要求任何保证,包括(但并不限于)任何可能已发予或惠及经纪,作为账户保证的担保书及信用状;

  v) combine, consolidate and liquidate all accounts of the Client;

  组合、合并及清算所有客户账户;

  vi) close out without recourse any or all Client Contracts and any corresponding Contracts;

  将任何或所有客户合约及任何相应的合约平仓,客户并无追索权;

  vii) borrow or buy in any property whatsoever found necessary by the Broker or required to make delivery against any sale (including a short sale) effected for the Client;

  借取或购入任何经纪认为必需或就任何为客户沽售(包括沽空)所须用作交付的财物;

  viii) exercise any rights granted by Clause 10 or 11 of this Agreement; and/or

  行使任何本合约第10或第11条款授予的权利;及/或

  ix) terminate this Agreement forthwith. 实时终止本合约。

  PROVIDED ALWAYS THAT a prior tender, demand for original or additional Margin or call of any kind from the Broker, or prior or outstanding demand or call from the Broker, or notice of the time and place of a sale or purchase shall not be considered a waiver of any of the Broker’s rights granted by this Agreement.

  但是,任何过往的提交或原有或额外保证金的要求,或经纪任何种类的催缴,或过往或尚未履行的经纪要求或催缴,或某买卖时间和地点的通知,不应被视为经纪放弃本合约授予的任何权利。

  9.3 After deducting all costs and expenses incurred in connection with taking any action referred to in Clause 9.2, the Broker may apply any remaining proceeds to the payment of any liabilities the Client may have to the Broker; and in the event such proceeds are insufficient for the payment of liabilities, the Client shall promptly upon demand and notwithstanding that the time originally stipulated for settlement may not then have arrived pay to the Broker and indemnify and hold the Broker harmless against any differences or deficiencies arising there from or in the Account or any Client Contract, together with interest thereon and all professional costs (including solicitor’s and counsel’s fees should the Broker in its absolute discretion refers the matter to legal advisers) and/or expenses incurred by the Broker in connection with the enforcement of each Client Contract which shall be for the account of the Client and properly deductible by the Broker from any funds of the Client in its possession.

  扣除有关采取第9.2条款内提述的行动所招致的所有费用及开支后,经纪可应用任何剩余收益以偿付客户欠经纪的负债。倘若该收益不足以偿付负债,尽管原本指定交收的期限尚未到来,客户须应要求立即缴付予经纪,并就任何因而引起或账户或客户合约内的差额或亏绌,连同利息及所有专业费用(如在经纪绝对酌情决定权下将该事务转介予法律顾问时,包括律师及大律师的费用)及/或经纪为客户执行客户合约所引致,又应由客户负责及能恰当地从经纪管有客户的任何款项中扣除的开支,对经纪作出弥偿并使经纪免受损害。

  10. Set Off 抵销

  10.1 In the event that the Client has more than one existing Account (of any nature whatsoever and whether in single or joint names), the Broker may at any time, and without notice to the Client, combine or consolidate all or any of them and set-off or transfer any sum or sums standing to the credit of any one or more of them in or towards satisfaction of any of the liabilities to the Broker of the Client on any Account or in any respect, including liabilities under facilities or accommodation for any unexpired fixed term or in respect of foreign exchange dealings or under guarantees or indemnities or any other instruments whatsoever given or assumed by the Broker at

  the Client’s request, whether such liabilities be present or future, actual or contingent, primary or collateral and joint or several.

  若客户持有一个以上(不论任何性质及不论个人或联名)账户,经纪可随时及无需事先通知客户,组合或合并所有或任何账户,及将任何一个或以上账户中列于贷方的任何款项抵销或转户,以清偿客户对经纪就任何账户或任何其它方面的负债,包括任何尚未届满的定期融资或融通的债务或有关外汇交易的负债,或在客户要求下由经纪发出或承担的保证或弥偿或任何其它票据的负债,不论该等负债乃属现在或将来,实际或或然,主要或附属及共同或各别。

  10.2 Where any such set-off or combination requires the conversion of one currency into another, such conversion shall be calculated at the rate of exchange (as determined by the Broker and binding in all respects upon the Client) utilised by the Broker in the Broker’s normal course of business for such currencies at the time of the combination or set-off.

  当任何抵销或组合需要将一种货币兑换成另外一种,该等兑换应按经纪于抵销或组合当时,在经纪的正常业务运作中就该等货币所使用的汇率(由经纪厘订及在任何方面对客户具约束力)计算。

  10.3 Without prejudice to the general right of set-off conferred upon the Broker by the foregoing sub-clauses, the Client expressly agrees that in any one or more of the following events, that is to say:

  在不损害上述分段赋予经纪的一般抵销权的情况下,客户明确同意在以下任何一个或以上的情况下,即:

  i) if any attempt shall be made by the Client, without the Broker’s express prior written consent and approval, to assign, and/or charge, and/or otherwise alienate all or part of any sum or sums standing to the credit of any one or more of such accounts as aforesaid; or

  如客户在无经纪的明文事先书面同意及批准下作出任何企图出让,及/或抵押,及/或以其它形式转让与列于任何一个或以上上述账户贷方的全部或部份款项;或

  ii) the commencement of the Client’s bankruptcy / winding up or analogous proceedings; or

  客户破产/清盘或类似法律程序的展开;或

  iii) an encumbrancer taking possession of, or a receiver being appointed over, the whole or any part of the Client’s undertaking, property or assets, or

  产权负担持有人接管或破产管理人被委任处理客户业务、财物或资产的全部或任何部份;或

  iv) any event shall occur which, in the Broker’s sole discretion, the Broker feels shall or might put in jeopardy the Broker’s rights or remedies under this Agreement,

  发生任何事件而使在经纪绝对酌情决定权下,经纪认为将会或可能危及经纪根据本合约的权利或补救。

  then immediately and without demand or notice to the Client or upon the occurrence of any other Event of Default referred to in Clause 9.1, all of the Client’s then existing Accounts shall automatically and forthwith be deemed consolidated together as one and shall (together with all of the Client’s liabilities above referred to) be deemed (if applicable) to mature and in all cases become due and payable, and all sums standing to the credit of any such Accounts shall automatically and forthwith on the occurrence of such event be set-off and shall be deemed to have been transferred by the Broker in satisfaction of all such of the Client’s liabilities to the Broker as aforesaid or in any other respect.

  届时,立刻及无需事先索求或通知客户,或当发生第9.1条款所提述的任何其它违约事件,客户届时存在的所有账户自动及立即被当作合并为一,并将(连同所有上述的客户负债)被当作(如适用)到期及在所有情况下到期及应支付,而所有列于该等账户贷方的款额将在该事件发生时自动及立即被抵销及将被当作被经纪转户,以清偿客户如上述或在任何其它方面对经纪的所有负债。

  10.4 Nothing in this Agreement shall restrict the operation of any general lien or other rights or lien whatsoever which the Broker may have, whether by law or otherwise, and the rights of set-off conferred by this Agreement are in addition and without prejudice to any general right of set-off arising by law or rights granted to the Broker by Clauses 9, 10 or 11 or any lien, guarantee, bill, note, mortgage or other security now or hereafter held by the Broker.

  本合约的任何条文均不限制经纪根据法律或其它方面享有的一般留置权或其它权利或留置权的施行。本合约赋予的抵销权乃额外的权利,并不影响经纪根据法律所享有的一般抵销权,或由本合约第9、10或11条款或任何经纪现时或此后持有的留置权、担保、单据、票据、按揭或其它保证所赋予的权利。

  11. Security 保证

  11.1 The Client as beneficial owner and as continuing security for all its liabilities and obligations under this Agreement charges in favour of the Broker, free of all adverse interest whatsoever:

  客户作为实益拥有人及本合约下其法律责任及义务的持续保证,在不受任何不利权益约束的情况下,向经纪作出以下抵押:

  (i) by way of first fixed equitable charge all Deposited Securities; and

  所有寄存证券以第一固定平衡法押记形式;及

  (ii) by way of first fixed legal charge all Transferred Securities.

  所有过户证券以第一固定法定押记形式。

  11.2 The Client shall, upon request by the Broker, forthwith execute all such transfers and other documents as may be necessary to enable the Broker or its nominee to be registered as the owner of, or otherwise obtain a legal title to, Deposited Securities.

