SECURITIES IN THE ACCOUNT 样本条款

SECURITIES IN THE ACCOUNT. 2.1 The securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities 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”) 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) registered in the name of the Client. 2.2 In respect of any securities of the Client other than Local Securities (“Overseas Securities”) held for safekeeping by any other party engaged by The Broker on the Client’s behalf, the Client hereby authorizes The Broker to instruct the relevant party on behalf of the Client to deposit such Overseas Securities in the safe custody of that party or its custodian or with any other institution in the relevant jurisdiction where the relevant Transaction was effected which provides facilities for the safe custody of documents. 2.3 Any securities held by The Broker on behalf of the Client in the manner mentioned in Clauses 2.1 and 2.2 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 engagement or custody under the aforesaid clauses, including without limitation any losses arising from fraud or negligence of the party so engaged. 2.4 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 the benefits arising on the holding as the share of the Client of the total holding which is also subject to a reasonable administration fee charged by The Broker. The Broker shall not be respon...
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  • Note The following selected definitions are provided to assist you with the completion of this form. If you have any questions about these definitions or require further detail, please contact your tax adviser.

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