Common use of DISCLOSURE OF INFORMATION ABOUT CLIENT Clause in Contracts

DISCLOSURE OF INFORMATION ABOUT CLIENT. 13.1 Subject to the provisions of this Agreement, The Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The Broker may require in order for The Broker to comply with the requirements. 13.2 Without limiting the disclosure to anything provided in Clause 13.1, the Client hereby irrevocably authorizes The Broker and any other M&F Asset Management Company, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The Broker’s or the Client’s interest or is made with the Client’s expressed or implied consent. 13.3 The Client further agrees that The Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management Company, or to any assignee of any of the rights or obligations of The Broker under this Agreement. 13.4 The Client shall provide the information about the identity, address and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條）。

DISCLOSURE OF INFORMATION ABOUT CLIENT. 13.1 Subject to the provisions of this Agreement, The Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The Broker may require in order for The Broker to comply with the requirements. 13.2 Without limiting the disclosure to anything provided in Clause 13.1, the Client hereby irrevocably authorizes The Broker and any other M&F Asset Management SOLOMON Company, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The Broker’s or the Client’s interest or is made with the Client’s expressed or implied consent. 13.3 The Client further agrees that The Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management SOLOMON Company, or to any assignee of any of the rights or obligations of The Broker under this Agreement. 13.4 The Client shall provide the information about the identity, address and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條）。

DISCLOSURE OF INFORMATION ABOUT CLIENT. 13.1 Subject to the provisions of this Agreement, The Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The Broker may require in order for The Broker to comply with the requirements. 13.2 Without limiting the disclosure to anything provided in Clause 13.1, the Client hereby irrevocably authorizes The Broker and any other M&F Asset Management CompanyQogir (Hong Kong) Limited, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The Broker’s or the Client’s interest or is made with the Client’s expressed or implied consent. 13.3 The Client further agrees that The Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management Company, or to any assignee of any of the rights or obligations of The Broker under this Agreement. 13.4 The Client shall provide the information about the identity, address and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條）11.3 經紀將把下列各項的實質性變更通知客戶：（a）其業務名稱和地址；（b）其在證監會的註冊狀況及其 CE 編號；（c）其提供的服 務性質的說明；或（d）應付給經紀之報酬的說明和支付基準。

DISCLOSURE OF INFORMATION ABOUT CLIENT. 客戶資料之披露 13.1 Subject to the provisions of this Agreement, The the Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The the Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The the Broker may require in order for The the Broker to comply with the requirements.requirements within two business days. 根據本協議條文，經紀必須為帳戶內的資料保密。客戶確認根據有關市埸和交易所、規則和監管之條文下，在聯交所、證監會或其他香港的監管機構（「有關監管機 構」）的法律要求下，經紀需透露有關帳戶中交易的詳情、客戶姓名或名稱、受益人身份和客戶的其他資料，客戶同意於兩個工作天內提供該等資料予經紀以符合有關要求。 13.2 Without limiting the disclosure to anything provided in Clause 13.1Clause13.1, the Client hereby irrevocably authorizes The Broker and any other M&F Asset Management Companythe Broker, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The the Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The the Broker’s 's or the Client’s 's interest or is made with the Client’s 's expressed or implied consent. 沒有限制任何於第 13.1 條的披露，客戶茲不可撤銷地授權經紀，在有關監管機構要求以協助其調查或查詢或司法管轄權之法院要求或為公眾利益或為經紀或客戶的利 益或客戶作出明示或暗示同情的情況下，有權在無須通知客戶及獲其同意的情況下，向任何人披露有關帳戶資料、報告、記錄或屬於有關帳戶的文件和其他合適資料，且經紀可適當地製造一份有關客戶和客戶帳戶的電腦記錄或其他文件。 13.3 The Client further agrees that The the Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management Company, or to any assignee of any of the rights or obligations of The the Broker under this Agreement.. 客戶亦同意經紀可於本協議繼續有效時或終止後，在毋須通知客戶的情況下，披露任何有關客戶和有關帳戶的資料給予任何根據本協議賦予經紀的任何權利或義務的 承讓人。 13.4 The Client shall provide the information about the identity, address and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條）contact details (“identity details”) of the persons or entities which (i) 客戶須應有關監察機構之要求，向其提供以下人士有關其身分、地址及聯絡詳情（「身分詳情」）或其他關於客戶之資料： (A) are the Client, 客戶； (B) are ultimately responsible for originating the instructions in relation to the Transactions, or 就有關交易而言，最終負責最初發出該等交易的指示的人士或實體；或 (C) stand to gain the commercial or economic benefit of the transactions and/or bear its commercial or economic risk; 將會從該等交易取得商業或經濟利益及／或承擔其商業或經濟風險的人士或實體；或 or such other information concerning the Client as any relevant regulator may require in order for the Broker to comply with the applicable laws and regulations and the Client authorizes the Broker to provide such information about the Client to such relevant regulator without further consent from or notification to the Client. 有關客戶的其他資料以協助經紀遵守適用的法律及規則。客戶並且授權經紀將上述資料向香港監察機構透露，而無須徵詢客戶的同意或通知客戶。 13.5 Without prejudice to Clause 13.4, 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 transactions 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 the relevant regulators, the following provisions shall apply:

DISCLOSURE OF INFORMATION ABOUT CLIENT. 13.1 Subject to the provisions of this Agreement, The Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The Broker may require in order for The Broker to comply with the requirements. 13.2 Without limiting the disclosure to anything provided in Clause 13.1, the Client hereby irrevocably authorizes The Broker and any other M&F Asset Management DFSL Company, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The Broker’s or the Client’s interest or is made with the Client’s expressed or implied consent. 13.3 The Client further agrees that The Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management DFSL Company, or to any assignee of any of the rights or obligations of The Broker under this Agreement. 13.4 The Client shall provide the information about the identity, address and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條. 知經紀有關變更。倘經紀在七 (7) 日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g) 條）。

DISCLOSURE OF INFORMATION ABOUT CLIENT. 13.1 客戶資料之披露 14.1. Subject to the provisions of this Agreement, The the Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The the Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The the Broker may require in order for The the Broker to comply with the requirements.. 根據本協議條文，經紀必須為帳戶內的資料保密。客戶確認根據有關市埸和交易所、規則和監管之條文的要求，聯交所、證監會或其他香港的監管機構（「有關監管機構」）對帳戶中的交易有管轄權，經紀需根據有關監管機構的要求透露有關帳戶中交易的詳情、客戶姓名或名稱、受益人身份和客戶的其他資料，客戶同意提供該等資料予經紀以符合有關要求。 13.2 14.2. Without limiting the disclosure to anything provided in Clause 13.114.1, the Client hereby irrevocably authorizes The the Broker and any other M&F Asset Management CompanyWAN LUNG company, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The the Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The the Broker’s or the Client’s interest or is made with the Client’s expressed or implied consent.. 在沒有限制任何基於第 14.1 條的披露的情況下，客戶茲不可撤銷地授權經紀和其他萬隆集團成員，在有關監管機構要求以協助其調查或查詢或司法管轄權之法院要求或為公眾利益或為經紀或客戶的利益或客戶作出明示或暗示同意的情況下，有權在無須通知客戶及獲其同意的情況下，向任何人披露有關帳戶資料、報告、記錄或屬於有關帳戶的文件和其他可能需要的或經紀認為合適的資料，且經紀可複製 ㇐份有關客戶和客戶帳戶的電腦記錄或其他文件。 13.3 14.3. The Client further agrees that The the Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management CompanyWAN LUNG company, or to any assignee of any of the rights or obligations of The the Broker under this Agreement.. 客戶亦同意經紀可於本協議繼續有效時或終止後，在毋須通知客戶的情況下，披露任何有關客戶和有關帳戶的資料給予任何其他萬隆集團成員或任何根據本協議受讓經紀的任何權利或義務的承讓人。 13.4 14.4. The Client shall immediately provide the information about the identity, address address, occupation and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條）。contact details (“identity details”) of the persons which: (a) are the Client, or (b) are ultimately responsible for originating the instructions in relation to the Transactions, or (c) stand to gain the commercial or economic benefit of the transactions and/or bear its commercial or economic risk or such other information concerning the Client as any relevant regulator may require (d) in the case of a corporate entity, nature and scope of business activities, source of funds, business structure, shareholdings and other information relating to the ultimate beneficial owner(s) of the Account and/or the person(s) ultimately responsible for the giving of instructions in relation to any transaction or in relation to any dealings with any securities or investments in the Account in order for the Broker to comply with the applicable laws and regulations and the Client authorizes the Broker to provide such information about the Client to such relevant regulator without further consent from or notification to the Client. 客戶須應有關監管機構之要求，立即向其提供以下人士有關其身分、地址、職業及聯絡詳情（「身分詳情」）之資料： (a) 客戶本人；或 (b) 就有關交易而言，對最初發出該等交易的指示最終負責的人士或實體；或 (c) 將會從該等交易取得商業或經濟利益及／或承擔其商業或經濟風險的人士或實體；或有關客戶的其他資料 (d) 倘屬公司實體，就有關帳戶最終受益持有人及／或就任何交易、或就帳戶之任何證券或投資交易作出指示的最終負責人士其業務性質及經營活動範圍、資金來源、業務架構、股權及其他資料 以協助經紀遵守適用的法律及規則。客戶並且授權經紀將上述資料向有關監管機構透露，而無須徵詢客戶的同意或通知客戶。 14.5. Without prejudice to Clause 14.4, 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 transactions 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 the relevant regulators, the following provisions shall apply: (a) Subject to as provided below, the Client shall, immediately upon request by the Broker, inform the relevant regulators of the identity details of the client for whose account the transaction was 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 relevant regulators of the identity details of any third party (if different from the client/the ultimate beneficiary) originating the transaction. (b) If the Client effects the transaction for a collective investment scheme, discretionary account or discretionary trust, the Client shall