  客户须应经纪的要求立即签订所有可能需要的过户及其它文件,致使经纪或其代名人可以注册成为寄存证券的拥有人,或取得其法定所有权。

  11.3 The Broker shall hold all Charged Securities for the purposes of this Agreement and may, without prior notice, free of any interest of the Client therein:

  经纪应为本合约的目的持有所有抵押证券及可在无事先通知并且不受客户的任何权益约束的情况下:

  i) deposit, charge or pledge the same with or to the order of any Exchange, Clearing House or Dealer and on terms that such Exchange, Clearing House or Dealer may enforce such deposit, charge or pledge in satisfaction of all or any obligations of the Broker to such Exchange, Clearing House or Dealer; and

  存放、抵押或质押抵押证券予任何交易所、结算所或交易商,或按该等交易所、结算所或交易商指令存放、抵押或质押抵押证券,并容许该等交易所、结算所或交易商可强制执行该存放、抵押或质押,以清偿经纪对该等交易所、结算所或交易商的所有或任何债务;及

  ii) register, sell, realise, charge or borrow against the same upon such terms (including as to the consideration received therefor) as it may in its absolute discretion think fit (without being responsible for any loss or diminution in price) and any consideration received therefor shall be treated as Margin payable by the Client.

  按经纪在其绝对酌情决定权下认为适当(无需为任何亏损或价格减值负责)的条款(包括因而收取的代价)注册、出售、变卖、抵押或借取抵押证券,而任何因而收取的代价将被当作客户须缴付的保证金。

  If Charged Securities are denominated in a different currency from that in which any relevant cost, damages, loss, liability or expense is denominated, the Broker may convert such amount at its current buying rate for such currency at the relevant time.

  如抵押证券的货币单位与任何有关费用、损害赔偿、亏损、负债或支出的货币单位不同,经纪可按该货币在有关时间经纪的现行买入价转换该款额。

  11.4 Any Charged Securities may be commingled with the securities, foreign exchange contracts, commodities contracts, futures contracts or option contracts or other property of the Broker’s other customers without retaining in the Broker’s possession or control a like amount of securities, foreign exchange contracts, commodities contracts, futures contracts or option contracts or other property.

  任何抵押证券可以与经纪其它客户的证券、外汇合约、商品合约、期货合约或期权合约或其它财物汇而为一,经纪无需管有或控制等额的证券、外汇合约、商品合约、期货合约或期权合约或其它财物。

  11.5 Pending the application of Charged Securities pursuant to Clause 11.3, the Broker shall account to the Client for all amounts in respect of dividends, interest or other moneys in the nature of income received by the Broker in respect of such Charged Securities net of any Taxation payable by the Broker (whether by withholding or otherwise) in respect of such income.

  在按第11.3条款运用抵押证券前,经纪须就因抵押证券而收取的股息、利息或其它款项,扣除经纪因该等收入而需要缴付的税款(不论以预扣或其它形式)后,对客户作出交代。

  11.6 The Client undertakes not to create or have outstanding any security interest whatsoever on or over any of the Charged Securities (except for the security created by this Agreement).

  客户承诺就任何抵押证券不会订立或不会有任何尚未履行的担保权益(本合约订立的保证除外)。

  11.7 Subject to the Broker being satisfied that all costs, damages, losses, liabilities and expenses payable by the Client in connection with this Agreement have been satisfied, discharged or otherwise released, the Broker may re-transfer or, as the case may be redeliver any certificates or documents of title relating to, any relevant Charged Securities to the Client at any time and shall do so upon request.

  受制于经纪信纳客户就本合约所须缴付的所有费用、损害赔偿、亏损、负债及支出已被清偿、解除或以任何其它形式免除,经纪可在任何时间及在接获请求时,将有关抵押证券的所有权的证明书及文件转回,或视乎情况而定,交回予客户。

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

  12.1 The Client may not assign any rights or obligations under this Agreement or any Client Contract.

  客户不可转让任何本合约或任何客户合约下的权利或义务。

  12.2 All the provisions of this Agreement shall survive any changes or successions in the Broker’s business and shall be binding, where the Client is a corporation upon its successors, where the Client is a partnership upon the partners and their personal representatives, and where the Client is an individual upon his personal representatives.

  本合约的所有条文不受经纪业务的变动及继任所影响,并如客户为法人团体,应对其继任人具约束力;如客户为合伙商行,则对其合伙人及合伙人的遗产代理人具约束力;及如客户为个人,则对其遗产代理人具约束力。

  13. No Waiver 不放弃权利

  The Client acknowledges that no act, omission to act or forbearance by the Broker or any of its employees, servants or agents shall be, or be deemed to be, a waiver by the Broker of any rights against the Client or against Margin, Charged Securities or any other assets of the Client on hand with the Broker.

  客户确认经纪或其任何雇员、受雇人或代理人的任何行为、不作为或通容并不是,或不应被当作为经纪放弃任何针对客户或针对保证金、抵押证券或经纪持有的客户的任何其它资产的权利。

  14. Charges 收费

  14.1 The Broker shall be entitled to deduct commission in respect of all Transactions carried out by the Broker for or on behalf of the Client under this Agreement at such rate as shall be notified to the Client from time to time

  经纪有权就经纪依本合约为或代客户执行的所有交易扣除佣金,佣金比率为经纪不时通知客户者。

  14.2 The Client agrees to the imposition upon the Account from time to time as the Broker may determine, of a minimum charge in the event that the Account maintains only average credit balances of less than such minimum amount as the Broker may from time to time determine in any time period from time to time specified by the Broker or the Account shall remain dormant for such period of time as the Broker shall determine from time to time. The Broker shall be entitled to debit Charges and all other fees payable by the Client to any account of the Client with the Broker or any other Broker's Group Company at any time. Without prejudice to any other right of

  the Broker, if the Client has insufficient funds in the Account to cover Charges and all other fees payable by the Client, the Broker shall be entitled to terminate or suspend the Account or the whole or part of the services provided by the Broker without prior notice to the Client.

  客户同意,倘若账户的平均贷方结余于经纪不时厘定的时期内,低于经纪不时订定的最低款额,又或者账户于经纪不时订定的时期内并无任何买卖活动,则经纪可从账户征收不时厘定的最低收费。经纪有权随时从客户在经纪或经纪的任何一间集团公司之任何账户内,扣除应

  由客户支付之收费及其它费用。在不影响经纪之任何其它权利下,若客户在账户的资金不足以缴交应付予经纪的收费及其它费用,经纪有权毋需事先知会客户,终止或暂止账户或全部或部份经纪提供的服务。

  14.3 All bank charges shall be for the account of the Client.

  所有银行收费将从客户账户中扣除。

  15. Liability and Indemnity 责任与弥偿

  15.1 In the absence of bad faith or wilful default of or by the Broker, the Broker shall not under any circumstances whatsoever be liable to the Client in respect of any loss, damage, injury sustained or liability incurred by the Client by reason of any act, advice, statement (express or implied), default or omission of the Broker or its employees, agents or representatives, whether such loss, damage, injury or liability is caused by breach or otherwise by the Broker or its directors, employees, agents or representatives or howsoever caused.

  在经纪没有不真诚或故意违约的情况下,对于客户因经纪或其雇员、代理人或代表的任何行为、意见、陈述(明示或默示的)、违约或遗漏所招致的任何亏损、损害、伤害或法律责任,不论该等亏损、损害、伤害或法律责任是由于经纪或其董事、雇员、代理人或代表违约或其它任何原因引致,经纪概不负责。

  15.2 The Client agrees to indemnify the Broker and the Broker’s directors, employees, agents and representatives against and hold the Broker and them harmless from all expenses, liabilities, claims and demands arising out of or in connection with any breach or default by the Client of its obligations under this Agreement, including any reasonable costs (e.g., legal costs and collection agency fees) incurred by the Broker in recovering any debts due to the Broker or in connection with the Account.

