Transactions in Securities. 4.1 The Client authorizes EISHK to instruct such executing brokers and overseas brokers and dealers (including XXXXX’x Associate) as EISHK may in its absolute discretion deem fit to execute any Transactions in Securities and acknowledges that the terms of business of such executing brokers and overseas brokers and dealers and the applicable Rules of any relevant exchange and/or Clearing System on and through which such Transactions in Securities are executed and settled shall apply to such Transactions in Securities. 4.2 All Transactions in Securities which EISHK effects on the Client's instructions shall be effected in accordance with all laws, rules and regulatory directions applying to EISHK. All actions taken by EISHK in accordance with such laws, rules and directions shall be binding on the Client. 4.3 If EISHK solicit the sale of or recommend any financial product or any product including any virtual assets to the Client, the financial product or product must be reasonably suitable for the Client having regard to the Client’s financial situation, investment experience and investment objectives. No other provision of this Agreement or any other document EISHK may ask the Client to sign and no statement EISHK may ask the Client to make derogates from this clause. 4.4 In relation to virtual assets related complex products which may also involve into trading that falls outside the jurisdiction of the Securities & Futures Commission (“SFC”), unless otherwise stipulated by the SFC, the Client shall only place order or give instruction if it has fulfilled the applicable requirements, including: (a) with regard to the assessment of ensuring the Client is a professional investor as defined under the SFO and/or in accordance with the“Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission” (“Code of Conduct”) together with the Securities and Futures (Professional Investor) Rules (“Professional Investor”); (b) with regard to the passing of knowledge test, suitability assessment and net worth assessment of the Client in connection to virtual assets related products; and (c) with regard to the Client’s understanding of the nature and risks of investing in virtual assets related products and has read and understood the “Risk Disclosure Statements for Virtual Assets Related Products” set out in the Sixth Schedule. 4.5 If applicable, the Client shall not deposit or withdraw virtual assets (if any) from its Securities Account and should only deposit or withdraw fiat currencies from its Securities account, so as to minimise the risks associated with the transfer of virtual assets. Notwithstanding the foregoing, nothing herein requires EISHK to provide such facilities in relation to the deposit or withdrawal of virtual assets. 須向客戶核實該等指示的準確性或真確性，並毋須就安信國際證券執行該等指示而導致客戶蒙受或涉及任何損失或費用負責。若客戶欲安信國際證券執行電話指示，安信國際證券有權規定客戶另行訂立一項協議。
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Samples: Agreement for Securities Trading Account, Securities Trading Account Agreement, Securities Trading Account Agreement
Transactions in Securities. 4.1 The Client authorizes EISHK SDICSI Securities to instruct such executing brokers and overseas brokers and dealers (including XXXXX’x SDICSI Securities’s Associate) as EISHK SDICSI Securities may in its absolute discretion deem fit to execute any Transactions in Securities and acknowledges that the terms of business of such executing brokers and overseas brokers and dealers and the applicable Rules of any relevant exchange and/or Clearing System on and through which such Transactions in Securities are executed and settled shall apply to such Transactions in Securities.
4.2 All Transactions in Securities which EISHK SDICSI Securities effects on the Client's instructions shall be effected in accordance with all laws, rules and regulatory directions applying to EISHKSDICSI Securities. All actions taken by EISHK SDICSI Securities in accordance with such laws, rules and directions shall be binding on the Client.
4.3 If EISHK SDICSI Securities solicit the sale of or recommend any financial product or any product including any virtual assets to the Client, the financial product or product must be reasonably suitable for the Client having regard to the Client’s financial situation, investment experience and investment objectives. No other provision of this Agreement or any other document EISHK SDICSI Securities may ask the Client to sign and no statement EISHK SDICSI Securities may ask the Client to make derogates from this clause.
4.4 In relation to virtual assets related complex products which may also involve into trading that falls outside the jurisdiction of the Securities & Futures Commission (“SFC”), unless otherwise stipulated by the SFC, the Client shall only place order or give instruction if it has fulfilled the applicable requirements, including:
(a) with regard to the assessment of ensuring the Client is a professional investor as defined under the SFO and/or in accordance with the“Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission” (“Code of Conduct”) together with the Securities and Futures (Professional Investor) Rules (“Professional Investor”);
(b) with regard to the passing of knowledge test, suitability assessment and net worth assessment of the Client in connection to virtual assets related products; and
(c) with regard to the Client’s understanding of the nature and risks of investing in virtual assets related products and has read and understood the “Risk Disclosure Statements for Virtual Assets Related Products” set out in the Sixth Schedule.
