Common use of Settlement of Fees & Expenses Clause in Contracts

Settlement of Fees & Expenses. 費用及開支的結算 An invoice for fees and expenses as detailed in Schedule 2 of this Agreement shall be issued to the Customer. Should the Customer fail or be deemed as having failed to pay the Company in settlement of any of the invoices, the Company reserves the right to suspend the Services to the Customer without liabilities on the Company until all outstanding fees and expenses have been settled in full. 費用及開支的帳單(娛見㕤本協議附表 2) ⮯會向客戶䘤出◦如客戶未能或視為未能支付本℔司ẍ結算任ỽ帳單›本 ℔司㚱權暫停⮵客戶的服務而無須屈ᶲ責任直T所㚱未償付的費用及開支⶚完ℐ支付◦ SCHEDULE 3 附表 3 INVESTMENT GUIDELINES 投資指引 Name of Customer: 客戶⥻⎵: Name of Relationship Manager: 客戶經理⥻⎵: Contact details by Tel.: 聯絡電娙號碼: Name of Investment Manager: 投資經理⥻⎵: Contact details by facsimile: 聯絡傳真號碼: Investment Objective: Aimed to achieve capital appreciation through active management of the 投資目標: Portfolio Investment Services/asset classes: 投資服務/ 資產類⇍: □ Equities 股票 □ Structured Investment Products 結構性產品 □ Futures/ Options 期貨／期權 □ Foreign Exchange 外匯 □ Warrants/ Stock Options 窩輪/股票期權 □ Precious Metal (e.g. Gold) 貴金屬 (如黃金) □ Bonds 債券 □ Mutual Funds/Unit Trust 互惠基金/單位信託 □ Hedge Funds 對沖基金 Geographical Spread: 地域↮ⶫ: □ HK and/or PRC 香港及/或中國 □ Developed Market 發達市場 □ Emerging Market 新冰市場 □ Frontier Market 前沿市場 Performance benchmark, if any: 表現基準(如㚱的娙): Limitations or prohibitions on asset classes, markets or instruments (e.g. use of derivatives): ⮵資產類⇍及ˣⶪ場或工℟(例如使用埵生工℟)或地域↮ⶫ的任ỽ限制或禁㬊: Asset Allocation of Portfolio# 投資組合#的資產↮惵 Maximum Exposure Asset Class 資產類⇍ 投資ᶲ限 (%) (Percentage of Portfolio) (Ỽ投資組合的䘦↮率) Equities 股票 including but not limited to stocks, shares, options, warrants, index futures (for hedging purposes) 包括(但不限㕤)股票ˣ股份ˣ期權ˣ權證ˣ指數期貨(作⮵沖用途) Fixed Income 定息產品 including but not limited to bonds, notes, debentures, loan stock, convertible bonds and treasury bills 包括(但不限㕤)債券ˣ票據ˣ債權證ˣ借屠股票ˣ⎗換股債券及國庫券 Cash 現慹 including but not limited to deposits with financial institution, money market, and fixed income instruments 包括(但不限㕤)存㕤慹融機構及貨幣ⶪ場的存款›ẍ及定息票據 Alternative Investments / Derivatives 另類投資／埵生產品 forward foreign currency exchange contracts, currency swaps as a hedge against exchange risk, spot foreign exchange transactions, etc. 遠期外匯合約›⮵沖外匯風險的外匯㌱期›外匯現貨交易等 Others ℞他 Financing for New I.P.O 㕘股ᶲⶪ之融資 # Portfolio = Investments held under this Agreement 投資組合 = 本協議ᶳ持㚱的投資項目 Investment Restrictions: 投資限制: Yes 㚱 If Yes, please specify: 如㚱, 請註明: Nil 無 Other Investment Parameters: ℞他投資參數: Agree the Investment Manager to execute more than two day trades of same product in above mentioned market(s) on behalf of my discretionary account. 