  就经纪及其董事、雇员、代理人或代表因客户触犯或违反本合约的义务而产生或与之有关的所有开支、债务、索偿及索求,包括经纪追讨账户有关的或欠付经纪的债务而引致的合理费用(例如法律及收帐代表费用),客户同意向经纪及其董事、雇员、代理人或代表作出弥偿。

  16. Warranties and Undertakings 保证与承诺

  16.1 The Client represents and warrants that客户作出如下陈述及保证:-

  (a) where the Client or any one of them is a body corporate (in respect of such person):

  如客户或其中任何人士(就该人士)为法人团体:

  (i) that it is a corporation duly organised and validly exists under the laws of the country of its incorporation and in every other country where it is carrying out business;

  该法人团体是妥为组织的,并于其成立的国家的法律下及在所有其它其正在经营业务的国家内有效地存在;

  (ii) that the entry of this Agreement has been validly authorized by the appropriate corporate action of the Client and the terms and conditions of this Agreement constitute valid and binding obligations on the Client in accordance with the terms in this Agreement;

  本合约的签订已被客户适当的法团行动有效地授权,及本合约的条款及细则按照本合约载有的条款对客户构成有效及具约束力的义务;

  (iii) that the certified true copies of the Client’s certificate of incorporation or registration, charter, statute or memorandum and articles or other instruments constituting or defining its constitution and the board resolutions of the Client delivered to the Broker are true and accurate and still in force; and

  客户交付予经纪,客户的公司注册证书或登记证书、章程、法规或公司组织章程大纲及细则或其它构成或阐明其组成的文件及董事局决议的核证副本均为真实、准确及有效的;及

  (iv) that no steps have been taken or are being taken to appoint a receiver and/or manager or liquidator over the assets of, or to wind up, the Client;

  过去或现在无人采取或正在采取任何步骤,就客户的资产委任破产管理人及/或财产接收管理人或清盘人,或将客户清盘;

  (b) where the Client or any one of them is an individual that the Client is legally capable of validly entering into and performing this Agreement and that he or she has attained the age of 18 years and is of sound mind and legal competence and is not a bankrupt;

  如客户或其中任何人士为个人:客户在法律上能够有效地订立及履行本合约,而他或她已年满18岁,精神健全及符合法律资格及并非破产人;

  (c) where there are two or more persons included in the expression “the Client”:

  如「客户」一词包括两个或以上人士:

  (i) that the liability of each such person shall be joint and several;

  每名该等人士的法律责任将为共同及各别的;

  (ii) that any one of them shall have full authority to give any instructions with respect to the Account or any Client Contract including but not limited to instructions with respect to buying or selling or withdrawals of excess funds; to receive demands, notices, confirmations, reports, statements and other communications of any kind it being understood and agreed that such demands, notices, confirmations, reports, statements and other communications if addressed to the Client shall be binding on each of them notwithstanding that they have not been sent to or received by every one of them; and generally to deal with the Broker in connection with this Agreement as fully and completely as if the other joint account holder or holders had no interest in this Agreement;

  其中任何一人都有完全权限就账户或任何客户合约发出任何指示,包括(但并不限于)买入或出售或提取过剩的资金的指示;收取付款要求、通知书、确认书、报告、账户单据及其它任何种类的通讯;客户明白及同意如该等付款要求、通知书、确认书、报告、账户单据及其它通讯注明由客户收件,尽管该等文件并未送交或未被每名人士收取,亦应对所有人士具约束力。其中任何一人亦可就本合同全面及完整地和经纪交易,犹如其它账户持有人或持有人等于本合约并无权益一样;

  (iii) that the Broker shall be under no duty or obligation to inquire into the purpose or propriety of any instruction given and shall be under no obligation to see the application of any funds delivered by the Client in respect of the Account; and

  经纪并无责任或义务对任何已发出指示的目的或就其是否适当作出查究,及并无义务查看由客户就账户交付的任何资金的运用;及

  (iv) that notwithstanding any other arrangements which may have been made between them the rule of survivorship shall apply to the joint account and upon the death of any one of them, the moneys, securities and other property whatsoever for the time being standing to the credit of the joint account and anything held by the Broker whether by way of security or for sale, custody or collection or any other purpose whatsoever shall be held to the order of the survivor(s) of them;

  尽管他们之间可能有任何其它安排,生存者取得权规则应适用于此共同账户,当其中任何一人去世,则当时列于共同账户贷方的款项、证券及其它财物及经纪以抵押形式或因出售、保管或收集或任何其它目的而持有的任何事物,应按其中尚存者的指令持有;

  (d) where the Client is a partnership and business is carried out under a firm’s name: that this Agreement shall continue to be valid and binding for all purposes notwithstanding any change in the partnership or constitution of the firm by the introduction of a new partner or by the death, insanity or bankruptcy or a retirement of any partner for the time being carrying out the business of or constituting the firm or otherwise;

  如客户为合伙商行并以某商号的名义经营业务:尽管合伙商行或商号的组成因新合伙人的引进或任何当时正在经营该商号业务或组成该商号的合伙人的去世、精神错乱或破产或退休,或其它原因而有任何变动,本合约将继续就所有目的而言有效并具约束力;

  (e) as regards all Clients 就所有客户:

  (i) the information given by the Client, or on the Client’s behalf, to the Broker in connection with the opening of the Account with the Broker is full and complete and the Broker shall be entitled to rely on such information until the Broker receives written notice from the Client of any changes thereto;

  客户或代客户就与经纪开立账户而给予经纪的数据,乃全面及完整,而经纪有权依赖上述数据,直至经纪收讫客户书面通知更改有关资料;

  (ii) the Client has the authority and capacity to enter into and execute this Agreement and any Client Contract and that, save as disclosed in writing to the Broker, no one except the Client has an interest in the Account;

  客户有权限及能力订立及执行本合约及任何客户合约,及除向经纪书面披露外,并无客户以外第三者在账户内有任何权益;

  (iii) that, save as disclosed in writing by the Client to the Broker, the Client is trading on its own account and does not do so as nominee or trustee for any other person and there exists no arrangements whereby any person other than the Client has or will have any beneficial interest in this Agreement or any Contract or Client Contract made pursuant to this Agreement; and

  除客户向经纪书面披露外,客户是为自身作交易,并非以他人的代名人或受托人身份而作出该交易。亦无任何安排存在,致使客户以外人士拥有或将会拥有本合约或根据本合约所订立的任何合约或客户合约的任何实益权益;及

  (iv) that, save as disclosed in writing by the Client to the Broker, the Account is not an Omnibus Account (as such is defined by the HKFE Rules).

  除客户向经纪书面披露外,账户并非一个综合户口(定义见期交所规则)。

  The Client undertakes to inform the Broker of any change to the information referred to in Clause 16.1(e)(i) as soon as possible.

  客户承诺将尽快通知经纪有关以上第16.1(e)(i)条款之任何资料变动。

  16.2 Without prejudice to Clause 2.1, if the Client effects transactions for the account of its clients, whether on a discretionary or non-discretionary basis, and whether as agent or by entering into matching transaction as principal with any clients of the Client, the Client agrees that, in relation to a transaction where the Broker has received an enquiry from any Exchange, regulatory authority or government body of Hong Kong (“Hong Kong Regulators”), the following provisions shall apply:

  在不损害第2.1条款的情况下,若客户是为其客户进行交易,不论是否受客户全权委托、以代理人身份抑或以当事人身份与客户之客户进行对盘交易,客户同意就经纪接获香港任何交易所、监管机构或政府机关(「香港监管机构」)查询的交易而言,须遵守下列规定:

  (a) Subject to as provided below, the Client shall, immediately upon request by the Broker (which request shall include the relevant contact details of the Hong Kong Regulators), inform the Hong Kong Regulators of the identity, address, occupation and contact details of the client for whose account the transaction is effected and (so far as known to the Client) of the person with the ultimate beneficial interest in the transaction. The Client shall also inform the Hong Kong Regulators of the identity, address, occupation and contact details of any third party (if different from the client/the ultimate beneficiary) originating the transaction.

  在符合下列规定下,客户须按经纪要求(此要求应包括香港监管机构的联络详情),立即知会香港监管机构有关所进行交易之账户所属客户及(据客户所知)该宗交易的最终受益人的身份、地址、职业及联络数据。客户亦须知会香港监管机构任何发起有关交易的第三者(如与客户/最终受益人不同者)的身份、地址、职业及联络数据。

  (b) If the Client effects the transaction for a collective investment scheme, discretionary account or discretionary trust, the Client shall, immediately upon request by the Broker (which request shall include the relevant contact details of the Hong Kong Regulators), inform the Hong Kong Regulators of the identity, address, occupation and contact details of the person(s) who, on behalf of the scheme, account or trust, has instructed the Client to effect the transaction.

  若客户是为集体投资计划、全权委托账户或全权委托信托进行交易,客户须按经纪要求(该要求应包括香港监管机构的联络详情),立即知会香港监管机构有关该名代表计划、账户或信托曾向客户发出交易指示的人士的身份、地址、职业及联络数据。

  (c) If the Client effects the transaction for a collective investment scheme, discretionary account or discretionary trust, the Client shall, as soon as practicable, inform the Broker when its discretion to invest on behalf of the scheme, account or trust has been overridden. In the case where the Client’s investment discretion has been overridden, the Client shall immediately upon request by the Broker (which request shall include the relevant contact details of the Hong Kong Regulators), inform the Hong Kong Regulators of the identity, address, occupation and contact details of the person(s) who has or have given the instruction.

