Northbound Trading Sample Clauses

Northbound Trading. 滬港通/深港通相關之條款
Sample 1
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Northbound Trading. 滬港通/深港通相關之條款 (a) The Client agrees to comply with all applicable laws including but not limited to the business and trading rules and regulations of SSE/SZSE and other applicable laws of Mainland China relating to Northbound trading. The Client agrees to comply and understand fully the Mainland rules and regulations in relation to short-swing profits, disclosure obligations and follow such rules and regulations accordingly. Under PRC regulations, the "short swing profit rule" may require the Client to return any profits made from purchases and sales in respect of SHHK Connect/SZHK Connect Securities if (1) the Client’s shareholding in the relevant listed company exceeds the threshold prescribed by the SHHK Connect/SZHK Connect Authority from time to time and (2) the corresponding purchase and sale transaction occurs within six months (or such other prescribed time). The Client agrees to comply with all disclosure of interests obligations within the period specified by the relevant SHHK Connect/SZHK Connect Authorities. This clause shall survive termination of this Agreement. 客戶應遵守所有適用法律，包括但不限於上交所/深交所商業和貿易規則及內地有關北向交易的適用法律。 客戶應完全瞭解並遵守內地有關短線交易利潤及披露責任的法規與章程。根據內地現行法規，若（1）客戶在某一上市公司持股數超過滬港通/深港通相關機構所規定的持倉量，及（2）相應交易發生於六個月之內（或其他所規定的時段之內），“短線交易利潤法則”或會要求客戶交還買賣滬港通/深港通股票所獲得的利潤。客戶同意在各相關機構所規定的期限內完成滬港通/深港通相關的權益披露要求。本協定終止後，本條款仍然有效。 (b) The Client agrees that if the SSE/SZSE Rules are breached, or the disclosure and other obligations referred to in the SSE/SZSE Rules is breached, SSE/SZSE has the power to carry out an investigation, and may, through SEHK (or any other governmental or regulatory body), require LSL to provide relevant information and materials relating to the Client and any transactions and to assist in investigation. The Client hereby authorizes LSL to (1) comply with such disclosure requirements as LSL deemed appropriate; and (2) forward the Client’s identity and any transactions information to SEHK (or any other governmental or regulatory body) which may on-forward to SSE/SZSE for surveillance and investigation purposes. This clause shall survive termination of this Agreement. 客戶同意，倘有違反上交所/深交所規例、或上交所/深交所規例所述的披露及其他責任的情況，上交所/ 深交所有權進行調查，並可能透過聯交所（或任何其他政府或監管機構）要求世傳證券提供客戶或交易相 關資料及材料協助調查。客戶授權世傳證券（1）執行世傳證券認為適當的披露要求；及（2）向聯交所（或任何其他政府或監管機構）轉發客戶身份及任何交易資訊，聯交所可能繼而轉發予上交所/深交所以作監察及調查之用。本協定終止後，本條款仍然有效。 (c) The Client acknowledges that SSE/SZSE may request SEHK to require LSL to (1) issue warning statements (verbally or in writing) to the Client and/or (2) cease to provide No...
Sample 1
Northbound Trading. 22.1 The Client acknowledges that day trading order and naked short selling are not permitted under SHHK Connect/SZHK Connect. The shares purchased by the Client through SHHK Connect/SZHK Connect cannot be sold before settlement. PC Securities Limited shall have the discretion and right to reject any day trading, short selling or other orders that it considers to be not in compliance with applicable laws. All trading under SHHK Connect /SZHK Connect must be conducted on SSE/SZSE and no over-the-counter or manual trades are allowed. 22.2 If the Client’s A-shares are kept outside of PC Securities Limited, the Client must transfer those A-shares to the respective CCASS accounts of PC Securities Limited before the market opens on the day of selling. The Client agrees to comply with any requirements relating to pre-trade checking mandated by PC Securities Limited. PC Securities Limited shall have the right to reject any sell orders and perform such actions it considers necessary if the Client fails to meet any applicable pre-trade checking deadline. 22.3 Foreign shareholding restriction is in place and PC Securities Limited shall have the right to “force-sell” the Client’s shares upon receiving any forced-sale notification (a "Forced-sale Notice") from SHHK Connect/SZHK Connect Authorities. Where PC Securities Limited receives Forced-sale Notice from SHHK Connect/SZHK Connect Authorities or other regulators requiring PC Securities Limited to sell and liquidate any SHHK Connect/SZHK Connect Securities owned by the Client, PC Securities Limited shall have the right to request the Client to sell and liquidate such SHHK Connect/SZHK Connect Securities within the time period specified by the relevant SHHK Connect/SZHK Connect Authority. The Client shall further authorize PC Securities Limited to sell or arrange for the sale of such Securities at such time and on such price and terms as PC Securities Limited determines in its absolute discretion as necessary or desirable to comply with applicable laws. Where SHHK Connect/SZHK Connect Securities owned by the Client that are the subject of a Forced-sale Notice have been transferred from the holding of the clearing participant that settled the relevant Northbound buy order (the "Original CP") to another clearing participant or custodian (the "Recipient Agent"), the Client authorizes PC Securities Limited to provide instructions to the Recipient Agent on the Client’s behalf to return the relevant SHHK Connect/SZHK Connec...
Sample 1

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