SECURITIES IN THE ACCOUNT. 4.1 The securities collateral in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities collateral which are listed or traded on market operated by SEHK or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by The Broker (“Local Securities Collateral”) shall be:
(a) deposited in safe custody in a segregated account which is designated as a trust account or client account and maintained by The Broker in Hong Kong with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities; or
(b) deposited in an account in the name of The Broker with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities; or
(c) registered in the name of the Client or The Broker.
4.2 In respect of any securities of the Client other than Local Securities Collateral to which the Securities and Futures (Client Securities) Rules are not applicable under Section 3 of the aforesaid Rules, the Client authorizes The Broker in its discretion to deposit, transfer, lend, pledge, repledge or otherwise deal with such securities to any other parties in whatsoever manner and for any purpose (including without limitation as security for financial accommodation provided to The Broker) The Broker thinks fit.
4.3 Any securities collateral held by The Broker on behalf of the Client in the manner mentioned in Clauses 4.1 and 4.2 or otherwise shall be at the sole risk of the Client and The Broker has no obligation to insure the Client against any kind of risk. The Broker shall not be responsible for any losses, costs, damages, interests and charges arising from or in connection with such dealing of securities under the aforesaid clauses in the absence of bad faith or wilful default of or by The Broker.
4.4 For any securities of the Client deposited with The Broker not registered in the name of the Client, any dividend, distribution or benefits accrued in respect of such securities which are received by The Broker shall be credited to the Account (or payment made to the Client as may be agreed) subject to a reasonable administration fee charged by The Broker. For any securities forming part of a larger holding of identical securities which are held by The Broker for the Client and other persons, the Client is entitled to the same share of t...
SECURITIES IN THE ACCOUNT. 帳戶中的證券
4.1 The securities collateral in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities collateral which are listed or traded on market operated by SEHK or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the Broker (“Local Securities Collateral”) shall be: 客戶於帳戶中的證券抵押品所獲取的對待及處理須符合《證券及期貨條例》的規定，尤其在聯交所營辦的市場上市或交易的證券抵押品或認可集體投資計劃的權益（根據《證券及期貨條例》定義）的證券抵押品且經紀於香港收取或持有該等證券（「本地證券抵押品」），有關證券將：
(A) deposited in safe custody in a segregated account which is designated as a trust account or client account and maintained by the Broker in Hong Kong with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities; 被存放於經紀在認可財務機構、獲證監會核准的保管人或另一獲發牌進行證券交易的中介人在香港開立及維持指定為信託帳戶或客戶帳戶的獨立帳戶作穩妥保管；或
(B) deposited in an account in the name of the Broker with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities; or 被存放於經紀以其名義在認可財務機構、獲證監會核准的保管人或另一獲發牌進行證券交易的中介人的帳戶；或
(C) registered in the name of the Client or the Broker. 以客戶或經紀的名稱登記。
4.2 In respect of any securities of the Client other than Local Securities Collateral to which the Securities and Futures (Client Securities) Rules are not applicable under Section 3 of the aforesaid Rules, the Client authorizes the Broker in its discretion to deposit, transfer, lend, pledge, repledge or otherwise deal with such securities to any other parties in whatsoever manner and for any purpose (including without limitation as security for financial accommodation provided to the Broker) the Broker thinks fit.
4.3 Any securities collateral held by the Broker on behalf of the Client in the manner mentioned in Clauses 4.1 and 4.2 or otherwise shall be at the sole risk of the Client and the Broker has no obligation to insure the Client against any kind of risk. The Broker shall not be responsible for any losses, costs, damages, interests and charges arising from or in connection with such dealing of securities under the aforesaid clauses in the absence of bad faith or wilful default of or by the Broker.
4.4 For any securities of the Client deposited with the Broker not registered in the name of the Client, any dividend, distribution or benefits accrued in respect of such securities which are received by the Broker shall be credited to the Account (or payment made to the Client as...
SECURITIES IN THE ACCOUNT. (S)
7.1 The Client specifically authorizes the Company, in respect of all securities deposited by the Client with the Company or purchased or acquired by the Company on behalf of the Client, and held by the Company for safe keeping, to register the same in the name of an associated entity or in the Client’s name, or deposit in safe custody in a segregated account which is designated as a trust account or client account and established and maintained in Hong Kong by the Company or an associated entity of the Company with an authorized financial institution, an approved custodian or another intermediary licensed for dealing in securities.
7.2 The Client specifically authorizes the Company, in respect of all securities collateral deposited with, or otherwise provided by or on behalf of the Client to the Company, to:
7.2.1 deposit in safe custody in a segregated account which is designated as a trust account or client account and established and maintained in Hong Kong by the Company or associated entity for the purpose of holding securities collateral of the Company with an authorized financial institution, an approved custodian or another intermediary licensed for dealing in securities;
7.2.2 deposit in an account in the name of the Company or associated entity (as the case may be) with an authorized financial institution, an approved custodian or another intermediary licensed for dealing in securities; or
7.2.3 register in the name of the Client on whose behalf the securities collateral has been received, the Company or the associated entity.