  若客户是为集体投资计划、全权委托账户或全权委托信托进行交易,客户在其全权代表该计划、账户或信托进行投资的权力已予撤销时须在尽快可行的情况下通知经纪。在客户全权代客投资的权力已予撤销的情况下,客户须按经纪要求(该要求应包括香港监管机构的联络详情),立即知会香港监管机构有关该名/或多名曾向客户发出指示的人士的身份、地址、职业及联络数据。

  (d) If the Client is a collective investment scheme, discretionary account or discretionary trust and in respect of a particular transaction, the discretion of the Client or its officers or employees has been overridden, the Client shall, as soon as practicable, inform the Broker when its discretion to invest on behalf of the beneficiary(ies) of such scheme, account or trust has been overridden. In case where the Client’s investment discretion has been overridden, the Client shall, immediately upon request by the Broker (which request shall include the relevant contact details of the Hong Kong Regulators), inform the Hong Kong Regulators of the identity, address, occupation and contact details of the person(s) who has or have given the instruction in relation to the relevant transaction.

  若客户是一集体投资计划、全权委托账户或全权委托信托,而客户、其高级职员或雇员就某一交易拥有的权力已予撤销时,客户在其全权代表该计划、账户或信托进行投资的权力已予撤销时须在尽快可行的情况下通知经纪。在客户全权代客投资的权力已予撤销的情况下,客户须按经纪要求(该要求应包括香港监管机构的联络详情),立即知会香港监管机构有关该名/或多名曾向客户发出指示的人士的身份、地址、职业及联络数据。

  (e) If the Client is aware that its client is acting as intermediary for its underlying client(s), and the Client does not know the identity, address, occupation and contact details of the underlying client(s) for whom the transaction is effected, the Client confirms that:

  若客户知悉其客户乃以中介人身份为其相关客户进行交易,但客户并不知道有关交易所涉及的客户之身份、地址、职业及联络数据,则客户确认如下:

  (i) the Client has legally binding arrangements in place with its client which entitle the Client to obtain the information set out in Clause 16.2 from its client immediately upon request or procure that it be so obtained; and

  客户已与其客户作出具法律约束力的安排,让客户可按要求立即向其客户取得第16.2条款的资料,或促使取得有关资料;及

  (ii) the Client will, upon request from the Broker in relation to a transaction, promptly request the information set out in Clause 16.2 from its client on whose instructions the transaction is effected, and provide the information to the Hong Kong Regulators as soon as it is received from its client or procure that it be so provided.

  客户将按经纪就有关交易提出的要求,即行向其客户(其接受该客户的指示而进行交易)要求提供第16.2条款的数据,及在收到客户之客户所提交的资料后即呈交予香港监管机构,或促使该等资料的提交。

  (f) Without affecting the generality of this Agreement, Clause 16.2 shall continue in effect notwithstanding the termination of this Agreement.

  在不影响本合约的一般性的原则下,第16.2条款即使在本合约终止后仍继续生效。

  17. Currency Transactions 货币交易

  In the event that the Client directs the Broker to enter into any contract on an Exchange on which Transactions are effected in a foreign currency:

  如客户指示经纪在交易所订立任何合约,而交易是以外币进行的话:

  i) any profit or loss arising as a result of a fluctuation in the exchange rate affecting such currency will be entirely for the Client’s account and risk;

  该种货币的汇率波动所引致的利润或亏损的风险,概由客户承担;

  ii) margin shall be recorded in such currency or currencies, in such amounts as the Broker may in the Broker’s sole discretion elect;

  经纪可完全酌情决定选择以何种货币记录任何款额的保证金;

  iii) the Broker is authorized to convert funds in the Account into and from foreign currency at a rate of exchange determined by the Broker in the Broker’s sole discretion on the basis of the prevailing money market rates; and

  经纪被授权参考当时货币市场兑汇率,按其绝对酌情权决定的汇率转换账户内的资金的币值;及

  iv) the Broker may further charge the Client a conversion charge of no more than 1% of the amount converted.

  经纪可向客户收取按已兑换金额计算不超过1%的兑换费。

  18. Time of Essence 时间要素

  18.1 Time is of the essence as regards every obligation of the Client but no delay or omission by the Broker to exercise any right, power or remedy shall impair such right, power or remedy, or be construed as a waiver of, or as an acquiescence in, any default. If the Broker on any occasion agrees to waive any such right, power or remedy, such waiver shall not in any way preclude any further exercise thereof or the exercise of any other right, power or remedy. Any waiver by the Broker of any provision of this Agreement and any consent or approval given by the Broker, shall only be effective if given in writing, specifically refers to this clause and even then only for the purpose and upon the terms for which expressly specified.

  对于客户的每项义务而言,时间应为要素,但经纪延迟或遗漏行使任何权利、权力或补救权并不损害该权利、权力和补救权,也不应诠释为放弃追究或默许任何违约的行为。如果经纪于任何情况下同意放弃上述任何权利、权力或补救权,该等弃权在任何方面并不阻止进一步

  行使所放弃的权利、权力或补救权,亦不阻止行使任何其它的权利、权力或补救权。经纪对本合约的任何规定的放弃或经纪所作的任何同意或批准,必须以书面形式表明及明确提述本条款才能有效,尽管如此其用途也只能按其表明的条款的规定。

  18.2 In the event that any document sent or dispatched by the Client to the Broker in connection with the Account or any order made by the Client or any Client Contract or Contract made on the Account is for any reason undated the time and date as shown on the Broker’s time-chop as imprinted on such document at the time of its receipt by the Broker shall be conclusive evidence of the time and date of the said document and the Broker is empowered on the Client’s behalf to insert such time or date on such document accordingly.

  倘若由客户送交或发送予经纪有关账户或客户发出的任何指令或在账户订立的任何客户合约或合约的任何文件,因任何原因没有注明日期,经纪接收到该等文件时盖于该等文件上的时间印章上显示的日期及时间,将作为该等文件日期及时间的确证;而经纪相应地获授权代

  客户把该日期或时间加到该等文件。

  19. Negative Pledge 质押

  The Client agrees (unless with the Broker's prior written consent) not to, and not to purport to, sell, grant an option over or otherwise deal in any way with or create or allow to subsist a charge, pledge or other encumbrance over the Account or anything in it other than pursuant to the terms of this Agreement.

  客户同意(除非获得经纪事前书面同意),除非根据本合约的条款进行,否则不会亦不会声称将账户或账户中的任何东西卖出、给予认购权或以其它方式处理或订立、容许存在抵押、质押或其它产权负担。

  20. Suspension and Termination 暂止及终止

  20.1 The Broker reserves the right at any time and from time to time, without having to give any reason or explanation, to suspend the operation of the Account and/or any services to the Client under this Agreement. Notwithstanding anything herein to the contrary, the Broker may at any time, in its absolute discretion terminate forthwith the Client’s right to access the Electronic Trading Service or any portion of it without notice, and without any obligation to give any reasons therefore or for any reason whatsoever, including but not limited to any unauthorized use of the Access Code or breach of any terms and conditions of this Agreement in any manner whatsoever whether by the Client or by any other persons(s) whomsoever or in respect of Futures and Options Business executed in accordance with the Rules, as a result of or in compliance with the action taken or order by the Commission; or for the purpose of complying with any applicable laws, rules or regulations.

  经纪保留权利,可于任何时间不时暂时终止营运账户及/或暂时终止根据本合约向客户提供的服务,并毋须给予任何理由或解释。尽管本合约有任何相反规定,但经纪可于任何时候按其绝对酌情权在无须通知的情况下,且没有义务为之给予任何理由,或者因此为了任何理

  由,包括但不限于未经授权而使用进入密码或因为客户或任何其它人以任何方式违反本合约的任何条款及细则,或就根据规则执行的期货及期权业务,或因委员会采取的行为或发出的命令或为遵守委员会采取的行动或发出的命令,或为遵守任何适用法律、规则或规例,立即

  终止客户存取电子交易服务或其任何部份。

  20.2 In the event of such termination by the Broker, the Broker shall not be liable to the Client for any claims, losses or anticipated profit which may be suffered by the Client arising out of, pursuant to or connected with such termination.

  倘经纪作出上述终止,经纪无须就客户因该项终止所引起、根据该项终止或与之有关而遭受或获益之任何申索、损失或预计利润向客户负责。

  20.3 Termination of the Agreement shall be without prejudice to the accrued rights of the parties, and any obligations of the parties contained in any provision hereof which may already have arisen prior to the termination.

  本合约之终止并不影响在终止之前可能已产生的双方的累算权利以及本合约条文所载双方的任何义务。

  20.4 The rights and obligations of the Client and the Broker in respect of the Account may be terminated by at least seven (7) business days’ written notice given at any time by the Client to the Broker (or vice versa) without prejudice to any rights, powers or duties of the Broker or the Client in connection with the Account prior to receipt of such notice, and such rights, powers and duties will subsist under the terms of this Agreement until they are discharged in full.