DISCLOSURE OF INFORMATION ABOUT CLIENT. 13.1 Subject to the provisions of this Agreement, The Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The Broker may require in order for The Broker to comply with the requirements. 13.2 Without limiting the disclosure to anything provided in Clause 13.1, the Client hereby irrevocably authorizes The Broker and any other M&F Asset Management CompanyManagement, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The Broker’s or the Client’s interest or is made with the Client’s expressed or implied consent. 13.3 The Client further agrees that The Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management CompanyManagement, or to any assignee of any of the rights or obligations of The Broker under this Agreement. 13.4 The Client shall provide the information about the identity, address and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條）。

DISCLOSURE OF INFORMATION ABOUT CLIENT. 13.1 客戶資料之披露 14.1. Subject to the provisions of this Agreement, The the Broker will keep the information relating to the Accounts confidential. The Client acknowledges that there are laws, rules and regulations of the relevant markets and Exchanges which contain provisions requiring The the Broker upon the request of SEHK, the SFC and/or any other regulator in Hong Kong (collectively, “relevant regulators”) having jurisdiction over the Transactions, to disclose details of the Transactions, the name of the Client, beneficial identity of the Transactions and such other information concerning the Client as any such relevant regulators may require and that the Client agrees to provide such information concerning the Client as The the Broker may require in order for The the Broker to comply with the requirements.. 根據本協議條文，經紀必須為帳戶內的資料保密。客戶確認根據有關市埸和交易所、規則和監管之條文的要求，聯交所、證監會或其他香港的監管機構（「有關監管機構」）對帳戶中的交易有管轄權，經紀需根據有關監管機構的要求透露有關帳戶中交易的詳情、客戶姓名或名稱、受益人身份和客戶的其他資料，客戶同意提供該等資料予經紀以符合有關要求。 13.2 14.2. Without limiting the disclosure to anything provided in Clause 13.114.1, the Client hereby irrevocably authorizes The the Broker and any other M&F Asset Management CompanyWAN LUNG company, without further notice and consent from the Client, to disclose to any person information, reports, records or documents pertaining to the Account together with such other information as may be required or The the Broker may deem appropriate and to produce computerized record or other document relating to the Client and the Account if that disclosure is required by the relevant regulators for the purpose of assisting them with any investigation or enquiry they are undertaking or by a court of competent jurisdiction or if the disclosure is in the public interest or in The the Broker’s or the Client’s interest or is made with the Client’s expressed or implied consent.. 在沒有限制任何基於第 14.1 條的披露的情況下，客戶茲不可撤銷地授權經紀和其他萬隆集團成員，在有關監管機構要求以協助其調查或查詢或司法管轄權之法院要求或為公眾利益或為經紀或客戶的利益或客戶作出明示或暗示同意的情況下，有權在無須通知客戶及獲其同意的情況下，向任何人披露有關帳戶資料、報告、記錄或屬於有關帳戶的文件和其他可能需要的或經紀認為合適的資料，且經紀可複製一份有關客戶和客戶帳戶的電腦記錄或其他文件。 13.3 14.3. The Client further agrees that The the Broker may, whether during the continuance or after the termination of this Agreement, without notice to the Client, disclose any information relating to the Client and the Account(s) to any other M&F Asset Management CompanyWAN LUNG company, or to any assignee of any of the rights or obligations of The the Broker under this Agreement.. 客戶亦同意經紀可於本協議繼續有效時或終止後，在毋須通知客戶的情況下，披露任何有關客戶和有關帳戶的資料給予任何其他萬隆集團成員或任何根據本協議受讓經紀的任何權利或義務的承讓人。 13.4 14.4. The Client shall immediately provide the information about the identity, address address, occupation and 知經紀有關變更。