Common use of Client Identity Rules 客戶身份規則 Clause in Contracts

Client Identity Rules 客戶身份規則. 11.1 If the Client effects transactions for its clients, 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 a transaction where the Broker has received an enquiry from the Exchange and/or the SFC (the “Hong Kong Regulators”), the following provision shall apply: 若客戶是為其客戶進行交易，不論是否受其客戶全權委託、以代理人身份抑或以當事人身份與其客戶進行對盤交易，客戶同意就經紀接獲交易所及／或證監會（「香港監管機構」）查詢的交易而言，須遵守下列規定：

Client Identity Rules 客戶身份規則. 11.1 a. If the Client effects transactions for account of its clients, whether on a discretionary or non-discretionary nondiscretionary basis, and whether as agent or by entering into matching transactions as principal with its their clients, the Client hereby agrees that, in relation to a transaction where the Broker Company has received an enquiry from the Exchange and/or the SFC Hong Kong Regulators or any other Exchange, governmental or regulatory authority in any jurisdiction (collectively known as the “Hong Kong Relevant Regulators”), the following provision shall apply: 若客戶是為其客戶進行交易，不論是否受其客戶全權委託、以代理人身份抑或以當事人身份與其客戶進行對盤交易，客戶同意就經紀接獲交易所及／或證監會（「香港監管機構」）查詢的交易而言，須遵守下列規定：若客戶是為其客戶進行交易，不論是否受客戶全權委託、以代理人身份抑或以當事人身份與其客戶進行對盤交易，客戶同意就本公司接獲香港監管機構或其他交易所、其他司法管轄區政府機構或主管機構(統稱為「相關監管機構」)查詢的交易而言，須遵守下列規定: