Common use of Response to Enquiries from Regulators Clause in Contracts

Response to Enquiries from Regulators. Where you have received an enquiry from SEHK and/or the SFC (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 I/we have notified you in writing that I am/we are trading on behalf of other person, I/we shall, upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform you and/or 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 me/us) of the person with the ultimate beneficial interest in the relevant dealing. I/We shall also inform you and/or 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 me/us if you are in possession of the relevant information.

Response to Enquiries from Regulators. Where you have received an enquiry from SEHK The Stock Exchange of Hong Kong Limited and/or the SFC Securities and Futures Commission (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 I/we have notified you in writing that I am/we are trading on behalf of other person, I/we shall, upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform you and/or 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 me/us) of the person with the ultimate beneficial interest in the relevant dealing. I/We shall also inform you and/or 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 me/us if you are in possession of the relevant information.