Common use of 新上市证券 New Listing of Securities Clause in Contracts

新上市证券 New Listing of Securities. 17.1 如果客户要求并授权本公司作为其代理人及为客户或其他任何人士的利益申请于交易所新上市和/或新发行的证券，客户向本公司并为本公司的利益作出保证，本公司有权代表客户作出该申请。 I n the event that the Customer requests and authorizes the Company to apply for Securities in respect of a new listing and/or issue of Securities on the Exchange as its agent and for its benefit or for the benefit of any other person, the Customer hereby warrants to and for the Company’s benefit that the Company shall have authority to make such application on the Customer’s behalf. 17.2 客户承诺会使本身熟悉并会遵从载于招股书和/或发行档、申请表格或其他有关档内、管辖证券新上市和/或发行及其申请的全部条款和条件，客户同意在与本公司 进行的任何交易中受这些条款和条件约束。 The Customer undertakes to familiarise itself and comply with all the terms and conditions governing the new listing and/or issue of Securities and the application for such new Securities set out in any prospectus and/or offer document and the application form or any other relevant document in respect of such new listing and/or issue and the Customer agrees to be bound by such terms and conditions in any such transaction the Customer may have with the Company. 17.3 客户特此向本公司作出新上市和/或发行证券的申请人需要作出的所有一般声明、保证和承诺（不论是向有关证券的发行人、保荐人、包销商或配售代理人或交易所作出还是向或任何其他相关监管机构或人士作出）。 The Customer hereby gives the Company all the usual representations, warranties and undertakings which an applicant for Securities in a new listing and/or issue is required to give (whether to the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person). 17.4 客户特此进一步声明和保证，并授权本公司在任何申请表格上（或以其他方式）向交易所和任何其他适 当人士披露和保证，本公司作为客户代理人作出的任何该等申请，是客户或代表客户、为使客户得益或 客户代表其作出申请的人士得益而提出和拟提出的唯一申请。客户确认并接受，就本公司作为客户代理 人作出的任何申请而言，本公司和有关证券的发行人、保荐人、包销商或配售代理人、交易所或任何其 他相关监管机构或人士会依赖上述声明和保证。 The Customer hereby further declares and warrants, and authorizes the Company to disclose and warrant to the Exchange on any application form (or otherwise) and to any other person as appropriate, that any such application made by the Company as its agent is the only application made, and the only application intended to be made, by the Customer or on the Customer’s behalf, to benefit the Customer or the person for whose benefit the Customer is applying. The Customer acknowledges and accepts that the aforesaid declaration and warranty will be relied upon by the Company and by the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person in respect of any application made by the Company as the Customer’s agent. 17.5 客户确认，倘若非上市公司除证券买卖外未有从事其他业务，而客户对该公司具控制权，则该公司作出 的申请应被视作为客户的利益而作出。 The Customer acknowledges that any application made by an unlisted company which does not carry on any business other than dealings in Securities and in respect of which the Customer exercises control shall be deemed to be an application made for the benefit of the Customer. 17.6 客户承认并了解，证券申请的法律、监管规定及市场惯例均会不时改变，而任何特定新上市或新发行证券的规定亦会不时改变。客户承诺，按本公司以绝对酌情权不时作出的决定，依照法律和监管规定及市场惯例的规定，向本公司提供数据、采取额外步骤，以及作出必要的额外声明、保证和承诺。 The Customer recognizes and understands that the legal, regulatory requirements and market practice in respect of applications for Securities may vary from time to time as may the requirements of any particular new listing or issue of Securities. The Customer undertakes to provide to the Company such information and take such additional steps and makes such additional representations, warranties and undertakings as may be required in accordance with such legal, regulatory requirements and market practice as the Company may, in the Company’s absolute discretion, determine from time to time. 17.7 就本公司或本公司的代理人为本公司本身及/或代表客户及/或本公司其他客户作出的大额申请，客户确认并同意：

新上市证券 New Listing of Securities. 17.1 如果客户要求并授权本公司作为其代理人及为客户或其他任何人士的利益申请于交易所新上市和/或新发行的证券，客户向本公司并为本公司的利益作出保证，本公司有权代表客户作出该申请或新发行的证券，客户向本公司并为本公司的利益作出保证，本公司 有权代表客户作出该申请。 I n the event that the Customer requests and authorizes the Company to apply for Securities in respect of a new listing and/or issue of Securities on the Exchange as its agent and for its benefit or for the benefit of any other person, the Customer hereby warrants to and for the Company’s benefit that the Company shall have authority to make such application on the Customer’s behalf. 17.2 客户承诺会使本身熟悉并会遵从载于招股书和/或发行档、申请表格或其他有关档内、管辖证券新上市和/或发行及其申请的全部条款和条件，客户同意在与本公司 进行的任何交易中受这些条款和条件约束或发行及其申请的全部条款和条件，客户同意在与本公司进行的任何交易中受这些条款和条件约束。 The Customer undertakes to familiarise itself and comply with all the terms and conditions governing the new listing and/or issue of Securities and the application for such new Securities set out in any prospectus and/or offer document and the application form or any other relevant document in respect of such new listing and/or issue and the Customer agrees to be bound by such terms and conditions in any such transaction the Customer may have with the Company. 17.3 客户特此向本公司作出新上市和/或发行证券的申请人需要作出的所有一般声明、保证和承诺（不论是向有关证券的发行人、保荐人、包销商或配售代理人或交易所作出还是向或任何其他相关监管机构或人士作出）。 The Customer hereby gives the Company all the usual representations, warranties and undertakings which an applicant for Securities in a new listing and/or issue is required to give (whether to the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person). 17.4 客户特此进一步声明和保证，并授权本公司在任何申请表格上（或以其他方式）向交易所和任何其他适 当人士披露和保证，本公司作为客户代理人作出的任何该等申请，是客户或代表客户、为使客户得益或 客户代表其作出申请的人士得益而提出和拟提出的唯一申请。客户确认并接受，就本公司作为客户代理 人作出的任何申请而言，本公司和有关证券的发行人、保荐人、包销商或配售代理人、交易所或任何其 他相关监管机构或人士会依赖上述声明和保证人作出的任何申请而言，本公司和有关证券的发行人、保荐人、包销商或配售代理人、交易所或任何其他相关监管机构或人士会依赖上述声明和保证。 The Customer hereby further declares and warrants, and authorizes the Company to disclose and warrant to the Exchange on any application form (or otherwise) and to any other person as appropriate, that any such application made by the Company as its agent is the only application made, and the only application intended to be made, by the Customer or on the Customer’s behalf, to benefit the Customer or the person for whose benefit the Customer is applying. The Customer acknowledges and accepts that the aforesaid declaration and warranty will be relied upon by the Company and by the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person in respect of any application made by the Company as the Customer’s agent. 17.5 客户确认，倘若非上市公司除证券买卖外未有从事其他业务，而客户对该公司具控制权，则该公司作出 的申请应被视作为客户的利益而作出。 The Customer acknowledges that any application made by an unlisted company which does not carry on any business other than dealings in Securities and in respect of which the Customer exercises control shall be deemed to be an application made for the benefit of the Customer. 17.6 客户承认并了解，证券申请的法律、监管规定及市场惯例均会不时改变，而任何特定新上市或新发行证券的规定亦会不时改变。客户承诺，按本公司以绝对酌情权不时作出的决定，依照法律和监管规定及市场惯例的规定，向本公司提供数据、采取额外步骤，以及作出必要的额外声明、保证和承诺。 The Customer recognizes and understands that the legal, regulatory requirements and market practice in respect of applications for Securities may vary from time to time as may the requirements of any particular new listing or issue of Securities. The Customer undertakes to provide to the Company such information informatio n and take such additional steps and makes such additional representations, warranties and undertakings as may be required in accordance with such legal, regulatory requirements and market practice as the Company may, in the Company’s absolute discretion, determine from time to time. 17.7 就本公司或本公司的代理人为本公司本身及/或代表客户及/或本公司其他客户作出的大额申请，客户确认并同意：