4.5 If applicable, the Client shall not deposit or withdraw virtual assets (if any) from its Securities Account and should only deposit or withdraw fiat currencies from its Securities account, so as to minimise the risks associated with the transfer of virtual assets. Notwithstanding the foregoing, nothing herein requires EISHK SDICSI Securities to provide such facilities in relation to the deposit or withdrawal of virtual assets. 須向客戶核實該等指示的準確性或真確性，並毋須就安信國際證券執行該等指示而導致客戶蒙受或涉及任何損失或費用負責。若客戶欲安信國際證券執行電話指示，安信國際證券有權規定客戶另行訂立一項協議須向客戶核實該等指示的準確性或真確性，並`毋須就國證國際證券執 行該等指示而導致客戶蒙受或涉及任何損失或費用負責。若客戶欲國證 國際證券執行電話指示，國證國際證券有權規定客戶另行訂立一項協議。
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Transactions in Securities. 4.1 The Client authorizes EISHK MSCL to instruct such executing brokers and overseas brokers and dealers (including XXXXX’x Associateassociates of MSCL) as EISHK MSCL may in its absolute discretion deem fit to execute any Transactions in Securities and acknowledges that the terms of business of such executing brokers and overseas brokers and dealers and the applicable Rules of any relevant exchange and/or Clearing System on and through which such Transactions in Securities are executed and settled shall apply to such Transactions in Securities.
4.2 All Transactions in Securities which EISHK MSCL effects on the Client's instructions shall be effected in accordance with all laws, rules and regulatory directions applying to EISHKMSCL. All actions taken by EISHK MSCL in accordance with such laws, rules and directions shall be binding on the Client.
4.3 If EISHK solicit By reason of physical restraints on any Market and rapid changes in the sale prices of Securities that frequently take place, there may, on occasions and despite MSCL's, executing brokers', overseas brokers' or recommend dealers' reasonable endeavours, be a delay in making prices or in dealing at any financial product specific time or "at best" or "at market". The Client agrees in any product including any virtual assets event to accept and be bound by dealings which take place on the Client's behalf and agrees that MSCL shall not be liable for any loss arising by reason of its failing, the financial product or product must be reasonably suitable for the Client having regard being unable, to comply with any terms of an order of the Client’s financial situation, investment experience and investment objectives. No other provision of this Agreement or any other document EISHK may ask the Client to sign and no statement EISHK may ask the Client to make derogates from this clause.
4.4 In relation Where MSCL or brokers or dealers instructed by MSCL are unable to virtual assets related complex products which may also involve into trading that falls outside perform any order in full, MSCL or such brokers and dealers are entitled to effect partial performance only without prior reference to or confirmation from the jurisdiction of Client.
4.5 Unless the Securities & Futures Commission (“SFC”), unless otherwise stipulated by Client gives specific instructions to MSCL to the SFCcontrary, the Client acknowledges that all orders or requests are good for the day only and that, to the extent unfulfilled, they will lapse at the end of the official trading day of the Market in respect of which they are given.
4.6 The Client acknowledges that MSCL will not accept an instruction to sell for short account on behalf of the Client. MSCL shall only place not be responsible to the Client for identifying whether or not an instruction is to sell for short account. The Client undertakes that it will not give any instruction to sell for short account and will notify MSCL whenever any sale order or give instruction if it has fulfilled relates to a short sale of Securities and such notification shall be given at the applicable requirements, including:same time as notification of the sale order.
(a) with regard Unless otherwise agreed or where MSCL is already holding cash or Securities on the Client's behalf to settle a Transaction in Securities, the Client will, by such time as MSCL has notified to the assessment Client in relation to the relevant Transaction in Securities:
(i) pay MSCL cleared funds or deliver to MSCL Securities in deliverable form; or
(ii) otherwise ensure that MSCL has received such funds or Securities, equivalent to the sum or the number of ensuring the Client is a professional investor as defined under the SFO and/or Securities required to settle such Transaction in accordance with the“Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission” (“Code of Conduct”) together with the Securities and Futures (Professional Investor) Rules (“Professional Investor”);Securities.
(b) with regard to the passing of knowledge test, suitability assessment and net worth assessment of If the Client fails to do so, MSCL will be entitled, in connection to virtual assets related products; and
(c) with regard to the Client’s understanding of the nature and risks of investing in virtual assets related products and has read and understood the “Risk Disclosure Statements for Virtual Assets Related Products” set out in the Sixth Schedule.