本人接⍿投資經理為本人之⥼妿帳戶作出每天多㕤ℑ宗⎴一產品屟入和賣出交易 Other Instruction: ℞他指示: Notify me immediately if the net position in the account falls during any one calendar month by more than 30% from the level at which it stood at the beginning of that month. 如帳戶在任ỽ曆㚰之持倉凈值冯娚㚰初凈值ᶳ趺超過 30%›請即忂知本人◦ Performance Reporting: 業䷦匯報: Consolidated Monthly Statement of Accounts will comprise of an Account Summary on asset allocation as at month-end, a Portfolio Valuation Report both at cost and market value showing the net asset value of the Portfolio as at month-end as well as a Transaction Summary in respect of the reported month or period. 綜合㚰結單⮯包括㚰終帳戶資產↮惵概要ˣ㚰終投資組合估值報告ẍ列明成本及ⶪ價估值冯投資組合的㚰終資產淨值ˣ及交易概要ẍ滙報㚰ℏ或期ℏ所㚱交易活動◦ Performance Review: 業䷦評估: Performance Review will be went to Client biannually, showing the overall performance of the Managed Portfolio for the period ended 30 June and 31 December. 業䷦審查⮯每半4向客戶進埴一㫉›顯示 6 㚰 30 日和 12 㚰 31 日終了期間管理組合的䷥體執埴情況◦ SCHEDULE 4 附表 4 Authorised Execution Brokers ㌰權執埴經紀 Execution Broker Account Number Admission Date Client Signature 1) 2) 3) 4) 5) SCHEDULE 5 附表 5 ACKNOWLEDGEMENT OF RETENTION OF REBATES AND/OR SOFT DOLLARS 確認保留回佣和/或非慹錢利益

Settlement of Fees & Expenses. 費用及開支的結算 An invoice for fees and expenses as detailed in Schedule 2 of this Agreement shall be issued to the Customer. Should the Customer fail or be deemed as having failed to pay the Company in settlement of any of the invoices, the Company reserves the right to suspend the Services to the Customer without liabilities on the Company until all outstanding fees and expenses have been settled in full. 費用及開支的帳單(娛見㕤本協議附表 費用及開支的帳單(詳見於本協議附表 2) ⮯會向客戶䘤出◦如客戶未能或視為未能支付本℔司ẍ結算任ỽ帳單›本 ℔司㚱權暫停⮵客戶的服務而無須屈ᶲ責任直T所㚱未償付的費用及開支⶚完ℐ支付◦ 將會向客戶發出。如客戶未能或視為未能支付本公司以結算任何帳單，本公司有權暫停對客戶的服務而無須負上責任直至所有未償付的費用及開支已完全支付。 SCHEDULE 3 附表 3 INVESTMENT GUIDELINES 投資指引 Name of Customer: 客戶⥻⎵: 客戶姓名： Name of Relationship Manager: 客戶經理⥻⎵: 客戶經理姓名： Contact details by Tel.: 聯絡電娙號碼聯絡電話號碼: Name of Investment Manager: 投資經理⥻⎵: 投資經理姓名： Contact details by facsimilexxxxxxxxx: 聯絡傳真號碼: Investment Objective: Aimed to achieve capital appreciation through active management of the 投資目標: ： Portfolio Investment Services/asset classes: Deposit 投資服務/ 資產類⇍: □ 資產類別： 存款 Trading in Equities 股票 □ Structured (including long and short trading – with the latter subject to mutual consent of the Company and the Customer, as well as initial public offers) & Collective Investment Products 結構性產品 □ Futures/ Options 期貨／期權 □ Schemes 股票（包括長短倉買賣 - 後者須經本公司和客戶雙方同意，與首次公開招股）及集體投資計劃買賣買賣 Trading in Fixed Income Instruments 定息票據買賣 Trading in Derivatives (for hedging purposes only, including long and short trading and trading by margin financing) 衍生產品（僅用於對沖目的，包括長短倉買賣及保證金融資）買賣 Trading in Foreign Exchange 外匯 □ Warrants/ Stock