倘經紀在七(7)日內仍未能以客戶提供之最新聯絡資料與客戶聯絡以行使或履行根據本協議之權利或義務，客戶同意此事構成證明客戶嚴重違反本協議條款之充分證據，並成為一項失責事件（見第 6.1(g)條）。contact details (“identity details”) of the persons which: (a) are the Client, or (b) are ultimately responsible for originating the instructions in relation to the Transactions, or (c) stand to gain the commercial or economic benefit of the transactions and/or bear its commercial or economic risk or such other information concerning the Client as any relevant regulator may require (d) in the case of a corporate entity, nature and scope of business activities, source of funds, business structure, shareholdings and other information relating to the ultimate beneficial owner(s) of the Account and/or the person(s) ultimately responsible for the giving of instructions in relation to any transaction or in relation to any dealings with any securities or investments in the Account in order for the Broker to comply with the applicable laws and regulations and the Client authorizes the Broker to provide such information about the Client to such relevant regulator without further consent from or notification to the Client. 客戶須應有關監管機構之要求，立即向其提供以下人士有關其身分、地址、職業及聯絡詳情（「身分詳情」）之資料： (a) 客戶本人；或 (b) 就有關交易而言，對最初發出該等交易的指示最終負責的人士或實體；或 (c) 將會從該等交易取得商業或經濟利益及／或承擔其商業或經濟風險的人士或實體；或有關客戶的其他資料 (d) 倘屬公司實體，就有關帳戶最終受益持有人及／或就任何交易、或就帳戶之任何證券或投資交易作出指示的最終負責人士其業務性質及經營活動範圍、資金來源、業務架構、股權及其他資料 以協助經紀遵守適用的法律及規則。客戶並且授權經紀將上述資料向有關監管機構透露，而無須徵詢客戶的同意或通知客戶。 14.5. Without prejudice to Clause 14.4, 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 transactions 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 the relevant regulators, the following provisions shall apply: (a) Subject to as provided below, the Client shall, immediately upon request by the Broker, inform the relevant regulators of the identity details of the client for whose account the transaction was 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 relevant regulators of the identity details of any third party (if different from the client/the ultimate beneficiary) originating the transaction. (b) If the Client effects the transaction for a collective investment scheme, discretionary account or discretionary trust, the Client shall (i) immediately upon request by the Broker, inform the relevant regulators of the identity details of the person(s) who, on behalf of the scheme, account or trust, has instructed the Client to effect the transaction; or (ii) as soon as practicable, inform the Broker when its discretion to invest on behalf of the scheme, account or trust has been overridden, and the Client shall immediately upon request by the Broker, inform the relevant regulators of the identity details of the person who has given the instruction. (c) 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 beneficiaries of such scheme, account or trust has been overridden and immediately upon request by the Broker, inform the relevant regulators of the identity details of the person who has given the instruction in relation to the relevant transaction. (d) If the Client is aware that its client is acting as intermediary for its underlying clients, and the Client does not know the identity details of any underlying client for whom the transaction is effected, the Client confirms that: (i) the Client has legally binding arrangements in place with its client which entitle the Client to obtain the information set out in Clauses 14.5(a), (b) and/or (c) from its client immediately upon request or procure that it be so obtained; and (ii) the Client will, upon request from the Broker in relation to a transaction, promptly request the information set out in Clauses 14.5(a),