Dealing and clearing. 買賣與結算 5.1 The Company shall be entitled but not bound to act on a request from the Client to carry out a Transaction (whether directly or through a Dealer). The Company may in its absolute discretion refuse any order or instruction of the Client and shall notify the Client accordingly provided always that the Company shall not in any circumstances whatsoever be liable for any loss of profit or gain, damage, liability, claim, cost or expense suffered or incurred by the Client as result thereof. Except as directed by the Client where the Client is not in default hereunder and no Event of Default (as defined in Clause 8.1) has occurred, the Company shall not be obliged to close out any Open Contract. The Company may at any time and from time to time impose any limits including position limits on any Contract, contracts of a particular type in aggregate and/or any Account and the Client agrees to do all necessary acts to ensure that such limits shall not be exceeded at any time. Except as directed by the Client in circumstances where the Client is not in default hereunder and no Event of Default has occurred, the Company shall have no obligation to close out any Contract or Client Contract. For the avoidance of doubt: 本公司有權（但並無責任）直接或通過交易商按客戶的要求進行任何交易。本公司可絕對酌情決定拒絕客戶的任何買賣盤或指示，並將有關事宜通知客戶，惟於任何情況下，對於客戶因而蒙受或產生的任何利潤損失或得益、損害、債務、申索、費用或支出，本公司概不承擔責任， 除按客戶指示進行外，如客戶並無違反本協議，亦無發生違約事件（詳見第 8.1 條的釋議）， 則本公司並無責任將任何未平倉合約平倉。本公司可於任何時間不時對任何合約特定類別合約（整體計算）及／或任何帳戶訂定限額 （包括持倉限額在內），而客戶同意作出一切所需要作為，藉以確保任何時間均不會 超出有關限額。除按客戶指示進行外，在客戶並無違反本協議及並無發生違約事件的情況下，本公司並無責任將任何合約或客戶合約平倉。為免存疑： (a) any order and instruction relating to any Transaction may be given by the Client or any of the Authorized Person and such order and instruction shall be absolutely and conclusively binding on the Client; 客戶或任何認可人士均可發出任何交易買賣盤及指示，而有關買賣盤及指示應該絕對及確切地對客戶具約束力； (b) the Company may but shall not be obliged to verify or enquire as to the identity of the person giving such order or instruction; and 本公司可（但並無責任）核實或查詢發出買賣盤或指示的人的身分；及 (c) the Company shall be entitled to act on the order or instruction and rely on the Company's belief that such order or instruction emanates from the Client or any of the Authorized Person (as the case may be). 本公司有權按有關買賣盤或指示行事，亦可倚賴本公司相信由客戶或任何認可人士（視乎情況而定）發出的買賣盤或指示。 5.2 Because of physical restraints on any Exchange and because of the very rapid changes in the prices of Assets that frequently take place, there may, on occasions, be a delay in making prices or in dealing. The Company may not always be able to trade at the prices or rates quoted at any specific time or "at best" or "at market". The Company shall not be liable for any loss howsoever arising by reason of its failing, or being unable, to comply with the terms of any limit order undertaken on behalf of the Client. Where the Company is for any reason whatsoever unable to perform the Client's order in full, it may, in its discretion, effect partial performance only. The Client shall in any event accept and be bound by the outcome when any request to execute orders is made. 由於任何交易所的實質環境限制及資產價格頻密發生極急速變動，在某些情況下可能會引致定價或買賣延誤。本公司或許在指定時間不能按所報出價格或按「最佳價格」或「最佳市場價格」進行買賣。對於未能或不遵行任何代表客戶進行的限價盤的條款，本公司概不承擔責任，若本公司由於任何原因不能完全執行客戶的買賣盤，本公司可自行酌情決定部分執行有關買賣盤。如客戶作出任何執行買賣盤的要求後，客戶在任何情況下均須接受有關結果，並受有關結果約束。 5.3 The Company shall not be liable for any expense, loss or damage suffered by the Client or to account to the Client for any profit or gain accruing to the Company as a result of the Company: 對於客戶由於本公司進行以下事宜而蒙受的任何支出、損失或損害、本公司概不承擔責任， 亦毋須向客戶呈報因而產生並歸於本公司的任何利潤或得益： (a) trading or dealing in futures contracts or options contracts or in any Asset underlying any Contract or Client Contract; and 期貨合約，期權合約或任何合約或客戶合約的基礎資產的交易或買賣；及 (b) dealing in respect of Contracts or Client Contracts with the Clients. 與客戶進行合約或客戶合約買賣。 5.4 The Client hereby agrees to indemnify the Company and its directors, employees, agents, representatives, Associate and correspondents and keep each of them fully indemnified against all expenses, liabilities, claims and demands arising out of anything lawfully done by the Company or such persons in connection with this Agreement. 客戶特此同意就本公司或其董事、僱員、代理人、代表、聯繫人及代理機構基於本協議而 合法作出的任何事項所產生的一切支出、債務、申索及要求而向本公司及其董事、僱員、 代理人、代表、聯繫人及代理機構作出彌償，以及維持作出完全彌償。 5.5 The Company and any of its directors, employees or representatives may from time to time trade on its or their own account on any Exchange or with any Dealer and may, from time to time, act as Dealer in respect of any Contract or Client Contract. 本公司及其任何董事、僱員或代表可不時自行在任何交易所或與任何交易商進行買賣，並 可不時出任任何合約或客戶合約的交易商。 5.6 Subject to the provisions of the SFO and any applicable law, the Company may take the opposite position to the Client's order in relation to any Exchange traded futures contracts and options contracts, whether on the Company's own account or on behalf of the Company's Associate or other clients of the Company provided that such trade is executed competitively on or through the facilities of HKFE in accordance with the Rules or the facilities of any other Exchange in accordance with the rules and regulations of such other Exchange. 在受證券及期貨條例的條文及任何適用法例限制下，本公司可接受與客戶買賣盤相反的任何交易所買賣的期貨合約及期權合約的持倉，不論作為自用或代表本公司的聯繫人或本公司的其他客戶進行，惟有關買賣須按照各規則在／或通過期交所的設施以競爭方式執行， 或按照任何其他交易所的規則及規例在／或通過有關其他交易所的設施以競爭方式執行。 5.7 The Client hereby acknowledges and agrees that the Clearing House may do all things necessary to transfer any Open Contract held by the Company on the Client's behalf and any money and securities standing to the credit of the Client's Account to another exchange participant of HKFE in the event that the rights of the Company as an exchange participant of HKFE is suspended or revoked. 客戶特此確認及同意，若本公司被暫停或撤銷期交所交易所參與者的權利，結算所可作出一切所需要事項，將本公司代表客戶持有的任何未平倉合約及客戶帳戶貸項任何所記款項 及證券轉移予另一名期交所的交易所參與者。 