Options 窩輪/股票期權 □ Precious Metal contracts 外匯合約買賣 Others (e.g. GoldPlease specify: ) 貴金屬 其他 (如黃金請列明: ) □ Bonds 債券 □ Mutual Funds/Unit Trust 互惠基金/單位信託 □ Hedge Funds 對沖基金 Base Currency: 基本貨幣： USD 美元 HKD 港元 Risk Profile of the target portfolio: 目標投資組合的風險程度： 高 High 中 Medium 低 Low Investment Strategy: 投資策略: Aggressive 進取 Balanced 平衡 Conservative 保守 Geographical Spread: 地域↮ⶫ地域分布: □ HK and/or PRC 香港及/或中國 □ Developed Market 發達市場 □ Emerging Market 新冰市場 □ Frontier Market 前沿市場 Performance benchmark, if any: 表現基準(如㚱的娙表現基準(如有的話): Limitations or prohibitions on asset classes, markets or instruments (e.g. use of derivatives): ⮵資產類⇍及ˣⶪ場或工℟(例如使用埵生工℟)或地域↮ⶫ的任ỽ限制或禁㬊對資產類別及、市場或工具(例如使用衍生工具)或地域分布的任 何限制或禁止: Asset Allocation of Portfolio# 投資組合#的資產↮惵 投資組合#的資產分配 Asset Class 資產類別 Maximum Exposure Asset Class 資產類⇍ 投資ᶲ限 投資上限 (%) (Percentage of Portfolio) (Ỽ投資組合的䘦↮率) 佔投資組合的百分率） Equities 股票 including but not limited to stocks, shares, options, warrants, index futures (for hedging purposes) 包括(但不限㕤)股票ˣ股份ˣ期權ˣ權證ˣ指數期貨(作⮵沖用途) 包括（但不限於）股票、股份、期權、權證、指數期貨（作對沖用途） Fixed Income 定息產品 including but not limited to bonds, notes, debentures, loan stock, convertible bonds and treasury bills 包括(但不限㕤)債券ˣ票據ˣ債權證ˣ借屠股票ˣ⎗換股債券及國庫券 包括（但不限於）債券、票據、債權證、借貸股票、可換股債券及國庫券 Cash 現慹 現金 including but not limited to deposits with financial institution, money market, and fixed income instruments 包括(但不限㕤)存㕤慹融機構及貨幣ⶪ場的存款›ẍ及定息票據 包括（但不限於）存於金融機構及貨幣市場的存款，以及定息票據 Alternative Investments / Derivatives 另類投資／埵生產品 另類投資／衍生產品 forward foreign currency exchange contracts, currency swaps as a hedge against exchange risk, spot foreign exchange transactions, etc. 遠期外匯合約›⮵沖外匯風險的外匯㌱期›外匯現貨交易等 遠期外匯合約，對沖外匯風險的外匯掉期，外匯現貨交易等 Others ℞他 其他 Financing for New I.P.O 㕘股ᶲⶪ之融資 新股上市之融資 # Portfolio = Investments held under this Agreement 投資組合 = 本協議ᶳ持㚱的投資項目 本協議下持有的投資項目 Investment Restrictions: 投資限制: Yes 㚱 If Yes, please specify: 如㚱, 請註明: ： Nil 無 Borrowing or Leverage other than short selling activities (as detailed under Investment Services above) not allowed 不准借貸或槓桿借貸(賣空股票(詳見上述「投資服務」) 除外) Unlisted shares (except private placement relating to an initial public offer) not allowed 不准投資於非上市股份（首次公開招股有關的私人配售除外） Investment in the [ ] market not allowed不准投資於 [ ] 市場 Investment in the [ ] sector not allowed 不准投資於 [ ] 行業 Investment in real property not allowed 不准投資於房地產 Investment in debt instruments of rating at non-investment grade not allowed 不准投資於評級屬非投資級的債務票據 Investment in structured product not allowed 不准投資於結構產品 Other Investment Parameters: ℞他投資參數: 其他投資參數： Agree the Investment Manager to execute more than two day trades of same product in above mentioned market(s) on behalf of my discretionary account. 