  客户及经纪对有关账户之权利或义务,客户均可于任何时间向经纪(反之亦然)发出书面通知载明该权利或义务于最少7个营业日后终止,且收讫有关通知之前不损经纪或客户对有关账户的任何权利、权力或职责。上述权利、权力及职责,将会根据本合约的条款继续有效,直至全部履行为止。

  21. Further Assurance 进一步保证

  The Client undertakes with the Broker to do and execute any act, deed, document or thing which the Broker may require the Client to do in connection with the implementation, execution and enforcement of any of the terms and any rights conferred by this Agreement. The Client irrevocably authorizes the Broker to do and execute all such acts, deeds, documents or things on behalf of the Client as the Broker considers necessary or desirable in connection with such implementation, execution and enforcement and agrees to ratify or confirm all such acts, deeds, documents or things so done by the Broker acting lawfully and in good faith.

  客户承诺按经纪之要求对有关履行、执行及强制执行本合约任何条款及本合约赋予的任何权利,作出/签订任何行动、契约、文件或事项。客户不可撤销地授权经纪代表客户就上述有关履行、执行及强制执行,作出/签订经纪认为所需或合宜的一切行动、契约、文件或事项,并同意追认或确认经纪真诚及合法作出的该等一切行动、契约、文件或事项。

  22. Compliance with Laws 遵守法律

  The Client shall not instruct the Broker to do anything which is a breach of, or would or is likely to involve a breach of, the Ordinances, the HKFE Rules, the Rules of the Clearing House or any other law, rule or regulation in force and/or applicable to the conduct of the business of dealing in Futures Contracts or Option Contracts (whether or not having the force of law) or any act which,

  in the sole opinion of the Broker would be adverse to the Broker’s lawful interest or its rights under this Agreement.

  客户不得指示经纪作出任何属于、将会或可能涉及违反条例、期交所规则、结算所规则或任何其它有效及/或适用于期货合约或期权合约交易业务处理的法例、规则或规例(不论是否具法律效力),或以经纪意见认为对经纪之合法权益或对本合约赋予经纪之权利不利的任何行动。

  23. Communications 通知

  23.1 All notices, demands, statements and any other communications and documents (collectively “Communication”) required or permitted to be given to the Client may be sent by hand, post, facsimile, telephone or electronic mail to the address for communication specified in the Client Information Form or as notified to the Broker from time to time. All Communication shall be deemed to have been received by the Client (i) 48 hours after posting domestically if sent by post and (ii) at the time of transmission from the Broker if delivered by facsimile, telephone or electronic mail and no such Communication needs to be signed on behalf of the Broker. Every transaction indicated or referred to in communication given by the Broker shall be deemed as conclusive and ratified and confirmed by the Client unless Broker receives from Client written notice to the contrary in the manner as aforementioned, within seven (7) business days from the time communication is given. The Broker shall in no circumstances be held responsible for delays or failure in transmission of instruction due to breakdown of communication facilities or for any other matter beyond reasonable control of the Broker.

  需要或准许给予客户的所有通知、要求、结单与其它通讯及文件(统称「通讯」)可以专人送递、邮递、传真、电话或电子邮件方式送交至「客户数据表」指定的或不时通知经纪的地址、传真或电话号码或电子邮件地址。所有通讯(i)若以邮递方式送交,当于发送后48小时后收讫;及(ii)若以传真、电话或电子邮件方式发出,则当作于经纪传送之时收讫,而通讯并不需要经纪的授权签署。除非经纪收到客户以本段所述的方式在经纪发出之任何通讯之7个营业日内以书面通知提出反对,否则该等通讯及每一账户结单上所显示或提及的每项交易,将被客户视为确实、已追究及确认。若因通讯设备故障或任何其它经纪无法合理控制之事情而导致传送指令之工作有所延误或失误,经纪在任何情况下毋须负责。

  23.2 The Broker shall be entitled to assume, without further investigation or enquiry, that any Communication which on the face of it appears to have been forwarded by either the Client or its agent, has in fact been sent by either the Client or its agent, as the case may be. The facsimile copy of any Communication shall have the same force as the original.

  经纪将有权假设,而不需作出进一步的调查或询问,若客户或其代理人所传送的任何通讯表面上看来是由客户或其代理人发出的,该等通讯便可被认作确实是由客户或其代理人(视情况而定)所传送的。任何通讯的传真副本与其正本具有同等效力。

  23.3 The Client confirms and agrees that the information contained in the “Client Information Form” or otherwise supplied by or on behalf of the Client to the Broker in connection with the opening an account is complete, true and correct and will inform the Broker of any material changes to such information as soon as possible. The Broker is entitled to rely on such information until written notice from the Client of any changes therein has been received.

  客户确认及同意,「客户数据表」内所载数据,或以其它方法由客户或客户代表就开立账户向经纪提供之有关数据皆为完整、真实及正确及如有重大的变更,将会尽快通知经纪。经纪有权倚赖此等资料,直至收到客户书面通知有任何变更为止。

  23.4 The Broker will notify the Client of any material changes: (i) the name and address of the business of the Broker; (ii) the licensing status of the Broker with the SFC and the Broker’s CE number; (iii) the description of the nature of services provided by the Broker; (iv) the description of the remuneration payable to the Broker and the basis for such payment; (v) the details of margin requirements, interest charges, margin calls, and the circumstances under which the Client’s position may be closed without the Client’s consent.

  倘经纪的业务有重大变更如:(i)经纪之名称及业务地址;(ii)经纪于证监会之持牌状况及经纪之中央编号;(iii)经纪所提供之服务性质的描述;(iv)支付给经纪之报酬的描述及给予该款项的准则;(v)按金要求之详情、利息费用、按金追收及毋须客户同意下为客户平仓的情况,经纪将会通知客户。

  24. Translation 翻译

  This Agreement may be translated into any other language but, in the event of any conflict, the English version shall apply and prevail.

  本合约可被翻译为任何其它语文,但若有任何抵触,以英文本为准。

  25. Payment to Client 予客户的付款

  The Broker is authorized and entitled to credit any payment due to the Client pursuant to this Agreement:

  经纪获授权及有权根据本合约将应付给客户的任何款项:

  i) to the Account; 记帐入账户;

  ii) by sending a cheque made out to the Client for such payment by mail at the risk of the Client to the Client's last known address; and/or

  将有关款项以抬头人为客户的支票邮寄往客户最后为经纪所知的地址,邮递风险概由客户承担;及/或

  iii) by depositing a cheque into or transferring payment to, a bank account and/or payee specified in the Client Information Form by the Client (subject to changes duly notified in writing to the Broker).

  以存入支票或转账款项方式付给客户在客户数据表指定的银行账户及/或收款人(除以书面正式通知经纪有关更改例外)

  and by so doing the Broker shall be fully discharged from its obligations to make any payment to the Client.

  而据此付款后,经纪将获完全地解除向客户付任何款项的责任。

  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

  26.1 This Agreement and all rights, obligations and liabilities arising shall be governed by and construed in accordance with the laws of Hong Kong.

  本合约及当中的一切权利、义务及责任,须受制于香港法律,并按香港法律诠释。

  26.2 The Client submits to the non-exclusive jurisdiction of the courts of Hong Kong in relation to all matters arising out of or in connection with this Agreement.

  因本合约产生或有关的所有事务,客户甘愿受香港法院的非专属司法管辖权囿制。

  26.3 Without prejudice to Clause 26.2, if any dispute of any kind whatsoever shall arise between the parties to this Agreement then the Broker may, instead of court proceedings, require such dispute to be referred to arbitration in accordance with the provisions of the Arbitration Ordinance (Chapter 341) or any statutory modifications thereof then in force and any such reference shall be a submission to domestic arbitration within the meaning of the Arbitration Ordinance.

  在不损害第26.2条款的原则下,本合约各方之间若出现任何类别的任何争议,经纪可以不采取法院程序而要求把上述争议按照《仲裁条例》(香港法例第341章)或其当时有效之任何法定修改进行仲裁。依上述提交之仲裁,将被视为接受《仲裁条例》中涵义之本地仲裁。

  26.4 Without prejudice to Clause 23 above, any documents (including but not limited to writs, summonses, orders, pleadings, petitions and demands) may be served on the Client by leaving at or posting such documents to the last known address of the Client - such service is agreed to be valid service on the Client, whether or not the document(s) concerned is actually received by the Client or comes to the Client’s notice, and the time of service will be the time at which the document(s) is left at the said address or in the case of service by post, 48 hours after posting to that address irrespective of whether the Client’s address is in Hong Kong or not.