5.8 The Client acknowledges: 客戶確認： (a) that every Exchange Contract is subject to the charge of an Investor Compensation Fund levy and a levy pursuant to the SFO, the cost of both of which shall be borne by the Client; 每份交易所合約須繳交投資者賠償基金徵費及證券及期貨條例規定的徵費，兩項費用均由客戶承擔； (b) that every Exchange Contract is subject to other levies HKFE may impose from time to time; 並承諾繳交證券及期貨條例、任何交易所或結算所因任何交易所合約而不時徵收的其他徵費； (c) that, as regards HKFE, in the case of a default committed by the Company and the Client having suffered pecuniary loss thereby, the liability of the Investor Compensation Fund will be restricted to valid claims as provided for in the SFO and will be subject to the monetary limits specified in the Securities and Futures (Investor Compensation-Compensation Limits) Rules (Cap. 571AC of the Laws of Hong Kong) and accordingly, there is no assurance that any such loss sustained by reason of such a default will necessarily be recouped from the Investor Compensation Fund in full, in part or at all; and 就期交所而言，若因本公司違約而引致客戶蒙受金錢損失，則投資者賠償基金承擔的責任，謹以證券及期貨條例規定的有效申索為限，並以香港法例第571AC章證券及期貨（ 投資者賠償-賠償上限）規則所載的金額上限為限；因此，概不保證一定能夠從投資者賠償基金全額、部分或肯定收回因有關違約而蒙受的任何損失；及 (d) that in respect of any account of the Company maintained with a Clearing House, whether or not such account is maintained wholly or partly in respect of futures contracts or option contracts transacted on behalf of the Client and whether or not money or Approved Securities or Approved Debt Securities paid or deposited by the Client has been paid to or deposited with the Clearing House, as between the Company and the Clearing House, the Company deals as principal and, accordingly, no such account is impressed with any trust or other equitable interest in favour of the Client and monies, Approved Securities and Approved Debt Securities paid to the Clearing House are thereby freed from the trust interest created by Clause 5.17. 就在任何結算所維持的任何本公司帳戶（不論是否完全或部分為代表客戶進行買賣的期貨合約或期權合約而維持有關帳戶，亦不論客戶所付或存放的款項或核准證券或核准債務證券是否已付予或存於有關結算所）而言，在本公司與結算所之間，本公司以主事人身分進行買賣；因此，任何有關帳戶將不含任何客戶受益的信托或其他衡平法權益，而付予結算所的款項、核准證券及核准債務證券因而不含第5.17條規定的信托權益。 5.9 The Client acknowledges that the Company is bound by the Rules from time to time in force which permit HKFE to take steps to limit the positions or require the closing out of contracts on behalf of such clients who in the opinion of HKFE are accumulating positions which are or may be detrimental to any particular market or markets from time to time established and operated by HKFE or which are or may be capable of adversely affecting the fair and orderly operation of any such market or markets (as the case may be). 客戶確認本公司受不時有效的各規則約束，藉此於期交所認為客戶積累的倉盤將會危害期 交所不時設立營運的特定市場、或將任何有關市場的公平及有秩序運作構成或可能構成不 利影響（視乎情況而定），期交所可採取步驟限制有關客戶的持倉，或要求代表有關客戶將合約平倉。 5.10 All orders whether made by telex, cable, electronic mail, facsimile, mail or orally are accepted at the discretion of the Company and transmitted at the Client's risk. The Company shall not be responsible for the non-performance of its obligations hereunder by reasons of any cause beyond the Company's control, including, without limitation, transmission or computer delays, errors or omissions, strikes and similar industrial action or the failure of any Dealer, Exchange or Clearing House to perform its obligations. 本公司可自行酌情決定是否接受以電傳、電報、電子郵件、傳真、郵遞或口頭方式發出的 買賣盤，而有關傳送風險、一概由客戶承擔。若由於本公司控制範圍以外原因 （包括（但 不限於）傳送或電腦延誤、錯漏、罷工及同類工業行動、或任何交易商、交易所或結算所 並不履行其義務等）引致本公司未能履行本協議規定的本公司義務，則本公司概不負責。 5.11 The Client confirms that, whether any Account shall happen to be in credit or debit at the time of the Company's so acting, the Company is authorised to act on any instructions whether written or oral and howsoever communicated purporting to be given by the Client or under the Client's authority or by any Authorised Person and the Client hereby confirms and agrees that it shall be responsible to the Company for all engagements, indebtedness and any other obligations made or entered into in the Client's name whether in writing or orally and howsoever communicated and purporting to be given as aforesaid. 客戶確認，不論本公司行事之時，任何帳戶屬貸項或借款結餘，本公司仍獲授權按聲稱由 客戶，或依據客戶授權或由認可人士發出的任何指示（不論書面或口頭方式發出，亦不論 以何種方式傳達）行事，而客戶特此確認及同意，對於一切以客戶名義並聲稱以前述方式 作出或訂立的協定、債務及任何其他債項（不論書面或口頭方式作出或訂立，亦不論以何種方式傳達），客戶均須向本公司負責。 5.12 The Client understands and confirms its agreement that the Company may tape record conversations with customers whether conducted on the telephone or through any other media or otherwise in order to permit the Company to verify data concerning any matters. 客戶知悉及確認同意本公司可將通過電話，其他媒介或其他方式與顧客的通話錄音，藉此讓本公司核實與任何事務有關的資料。 5.13 All orders given hereunder which may be executed on more than one Exchange may be executed on any Exchange the Company selects. 凡根據本協議發出可多於一間交易所執行的買賣盤，可於本公司選擇的任何交易所執行。 5.14 The Company shall not be liable (in respect of matching Client Contracts or otherwise) if the relevant Exchange, Clearing House and/or Dealer has ceased for any reason (including setting off the Company's positions with it) to recognise the existence of any Contract or fails to perform or close out any Contract, but such cessation or failure shall not affect the Client's obligations and liabilities hereunder in respect of such Contracts which the Client has required the Company to open and which have not been closed out or other obligations or liabilities of the Client arising therefrom. 若基於任何原因（包括抵銷有關交易所、結算所及／或交易商的本公司持倉），有關交易 所、結算所及／或交易商不再承認有任何合約存在，或並不執行任何合約或將其平倉，本 公司概不承擔（與客戶合約對盤或其他項目有關的）責任，惟上述不再承認合約存在或不 執行合約或將其平倉，將不影響本協議規定客戶須負責與其要求本公司開立而尚未平倉合約有關的義務及責任，或因而產生的其他客戶義務或責任。 5.15 The Company may at any time without prior notice in its absolute discretion take such steps as it may consider necessary or desirable to comply with or perform, cancel or satisfy any obligations of the Company to the relevant Exchange, Clearing House and/or Dealer in respect of Contracts acquired on the instructions of the Client, including closing out and/or performing any and all such Open Contracts, and may for such purpose: 本公司可於任何時間毋須預先通知而自行絕對酌情決定採取本公司認為所需或適宜的步驟，藉此遵行或履行、註銷或符合與本公司按客戶指示取得的合約有關而須向有關交易所、 結算所及／或交易商承擔的任何義務，包括將任何或所有有關未平倉合約平倉及／或執行有關未平倉合約，而就此而言： (a) buy or sell (in any manner howsoever and including from itself) the Asset underlying any Open Contract; and/or 買入或出售（可按任何方式進行，包括自行買入或出售）任何未平倉合約的基礎資產；及／或 (b) borrow, buy or sell any currency; and/or 借取、買入或出售任何貨幣；及／或 (c) apply any Margin or Charged Securities in each case so that all sums expended by the Company in excess of any sums held by the Company on the Client's behalf shall be paid to the Company forthwith on demand. 在各種情況下應用任何保證金或押記證券，藉此本公司所付出的款項超逾本公司代表 客戶所持有款項的溢額，應於收到要求後即時付給本公司。 