本人接⍿投資經理為本人之⥼妿帳戶作出每天多㕤ℑ宗⎴一產品屟入和賣出交易 本人接受投資經理為本人之委託帳戶作出每天多於兩宗同一產品買入和賣出交易 Other Instruction: ℞他指示: Notify me immediately if the net position in the account falls during any one calendar month by more than 30% from the level at which it stood at the beginning of that month. 如帳戶在任ỽ曆㚰之持倉凈值冯娚㚰初凈值ᶳ趺超過 30%›請即忂知本人◦ Performance Reporting: 業䷦匯報: Consolidated Monthly Statement of Accounts will comprise of an Account Summary on asset allocation as at month-end, a Portfolio Valuation Report both at cost and market value showing the net asset value of the Portfolio as at month-end as well as a Transaction Summary in respect of the reported month or period. 綜合㚰結單⮯包括㚰終帳戶資產↮惵概要ˣ㚰終投資組合估值報告ẍ列明成本及ⶪ價估值冯投資組合的㚰終資產淨值ˣ及交易概要ẍ滙報㚰ℏ或期ℏ所㚱交易活動◦ Performance Review: 業䷦評估: Performance Review will be went to Client biannually, showing the overall performance of the Managed Portfolio for the period ended 30 June and 31 December. 業䷦審查⮯每半4向客戶進埴一㫉›顯示 6 㚰 30 日和 12 㚰 31 日終了期間管理組合的䷥體執埴情況◦ SCHEDULE 4 附表 4 Authorised Execution Brokers ㌰權執埴經紀 Execution Broker Account Number Admission Date Client Signature 1) 2) 3) 4) 5) SCHEDULE 5 附表 5 ACKNOWLEDGEMENT OF RETENTION OF REBATES AND/OR SOFT DOLLARS 確認保留回佣和/或非慹錢利益:

Settlement of Fees & Expenses. 費用及開支的結算 An invoice for fees and expenses as detailed in Schedule 2 of this Agreement shall be issued to the Customer. Should the Customer fail or be deemed as having failed to pay the Company in settlement of any of the invoices, the Company reserves the right to suspend the Services to the Customer without liabilities on the Company until all outstanding fees and expenses have been settled in full. 費用及開支的帳單(娛見㕤本協議附表 費用及開支的帳單(詳見於本協議附表 2) ⮯會向客戶䘤出◦如客戶未能或視為未能支付本℔司ẍ結算任ỽ帳單›本 ℔司㚱權暫停⮵客戶的服務而無須屈ᶲ責任直T所㚱未償付的費用及開支⶚完ℐ支付◦ 將會向客戶發出。如客戶未能或視為未能支付本公司以結算任何帳單，本公司有權暫停對客戶的服務而無須負上責任直至所有未償付的費用及開支已完全支付。 SCHEDULE 3 附表 3 INVESTMENT GUIDELINES 投資指引 Name of Customer: 客戶⥻⎵: 客 戶 姓 名 ： Name of Relationship Manager: 客戶經理⥻⎵: 客 戶 經 理 姓 名 ： Contact details by Tel.: 聯絡電娙號碼聯絡電話號碼: Name of Investment Manager: 投資經理⥻⎵: 投 資 經 理 姓 名 ： Contact details by facsimile: 聯絡傳真號碼聯 絡 傳 真 號 碼 : Investment Objective: Aimed to achieve capital appreciation through active management of the 投資目標: 投 資 目 標 ： Portfolio Investment Services/asset classes: 投資服務/ 資產類⇍: □ Deposit 投 資 服 務 / 資 產 類 別 ： 存 款 Trading in Equities 股票 □ Structured (including long and short trading – with the latter subject to mutual consent of the Company and the Customer, as well as initial public offers) & Collective Investment Products 結構性產品 □ Futures/ Options 期貨／期權 □ Schemes 股票（包括長短倉買賣 - 後者須經本公司和客戶雙方同意，與首次公開招股）及集體投資計劃買賣買賣 Trading in Fixed Income Instruments 定息票據買賣 Trading in Derivatives (for hedging purposes only, including long and short trading and trading by margin financing) 衍生產品（僅用於對沖目的，包括長短倉買賣及保證金融資）買賣 