  在不损害上述第23条款的原则下,任何文件(包括(但不限于)令状、传票、命令、状书、呈请书及要求)可留于或邮递往客户最后为经纪所知的地址,作为送达文件,现协议上述送达方式为有效向客户送达,不论客户实际有否收讫或是否知悉有关文件,而送达时间将为文件留于上述地址的时间,或(如属邮递送达)于邮递往该地址后48小时,不论客户地址是否在香港。

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

  27.1 The Broker makes no representation or warranty of any kind, express, implied or statutory regarding the Electronic Trading Service or the information or materials contained or referred to in iTrader or otherwise provided via the Electronic Trading Service. To the fullest extent permitted by law, the Broker hereby expressly excludes and disclaims any condition, representation, warranty or responsibility of any kind relating to the Electronic Trading Service and/or such information and materials, whether express or implied, by statute or otherwise, including without limitation any such condition, representation, warranty or responsibility regarding the title, fitness for a particular purpose, merchantability or standard of quality of the Electronic Trading Service and/or such information and materials, that they will be accurate or free of errors or omissions, that they will not infringe any third party rights, that they will be available and uninterrupted at any particular time, free of computer viruses, trojan horses, worms, software bombs or similar items or processes arising from the Client’s use of the Electronic Trading Service, adhere to any particular performance standards or that any instruction to or information requested via the Electronic Trading Service will be acted upon, delivered to or received by the Client in any time or

  at all.

  经纪并不就电子交易服务或iTrader所载或提述的或以其它方式透过电子交易服务提供的数据或信息作出任何性质的明示、默示或法定的陈述或保证。在法律允许的最大范围内,经纪特此明示地排除及卸弃有关电子交易服务及/或上述数据及信息的任何性质的任何条件、陈

  述、保证或责任(不论是明示或默示的,根据法规或其它规定的),包括(但不限于)有关下列各项的任何条件、陈述、保证或责任:有关电子交易服务及/或上述数据及信息的所有权、就某特定用途的适用性、可商售性或质量标准;其将是准确或没有错误或遗漏;其将不会侵犯任何第三方权利;其可在任何特定时间不受干扰地提供使用;其不会因客户使用电子交易服务而产生任何计算机病毒、特洛依木马程序 (trojan horses)、蠕虫程序、软件炸弹或类似项目或进程;其符合任何特定的性能标准;或者透过电子交易服务发出的任何指示或要求的资料将于任何时候得到遵照办理、交付予客户或由客户收到。

  27.2 The information and materials provided via the Electronic Trading Service is provided for information only and should not be used as a basis for making business decisions. Any advice or information provided via the Electronic Trading Service should not be relied upon without consulting primary sources of information and obtaining specific professional advice. The Broker accepts no liability for any loss or damage arising directly or indirectly from action taken, or not taken, in reliance on information or materials provided via the Electronic Trading Service. In particular, no warranty is given that economic reporting information, materials or data is accurate,

  reliable or up to date.

  透过电子交易服务提供的数据及信息仅供参考之用,不应用作为商业决定的根据。在未咨询资料的主要来源并取得具体的专业意见的情况下,不应倚赖透过电子交易服务提供的任何意见或数据。如果因倚赖透过电子交易服务提供的数据或信息采取或不采取行动而直接或间接

  引致任何损失或损害,经纪概不承担任何法律责任。尤其是,经纪并不保证财经报导数据、信息或数据是准确、可靠或最新的。

  27.3 To the fullest extent permitted by law, the Broker shall not be liable for any loss or damage arising directly or indirectly (including special, incidental or consequential loss or damage) from the Client’s use of the Electronic Trading Service including any loss, damage or expense arising from, but not limited to, any defect, error, fault, mistake or inaccuracy with information provided via the Electronic Trading Service, or due to any unavailability of the Electronic Trading Service or any contents therein where such loss or damage is caused by the Client’s negligence; by the Client’s failure to comply with this Agreement; or by any reason or circumstance beyond the Broker’s control.

  在法律允许的最大范围内,对于客户使用电子交易服务而直接或间接引致的任何损失或损害(包括特殊、附带或相应而产生的损失或损害),包括(但不限于)因透过电子交易服务提供的数据的任何缺陷、错误、故障、过失或不准确性,或者因电子交易服务或其任何内容未

  能提供使用而引致的任何损失、损害或开支,而该等损失或损害是由于客户的疏忽、客户不遵守本合约或经纪不能合理控制的任何原因或情况造成的,经纪概不承担法律责任。

  27.4 The Broker does not guarantee that any communications from or via the Electronic Trading Service and/or via other means will be sent to the Client or received by the Broker nor does the Broker warrant the privacy and/or security of such communications during transmission.

  经纪不保证来自或透过电子交易服务及/或透过其它方法发出的任何通讯将会送达给客户或由经纪收到,亦不就该等通讯在传送期间的私隐及/或安全作任何保证。

  27.5 The Client acknowledges that there are risks inherent in using the Electronic Trading Service but agrees that the benefits justify these risks and the Client waives any claim the Client might have against the Broker because of:

  客户确认,使用电子交易服务存在固有风险,但客户同意,相对于其利益而言,承担这些风险是值得的,而且客户放弃客户因下述情况而可能对经纪提出的任何申索:

  i) any failure of systems or equipment (whether or not provided by the Broker) including telecommunications services and facilities or any computer virus or similar problems;

  任何系统或设备(包括电讯服务及设施)的任何故障,不论该等系统或设备是否由经纪提供,或任何计算机病毒或类似问题;

  ii) the Broker’s acceptance of any unauthorized instructions which appear (or which the Broker reasonably believes) to be from the Client;

  经纪接受任何看似(或经纪有理由相信)是由客户发出的指示,尽管该等指示是未经授权的;

  iii) delays in the implementation of Instructions to the extent that such was outside the Broker’s control;

  延误执行指示,但仅以因经纪不能控制的范围为限;

  iv) delays in delivery or availability of, or failure to deliver or make available, or any interruption or unauthorized access of, any part of the Electronic Trading Service to the extent that such was outside the Broker’s control;

  延误交付或提供或者未交付或提供电子交易服务的任何部份,或者任何干扰或未经授权进入电子交易服务的任何部份,但仅以因经纪不能控制的范围为限;

  v) delays in despatch or delivery of, or failure to despatch or deliver, or unauthorized interception, corruption or loss of, any notice or information provided or requested via the Electronic Trading Service or any inaccuracy, error or omission in or from any such notice or in or from any information contained in any such notice to the extent that such was outside the Broker’s control;

  延误发出或交付或者未发出或交付透过电子交易服务规定或要求的任何通知或数据,或者未经授权而截取、毁坏或遗失任何该等通知或数据,或者任何上述通知或该等通知所载的任何数据的任何不准确性、错误或遗漏,但仅以因经纪不能控制的范围为限;

  vi) the Client’s failure to use the Electronic Trading Service in accordance with this Agreement or any relevant agreement between the Broker and the Client;

  客户没有按本合约或客户与经纪订立的任何有关协议使用电子交易服务;

  vii) the Client’s reliance, use or otherwise acting upon any information or materials provided via the Electronic Trading Service.

  客户依据或使用透过电子交易服务提供的任何数据或信息,或者以其它方式按照该等数据或信息行事。

  27.6 The Broker shall not be liable for any loss incurred by the Client, directly or indirectly, with respect to the Account or trading in Futures and Options due to government restriction, suspension of trading, wars, strikes or any other event beyond the control of the Broker.

  对于由于政府限制、暂停交易、战争、罢工或经纪控制范围以外的任何其它事件而使客户就账户或期货及期权交易直接或间接招致的任何损失,经纪概不负责。

  28. General 一般规定

  28.1 These terms and conditions and the Circular to Clients relating to the Personal Data (Privacy) Ordinance issued by the Broker may be amended, supplemented or revised by the service of a notice in writing to the Client by the Broker and such amendment, supplement or revision shall be applicable as from the date specified in such notice.

  本条款及细则及经纪所发出的《个人资料(私隐)条例》客户通告之更改、增补或修订,可由经纪透过书面通告送达客户,而该等更改、增补或修订之生效日期为该通告所载述之日期。

  28.2 If the Broker fails to meet its obligations to Client pursuant to this Agreement, Client shall have a right to claim under the Investor Compensation Fund established under the Securities and Futures Ordinance, subject to the terms of the Investor Compensation Fund from time to time.

