Securities Documents 样本条款

Securities Documents. 5.1 Securities purchased for the Client will be delivered to the Client (or as the Client may direct) provided that: (a) such securities are fully paid; and (b) such securities are not subject to any lien, and/or are not held as collateral by the Company or the Conrad Group. 5.2 The securities and collateral of Client retained by the Company shall be treated and dealt within compliance with the provisions of the SFO and relevant rules made thereunder and relevant securities from time to time received on the Client’s behalf will be deposited in safe custody in a segregated account maintained in Hong Kong for the purpose of holding such securities with an authorized financial institution, a custodian approved by the Commission or another intermediary licensed for dealing in securities, or registered in the Client’s name or the Conrad Group. 5.3 The Company will not return to the Client the securities originally delivered or deposited but will return securities of the same class, denominations and nominal amount and ranking to the Client. 5.4 Where the Client’s securities held by the Company are not registered in his/its name, any dividends, distributions or benefits which accrue in respect of such securities will be received by the Company and credited into the Client’s account. Voting rights may be exercised on the Client’s behalf with respect to such securities upon the Client’s prior specific instructions. 5.5 Subject to the provisions of the SFO and relevant rules made thereunder, the Client authorizes and agrees that securities and securities collateral from time to time received or held on his/its behalf may be treated and dealt with in such manner as the Company may deem fit. The Client understands that such securities and securities collateral may be subject to a lien or charge in favour of third parties and return of such securities or securities collateral to the Client may be subject to satisfaction of such lien or charge. The Client also agrees that the Company shall be entitled to retain for its own benefit and not be accountable to the Client for any fees, income, rebates or other benefits resulting from any lending or deposit of his/its securities or securities collateral to or with any third party for any purpose by the Company. 5.6 Client money shall be treated and dealt with by the Company in compliance with the provisions of the SFO and relevant rules made thereunder and relevant client money from time to time received on the Client’s beha...