Trading in Foreign Exchange 外匯 □ Warrants/ Stock Options 窩輪/股票期權 □ Precious Metal contracts 外匯合約買賣 Others (e.g. GoldPlease specify: ) 貴金屬 (如黃金其 他 ( 請 列 明 : ) □ Bonds 債券 □ Mutual Funds/Unit Trust 互惠基金/單位信託 □ Hedge Funds 對沖基金 Base Currency: 基本貨幣： USD 美元 HKD 港元 Risk Profile of the target portfolio: 目標投資組合的風險程度： 高 High 中 Medium 低 Low Investment Strategy: 投資策略: Aggressive 進取 Balanced 平衡 Conservative 保守 Geographical Spread: 地域↮ⶫ地域分布: □ HK and/or PRC 香港及/或中國 □ Developed Market 發達市場 □ Emerging Market 新冰市場 □ Frontier Market 前沿市場 Performance benchmark, if any: 表現基準(如㚱的娙表現基準(如有的話): Limitations or prohibitions on asset classes, markets or instruments (e.g. use of derivatives): ⮵資產類⇍及ˣⶪ場或工℟(例如使用埵生工℟)或地域↮ⶫ的任ỽ限制或禁㬊對資產類別及、市場或工具(例如使用衍生工具)或地域分布的任 何限制或禁止: Asset Allocation of Portfolio# 投資組合#的資產↮惵 投資組合#的資產分配 Asset Class 資產類別 Maximum Exposure Asset Class 資產類⇍ 投資ᶲ限 投資上限 (%) (Percentage of Portfolio) (Ỽ投資組合的䘦↮率) 佔投資組合的百分率） Equities 股票 including but not limited to stocks, shares, options, warrants, index futures (for hedging purposes) 包括(但不限㕤)股票ˣ股份ˣ期權ˣ權證ˣ指數期貨(作⮵沖用途) 包括（但不限於）股票、股份、期權、權證、指數期貨（作對沖用途） Fixed Income 定息產品 including but not limited to bonds, notes, debentures, loan stock, convertible bonds and treasury bills 包括(但不限㕤)債券ˣ票據ˣ債權證ˣ借屠股票ˣ⎗換股債券及國庫券 包括（但不限於）債券、票據、債權證、借貸股票、可換股債券及國庫券 Cash 現慹 現金 including but not limited to deposits with financial institution, money market, and fixed income instruments 包括(但不限㕤)存㕤慹融機構及貨幣ⶪ場的存款›ẍ及定息票據 包括（但不限於）存於金融機構及貨幣市場的存款，以及定息票據 Alternative Investments / Derivatives 另類投資／埵生產品 另類投資／衍生產品 forward foreign currency exchange contracts, currency swaps as a hedge against exchange risk, spot foreign exchange transactions, etc. 遠期外匯合約›⮵沖外匯風險的外匯㌱期›外匯現貨交易等 遠期外匯合約，對沖外匯風險的外匯掉期，外匯現貨交易等 Others ℞他 其他 Financing for New I.P.O 㕘股ᶲⶪ之融資 新股上市之融資 # Portfolio = Investments held under this Agreement 投資組合 = 本協議ᶳ持㚱的投資項目 本協議下持有的投資項目 Investment Restrictions: 投資限制: Yes 㚱 If Yes, please specify: 如㚱, 請註明: ： Nil 無 Borrowing or Leverage other than short selling activities (as detailed under Investment Services above) not allowed 不准借貸或槓桿借貸(賣空股票(詳見上述「投資服務」) 除外) Unlisted shares (except private placement relating to an initial public offer) not allowed 不准投資於非上市股份（首次公開招股有關的私人配售除外） Investment in the [ ] market not allowed不准投資於 [ ] 市場 Investment in the [ ] sector not allowed 不 准 投 資 於 [ ] 行 業 Investment in real property not allowed 不准投資於房地產 Investment in debt instruments of rating at non-investment grade not allowed 不准投資於評級屬非投資級的債務票據 Investment in structured product not allowed 不准投資於結構產品 Other Investment Parameters: ℞他投資參數: 其他投資參數： Agree the Investment Manager to execute more than two day trades of same product in above mentioned market(s) on behalf of my discretionary account. 