  倘经纪没有依照本合约的规定履行对客户的责任,客户有权向根据《证券及期货条例》成立的投资者赔偿基金索偿,惟须受投资者赔偿基金不时的条款制约。

  28.3 To the extent permitted by law, the Broker may from time to time amend any of the terms and conditions of this Agreement without prior notice to or approval from the Client and such amendments shall come into effect immediately upon Client’s deemed receipt of the Broker’s notice. The Client acknowledges and agrees that if Client does not accept any amendments as notified by the Broker from time to time, the Client shall have the option to terminate this Agreement by giving written notice to the Broker. Unless otherwise stated, an amendment to any provision of this Agreement shall not affect the other provisions of this Agreement.

  在法律容许之范围内,经纪可不时修订本合约之任何条款及细则,毋须事前通知客户或取得客户批准,该等修订于客户被视作接获经纪之通告时立即生效。客户得悉及同意,倘客户不接受经纪不时通知之任何修订,客户将有权选择以书面形式通知经纪终止本合约。除非另行

  述明,否则本合约任何条文之修订均不影响本合约的其它条文。

  28.4 The headings for each provision, clause or term of this Agreement are merely descriptive and shall not be deemed to modify or qualify any of the rights or obligations set forth in each of such provision, clause or term.

  本合约每项规定、条文或条款的标题仅属说明性质,不得被视为更改或限制每一该等规定、条文或条款所列的任何权利或义务。

  28.5 The Client may not assign, transfer or amend this Agreement or otherwise dispose of rights or obligations hereunder without the prior written consent of the Broker. The Broker may assign, transfer or otherwise dispose of all or any of its rights or obligations to any other person as it thinks fit. All the provisions of this Agreement and all instructions given to the Broker under this Agreement shall survive any changes or successions in the Broker’s business and shall be binding upon the Client’s successors and permitted assigns.

  未经经纪事先书面同意,客户不得转让、转移、修订本合约或以其它方式处置本合约之下的权利或义务。经纪可向其认为合适的任何其它人转让、转移或以其它方式处置其全部或任何权利或义务。本合约的所有条文以及根据本合约给予经纪的所有指示应在经纪业务的任何变

  更或继承之后仍然有效,并对客户的继承人和核准受让人具有约束力。

  28.6 Each of the provisions of this Agreement is severable and distinct from the other and, if one or more of such provisions is or becomes illegal, invalid or unenforceable, the remaining provisions shall not be affected in any way.

  本合约各个条款均可以分割,并互相独立。如有一个或以上条款属于或变成不合法、无效或不能强制执行,其余条款均不在任何方面受影响。

  28.7 Client confirms that Client have read and agrees to the terms of this Agreement, which have been explained to Client in a language that Client understands.

  客户确认已详阅并明白本合约的条款及细则,并同意受其约束,而且该等条款已经以客户明白的语言向客户解释。

  28.8 In the event of any difference in interpretation or meaning between the Chinese and English version of this Agreement, Client agrees that the English version shall prevail.

  如本合约中英两种语文版本的释义或涵义之间有不一致,客户同意以英文版本为准。

  28.9 The rights, powers, remedies and privileges in this Agreement are cumulative and not exclusive of any rights, powers, remedies and privileges provided by law.

  本合约的权利、权力、补救方法和特权是累积的,并不排除法律规定的任何权利、权力、补救方法和特权。

  28.10 This Agreement is governed by, and may be enforced in accordance with the laws of Hong Kong.

  本合约受香港法律管辖,并且可以根据香港法律执行。

  Disclaimers 免责声明

  HSI and Sub-index Futures Disclaimer 免责声明 - 恒生指数及分类指数期货

  "HSI Services Limited ("HSI") currently publishes, compiles and computes a number of stock indices and may publish, compile and compute such additional stock indices at the request of Hang Seng Data Services Limited ("HSDS") from time to time (collectively, the "Hang Seng Indices"). The marks, names and processes of compilation and computation of the respective Hang Seng Indices are the exclusive property of and proprietary to HSDS> HSI has granted to the Exchange by way of licence the use of the Hang Seng Index and the four Sub-indices of the Hang Seng Index, the Hang Seng China-Affiliated Corporations Index and the Hang Seng China Enterprises Index solely for the purposes of and in connection with the creation, marketing and trading of futures contracts based on such indices respectively and may from time to time grant to the Exchange corresponding use of any other Hang Seng Indices for the purposes of and in connection with futures contracts based on such other Hang Seng Indices (collectively, "Futures Contracts"). The process and basis, of compilation and computation of any of the Hang Seng Indices and any of the related formula or formulae, constituent stocks and factors may at any time be changed or altered by HSI without notice and the Exchange may at any tie require that trading in and settlement of such of the Futures Contracts as the Exchange may designate be conducted by reference to an alternative index or alternative indices to be calculated. Neither the Exchange nor HSDS nor HSI warrants or represents or guarantees to any Member of any third party the accuracy or completeness of the Hang Seng Indices or any of them and the compilation and computation thereof or any information related thereto and no such warranty or representation or guarantee of any kind whatsoever relating to the Hang Seng Indices or any of them is given or may be implied. Further, no responsibility or liability whatsoever is accepted by the Exchange, HSDS or HSI in respect of the use of the Hang Seng Indices or any of them for the purposes of and in connection with the Futures Contracts or any of the and/or dealings therein, or for any inaccuracies, omissions, mistakes, errors, delays, interruptions, suspension. changes or failures (including but not limited to those resulting from negligence) of HSI in the compilation and computation of the Hang Seng Indices or any of them or for any economic or other losses which may be directly or indirectly sustained as a result thereof by any Member or any third party dealing with the Futures Contracts or any of them. No claims, actions or legal proceedings may be brought by any Member or any third party against the Exchange and/or HSDS and/or HSI in connection with or arising out of matters referred to in this disclaimer. Any Member or any third party deals in the Futures Contracts or any of them in full knowledge of this disclaimer and can place no reliance whatsoever on the Exchange, HSDS and/or HSI."

  恒生指数及恒生指数之四种分类指数,即恒生金融分类指数、恒生公用分类指数、恒生地产分类指数及恒生工商分类指数 (合称「恒生分类指数」)、其各自之标记、名称及编制及计算方法为恒生数据服务有限公司之独家财产及专利品,并由恒指服务有限公司刊印、编制及计算。恒指服务有限公司经已以许可证之形式,允许香港联交所使用恒生指数及恒生分类指数,纯粹分别用作设立、推广及买卖以恒生指数及恒生分类指数为基准之期货合约 (合称「期货合约」) 之基准。编制及计算恒生指数及恒生分类指数之程序及基准及任何有关公式或各项公式、成份股及系数可在无须通知之情况下由恒指服务有限公司不时作出变动或更改,而香港期交所可不时要求香港期交所可能指定之该等期货合约之买卖及结算参考一项或多项将会计算之替代指数进行。香港期交所或恒生数据服务有限公司或恒指服务有限公司概无就恒生指数及 / 或任何恒生分类指数及其编制及计算或其任何有关资料之正确性或完整性而给予任何交易所参与者或任何第三者保证或声明或担保,亦无就有关恒生指数及/ 或任何恒生分类指数给予或暗示任何该等保证或声明或任何类别之担保。此外,香港期交所、恒生数据服务有限公司或恒指服务有限公司亦不会就有关期货合约及 / 或买卖期货合约而使用恒生指数及 / 或任何恒生分类指数,或恒指服务有限公司编制及计算恒生指数及 / 或任何恒生分类指数之任何不正确、遗漏、错误、出错、延误、中断、暂停、变动或故障 (包括但不限于由于疏忽所引致之事宜) 或任何交易所参与者或任何第三者买卖期货合约而直接或间接导致之任何经济或其它损失承担任何责任或债务。任何交易所参与者或任何第三者概不得就本免责声明所述所产生之事宜向香港期交所及/或恒生数据服务有限公司及/或恒指服务有限公司提出索偿、法律行动或法律诉讼。任何买卖期货合约之交易所参与者或任何第三者均完全明了本免责声明,并不会对香港期交所、恒生数据服务有限公司及/或恒指服务有限公司作任何依赖。

  HKFE Disclaimer 香港期交所免责声明

  Stock indices and other proprietary products upon which contacts traded on Hong Kong Futures Exchange Limited (the “Exchange”) may be based may from time to time be developed by the Exchange. The HKFE Taiwan Index is the first of such stock indices developed by the Exchange. The HKFE Taiwan Index and-such other indices or proprietary products as may from time to time be developed by the Exchange (“the Exchange Indices”) are the property of the Exchange. The process of compilation and computation of each of the Exchange Indices is and will be the exclusive property of and proprietary to the Exchange. The Process and basis of compilation and computation of the Exchange Indices may at any time be changed or altered by the Exchange without notices and the Exchange may at any time require that trading in and settlement of such futures or options contracts based on any of the Exchange Indices as the Exchange may designate be conducted by reference to an alternative index to be calculated. The Exchange does not warrant or represent or guarantee to any Member or any third party the accuracy or completeness of any of the Exchange Indices or their compilation and computation or any information related thereto and no such warranty or representation or guarantee of any kind whatsoever relating to any of the Exchange Indices is given or may be implied. Further, no responsibility or liability whatsoever is accepted by the Exchange in respect of the use of any of the Exchange Indices or for any inaccuracies, omission, mistakes, errors, delays, interruption, suspensions, changes or failures (including but not limited to those resulting from negligence) of the Exchange or any other person or persons appointed by Exchange to compile and compute any of the Exchange Indices in the compilation and computation of any of the Exchange Indices or for any economic or other losses which may be directly or indirectly sustained as a result thereof by any Member or any third party dealing with futures or options contracts based on any of the Exchange Indices. No claims, actions or legal proceedings may be brought by any Member or any third party against the Exchange in connection with or arising out of matters referred to in this disclaimer. Any Member or any third party engages in transaction in futures and options contracts based on any of the Exchange Indices in full knowledge of this disclaimer and place no reliance on the Exchange in respect of such transactions.

