Contract
《證券交易帳戶協議書》及附表更新
新增條款 | 修訂條款 | 內容 | 生效日期 |
1 (定義) | 新增「中國創業板股份」、「《證券及期貨條例》、「科創板股份」、「虛擬資產」的定義 | 17/10/2022 | |
2.3 (代理人的委任及職責範圍) | 倘客戶獲安信國際證券批准參與保證金交易，客戶將受附表一所載的其他條款及條件限制。然而，本檔的內容概無規定安信國際證券提供該等其他貸款。倘根據此等額外貸款導致產生債務，則除安信國際證券可能擁有的任何權利外，根據本文件持有的證券便須遵守本文件的抵押，作為該等債務的擔保或抵押品（毋須客戶簽署任何其他 文件），並適用於因任何原因產生的一切債務。 | 17/10/2022 | |
3.4 (指示方法) | 除非客戶向安信國際證券發出相反的明確指示，否則客戶確認，所有指令或要求僅於當日生效，至於尚未履行的那部份指令，將於交易所或市場(即就該等市場而發出有關指令及要求)的正式交投日結束時失效，但安信國際證 券可在並無向客戶發出事先通知的情況下，因應市場風險變化可隨時取消該指示及即時平倉。 | 17/10/2022 | |
3.6 (指示方法) | 客戶確認安信國際證券將不會接納代客戶賣空的指示。安信國際證券毋須向客戶就核實該指示是否賣空而負責。客戶承諾，其將不會發出任何賣空的指示，並倘於任何賣出指令是與賣空證券有關時通知安信國際證券，而該通 知須與賣出指令的通知同時作出。 | 17/10/2022 | |
4.3 (證券交易) | 假如安信國際向客戶招攬銷售或建議任何金融產品或產品（包括任何虛擬資產），該金融產品或產品必須是安信 國際經考慮客戶的財政狀況、投資經驗及投資目標後而認為合理地適合客戶的。本協議的其他條文或任何其他安信國際可能要求客戶簽署的檔及安信國際可能要求客戶作出的聲明概不會減損本條款的效力。 | 17/10/2022 | |
4.4 (證券交易) | 關於虛擬資產相關複雜產品，其亦可能涉及在證券及期貨事務監察委員會（「證監會」）的司法管轄權範圍以外的買賣，除非證監會另外規定，客戶須符合適當要求，才可發出任何買盤或購買指令，包括： (a) 客戶須為根據《證券及期貨條例》及/或《證券及期貨事務監察委員會持牌人或註冊人操守準則》 (「操守準則」) 及《證券及期貨（專業投資者）規則》所載釋義下的專業投資者(「專業投資者「) ； (b) 客戶須滿足有關虛擬資產相關產品的知識評估、適合性評估和淨資產評估；及 (c) 客戶瞭解虛擬資產相關產品的性質和風險，及已經閱讀並理解附表六所載的的《關於虛擬資產相關產品的風險披露聲明》。 | 17/10/2022 | |
4.5 (證券交易) | 如適用，客戶只可向其證券戶口存入法定貨幣或從其帳戶中提取法定貨幣，不可從其戶口提存虛擬資產(如有)， 藉此盡量降低轉移虛擬資產所涉及的風險。儘管有上述規定，本檔的內容概無規定安信國際提供有關該等虛擬資產提存服務。 | ||
4.14 (證券交易) | 對於客戶因指示交易中國創業板股份和/或科創板股份而導致的待結算、已結算或未能結算的持倉，在下述情 況，客戶授權安信國際證券以其全權酌情釐定的該價格和該等條款更改、回復或取消客戶該任何待結算、已結算或未能結算的持倉；或沽售或安排出售安信國際證券代其持有的任何數量的中國創業板股份和/或科創板股份： (a) 安信國際證券直接或間接從交易所或香港監管機構接獲與此有關的指示； (b) 安信國際證券認為客戶違反或可能違反任何適用法例、規則、交易所條例及規例；或 (c) 安信國際證券代客戶持有證券的時間超出安信國際證券不時通知客戶的指定期限。安信國際證券毋須就客戶因上述情況產生的任何損失負責。 | 17/10/2022 | |
4.15 (證券交易) | 客戶確認安信國際證券須及時識別並向交易所舉報任何違反《交易所規則》適用規定的情況及採取必要的行動或 措施補救或糾正任何違規情況。 | 17/10/2022 | |
5.5 | 客戶應按安信國際證券按其絕對酌情權不時釐定而不時通知客戶的利率及其他條款的規定，就客戶帳戶內的一切 | 17/10/2022 |
(收費及費 用) | 逾期餘款（包括在任何時候欠安信國際證券的任何款項）支付利息。該利息將逐日累計，並且應在每個日曆月的 最後一天或按安信國際證券要求盡快支付。逾期未付利息將每月按複利計算及利息本身將產生新的利息。 | ||
14 (修訂) | 客戶同意並接受，安信國際證券有權於任何時候以通過向客戶發出合理的書面通知來修訂此等條款，包括但不限於將最新之本協議及/或開戶表格上傳至安信國際證券的網站；或以安信國際證券最終決定的其他方法（不論電子、數碼或其他方法），有關變更須視為此等條款的一部分。客戶可不時登入安信國際證券網站以獲得最新之本協議及/或開戶表格並需細閱其條款。任何修訂將於該通知規定的的生效日期生效。客戶確認並同意，如客戶不接受修訂，客戶有權中止此等條款。如客戶在修訂生效日期後 7 天內沒有發出反對通知書，則客戶將被視為已接受此等條款的修訂。安信國際證券對此等條款所作之修訂不影響任何修訂前未完成之指示或證券交易或已產生的 法定權利或責任。 | 17/10/2022 | |
21.1 (通知及通訊) | 除非此等條款中另外規定，任何一方根據此等條款向另一方作出或發出的通知須以書面形式發送到另一方最近期的地址、電子郵件、傳真號碼（視乎情况而定），併須於下列時間被視爲有效(i) 若以郵件形式，則爲寄出後兩天 （若爲本地）或七天（若爲國際），足以證明通知已寄往正確地址或(ii)若發電子郵件或傳真，則爲發送當天。 | 17/10/2022 | |
23.20 (風險披露聲明) | 客戶確認已細心閱讀及完全明白以下內容(如適用):- (a) 「附表一–保證金交易條款」； (b) 「附表二–網上交易條款」； (c) 「附表三–其他風險披露聲明」有關在交易所買賣衍生產品的性質風險及人民幣產品的風險披露聲明； (d) 「附表四–美國《海外戶口稅收合規法案》」； (e) 「附表五–滬深港股票市場交易互聯互通機制 / 滬股通及深股通交易所涉及的風險及注意事項」；及 (f) 「附表六–關於虛擬資產相關產品的風險披露聲明」。 | 17/10/2022 | |
25.1 | 此等條款下的一切權利、義務及責任須受香港法例規管並按其詮釋，並根據香港法例執行。協議各方不可撤銷地 | 17/10/2022 |
(規管法例) | 接受香港法院的非專屬管轄權所管轄。 | ||
26 (利益衝突) | 26.1 安信國際證券及其董事、高級職員或雇員及其業務代理人可以為其本身的利益或聯營公司的利益進行交易。 26.2 安信國際證券有權（不論是自行買賣或代表聯營公司或其他的客戶）買入、賣出、持有或買賣任何證券，或採納與客戶指示對立的倉盤買賣。 26.3 安信國際證券有權將客戶指示與其他客戶的指示進行對盤。 26.4 安信國際證券有權對安信國際證券或其聯營公司有持倉或就該證券作為包銷商或其他身份的證券進行交易。 26.5 安信國際證券有權以任何理由將指示給予其他經紀執行。 26.6 客戶確認並同意安信國際證券有權要求、接受及保留任何因執行買賣產生之回佣、經紀費、佣金、費用、利益、折扣及其他由證券交易產生之利益。安信國際證券有全部酌情權提供任何利益予證券交易相關之任何人士。 26.7 在本 26 條中提及的任何情況下，安信國際證券都不負有對客戶說明自身所得利潤或利益的義務。 | 17/10/2022 | |
新增《予客戶有關投資者識别碼模及場外證券匯報個人資料收集聲明及承諾更新客戶識別信息的通知》 | 17/10/2022 | ||
新增《附表六 - 關於虛擬資產相關產品的風險披露聲明》 | 17/10/2022 | ||
UPDATES ON “AGREEMENT FOR SECURITIES TRADING ACCOUNT” AND RELATED SCHEDULES
AGREEMENT FOR SECURITIES TRADING ACCOUNT | |||
New Clause | Amended Clause | Content | Effective Date |
1 (Definitions) | Added definitions of“ChiNext Shares”, “SFO”, “SPAC Share”, “SPAC Warrant”, “Special Purpose Acquisition Company” or “SPAC” and “STAR Shares”. | 17/10/2022 | |
2.3 (Appointment and Scope of Agency) | Where the Client is approved by EISHK to engage in margin trading, the Client will be subject to the further terms and conditions set out in the First Schedule. However, nothing herein requires EISHK to provide such other facilities. Where pursuant to these additional facilities, Liabilities arise, then, in addition to any rights which EISHK may have, the Securities held hereunder shall be subject to the charge herein as security or collateral thereof (without the need for any other documentation signed by the Client) and the same applies to all Liabilities howsoever arising. | 17/10/2022 | |
3.4 (Form of Instructions) | 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 Exchange or Market in respect of which they are given, but EISHK can cancel specific instructions and close out the position from time to time according to the changes of market risk without prior notice to the Client. | 17/10/2022 | |
3.6 (Form of Instructions) | The Client acknowledges that EISHK will not accept any instruction to sell short on behalf of the Client. EISHK shall not be responsible to the Client for verifying whether an instruction is to sell short. The Client undertakes that it will not give any short selling instruction, that it will notify EISHK when a selling order is related to the short selling of | 17/10/2022 | |
Securities, such notice shall be given simultaneously with the selling instruction. | |||
4.3 (Transactions in Securities) | 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. | 17/10/2022 | |
4.4 (Transactions in Securities) | 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. | 17/10/2022 | |
4.5 (Transactions in Securities) | 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. | |||
4.14 (Transactions in Securities) | In respect of the pending, settled or unsettled positions resulting from any instruction of the Client to transact ChiNext Shares and/or STAR Shares, the Client authorises EISHK to amend, unwind or cancel any such pending, settled or unsettled position of the Client or to sell or arrange for the sale of any quantity of ChiNext Shares and/or STAR Shares held on the Client’s behalf at such price and on such terms as EISHK may determine in its absolute