本人接⍿投資經理為本人之⥼妿帳戶作出每天多㕤ℑ宗⎴一產品屟入和賣出交易 本人接受投資經理為本人之委託帳戶作出每天多於兩宗同一產品買入和賣出交易 Other Instruction: ℞他指示: Notify me immediately if the net position in the account falls during any one calendar month by more than 30% from the level at which it stood at the beginning of that month. 如帳戶在任ỽ曆㚰之持倉凈值冯娚㚰初凈值ᶳ趺超過 30%›請即忂知本人◦ Performance Reporting: 業䷦匯報: Consolidated Monthly Statement of Accounts will comprise of an Account Summary on asset allocation as at month-end, a Portfolio Valuation Report both at cost and market value showing the net asset value of the Portfolio as at month-end as well as a Transaction Summary in respect of the reported month or period. 綜合㚰結單⮯包括㚰終帳戶資產↮惵概要ˣ㚰終投資組合估值報告ẍ列明成本及ⶪ價估值冯投資組合的㚰終資產淨值ˣ及交易概要ẍ滙報㚰ℏ或期ℏ所㚱交易活動◦ Performance Review: 業䷦評估: Performance Review will be went to Client biannually, showing the overall performance of the Managed Portfolio for the period ended 30 June and 31 December. 業䷦審查⮯每半4向客戶進埴一㫉›顯示 6 㚰 30 日和 12 㚰 31 日終了期間管理組合的䷥體執埴情況◦ SCHEDULE 4 附表 4 Authorised Execution Brokers ㌰權執埴經紀 Execution Broker Account Number Admission Date Client Signature 1) 2) 3) 4) 5) SCHEDULE 5 附表 5 ACKNOWLEDGEMENT OF RETENTION OF REBATES AND/OR SOFT DOLLARS 確認保留回佣和/或非慹錢利益:

Settlement of Fees & Expenses. 費用及開支的結算 An invoice for fees and expenses as detailed in Schedule 2 of this Agreement shall be issued to the Customer. Should the Customer fail or be deemed as having failed to pay the Company in settlement of any of the invoices, the Company reserves the right to suspend the Services to the Customer without liabilities on the Company until all outstanding fees and expenses have been settled in full. 費用及開支的帳單(娛見㕤本協議附表 費用及開支的帳單(詳見於本協議附表 2) ⮯會向客戶䘤出◦如客戶未能或視為未能支付本℔司ẍ結算任ỽ帳單›本 ℔司㚱權暫停⮵客戶的服務而無須屈ᶲ責任直T所㚱未償付的費用及開支⶚完ℐ支付◦ 將會向客戶發出。如客戶未能或視為未能支付本公司以結算任何帳單，本公司有權暫停對客戶的服務而無須負上責任直至所有未償付的費用及開支已完全支付。 SCHEDULE 3 附表 3 INVESTMENT GUIDELINES 投資指引 Name of Customer: 客戶⥻⎵: 客戶姓名： Name of Relationship Manager: 客戶經理⥻⎵: 客戶經理姓名： Contact details by Tel.: 聯絡電娙號碼聯絡電話號碼: Name of Investment Manager: 投資經理⥻⎵: 投資經理姓名： Contact details by facsimile: 聯絡傳真號碼: Investment Objective: Aimed to achieve capital appreciation through active management of the 投資目標: 投 資 目 標 ： Portfolio Investment Services/asset classes: 投資服務/ 資產類⇍: □ 資產類別：  Equities 股票 □  Structured Investment Products 結構性產品 □  Futures/ Options 期貨／期權 □  Foreign Exchange 外匯 □  Warrants/ Stock Options 窩輪/股票期權 □  Precious Metal (e.g. Gold) 貴金屬 (如黃金) □  Bonds 債券 □  Mutual Funds/Unit Trust 互惠基金/單位信託 □  Hedge Funds 對沖基金 Geographical Spread: 地域↮ⶫ地域分布: □  HK and/or PRC 香港及/或中國 □  Developed Market 發達市場 □  Emerging Market 新冰市場 □ 新興市場  Frontier Market 前沿市場 Performance benchmark, if any: 表現基準(如㚱的娙表現基準(如有的話): Limitations or prohibitions on