  作为在香港期货交易所有限公司 (「交易所」) 买卖合约基准之股份指数及其它专利产品可由交易所不时发展。香港期交所台湾指数为交易所发展之首个该等股份指数。可由交易所不时发展之香港期交所台湾指数及该等其它指数或专利产品(「交易所指数」)为交易所之财产。编制及计算各交易所指数之程序属及将属交易所之独家财产及专利品。编制及计算交易所指数之程序及基准可在无须通知之情况下由交易所随时作出变动或更改,而交易所亦可随时要求以交易所可能指定之任何交易所指数为基准之该等期货或期权合约在买卖及结算时参考一项将会计算之替代指数。交易所概无就任何交易所指数或其编制及计算或任何有关资料之准确性或完整性而向任何会员或任何第三者作出保证或声明或担保,亦无就与任何交易所指

  数相关之任何事宜作出或暗示任何该等保证或声明或任何类别之担保。此外,交易所亦不会就任何交易所指数之使用或交易所或其委任以编制及计算任何交易所指数之任何一名或多名人士在编制及计算任何交易所指数时出现之任何不确、遗漏、错误、出错、延误、中断、暂停、变动或故障 (包括但不限于因疏忽所致之事宜) 或任何会员或任何第三者因买卖以任何交易所指数为基准之期货及期权合约而直接或间接导致之任何经济或其它损失承担任何责任或债务。任何会员或任何第三者概不得就与本免责声明所述有关或因而产生之事宜向交易所提出索偿、法律行动或法律诉讼。任何参与买卖以任何交易所指数为基准之期货及期权合约之会员或任何第三者均完全明了本免责声明,并不会就该等交易而对交易所作任何依赖。

  Circular to Clients Relating to Personal Data (Privacy) Ordinance (the “Ordinance”)

  关于《个人资料(私隐)条例》(「条例」)客户通告

  1. From time to time, it is necessary for clients to supply the Group with data in connection with the opening or continuation of accounts and the establishment or continuation of credit facilities or provision of securities brokerage and futures trading, nominee and investment advisory service. At the same time, some of the data are collected pursuant to laws, regulations, rules or codes binding on the Broker or any Broker’s Group Company.

  客户需不时地向本集团提供与开设或维持账户、开设或维持贷款融资或者与证券经纪及期货

  交易、股票托管和投资咨询服务有关的资料。同时,有一部份资料是根据对经纪或经纪之集团公司具约束力的法律、规定、规则或守则加以收集的。

  2. Failure to supply such data may result in the Broker being unable to open or continue accounts or establish or continue credit facilities or provide securities brokerage and futures trading, nominee and investment advisory services.

  如客户未能提供该等数据,则经纪将无法代客户开设或维持账户,或开设或维持贷款融资,或提供证券经纪及期货交易、股票托管和投资咨询服务。

  3. It is also the case that the data are collected from clients in the ordinary course of the continuation of the business relationship.

  所有资料均以维持正常业务联系的需要而向客户收集的。

  4. The purposes for which data relating to a client may be used are as follows:

  与客户有关的资料主要有如下用途︰

  . the daily operation of the services and credit facilities provided to clients;

  为客户提供日常运作服务和贷款融资服务;

  . conducting credit checks; 进行信贷检查;

  . assisting other financial institutions to conduct credit checks;

  协助其它财务机构进行信贷检查;

  . designing financial services or related products for clients’ use;

  根据客户的需要设计有关的财务服务或相关产品;

  . marketing financial services or related products; 推广上述的金融服务和相关产品;

  . determining the amount of indebtedness owed to or by clients;

  确定欠付客户或客户欠付的债务款额;

  . collection of amount outstanding from clients and those providing security for clients’obligation; 向客户或为客户责任提供担保的人士收回亏欠的款项;

  . meeting the requirements to make disclosure under the requirements of any laws, regulations, rules, codes binding on the Broker or any Broker’s Group Company; and

  根据对经纪或经纪之集团公司具约束力的法律、规定、规则或守则的要求作出披露;及

  . purposes ancillary or relating thereto. 其它附带或相关用途。

  5. Data held by the Broker relating to a client will be kept confidential but the Broker may provide such information to the following parties within or outside Hong Kong to the extent permitted by law:

  经纪持有的客户数据将会保密,经纪仅会于法律允许范围下向下列香港以内或以外人士提供客户数据︰

  . any agent, contractor or third party service provider who provides administrative, telecommunications, computer, payment or securities clearing, printing or other services to the Broker in connection with the operation of its business;

  向经纪提供与业务活动有关的管理、电讯、计算机、款项或证券结算、印刷或其它服务的任何代理人、合约商或者第三方服务提供者;

  . any other companies within the Broker’s Group Company, including the parent company;

  经纪之集团公司内的任何其它公司,包括母公司;

  . any other person under a duty of confidentiality to the Broker including a company of the Broker’s Group Company which has undertaken to keep such information confidential;

  遵守经纪保密原则的任何其它人,包括已承诺将上述数据保密的经纪之集团公司;

  . any financial institution with which the client has or proposes to have dealings;

  客户与之有业务往来或即将有业务往来的任何金融机构;

  . any actual or proposed assignee of the Broker or participant or sub-participant or transferee of the Broker’s rights in respect of the client;

  经纪的任何实际或建议承让人,或者与客户相关的经纪权益参与人或次参与人或转让人;

  . any other person when we are compelled to make disclosure under the requirements of any laws binding on the Broker or any of Broker’s Group Company;

  根据对经纪或经纪之集团公司具约束力的法律要求必须向其作出披露的任何其它人士;

  . any person with the client’s express or implied consent; and

  经客户明示或默示同意的任何人士;及

  . any person in the event that the Broker’s interests require disclosure.

  经纪因本身利益需要而必须对其作出披露的任何人士。

  6. In the course of performing our duties, the Broker may, as permitted by law, match, compare, transfer or exchange any personal data provided by the client, or hereafter obtained, for these or any other purposes by the Broker, with data held by government bodies, other regulatory authorities, corporations, organizations or individuals in Hong Kong or overseas for the purpose of verifying those data.

  在履行本身的业务活动过程中,经纪可能在法律允许的范围内,把客户所提供的或经纪其后为此目的或其它目的所获得的客户个人数据与香港及海外的政府机构、其它监管机构、公司、组织或个人所持的数据进行校对、比较、转移或交换,以便确认该等数据的可靠性。

  7. Under and in accordance with the terms of the Ordinance, any individual:

  在符合条例之条款的情况下及按照条例的条款,任何人士︰

  has the right to check whether the Broker holds data about him/her and the right of access to such data;

  有权查询经纪是否持有他/她的数据并有权取得该等资料;

  . has the right to require the Broker to correct any data relating to him/her which is inaccurate; and有权要求经纪更改有关他/她的不正确数据;及

  . has the right to ascertain the Broker’s policies and practices in relation to data and to be informed of the kind of personal data held by the Broker.

  有权查询经纪拥有该些数据的政策和应用范围,并可了解经纪所持有的个人资料的种类。

  8. In accordance with the terms of the Ordinance, the Broker has the right to charge a reasonable fee for the processing of any data access request.

  在符合条例之条款情况下,经纪有权对数据查询人士收取合理的费用。

  9. The person to whom requests for access to data or correction of data or for information regarding policies and practices and kinds of personal data held are to be addressed is as follows:任何人士如欲查询数据或更正数据或查询有关政策和应用范围以及个人数据的种类等数据,请随时致函︰

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