5.16 The Company's written confirmation of Contracts entered into and settlement statements and statements of open and/or closed positions in respect of the Client's Accounts shall be conclusive against the Client if not objected to in writing sent by registered mail to the Company's office within seven business days after transmission of the information contained in such confirmations whether by telephone, mail, electronic mail, facsimile or otherwise to the Client. The records of the Company shall, in the absence of manifest error, be conclusive and binding on the Client as to the amount standing to the debit or credit of the Account. 若於本公司基於客戶帳戶所發出的訂立合約確認書、交收結單及未平倉及／或平倉合約結 單傳送（不論以電話、郵遞、電子郵件、傳真或其他方式）予客戶後七個營業 日內，並不 以掛號郵遞方式對有關確認書所載的資料提出書面異議，並送交本公司的辦事處，則有關 確認書對客戶而言將不可推翻。就帳戶的借項或貸項所記款項而言，如無明顯錯誤，本公司的有關紀錄應不可推翻，並對客戶具約束力。 5.17 All money, Approved Securities, Approved Debt Securities and other property received by the Company from the Client or from any other person (including the Clearing House) for the account of the Client shall be held by the Company as trustee, segregated from the Company's own assets and paid into a Segregated Bank Account or a Segregated Securities Account or a Segregated Debt Securities Account as soon as practicable and in any event within the next bank trading day after receipt thereof, and all money, Approved Securities, Approved Debt Securities or other property so held by the Company shall not form part of the assets of the Company for insolvency or winding up purposes but shall be returned to the Client promptly upon the appointment of a provisional liquidator, liquidator or similar officer over all or any part of the Company's business or assets. All monies, Approved Securities or Approved Debt Securities received by the Company from the Client or from any other person (including the Clearing House) shall be held in the manner specified under paragraphs 7 to 12 of Schedule 4 to the Code and the Client hereby authorizes the Company to apply any such monies, Approved Debt Securities or Approved Securities in the manner set out in Clauses 7.4 to 7.6 below and also in or towards meeting the Company's obligations to any party insofar as such obligations arise in connection with or incidental to Contracts transacted on the Client's behalf. 凡本公司基於客戶的帳戶而從客戶或任何其他人士（包括結算所在內）收到的款項、核准 證券、核准債務證券及其他財產，應由本公司以受託人身分持有，並與本公司本身資產分 開處理，並於切實可行時盡快（惟於任何情況下在收訖後下一個銀行營業日內）存入獨立 銀行帳戶，獨立證券帳戶或獨立債務證券帳戶，而於無力償債或清盤情況下，本公司按此 持有的所有款項、核准證券、核准債務證券或其他財產，將不屬於本公司資產的一部分， 惟於本公司的全部或部分業務或資產委任臨時清盤人，清盤人或同類官員之後，須即時退 還客戶。凡本公司從客戶或任何其他人士（包括結算所在內）收到的款項、核准證券或核 准債務證券，須按照該準則附表4第7至 12段所載的方式持有，而客戶特此授權本公司按下 文第7.4至7.6條例載的方式應用任何有關款項、核准證券及核准債務證券，亦用於應付本公司所欠任何人士的債務，惟有關債務須與代表客戶進行買賣的合約有關或所致。 5.18 Liquidating instructions on open futures positions maturing in a current month must be given to the Company prior to 4:00 p.m. on the business day before the last trading day of the current month in the case of long positions and, in the case of short positions, prior to 4:00 p.m. on the business day before the last trading day of the current month. Alternatively, sufficient good funds to take delivery or the necessary delivery documents must be delivered to the Company within the same period described above. If neither instructions, nor good funds, nor documents are received by the Company, the Company may, without notice, either liquidate the Client's position, or make or receive delivery on behalf of the Client upon such terms and by such methods which the Company shall deem to be feasible. 就即月到期的未平倉期貨持倉的平倉指示而言，如屬長倉指示，必須於即月最後交易日的 上一個營業日下午四時之前發給本公司；如屬空倉指示，必須於即月最後交易日的上一個 營業日下午四時之前發給本公司。不然，必須於上文所載期間內將用於收取交付所需的充 足及即時可用款項或所需交付文件送交本公司。若本公司並未收到任何有關指示，即時可 用款項或文件，本公司可毋須通知而按本公司認為可行的條款及方法，代表客戶將客戶的持倉平倉或作出或收取交付。 5.19 (a) Transactions related to Exchange Contracts shall be subject to the rules, regulations and procedures from time to time in force of the relevant markets and Exchanges (and, in particular, as regards Transactions effected on HKFE, the Rules) on which the Company or any Associate enters into futures contracts and/or options contracts on behalf of the Client and such rules may con
Appears in 2 contracts
Dealing and clearing. 買賣與結算
5.1 The Company shall be entitled but not bound to act on a request from the Client to carry out a Transaction (whether directly or through a Dealer). The Company may in its absolute discretion refuse any order or instruction of the Client and shall notify the Client accordingly provided always that the Company shall not in any circumstances whatsoever be liable for any loss of profit or gain, damage, liability, claim, cost or expense suffered or incurred by the Client as result thereof. Except as directed by the Client where the Client is not in default hereunder and no Event of Default (as defined in Clause 8.1) has occurred, the Company shall not be obliged to close out any Open Contract. The Company may at any time and from time to time impose any limits including position limits on any Contract, contracts of a particular type in aggregate and/or any Account and the Client agrees to do all necessary acts to ensure that such limits shall not be exceeded at any time. Except as directed by the Client in circumstances where the Client is not in default hereunder and no Event of Default has occurred, the Company shall have no obligation to close out any Contract or Client Contract. For the avoidance of doubt: 本公司有權（但並無責任）直接或通過交易商按客戶的要求進行任何交易。本公司可絕對酌情決定拒絕客戶的任何買賣盤或指示，並將有關事宜通知客戶，惟於任何情況下，對於客戶因而蒙受或產生的任何利潤損失或得益、損害、債務、申索、費用或支出，本公司概不承擔責任， 除按客戶指示進行外，如客戶並無違反本協議，亦無發生違約事件（詳見第 8.1 條的釋議）， 則本公司並無責任將任何未平倉合約平倉。本公司可於任何時間不時對任何合約特定類別合約（整體計算）及／或任何帳戶訂定限額 （包括持倉限額在內），而客戶同意作出一切所需要作為，藉以確保任何時間均不會 超出有關限額。除按客戶指示進行外，在客戶並無違反本協議及並無發生違約事件的情況下，本公司並無責任將任何合約或客戶合約平倉。為免存疑包括持倉限額在內），而客戶同意作出一切所需要作為，藉以確保任何時間均不會超出有關限額。除按客戶指示進行外，在客戶並無違反本協議及並無發生違約事件的情況下，本公司並無責任將任何合約或客戶合約平倉。為免存疑：
(a) any order and instruction relating to any Transaction may be given by the Client or any of the Authorized Person and such order and instruction shall be absolutely and conclusively binding on the Client; 客戶或任何認可人士均可發出任何交易買賣盤及指示，而有關買賣盤及指示應該絕對及確切地對客戶具約束力；
(b) the Company may but shall not be obliged to verify or enquire as to the identity of the person giving such order or instruction; and 本公司可（但並無責任）核實或查詢發出買賣盤或指示的人的身分；及