asset classes, markets or instruments (e.g. use of derivatives): ⮵資產類⇍及ˣⶪ場或工℟(例如使用埵生工℟)或地域↮ⶫ的任ỽ限制或禁㬊對資產類別及、市場或工具(例如使用衍生工具)或地域分布的任何限制或禁止: Asset Allocation of Portfolio# 投資組合#的資產↮惵 投資組合#的資產分配 Asset Class 資產類別 Maximum Exposure Asset Class 資產類⇍ 投資ᶲ限 投資上限 (%) (Percentage of Portfolio) (Ỽ投資組合的䘦↮率) 佔投資組合的百分率） Equities 股票 including but not limited to stocks, shares, options, warrants, index futures (for hedging purposes) 包括(但不限㕤)股票ˣ股份ˣ期權ˣ權證ˣ指數期貨(作⮵沖用途) 包括（但不限於）股票、股份、期權、權證、指數期貨（作對沖用途） Fixed Income 定息產品 including but not limited to bonds, notes, debentures, loan stock, convertible bonds and treasury bills 包括(但不限㕤)債券ˣ票據ˣ債權證ˣ借屠股票ˣ⎗換股債券及國庫券 包括（但不限於）債券、票據、債權證、借貸股票、可換股債券及國庫券 Cash 現慹 現金 including but not limited to deposits with financial institution, money market, and fixed income instruments 包括(但不限㕤)存㕤慹融機構及貨幣ⶪ場的存款›ẍ及定息票據 包括（但不限於）存於金融機構及貨幣市場的存款，以及定息票據 Alternative Investments / Derivatives 另類投資／埵生產品 另類投資／衍生產品 forward foreign currency exchange contracts, currency swaps as a hedge against exchange risk, spot foreign exchange transactions, etc. 遠期外匯合約›⮵沖外匯風險的外匯㌱期›外匯現貨交易等 遠期外匯合約，對沖外匯風險的外匯掉期，外匯現貨交易等 Others ℞他 其他 Financing for New I.P.O 㕘股ᶲⶪ之融資 新股上市之融資 # Portfolio = Investments held under this Agreement 投資組合 = 本協議ᶳ持㚱的投資項目 本協議下持有的投資項目 Investment Restrictions: 投資限制: ： Yes 㚱 有 If Yes, please specify: 如㚱如有, 請註明: Nil 無 Other Investment Parameters: ℞他投資參數: 其他投資參數： Agree the Investment Manager to execute more than two day trades of same product in above mentioned market(s) on behalf of my discretionary account. 本人接⍿投資經理為本人之⥼妿帳戶作出每天多㕤ℑ宗⎴一產品屟入和賣出交易 本人接受投資經理為本人之委託帳戶作出每天多於兩宗同一產品買入和賣出交易 Other Instruction: ℞他指示: Notify me immediately if the net position in the account falls during any one calendar month by more than 30% from the level at which it stood at the beginning of that month. 如帳戶在任ỽ曆㚰之持倉凈值冯娚㚰初凈值ᶳ趺超過 30%›請即忂知本人◦ Performance Reporting: 業䷦匯報: Consolidated Monthly Statement of Accounts will comprise of an Account Summary on asset allocation as at month-end, a Portfolio Valuation Report both at cost and market value showing the net asset value of the Portfolio as at month-end as well as a Transaction Summary in respect of the reported month or period. 綜合㚰結單⮯包括㚰終帳戶資產↮惵概要ˣ㚰終投資組合估值報告ẍ列明成本及ⶪ價估值冯投資組合的㚰終資產淨值ˣ及交易概要ẍ滙報㚰ℏ或期ℏ所㚱交易活動◦ Performance Review: 業䷦評估: Performance Review will be went to Client biannually, showing the overall performance of the Managed Portfolio for the period ended 30 June and 31 December. 業䷦審查⮯每半4向客戶進埴一㫉›顯示 6 㚰 30 日和 12 㚰 31 日終了期間管理組合的䷥體執埴情況◦ SCHEDULE 4 附表 4 Authorised Execution Brokers ㌰權執埴經紀 Execution Broker Account Number Admission Date Client Signature 1) 2) 3) 4) 5) SCHEDULE 5 附表 5 ACKNOWLEDGEMENT OF RETENTION OF REBATES AND/OR SOFT DOLLARS 確認保留回佣和/或非慹錢利益: