Pre-Trade Checking Sample Clauses

Pre-Trade Checking. 4.1 HKSE is required to check that, in respect of any Northbound sell orders given by The Broker, whether The Broker holds sufficient available SSE Securities or SZSE Securities to be able to fill such Northbound sell orders. Pre-Trade Checking will be carried out at the start of each Trade Day. Note in particular, that the Client may be unable to execute a sell order of SSE Securities or SZSE Securities if there has been a delay or failure for whatever reason in the transfer of the relevant SSE Securities or SZSE Securities to any clearing account of the Broker or if for any other reason the Broker consider that there is or may be non-compliance with any relevant Mainland law or rules governing Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect. Any risk, loss or cost resulting from non-compliance or potential non-compliance with Pre-Trade Checking and/or the relevant laws and rules shall be borne solely by the Client.
Sample 1
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Pre-Trade Checking. SEHK is required to check that in respect of any Northbound sell orders given by an Exchange Participant, the relevant Exchange Participant holds sufficient and available China Connect Securities to be able to fill such Northbound sell orders. Pre-Trade Checking will be carried out prior to the start of each Trading Day. Accordingly, you may be unable to execute Northbound sell orders due to Pre-Trade Checking related requirements. Your attention is drawn to the provisions set out in Clause 9 of the China Connect Terms. Note in particular that you may be unable to execute a sell order of China Connect Securities if there has been a delay or failure for whatever reason in the transfer of the relevant China Connect Securities to any clearing account of CSSS or if for any other reason CSSS considers that there is or may be non-compliance with any China Connect Laws or China Connect Rules. Any risk, loss or cost resulting from non-compliance or potential non-compliance with Pre Trade Checking and/or the relevant China Connect Laws or China Connect Rules shall be borne by you.
Sample 1

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