7.3 Any securities and securities collateral held by the Company, any associated entity of the Company, banker, institution, custodian or intermediary pursuant to Clauses 7.1 and 7.2 shall be at the sole risk of the Client and the Company and the relevant associated entity, banker, institution, custodian and intermediary shall be under no obligation to insure the Client against any kind of risk, which obligation shall be the sole responsibility of the Client.
7.4 If in relation to any securities deposited with the Company which are not registered in the Client’s name, any dividends or other distributions or benefits accrue in respect of such securities, the Account(s) shall be credited (or payment made to the Client as may be agreed) with the proportion of such benefit equal to the proportion of the securities held on behalf of the Client out of the total number or amount of such securities.
7.5 If in relation to any s...
SECURITIES IN THE ACCOUNT. (S)
13.1 Client specifically authorises SHKIS, in respect of any of the securities (whether in Hong Kong or elsewhere) deposited by Client with SHKIS or purchased or acquired by SHKIS on behalf of Client, and held by SHKIS for safe keeping, to register the same in the name of SHKIS, any member of the Group or any nominee appointed or agreed by SHKIS (whether such nominee is a person in Hong Kong or elsewhere) or in Client’s name, or deposit in a segregated account which is designated as a trust account or client account and established and maintained in Hong Kong by SHKIS or any member of the Group with an authorised financial institution, an approved custodian or another intermediary licensed for dealing in securities (in this Clause 13 referred to as “Segregated Account for Securities”) or deposit with any overseas custodian or overseas clearing house subject to compliance with applicable Regulatory Rules.
13.2 Client specifically authorises SHKIS, in respect of any of the securities collateral (whether in Hong Kong or elsewhere) deposited with, or otherwise provided by or on behalf of Client to SHKIS, to:
13.2.1 deposit in a Segregated Account for Securities;
13.2.2 deposit in an account in the name of SHKIS or any member of the Group (as the case may be) with an authorised financial institution, an approved custodian or another intermediary licensed for dealing in securities;
13.2.3 register in the name of Client on whose behalf the securities collateral has been received, SHKIS or any member of the Group or any nominee appointed or agreed by SHKIS (whether such nominee is a person in Hong Kong or elsewhere) ; or
13.2.4 deposit with any overseas custodian or overseas clearing house subject to compliance with applicable Regulatory Rules.
13.3 Any securities and securities collateral (whether in Hong Kong or elsewhere) held by SHKIS, any member of the Group, banker, institution, custodian, nominee, intermediary or any other person pursuant to this Clause 13 shall be at the sole risk of Client. SHKIS, any member of the Group and the relevant associated entity, banker, institution, custodian, nominee, intermediary and person shall be under no obligation to insure Client against any kind of risk, which obligation shall be the sole responsibility of Client.
13.4 If in relation to any securities deposited with SHKIS or any member of the Group or any other person pursuant to this Clause 13 but which are not registered in Client’s name, any dividends or other d...
SECURITIES IN THE ACCOUNT. Clause 30.2 in Part II the General Terms and Conditions shall not be applicable to securities collateral in the Account. Any securities collateral which are held by us for your Account may, at our absolute discretion, be either:
SECURITIES IN THE ACCOUNT. (S) 账 户 证 券
9.1 Unless otherwise agreed, any Securities (whether in Hong Kong or elsewhere) deposited by the Client with Beijing Shoutong Securities Hong Kong Group Limited for safekeeping may be, at the discretion of Beijing Shoutong Securities Hong Kong Group Limited, to register the Securities in the name of the Client or in the name of Beijing Shoutong Securities Hong Kong Group Limited’s associated entity (as defined in the SFO) or any nominee appointed or agreed by Beijing Shoutong Securities Hong Kong Group Limited; or deposited in a segregated account which is designated as a trust account or client account and established and maintained in Hong Kong by Beijing Shoutong Securities Hong Kong Group Limited or its associated entity (as defined in the SFO) with the authorized financial institution, an approved custodian or another intermediary licensed for dealing in securities (Segregated Account for Securities);or deposit with any overseas custodian or overseas clearing house subject to the compliance with applicable Rules. 除非另有协议，客户寄存于北京首通证券香港集团有限公司处保管之任何证券(不论该等证券乃于香港或其他地方)，北京首通证券香港集团有限公司可以酌情决定以客户的名义、北京首通证券香港集团有限公司的有联系实体(定义见证券及期货条例)或北京首通证券香港集团有限公司指定或同意的任何代名人登记；或被存放于北京首通证券香港集团有限公司或北京首通证券香港集团有限公司的有联系实体(定义见证券及期货条例)开立及维持的独立账户而该独立账户乃指定为信托账户或客户账户并设于香港一认可财务机构、核淮保管人或其他获发牌提供证券交易之中介人的帐户(“独立证券账户”)；或将该等证券存于任何海外保管人或海外结算公司，但须遵从适用的规则。
9.2 Client specially authorizes Beijing Shoutong Securities Hong Kong Group Limited, in respect of any of the Securities Collateral (whether in Hong Kong or elsewhere) deposited with, or otherwise provide by the Client to Beijing Shoutong Securities Hong Kong Group Limited, to registered in the name of the Client, Beijing Shoutong Securities Hong Kong Group Limited, its associated entity (as defined in SFO) or any nominee appointed or agreed by Beijing Shoutong Securities Hong Kong Group Limited; to deposit in a Segregated Account for Securities; to deposit in an account in the name of Beijing Shoutong Securities Hong Kong Group Limited or its associated entity (as defined in SFO) with an authorized financial institution, an approved custodian or another intermediary licensed for dealing in securities; deposit with any overseas custodian or overseas clearing house subject to compliance with applicable Rules. 客户特此授权予北京首通证券香港集团有限公司，就任何由客户寄存或提供于北京首通证券香港集团有限公司处证券抵押品 (不论该等证券乃于香港或其他地方)，以客户的名义、北京首通证券香港集团有限公司、北京首通证券香港集团有限公司的有联系实体(定义见证券及期货条例)或北京首通证券香港集团有限公司指定或同意的任何代名人登记；或被存放独立证券账户；或存入一认可财务机构、核淮保管人或其他获发牌提供证券交易之中介人并以北京首通证券香港集团有限公司或北京首通证券香港集团有限公...