(c) the Company shall be entitled to act on the order or instruction and rely on the Company's belief that such order or instruction emanates from the Client or any of the Authorized Person (as the case may be). 本公司有權按有關買賣盤或指示行事，亦可倚賴本公司相信由客戶或任何認可人士（視乎情況而定）發出的買賣盤或指示。
5.2 Because of physical restraints on any Exchange and because of the very rapid changes in the prices of Assets that frequently take place, there may, on occasions, be a delay in making prices or in dealing. The Company may not always be able to trade at the prices or rates quoted at any specific time or "at best" or "at market". The Company shall not be liable for any loss howsoever arising by reason of its failing, or being unable, to comply with the terms of any limit order undertaken on behalf of the Client. Where the Company is for any reason whatsoever unable to perform the Client's order in full, it may, in its discretion, effect partial performance only. The Client shall in any event accept and be bound by the outcome when any request to execute orders is made. 由於任何交易所的實質環境限制及資產價格頻密發生極急速變動，在某些情況下可能會引致定價或買賣延誤。本公司或許在指定時間不能按所報出價格或按「最佳價格」或「最佳市場價格」進行買賣。對於未能或不遵行任何代表客戶進行的限價盤的條款，本公司概不承擔責任，若本公司由於任何原因不能完全執行客戶的買賣盤，本公司可自行酌情決定部分執行有關買賣盤。如客戶作出任何執行買賣盤的要求後，客戶在任何情況下均須接受有關結果，並受有關結果約束。
5.3 The Company shall not be liable for any expense, loss or damage suffered by the Client or to account to the Client for any profit or gain accruing to the Company as a result of the Company: 對於客戶由於本公司進行以下事宜而蒙受的任何支出、損失或損害、本公司概不承擔責任， 亦毋須向客戶呈報因而產生並歸於本公司的任何利潤或得益：
(a) trading or dealing in futures contracts or options contracts or in any Asset underlying any Contract or Client Contract; and 期貨合約，期權合約或任何合約或客戶合約的基礎資產的交易或買賣；及
(b) dealing in respect of Contracts or Client Contracts with the Clients. 與客戶進行合約或客戶合約買賣。
5.4 The Client hereby agrees to indemnify the Company and its directors, employees, agents, representatives, Associate and correspondents and keep each of them fully indemnified against all expenses, liabilities, claims and demands arising out of anything lawfully done by the Company or such persons in connection with this Agreement. 客戶特此同意就本公司或其董事、僱員、代理人、代表、聯繫人及代理機構基於本協議而 合法作出的任何事項所產生的一切支出、債務、申索及要求而向本公司及其董事、僱員、 代理人、代表、聯繫人及代理機構作出彌償，以及維持作出完全彌償。
5.5 The Company and any of its directors, employees or representatives may from time to time trade on its or their own account on any Exchange or with any Dealer and may, from time to time, act as Dealer in respect of any Contract or Client Contract. 本公司及其任何董事、僱員或代表可不時自行在任何交易所或與任何交易商進行買賣，並 可不時出任任何合約或客戶合約的交易商。
5.6 Subject to the provisions of the SFO and any applicable law, the Company may take the opposite position to the Client's order in relation to any Exchange traded futures contracts and options contracts, whether on the Company's own account or on behalf of the Company's Associate or other clients of the Company provided that such trade is executed competitively on or through the facilities of HKFE in accordance with the Rules or the facilities of any other Exchange in accordance with the rules and regulations of such other Exchange. 在受證券及期貨條例的條文及任何適用法例限制下，本公司可接受與客戶買賣盤相反的任何交易所買賣的期貨合約及期權合約的持倉，不論作為自用或代表本公司的聯繫人或本公司的其他客戶進行，惟有關買賣須按照各規則在／或通過期交所的設施以競爭方式執行在受證券及期貨條例的條文及任何適用法例限制下，本公司可接受與客戶買賣盤相反的任何交易所買賣的期貨合約及期權合約的持倉，不論作為自用或代表本公司的聯繫 人或本公司的其他客戶進行，惟有關買賣須按照各規則在／或通過期交所的設施以競爭方式執行， 或按照任何其他交易所的規則及規例在／或通過有關其他交易所的設施以競爭方式執行。
5.7 The Client hereby acknowledges and agrees that the Clearing House may do all things necessary to transfer any Open Contract held by the Company on the Client's behalf and any money and securities standing to the credit of the Client's Account to another exchange participant of HKFE in the event that the rights of the Company as an exchange participant of HKFE is suspended or revoked. 客戶特此確認及同意，若本公司被暫停或撤銷期交所交易所參與者的權利，結算所可作出一切所需要事項，將本公司代表客戶持有的任何未平倉合約及客戶帳戶貸項任何所記款項 及證券轉移予另一名期交所的交易所參與者。
5.8 The Client acknowledges: 客戶確認：
(a) that every Exchange Contract is subject to the charge of an Investor Compensation Fund levy and a levy pursuant to the SFO, the cost of both of which shall be borne by the Client; 每份交易所合約須繳交投資者賠償基金徵費及證券及期貨條例規定的徵費，兩項費用均由客戶承擔；
(b) that every Exchange Contract is subject to other levies HKFE may impose from time to time; 並承諾繳交證券及期貨條例、任何交易所或結算所因任何交易所合約而不時徵收的其他徵費；
(c) that, as regards HKFE, in the case of a default committed by the Company and the Client having suffered pecuniary loss thereby, the liability of the Investor Compensation Fund will be restricted to valid claims as provided for in the SFO and will be subject to the monetary limits specified in the Securities and Futures (Investor Compensation-Compensation Limits) Rules (Cap. 571AC of the Laws of Hong Kong) and accordingly, there is no assurance that any such loss sustained by reason of such a default will necessarily be recouped from the Investor Compensation Fund in full, in part or at all; and 就期交所而言，若因本公司違約而引致客戶蒙受金錢損失，則投資者賠償基金承擔的責任，謹以證券及期貨條例規定的有效申索為限，並以香港法例第571AC章證券及期貨（ 投資者賠償-賠償上限）規則所載的金額上限為限；因此，概不保證一定能夠從投資者賠償基金全額、部分或肯定收回因有關違約而蒙受的任何損失；及 (d) that in respect of any account of the Company maintained with a Clearing House, whether or not such account is maintained wholly or partly in respect of futures contracts or option contracts transacted on behalf of the Client and whether or not money or Approved Securities or Approved Debt Securities paid or deposited by the Client has been paid to or deposited with the Clearing House, as between the Company and the Clearing House, the Company deals as principal and, accordingly, no such account is impressed with any trust or other equitable interest in favour of the Client and monies, Approved Securities and Approved Debt Securities paid to the Clearing House are thereby freed from the trust interest created by Clause 5.17. 就在任何結算所維持的任何本公司帳戶（不論是否完全或部分為代表客戶進行買賣的期貨合約或期權合約而維持有關帳戶，亦不論客戶所付或存放的款項或核准證券或核准債務證券是否已付予或存於有關結算所）而言，在本公司與結算所之間，本公司以主事人身分進行買賣；因此，任何有關帳戶將不含任何客戶受益的信托或其他衡平法權益，而付予結算所的款項、核准證券及核准債務證券因而不含第5.17條規定的信托權益。
5.9 The Client acknowledges that the Company is bound by the Rules from time to time in force which permit HKFE to take steps to limit the positions or require the closing out of contracts on behalf of such clients who in the opinion of HKFE are accumulating positions which are or may be detrimental to any particular market or markets from time to time established and operated by HKFE or which are or may be capable of adversely affecting the fair and orderly operation of any such market or markets (as the case may be). 客戶確認本公司受不時有效的各規則約束，藉此於期交所認為客戶積累的倉盤將會危害期 交所不時設立營運的特定市場、或將任何有關市場的公平及有秩序運作構成或可能構成不 利影響（視乎情況而定），期交所可採取步驟限制有關客戶的持倉，或要求代表有關客戶將合約平倉。
5.10 All orders whether made by telex, cable, electronic mail, facsimile, mail or orally are accepted at the discretion of the Company and transmitted at the Client's risk. The Company shall not be responsible for the non-performance of its obligations hereunder by reasons of any cause beyond the Company's control, including, without limitation, transmission or computer delays, errors or omissions, strikes and similar industrial action or the failure of any Dealer, Exchange or Clearing House to perform its obligations. 本公司可自行酌情決定是否接受以電傳、電報、電子郵件、傳真、郵遞或口頭方式發出的 買賣盤，而有關傳送風險、一概由客戶承擔。若由於本公司控制範圍以外原因 （包括（但 不限於）傳送或電腦延誤、錯漏、罷工及同類工業行動、或任何交易商、交易所或結算所 並不履行其義務等）引致本公司未能履行本協議規定的本公司義務，則本公司概不負責。
5.11 The Client confirms that, whether any Account shall happen to be in credit or debit at the time of the Company's so acting, the Company is authorised to act on any instructions whether written or oral and howsoever communicated purporting to be given by the Client or under the Client's authority or by any Authorised Person and the Client hereby confirms and agrees that it shall be responsible to the Company for all engagements, indebtedness and any other obligations made or entered into in the Client's name whether in writing or orally and howsoever communicated and purporting to be given as aforesaid. 客戶確認，不論本公司行事之時，任何帳戶屬貸項或借款結餘，本公司仍獲授權按聲稱由 客戶，或依據客戶授權或由認可人士發出的任何指示（不論書面或口頭方式發出，亦不論 以何種方式傳達）行事，而客戶特此確認及同意，對於一切以客戶名義並聲稱以前述方式 作出或訂立的協定、債務及任何其他債項（不論書面或口頭方式作出或訂立，亦不論以何種方式傳達），客戶均須向本公司負責。
5.12 The Client understands and confirms its agreement that the Company may tape record conversations with customers whether conducted on the telephone or through any other media or otherwise in order to permit the Company to verify data concerning any matters. .客戶知悉及確認同意本公司可將通過電話，其他媒介或其他方式與顧客的通話錄音，藉此讓本公司核實與任何事務有關的資料。
5.13 All orders given hereunder which may be executed on more than one Exchange may be executed on any Exchange the Company selects. 凡根據本協議發出可多於一間交易所執行的買賣盤，可於本公司選擇的任何交易所執行。
5.14 The Company shall not be liable (in respect of matching Client Contracts or otherwise) if the relevant Exchange, Clearing House and/or Dealer has ceased for any reason (including setting off the Company's positions with it) to recognise the existence of any Contract or fails to perform or close out any Contract, but such cessation or failure shall not affect the Client's obligations and liabilities hereunder in respect of such Contracts which the Client has required the Company to open and which have not been closed out or other obligations or liabilities of the Client arising therefrom. 若基於任何原因（包括抵銷有關交易所、結算所及／或交易商的本公司持倉），有關交易 所、結算所及／或交易商不再承認有任何合約存在，或並不執行任何合約或將其平倉，本 公司概不承擔（與客戶合約對盤或其他項目有關的）責任，惟上述不再承認合約存在或不 執行合約或將其平倉，將不影響本協議規定客戶須負責與其要求本公司開立而尚未平倉合約有關的義務及責任，或因而產生的其他客戶義務或責任。
5.15 The Company may at any time without prior notice in its absolute discretion take such steps as it may consider necessary or desirable to comply with or perform, cancel or satisfy any obligations of the Company to the relevant Exchange, Clearing House and/or Dealer in respect of Contracts acquired on the instructions of the Client, including closing out and/or performing any and all such Open Contracts, and may for such purpose: 本公司可於任何時間毋須預先通知而自行絕對酌情決定採取本公司認為所需或適宜的步驟，藉此遵行或履行、註銷或符合與本公司按客戶指示取得的合約有關而須向有關交易所、 結算所及／或交易商承擔的任何義務，包括將任何或所有有關未平倉合約平倉及／或執行有關未平倉合約，而就此而言：
(a) buy or sell (in any manner howsoever and including from itself) the Asset underlying any Open Contract; and/or 買入或出售（可按任何方式進行，包括自行買入或出售）任何未平倉合約的基礎資產；及／或
(b) borrow, buy or sell any currency; and/or 借取、買入或出售任何貨幣；及／或
(c) apply any Margin or Charged Securities in each case so that all sums expended by the Company in excess of any sums held by the Company on the Client's behalf shall be paid to the Company forthwith on demand. 在各種情況下應用任何保證金或押記證券，藉此本公司所付出的款項超逾本公司代表 客戶所持有款項的溢額，應於收到要求後即時付給本公司。
5.16 The Company's written confirmation of Contracts entered into and settlement statements and statements of open and/or closed positions in respect of the Client's Accounts shall be conclusive against the Client if not objected to in writing sent by registered mail to the Company's office within seven business days after transmission of the information contained in such confirmations whether by telephone, mail, electronic mail, facsimile or otherwise to the Client. The records of the Company shall, in the absence of manifest error, be conclusive and binding on the Client as to the amount standing to the debit or credit of the Account. 若於本公司基於客戶帳戶所發出的訂立合約確認書、交收結單及未平倉及／或平倉合約結 單傳送（不論以電話、郵遞、電子郵件、傳真或其他方式）予客戶後七個營業 日內，並不 單傳送（不論以電話、郵遞、電子郵件、傳真或其他方式）予客戶後七個營業日內，並不 以掛號郵遞方式對有關確認書所載的資料提出書面異議，並送交本公司的辦事處，則有關 確認書對客戶而言將不可推翻。就帳戶的借項或貸項所記款項而言，如無明顯錯誤，本公司的有關紀錄應不可推翻，並對客戶具約束力。
5.17 All money, Approved Securities, Approved Debt Securities and other property received by the Company from the Client or from any other person (including the Clearing House) for the account of the Client shall be held by the Company as trustee, segregated from the Company's own assets and paid into a Segregated Bank Account or a Segregated Securities Account or a Segregated Debt Securities Account as soon as practicable and in any event within the next bank trading day after receipt thereof, and all money, Approved Securities, Approved Debt Securities or other property so held by the Company shall not form part of the assets of the Company for insolvency or winding up purposes but shall be returned to the Client promptly upon the appointment of a provisional liquidator, liquidator or similar officer over all or any part of the Company's business or assets. All monies, Approved Securities or Approved Debt Securities received by the Company from the Client or from any other person (including the Clearing House) shall be held in the manner specified under paragraphs 7 to 12 of Schedule 4 to the Code and the Client hereby authorizes the Company to apply any such monies, Approved Debt Securities or Approved Securities in the manner set out in Clauses 7.4 to 7.6 below and also in or towards meeting the Company's obligations to any party insofar as such obligations arise in connection with or incidental to Contracts transacted on the Client's behalf. 凡本公司基於客戶的帳戶而從客戶或任何其他人士（包括結算所在內）收到的款項、核准 證券、核准債務證券及其他財產，應由本公司以受託人身分持有，並與本公司本身資產分 開處理，並於切實可行時盡快（惟於任何情況下在收訖後下一個銀行營業日內）存入獨立 開處理，並於切實可行時盡快（惟於任何情況下在收訖後下一個銀行營 業日內）存入獨立 銀行帳戶，獨立證券帳戶或獨立債務證券帳戶，而於無力償債或清盤情況下，本公司按此 持有的所有款項、核准證券、核准債務證券或其他財產，將不屬於本公司資產的一部分， 惟於本公司的全部或部分業務或資產委任臨時清盤人，清盤人或同類官員之後，須即時退 還客戶。凡本公司從客戶或任何其他人士（包括結算所在內）收到的款項、核准證券或核 准債務證券，須按照該準則附表4第7至 12段所載的方式持有，而客戶特此授權本公司按下 文第7.4至7.6條例載的方式應用任何有關款項、核准證券及核准債務證券，亦用於應付本公司所欠任何人士的債務，惟有關債務須與代表客戶進行買賣的合約有關或所致。
5.18 Liquidating instructions on open futures positions maturing in a current month must be given to the Company prior to 4:00 p.m. on the business day before the last trading day of the current month in the case of long positions and, in the case of short positions, prior to 4:00 p.m. on the business day before the last trading day of the current month. Alternatively, sufficient good funds to take delivery or the necessary delivery documents must be delivered to the Company within the same period described above. If neither instructions, nor good funds, nor documents are received by the Company, the Company may, without notice, either liquidate the Client's position, or make or receive delivery on behalf of the Client upon such terms and by such methods which the Company shall deem to be feasible. 就即月到期的未平倉期貨持倉的平倉指示而言，如屬長倉指示，必須於即月最後交易日的 上一個營業日下午四時之前發給本公司；如屬空倉指示，必須於即月最後交易日的上一個 營業日下午四時之前發給本公司。不然，必須於上文所載期間內將用於收取交付所需的充 足及即時可用款項或所需交付文件送交本公司。若本公司並未收到任何有關指示，即時可 用款項或文件，本公司可毋須通知而按本公司認為可行的條款及方法，代表客戶將客戶的持倉平倉或作出或收取交付。 5.19
(a) Transactions related to Exchange Contracts shall be subject to the rules, regulations and procedures from time to time in force of the relevant markets and Exchanges (and, in particular, as regards Transactions effected on HKFE, the Rules) on which the Company or any Associate enters into futures contracts and/or options contracts on behalf of the Client and such rules may concont
Appears in 1 contract
Sources: Futures Client Agreement
Dealing and clearing. 買賣與結算
5.1 The Company shall be entitled but not bound to act on a request from the Client to carry out a Transaction (whether directly or through a Dealer). The Company may in its absolute discretion refuse any order or instruction of the Client and shall notify the Client accordingly provided always that the Company shall not in any circumstances whatsoever be liable for any loss of profit or gain, damage, liability, claim, cost or expense suffered or incurred by the Client as result thereof. Except as directed by the Client where the Client is not in default hereunder and no Event of Default (as defined in Clause 8.1) has occurred, the Company shall not be obliged to close out any Open Contract. The Company may at any time and from time to time impose any limits including position limits on any Contract, contracts of a particular type in aggregate and/or any Account and the Client agrees to do all necessary acts to ensure that such limits shall not be exceeded at any time. Except as directed by the Client in circumstances where the Client is not in default hereunder and no Event of Default has occurred, the Company shall have no obligation to close out any Contract or Client Contract. For the avoidance of doubt: 本公司有權（但並無責任）直接或通過交易商按客戶的要求進行任何交易。本公司可絕對酌情決定拒絕客戶的任何買賣盤或指示，並將有關事宜通知客戶，惟於任何情況下，對於客戶因而蒙受或產生的任何利潤損失或得益、損害、債務、申索、費用或支出，本公司概不承擔責任， 除按客戶指示進行外，如客戶並無違反本協議，亦無發生違約事件（詳見第 8.1 條的釋議）， 則本公司並無責任將任何未平倉合約平倉。本公司可於任何時間不時對任何合約特定類別合約（整體計算）及／或任何帳戶訂定限額 （包括持倉限額在內），而客戶同意作出一切所需要作為，藉以確保任何時間均不會 超出有關限額。除按客戶指示進行外，在客戶並無違反本協議及並無發生違約事件的情況下，本公司並無責任將任何合約或客戶合約平倉。為免存疑：
(a) any order and instruction relating to any Transaction may be given by the Client or any of the Authorized Person and such order and instruction shall be absolutely and conclusively binding on the Client; 客戶或任何認可人士均可發出任何交易買賣盤及指示，而有關買賣盤及指示應該絕對及確切地對客戶具約束力；
(b) the Company may but shall not be obliged to verify or enquire as to the identity of the person giving such order or instruction; and 本公司可（但並無責任）核實或查詢發出買賣盤或指示的人的身分；及
(c) the Company shall be entitled to act on the order or instruction and rely on the Company's belief that such order or instruction emanates from the Client or any of the Authorized Person (as the case may be). 本公司有權按有關買賣盤或指示行事，亦可倚賴本公司相信由客戶或任何認可人士（視乎情況而定）發出的買賣盤或指示。
5.2 Because of physical restraints on any Exchange and because of the very rapid changes in the prices of Assets that frequently take place, there may, on occasions, be a delay in making prices or in dealing. The Company may not always be able to trade at the prices or rates quoted at any specific time or "at best" or "at market". The Company shall not be liable for any loss howsoever arising by reason of its failing, or being unable, to comply with the terms of any limit order undertaken on behalf of the Client. Where the Company is for any reason whatsoever unable to perform the Client's order in full, it may, in its discretion, effect partial performance only. The Client shall in any event accept and be bound by the outcome when any request to execute orders is made. 由於任何交易所的實質環境限制及資產價格頻密發生極急速變動，在某些情況下可能會引致定價或買賣延誤。本公司或許在指定時間不能按所報出價格或按「最佳價格」或「最佳市場價格」進行買賣。對於未能或不遵行任何代表客戶進行的限價盤的條款，本公司概不承擔責任，若本公司由於任何原因不能完全執行客戶的買賣盤，本公司可自行酌情決定部分執行有關買賣盤。如客戶作出任何執行買賣盤的要求後，客戶在任何情況下均須接受有關結果，並受有關結果約束。
5.3 The Company shall not be liable for any expense, loss or damage suffered by the Client or to account to the Client for any profit or gain accruing to the Company as a result of the Company: 對於客戶由於本公司進行以下事宜而蒙受的任何支出、損失或損害、本公司概不承擔責任， 亦毋須向客戶呈報因而產生並歸於本公司的任何利潤或得益：
(a) trading or dealing in futures contracts or options contracts or in any Asset underlying any Contract or Client Contract; and 期貨合約，期權合約或任何合約或客戶合約的基礎資產的交易或買賣；及
(b) dealing in respect of Contracts or Client Contracts with the Clients. 與客戶進行合約或客戶合約買賣。
5.4 The Client hereby agrees to indemnify the Company and its directors, employees, agents, representatives, Associate and correspondents and keep each of them fully indemnified against all expenses, liabilities, claims and demands arising out of anything lawfully done by the Company or such persons in connection with this Agreement. 客戶特此同意就本公司或其董事、僱員、代理人、代表、聯繫人及代理機構基於本協議而 合法作出的任何事項所產生的一切支出、債務、申索及要求而向本公司及其董事、僱員、 代理人、代表、聯繫人及代理機構作出彌償，以及維持作出完全彌償。
5.5 The Company and any of its directors, employees or representatives may from time to time trade on its or their own account on any Exchange or with any Dealer and may, from time to time, act as Dealer in respect of any Contract or Client Contract. 本公司及其任何董事、僱員或代表可不時自行在任何交易所或與任何交易商進行買賣，並 可不時出任任何合約或客戶合約的交易商。
5.6 Subject to the provisions of the SFO and any applicable law, the Company may take the opposite position to the Client's order in relation to any Exchange traded futures contracts and options contracts, whether on the Company's own account or on behalf of the Company's Associate or other clients of the Company provided that such trade is executed competitively on or through the facilities of HKFE in accordance with the Rules or the facilities of any other Exchange in accordance with the rules and regulations of such other Exchange. 在受證券及期貨條例的條文及任何適用法例限制下，本公司可接受與客戶買賣盤相反的任何交易所買賣的期貨合約及期權合約的持倉，不論作為自用或代表本公司的聯繫人或本公司的其他客戶進行，惟有關買賣須按照各規則在／或通過期交所的設施以競爭方式執行， 或按照任何其他交易所的規則及規例在／或通過有關其他交易所的設施以競爭方式執行。
5.7 The Client hereby acknowledges and agrees that the Clearing House may do all things necessary to transfer any Open Contract held by the Company on the Client's behalf and any money and securities standing to the credit of the Client's Account to another exchange participant of HKFE in the event that the rights of the Company as an exchange participant of HKFE is suspended or revoked. 客戶特此確認及同意，若本公司被暫停或撤銷期交所交易所參與者的權利，結算所可作出一切所需要事項，將本公司代表客戶持有的任何未平倉合約及客戶帳戶貸項任何所記款項 及證券轉移予另一名期交所的交易所參與者。
5.8 The Client acknowledges: 客戶確認：
(a) that every Exchange Contract is subject to the charge of an Investor Compensation Fund levy and a levy pursuant to the SFO, the cost of both of which shall be borne by the Client; 每份交易所合約須繳交投資者賠償基金徵費及證券及期貨條例規定的徵費，兩項費用均由客戶承擔；
(b) that every Exchange Contract is subject to other levies HKFE may impose from time to time; 並承諾繳交證券及期貨條例、任何交易所或結算所因任何交易所合約而不時徵收的其他徵費；
(c) that, as regards HKFE, in the case of a default committed by the Company and the Client having suffered pecuniary loss thereby, the liability of the Investor Compensation Fund will be restricted to valid claims as provided for in the SFO and will be subject to the monetary limits specified in the Securities and Futures (Investor Compensation-Compensation Limits) Rules (Cap. 571AC of the Laws of Hong Kong) and accordingly, there is no assurance that any such loss sustained by reason of such a default will necessarily be recouped from the Investor Compensation Fund in full, in part or at all; and 就期交所而言，若因本公司違約而引致客戶蒙受金錢損失，則投資者賠償基金承擔的責任，謹以證券及期貨條例規定的有效申索為限，並以香港法例第571AC章證券及期貨（ 投資者賠償-賠償上限）規則所載的金額上限為限；因此，概不保證一定能夠從投資者賠償基金全額、部分或肯定收回因有關違約而蒙受的任何損失；及 (d) that in respect of any account of the Company maintained with a Clearing House, whether or not such account is maintained wholly or partly in respect of futures contracts or option contracts transacted on behalf of the Client and whether or not money or Approved Securities or Approved Debt Securities paid or deposited by the Client has been paid to or deposited with the Clearing House, as between the Company and the Clearing House, the Company deals as principal and, accordingly, no such account is impressed with any trust or other equitable interest in favour of the Client and monies, Approved Securities and Approved Debt Securities paid to the Clearing House are thereby freed from the trust interest created by Clause 5.17. 就在任何結算所維持的任何本公司帳戶（不論是否完全或部分為代表客戶進行買賣的期貨合約或期權合約而維持有關帳戶，亦不論客戶所付或存放的款項或核准證券或核准債務證券是否已付予或存於有關結算所）而言，在本公司與結算所之間，本公司以主事人身分進行買賣；因此，任何有關帳戶將不含任何客戶受益的信托或其他衡平法權益，而付予結算所的款項、核准證券及核准債務證券因而不含第5.17條規定的信托權益。
5.9 The Client acknowledges that the Company is bound by the Rules from time to time in force which permit HKFE to take steps to limit the positions or require the closing out of contracts on behalf of such clients who in the opinion of HKFE are accumulating positions which are or may be detrimental to any particular market or markets from time to time established and operated by HKFE or which are or may be capable of adversely affecting the fair and orderly operation of any such market or markets (as the case may be). 客戶確認本公司受不時有效的各規則約束，藉此於期交所認為客戶積累的倉盤將會危害期 交所不時設立營運的特定市場、或將任何有關市場的公平及有秩序運作構成或可能構成不 利影響（視乎情況而定），期交所可採取步驟限制有關客戶的持倉，或要求代表有關客戶將合約平倉。
5.10 All orders whether made by telex, cable, electronic mail, facsimile, mail or orally are accepted at the discretion of the Company and transmitted at the Client's risk. The Company shall not be responsible for the non-performance of its obligations hereunder by reasons of any cause beyond the Company's control, including, without limitation, transmission or computer delays, errors or omissions, strikes and similar industrial action or the failure of any Dealer, Exchange or Clearing House to perform its obligations. 本公司可自行酌情決定是否接受以電傳、電報、電子郵件、傳真、郵遞或口頭方式發出的 買賣盤，而有關傳送風險、一概由客戶承擔。若由於本公司控制範圍以外原因 （包括（但 不限於）傳送或電腦延誤、錯漏、罷工及同類工業行動、或任何交易商、交易所或結算所 並不履行其義務等）引致本公司未能履行本協議規定的本公司義務，則本公司概不負責。
5.11 The Client confirms that, whether any Account shall happen to be in credit or debit at the time of the Company's so acting, the Company is authorised to act on any instructions whether written or oral and howsoever communicated purporting to be given by the Client or under the Client's authority or by any Authorised Person and the Client hereby confirms and agrees that it shall be responsible to the Company for all engagements, indebtedness and any other obligations made or entered into in the Client's name whether in writing or orally and howsoever communicated and purporting to be given as aforesaid. 客戶確認，不論本公司行事之時，任何帳戶屬貸項或借款結餘，本公司仍獲授權按聲稱由 客戶，或依據客戶授權或由認可人士發出的任何指示（不論書面或口頭方式發出，亦不論 以何種方式傳達）行事，而客戶特此確認及同意，對於一切以客戶名義並聲稱以前述方式 作出或訂立的協定、債務及任何其他債項（不論書面或口頭方式作出或訂立，亦不論以何種方式傳達），客戶均須向本公司負責。