4.5 If applicable, the Client shall not deposit or withdraw virtual assets (if any) from its Securities Account and should only deposit or withdraw fiat currencies from its Securities account, so as to minimise the risks associated with the transfer of virtual assets. Notwithstanding the foregoing, nothing herein requires EISHK to provide such facilities in relation to the deposit or withdrawal of virtual assets. 須向客戶核實該等指示的準確性或真確性，並毋須就安信國際證券執行該等指示而導致客戶蒙受或涉及任何損失或費用負責。若客戶欲安信國際證券執行電話指示，安信國際證券有權規定客戶另行訂立一項協議。absolute discretion: -
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Transactions in Securities. 4.1 The Client authorizes EISHK to instruct such executing brokers and overseas brokers and dealers (including XXXXX’x EISHK’s Associate) as EISHK may in its absolute discretion deem fit to execute any Transactions in Securities and acknowledges that the terms of business of such executing brokers and overseas brokers and dealers and the applicable Rules of any relevant exchange and/or Clearing System on and through which such Transactions in Securities are executed and settled shall apply to such Transactions in Securities.
4.2 All Transactions in Securities which EISHK effects on the Client's instructions shall be effected in accordance with all laws, rules and regulatory directions applying to EISHK. All actions taken by EISHK in accordance with such laws, rules and directions shall be binding on the Client.
4.3 If EISHK solicit the sale of or recommend any financial product or any product including any virtual assets to the Client, the financial product or product must be reasonably suitable for the Client having regard to the Client’s financial situation, investment experience and investment objectives. No other provision of this Agreement or any other document EISHK may ask the Client to sign and no statement EISHK may ask the Client to make derogates from this clause.
4.4 In relation By reason of physical restraints on any Market and rapid changes in the prices of Securities that frequently take place, there may, on occasions and despite EISHK's, executing brokers', overseas brokers' or dealers' reasonable endeavours, be a delay in making prices or in dealing at any specific time or "at best" or "at market". The Client agrees in any event to virtual assets related complex products accept and be bound by dealings which may also involve into trading take place on the Client's behalf and agrees that falls outside the jurisdiction EISHK shall not be liable for any loss arising by reason of its failing, or being unable, to comply with any terms of an order of the Securities & Futures Commission (“SFC”)Client.
4.5 Where EISHK or brokers or dealers instructed by EISHK are unable to perform any order in full, unless otherwise stipulated by EISHK or such brokers and dealers are entitled to effect partial performance only without prior reference to or confirmation from the SFCClient.
4.6 Unless the Client gives specific instructions to EISHK to the contrary, the Client acknowledges that all orders or requests are good for the day only and that, to the extent unfulfilled, they will lapse at the end of the official trading day of the Market in respect of which they are given.
4.7 The Client acknowledges that EISHK will not accept an instruction to sell for short account on behalf of the Client. EISHK shall only place not be responsible to the Client for identifying whether or not an instruction is to sell for short account. The Client undertakes that it will not give any instruction to sell for short account and will notify EISHK whenever any sale order or give instruction if it has fulfilled relates to a short sale of Securities and such notification shall be given at the applicable requirements, including:same time as notification of the sale order.
(a) with regard Unless otherwise agreed or where EISHK is already holding cash or Securities on the Client's behalf to settle a Transaction in Securities, the Client will, by such time as EISHK has notified to the assessment Client in relation to the relevant Transaction in Securities:
(i) pay EISHK cleared funds or deliver to EISHK Securities in deliverable form; or
(ii) otherwise ensure that EISHK has received such funds or Securities, equivalent to the sum or the number of ensuring the Client is a professional investor as defined under the SFO and/or Securities required to settle such Transaction in accordance with the“Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission” (“Code of Conduct”) together with the Securities and Futures (Professional Investor) Rules (“Professional Investor”);Securities.
(b) with regard to the passing of knowledge test, suitability assessment and net worth assessment of If the Client fails to do so, EISHK will be entitled, in connection to virtual assets related products; and
(c) with regard to the Client’s understanding of the nature and risks of investing in virtual assets related products and has read and understood the “Risk Disclosure Statements for Virtual Assets Related Products” set out in the Sixth Schedule.
4.5 If applicable, the Client shall not deposit or withdraw virtual assets (if any) from its Securities Account and should only deposit or withdraw fiat currencies from its Securities account, so as to minimise the risks associated with the transfer of virtual assets. Notwithstanding the foregoing, nothing herein requires EISHK to provide such facilities in relation to the deposit or withdrawal of virtual assets. 須向客戶核實該等指示的準確性或真確性，並毋須就安信國際證券執行該等指示而導致客戶蒙受或涉及任何損失或費用負責。若客戶欲安信國際證券執行電話指示，安信國際證券有權規定客戶另行訂立一項協議。absolute discretion: -
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