SECURITIES IN THE ACCOUNT. 4.1 The securities collateral in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities collateral which are listed or traded on market operated by SEHK or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the Broker (“Local Securities Collateral”) shall be:
(A) deposited in safe custody in a segregated account which is designated as a trust account or client account and maintained by the Broker in Hong Kong with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities; or
(B) deposited in an account in the name of the Broker with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities; or
(C) registered in the name of the Client or the Broker.
4.2 In respect of any securities of the Client other than Local Securities Collateral to which the Securities and Futures (Client Securities) Rules are not applicable under Section 3 of the aforesaid Rules, the Client authorizes the Broker in its discretion to deposit, transfer, lend, pledge, repledge or otherwise deal with such securities to any other parties in whatsoever manner and for any purpose (including without limitation as security for financial accommodation provided to the Broker) the Broker thinks fit.
4.3 Any securities collateral held by the Broker on behalf of the Client in the manner mentioned in Clauses 4.1 and 4.2 or otherwise shall be at the sole risk of the Client and the Broker has no obligation to insure the Client against any kind of risk. The Broker shall not be responsible for any losses, costs, damages, interests and charges arising from or in connection with such dealing of securities under the aforesaid clauses in 戶同意前，行使其絕對酌情權以其認為適合的條款及方式為保障其利益，處置或以其他方法處理有關抵押品（任何部份或全部），用以償還有抵押債務，尤其客戶未能依經紀要求提供的有關抵押品時或市場價格發生重大波幅時。如出售有關抵押品後，仍有缺欠，客戶須即時向經紀支付，用以彌補該不足之數。
SECURITIES IN THE ACCOUNT. 5.1 The securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFO and/or any Applicable Laws and Regulations in any Foreign Jurisdictions. In particular, the securities collateral which are listed or traded on market operated by Exchange or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by PC Securities Limited (“Local Securities Collateral”) shall be:
(a) deposited in safe custody in a segregated account which is designated as a trust account or client account and maintained by PC Securities Limited in Hong Kong with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities;
(b) deposited in an account in the name of PC Securities Limited with an authorized financial institution, a custodian approved by the SFC or another intermediary licensed for dealing in securities; or
(c) registered in the name of the Client or PC Securities Limited.
5.2 In respect of any securities of the Client other than Local Securities Collateral to which the Securities and Futures (Client Securities) Rules are not applicable under the aforesaid Rules, the Client authorizes PC Securities Limited in its discretion to deposit, transfer, lend, pledge, repledge or otherwise deal with such securities to any other parties in whatsoever manner and for any purpose (including without limitation as security for financial accommodation provided to PC Securities Limited) PC Securities Limited thinks fit.
5.3 Any securities collateral held by PC Securities Limited on behalf of the Client in the manner mentioned in the Agreement or otherwise shall be at the sole risk of the Client and PC Securities Limited has no obligation to insure the Client against any kind of risk. PC Securities Limited shall not be responsible for any losses, costs, damages, interests and charges arising from or in connection with such deposition under the aforesaid clauses in the absence of bad faith or wilful default of or by PC Securities Limited.
5.4 For any securities of the Client deposited with PC Securities Limited not registered in the name of the Client, any dividend, distribution or benefits accrued in respect of such securities which are received by PC Securities Limited shall be credited to the Account (or payment made to the Client as may be agreed) subject to a reasonable administration fee charged by PC Secu...
SECURITIES IN THE ACCOUNT. 8.1 I/We agree that any securities deposited with you by me/us or purchased by you for the Account may, at your discretion, either be treated as fungible and pooled like with other investments held by your customers or specifically allocated to the Account. I/ We agree that in the event of any dividends or other distributions or benefits accruing, in connection with any given securities held like with like, the Account shall be credited for payment made to me/us in accordance with Paragraph 11 equal to the proportion of the total number or amount of relative securities which shall comprise securities forming part of the Account.