discretion if: (a) EISHK receives an instruction directly or indirectly from the Exchange or Hong Kong Regulators in connection thereto; (b) EISHK is of the view that the Client is in breach or may be in breach of any applicable laws, Rules, regulations and rules of exchanges; or (c) EISHK has held on the Client’s behalf such ChiNext Shares and/or STAR Shares for a period longer than XXXXX’x prescribed period as notified to the Client from time to time. EISHK shall not be liable to the Client for any loss whatsoever arising out of or in connection with the aforesaid conditions. | 17/10/2022 | |
4.15 (Transactions in Securities) | The Client acknowledges that EISHK shall identify and report to the Exchange any non-compliance of the applicable requirements under the “Rules of the Exchange” and take such actions or measures as may be necessary to such non- compliance. | 17/10/2022 | |
5.5 (Charges and Expenses) | The Client shall pay interest on all overdue balances in the Client's account (including any amount owing to EISHK at any time) at such rates and on such other terms as EISHK in its absolute discretion set and notify the Client from time to time. Such interest shall accrue on a day-to-day basis and shall be pay on the last day of each calendar month or as soon as possible upon demand by EISHK. Overdue interest shall be compounded monthly and shall itself bear interest. | 17/10/2022 |
14 (Amendments) | The Client agrees and accepts that XXXXX may amend these Terms by giving the Client reasonable notice of the changes in writing at any time, by such other means including, without limitation, uploading the latest Agreement and/or Account Opening Form to EISHK’s website or such other manner (whether electronic, digital or otherwise) as EISHK shall conclusively determine. The Client should visit the EISHK’s website from time to time for obtaining the latest Agreement and/or Account Opening Form and read the terms thereof. Any amendment shall take effect on the effective date stipulated by the notice. The Client acknowledges and agrees that if the Client does not accept any amendments as notified by EISHK from time to time, the Client shall have the right to terminate this Agreement If the Client does not raise written objection within seven (7) days from the effective date of amendment of these Terms, the Client shall be deemed to have accepted the amendment. No amendment made by EISHK to these Terms will affect any outstanding order or Transaction in Securities or any legal rights or obligations which may have arisen prior thereto. | 17/10/2022 | |
21.1 (Notice and Communication) | Unless otherwise specified in these Terms, any notice to be made or given by either party to the other under these Terms shall be in writing and addressed to the last known address, email address, facsimile number of the other party (as the case may be) and shall be deemed effective on (i) the date two days (if local) or seven days (if international) after posting if delivered by mail, it being sufficient to prove that the notice was properly addressed and posted or (ii) the next business day following the day on which it was dispatched if delivered by email or by facsimile. | 17/10/2022 | |