新上市证券 New Listing of Securities. 17.1 如果客户要求并授权本公司作为其代理人及为客户或其他任何人士的利益申请于交易所新上市和/或新发行的证券，客户向本公司并为本公司的利益作出保证，本公司有权代表客户作出该申请或新发行的证券，客户向本公司并为本公司的利益作出保证，本公司 有权代表客户作出该申请。 I n the event that the Customer requests and authorizes the Company to apply for Securities in respect of a new listing and/or issue of Securities on the Exchange as its agent and for its benefit or for the benefit of any other person, the Customer hereby warrants to and for the Company’s benefit that the Company shall have authority to make such application on the Customer’s behalf. 17.2 客户承诺会使本身熟悉并会遵从载于招股书和/或发行档、申请表格或其他有关档内、管辖证券新上市和或发行档、申请表格或其他有关檔内、管辖证券新上市和/或发行及其申请的全部条款和条件，客户同意在与本公司 进行的任何交易中受这些条款和条件约束或发行及其申请的全部条款和条件，客户同意在与本公司进行的 任何交易中受这些条款和条件约束。 The Customer undertakes to familiarise itself and comply with all the terms and conditions governing the new listing and/or issue of Securities and the application for such new Securities set out in any prospectus and/or offer document and the application form or any other relevant document in respect of such new listing and/or issue and the Customer agrees to be bound by such terms and conditions in any such transaction the Customer may have with the Company. 17.3 客户特此向本公司作出新上市和/或发行证券的申请人需要作出的所有一般声明、保证和承诺（不论是向有关证券的发行人、保荐人、包销商或配售代理人或交易所作出还是向或任何其他相关监管机构或人士作出或发行证券的申请人需要作出的所有一般声明、保证和承诺（不论是 向有关证券的发行人、保荐人、包销商或配售代理人或交易所作出 还是向或任何其他相关监管机构或人士作出）。 The Customer hereby gives the Company all the usual representations, warranties and undertakings which an applicant for Securities in a new listing and/or issue is required to give (whether to the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person). 17.4 客户特此进一步声明和保证，并授权本公司在任何申请表格上（或以其他方式）向交易所和任何其他适 当人士披露和保证，本公司作为客户代理人作出的任何该等申请，是客户或代表客户、为使客户得益或 客户代表其作出申请的人士得益而提出和拟提出的唯一申请。客户确认并接受，就本公司作为客户代理 人作出的任何申请而言，本公司和有关证券的发行人、保荐人、包销商或配售代理人、交易所或任何其 当人士披露和保证，本公司作为客户代理人作出的任何该等申 请，是客户或代表客户、为使客户得益或客户代表其作出申请的人士得益而提出和拟提出的唯一申请。客户确认并接受，就本公司作为客户代理 人作出的任何申请而 言，本公司和有关证券的发行人、保荐人、包销商或配售代理人、交易所或任何其 他相关监管机构或人士会依赖上述声明和保证。 The Customer hereby further declares and warrants, and authorizes the Company to disclose and warrant to the Exchange on any application form (or otherwise) and to any other person as appropriate, that any such application made by the Company as its agent is the only application made, and the only application intended to be made, by the Customer or on the Customer’s behalf, to benefit the Customer or the person for whose benefit the Customer is applying. The Customer acknowledges and accepts that the aforesaid declaration and warranty will be relied upon by the Company and by the issuer, sponsors, underwriters or placing agents of the relevant Securities, the Exchange or any other relevant regulator or person in respect of any application made by the Company as the Customer’s agent. 17.5 客户确认，倘若非上市公司除证券买卖外未有从事其他业务，而客户对该公司具控制权，则该公司作出 的申请应被视作为客户的利益而作出。 The Customer acknowledges that any application made by an unlisted company which does not carry on any business other than dealings in Securities and in respect of which the Customer exercises control shall be deemed to be an application made for the benefit of the Customer. 17.6 客户承认并了解，证券申请的法律、监管规定及市场惯例均会不时改变，而任何特定新上市或新发行证券的规定亦会不时改变。客户承诺，按本公司以绝对酌情权不时作出的决定，依照法律和监管规定及市场惯例的规定，向本公司提供数据、采取额外步骤，以及作出必要的额外声明、保证和承诺客户承认并了解，证券申请的法律、监管规定及市场惯例均会不时改变，而任何特定新上市或新发行证 券的规定亦会不时改变。客户承诺，按本公司以绝对酌情权不时作出的决定，依照法律和监管规定及市 场惯例的规定，向本公司提供数据、采取额外步骤，以及作出必要的额外声明、保证和承诺。 The Customer recognizes and understands that the legal, regulatory requirements and market practice in respect of applications for Securities may vary from time to time as may the requirements of any particular new listing or issue of Securities. The Customer undertakes to provide to the Company such information and take such additional steps and makes such additional representations, warranties and undertakings as may be required in accordance with such legal, regulatory requirements and market practice as the Company may, in the Company’s absolute discretion, determine from time to time. 17.7 就本公司或本公司的代理人为本公司本身及/或代表客户及/或本公司其他客户作出的大额申请，客户确认并同意：