华泰金融控股香港有限公司HuataiFinancialHoldingsHongKong.PDFVIP

華泰金融控股(香港)有限公司 Huatai Financial Holdings (Hong Kong) Limited 客戶帳戶主協議 Client’s Master Agreement 1 Section I 第一章 - Securities Trading Agreement 證券交易協議書 PART I 第一部份 DEFINITIONS 釋義P. 4 PART II 第二部份 GENERAL TERMS AND CONDITIONS 一般條款 1. COMPLIANCE WITH LAWS AND REGULATIONS 遵守法律規則P. 7 2. APPOINTMENT AND SCOPE OF AGENCY 代理人的委任及職責範圍 P. 7 3. FORM OF INSTRUCTIO 指示方法 P. 8 4. TRANSACTIONS IN SECURITIES 證券交易 P. 8 5. CHARGES AND EXPENSES 收費及費用 P. 10 6. CLIENT RESPONSIBILITY FOR DISCLOSURE OF INTERESTS 客户披露權益責任 ………………………..……………………P.10 7. DISCLOSURE OF INFORMATION ABOUT CLEINTS 客户資料之披露 P. 11 8. SAFEKEEPING OF SECURITIES 證券的安全保管P.11 9. HUATAI’S USE OF SECURITIES AS COLLATERAL 華泰以證券作抵押品 P.13 10. HUATAI’S MATERIAL INTERESTS 華泰的重大權益 P.13 11. EVENTS OF DEFAULT 遣約事件 P.14 12. CHARGE 扺押 P.15 13. CLIENT’S REPRESENTAITON AND WARRANTIES 客户聲明及保證 P.16 14. AMENDMENTS 修訂 P.18 15. ASSIGNMENT 轉讓 P.18 16. SEVERABILITY 可分割性 P.18 17. LIABILITY AND INDEMNITY 法律責任及彌償 P.18 18. COMBINATION AND SET OFF 合併及銷 P.18 19. JOINT AND SEVERAL LIABILITY/SUCCESSORS 聯名及個別責任/繼承人 P.19 20. NOTICE AND COMMUNICATION 通知及通訊 P.19 21. COMPLAINTS 投訴 P.19 22. TERMINATION 終止 P.19 23. CONFIRMATIONS 確認 P.20 24. DISPUTES AND GOVERNING LAW 爭議及管轄法律 P.20 PART II – ADDITIONAL TERMS APPLICABLE TO RESPECTIVE ACCOUNTS AND SERVICES 第二部份 – 各帳戶及服務所適用之附加條款 Schedule A – Additional Terms for Margin Account 附表Ａ - 保證金帳戶之附加條 P.21 Schedule B – Additional Terms for Electronic Trading Service 附表B － 電子交易服務之附加條款 P.25 Schedule C – Additional Terms for New Listing of Securities 附表C － 新上市證券之附加條款 P.28 PART III – Risk Disclosure Stat