23.20 (Risk Disclosure Statement) | THE CLIENT ACKNOWLEDGES THAT HE HAS CAREFULLY READ AND FULLY UNDERSTANDS, THE CONTENT OF (WHERE APPLICABLE):- (a) “THE FIRST SCHEDULE – TERMS FOR MARGIN TRADING”; (b) “THE SECOND SCHEDULE – TERMS FOR INTERNET TRADING”; (c) “THE THIRD SCHEDULE – OTHER RISK DISCLOSURE STATEMENT” ON THE NATURE AND RISKS | 17/10/2022 |
OF EXCHANGE TRADED DERIATIVE PRODUCTS AND THE RISK DISCLOSURE STATEMENT ON RENMINBI PRODUCTS; (d) “THE FOURTH SCHEDULE – THE U.S. FOREIGN ACCOUNT TAX COMPLIANCE ACT (“FATCA”)”; (e) “THE FIFTH SCHEDULE – SHANGHAI-SHENZHEN-HONG KONG STOCK CONNECT THE RISKS INVOLVED IN TRADING & PRECAUTIONS FOR NORTHBOUND TRADING”; AND (f) “THE SIXTH SCHEUDLE – RISK DISCLOSURE STATEMENTS FOR VIRTUAL ASSETS RELATED PRODUCTS”. | |||
25.1 (Governing Law) | These Terms and all rights, obligations and liabilities hereunder shall be governed by and construed in accordance with the laws of Hong Kong. The parties hereto irrevocably submit to the non-exclusive jurisdiction of the courts of Hong Kong. | 17/10/2022 | |
26 (Conflict of Interest) | 26.1 EISHK and its directors, officers, employees or business agents may trade for the benefit of itself or its Associate. 26.2 EISHK has the right to (whether on its own account or on behalf of the Associate or other clients) buy, sell, hold or deal in any Securities or adopts position dealings opposite to the Client’s instructions. 26.3 EISHK has the right to match the Client’s instructions with those of other clients. 26.4 EISHK has the right to effect Transactions in Securities in which EISHK or its Associate has a position or in respect of which EISHK or its Associate acts as underwriter or otherwise. 26.5 XXXXX has the right to have the instructions executed by any other brokers. 26.6 The Client confirms and agrees that XXXXX has the right to request, accept and retain any rebates, brokerage fees, commissions, fees, benefits and discounts arising from execution of tradings and other benefits derived from Transactions in Securities. EISHK may in its sole discretion provide any benefits to any persons related to such | 17/10/2022 |
Transactions in Securities. 26.7 In any of the circumstances mentioned in this Clause 26, XXXXX shall not be obliged to account to the Client for any profits or benefits it obtained. | |||
Added “Notice to Client on the Personal Information Collection Statement and Undertaking of updates on Client Identification Data in connection to the Investor Identification Model and OTC securities reporting” | 17/10/2022 | ||
Added “Sixth Schedule - Risk Disclosure Statements for Virtual Assets Related Products” | 17/10/2022 | ||