Client Identity Rule. 24.1 If the Client effects Transactions in Securities listed on SEHK, whether on a discretionary or non-discretionary basis, and whether as agent or by entering into matching transactions as principal with its clients, the Client hereby agrees that, in relation to such transaction where WLSL has received an enquiry from SEHK and/or the SFC and/or any other relevant regulatory or supervisory authority, exchange or clearing house (the “Hong Kong regulators”) , the following provisions in this Clause 24 shall apply.
Client Identity Rule. Notwithstanding Clause 2.5, if the Customer effects FX Transactions for the account of others whether on a discretionary or non-discretionary basis, and whether as agent or by entering into matching FX Transactions as principal with its own client, the Customer hereby agrees that, in relation to such FX Transactions where the Company has received an enquiry from the SFC, or any other exchange, governmental or regulatory authority in any jurisdiction (the “Relevant Regulators”), the following provisions shall apply.
Client Identity Rule. 18.1 Response to Enquiries from Regulators Where you have received an enquiry from SEHK and/or the Securities and Futures Commission of Hong Kong (collectively the “Hong Kong regulators”) or request from a stockbroker/licensed person/intermediary in response to the enquiry from any of the Hong Kong regulators, and We have notified you in writing that We are trading on behalf of other person, We shall, upon your request (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 dealing was undertaken and (so far as known to us) of the person with the ultimate beneficial interest in the relevant dealing. We 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 who originated the dealing). You may also comply with such requests directly without reference to us if you are in possession of the relevant information.
Client Identity Rule. Notwithstanding Clause 3.3, if the Customer effects Financial Futures transactions listed on the HKFE, whether on a discretionary or non-discretionary basis, and whether as agent or by entering into matching transactions as principal with its clients, the Customer hereby agrees that, in relation to such transaction where the Company has received an enquiry from the HKFE, the SFC and/or any other relevant regulatory or supervisory authority, exchange or clearing house (the “Hong Kong regulators”), the following provisions shall apply.
Client Identity Rule. 31.1 Subject to the provisions herein, I/we shall, in respect of transactions in which I am/we are not acting as principal, immediately upon demand by you (which demand shall include the relevant contact details of the Regulators as defined below (“your Demand”)) inform the Securities and Futures Commission (the “SFC”) and/or the Exchange (singularly or collectively the “Regulators”) of the identity, address, and contact details of
Client Identity Rule