5.12 The Client understands and confirms its agreement that the Company may tape record conversations with customers whether conducted on the telephone or through any other media or otherwise in order to permit the Company to verify data concerning any matters. 客戶知悉及確認同意本公司可將通過電話，其他媒介或其他方式與顧客的通話錄音，藉此讓本公司核實與任何事務有關的資料。
5.13 All orders given hereunder which may be executed on more than one Exchange may be executed on any Exchange the Company selects. 凡根據本協議發出可多於一間交易所執行的買賣盤，可於本公司選擇的任何交易所執行。
5.14 The Company shall not be liable (in respect of matching Client Contracts or otherwise) if the relevant Exchange, Clearing House and/or Dealer has ceased for any reason (including setting off the Company's positions with it) to recognise the existence of any Contract or fails to perform or close out any Contract, but such cessation or failure shall not affect the Client's obligations and liabilities hereunder in respect of such Contracts which the Client has required the Company to open and which have not been closed out or other obligations or liabilities of the Client arising therefrom. 若基於任何原因（包括抵銷有關交易所、結算所及／或交易商的本公司持倉），有關交易 所、結算所及／或交易商不再承認有任何合約存在，或並不執行任何合約或將其平倉，本 公司概不承擔（與客戶合約對盤或其他項目有關的）責任，惟上述不再承認合約存在或不 執行合約或將其平倉，將不影響本協議規定客戶須負責與其要求本公司開立而尚未平倉合約有關的義務及責任，或因而產生的其他客戶義務或責任。
5.15 The Company may at any time without prior notice in its absolute discretion take such steps as it may consider necessary or desirable to comply with or perform, cancel or satisfy any obligations of the Company to the relevant Exchange, Clearing House and/or Dealer in respect of Contracts acquired on the instructions of the Client, including closing out and/or performing any and all such Open Contracts, and may for such purpose: 本公司可於任何時間毋須預先通知而自行絕對酌情決定採取本公司認為所需或適宜的步驟，藉此遵行或履行、註銷或符合與本公司按客戶指示取得的合約有關而須向有關交易所、 結算所及／或交易商承擔的任何義務，包括將任何或所有有關未平倉合約平倉及／或執行有關未平倉合約，而就此而言：
(a) buy or sell (in any manner howsoever and including from itself) the Asset underlying any Open Contract; and/or 買入或出售（可按任何方式進行，包括自行買入或出售）任何未平倉合約的基礎資產；及／或
(b) borrow, buy or sell any currency; and/or 借取、買入或出售任何貨幣；及／或
買入或出售（可按任何方式進行，包括自行買入或出售）任何未平倉合約的基礎資產；及／或 (c) apply any Margin or Charged Securities in each case so that all sums expended by the Company in excess of any sums held by the Company on the Client's behalf shall be paid to the Company forthwith on demand. 在各種情況下應用任何保證金或押記證券，藉此本公司所付出的款項超逾本公司代表 客戶所持有款項的溢額，應於收到要求後即時付給本公司。
5.16 The Company's written confirmation of Contracts entered into and settlement statements and statements of open and/or closed positions in respect of the Client's Accounts shall be conclusive against the Client if not objected to in writing sent by registered mail to the Company's office within seven business days after transmission of the information contained in such confirmations whether by telephone, mail, electronic mail, facsimile or otherwise to the Client. The records of the Company shall, in the absence of manifest error, be conclusive and binding on the Client as to the amount standing to the debit or credit of the Account. 若於本公司基於客戶帳戶所發出的訂立合約確認書、交收結單及未平倉及／或平倉合約結 單傳送（不論以電話、郵遞、電子郵件、傳真或其他方式）予客戶後七個營業 日內，並不 以掛號郵遞方式對有關確認書所載的資料提出書面異議，並送交本公司的辦事處，則有關 確認書對客戶而言將不可推翻。就帳戶的借項或貸項所記款項而言，如無明顯錯誤，本公司的有關紀錄應不可推翻，並對客戶具約束力。
5.17 All money, Approved Securities, Approved Debt Securities and other property received by the Company from the Client or from any other person (including the Clearing House) for the account of the Client shall be held by the Company as trustee, segregated from the Company's own assets and paid into a Segregated Bank Account or a Segregated Securities Account or a Segregated Debt Securities Account as soon as practicable and in any event within the next bank trading day after receipt thereof, and all money, Approved Securities, Approved Debt Securities or other property so held by the Company shall not form part of the assets of the Company for insolvency or winding up purposes but shall be returned to the Client promptly upon the appointment of a provisional liquidator, liquidator or similar officer over all or any part of the Company's business or assets. All monies, Approved Securities or Approved Debt Securities received by the Company from the Client or from any other person (including the Clearing House) shall be held in the manner specified under paragraphs 7 to 12 of Schedule 4 to the Code and the Client hereby authorizes the Company to apply any such monies, Approved Debt Securities or Approved Securities in the manner set out in Clauses 7.4 to 7.6 below and also in or towards meeting the Company's obligations to any party insofar as such obligations arise in connection with or incidental to Contracts transacted on the Client's behalf. 凡本公司基於客戶的帳戶而從客戶或任何其他人士（包括結算所在內）收到的款項、核准 證券、核准債務證券及其他財產，應由本公司以受託人身分持有，並與本公司本身資產分 開處理，並於切實可行時盡快（惟於任何情況下在收訖後下一個銀行營業日內）存入獨立 銀行帳戶，獨立證券帳戶或獨立債務證券帳戶，而於無力償債或清盤情況下，本公司按此 持有的所有款項、核准證券、核准債務證券或其他財產，將不屬於本公司資產的一部分， 惟於本公司的全部或部分業務或資產委任臨時清盤人，清盤人或同類官員之後，須即時退 還客戶。凡本公司從客戶或任何其他人士（包括結算所在內）收到的款項、核准證券或核 准債務證券，須按照該準則附表4第7至 12段所載的方式持有，而客戶特此授權本公司按下 文第7.4至7.6條例載的方式應用任何有關款項、核准證券及核准債務證券，亦用於應付本公司所欠任何人士的債務，惟有關債務須與代表客戶進行買賣的合約有關或所致。
5.18 Liquidating instructions on open futures positions maturing in a current month must be given to the Company prior to 4:00 p.m. on the business day before the last trading day of the current month in the case of long positions and, in the case of short positions, prior to 4:00 p.m. on the business day before the last trading day of the current month. Alternatively, sufficient good funds to take delivery or the necessary delivery documents must be delivered to the Company within the same period described above. If neither instructions, nor good funds, nor documents are received by the Company, the Company may, without notice, either liquidate the Client's position, or make or receive delivery on behalf of the Client upon such terms and by such methods which the Company shall deem to be feasible. 就即月到期的未平倉期貨持倉的平倉指示而言，如屬長倉指示，必須於即月最後交易日的 上一個營業日下午四時之前發給本公司；如屬空倉指示，必須於即月最後交易日的上一個 營業日下午四時之前發給本公司。不然，必須於上文所載期間內將用於收取交付所需的充 足及即時可用款項或所需交付文件送交本公司。若本公司並未收到任何有關指示，即時可 用款項或文件，本公司可毋須通知而按本公司認為可行的條款及方法，代表客戶將客戶的持倉平倉或作出或收取交付。 5.19
(a) Transactions related to Exchange Contracts shall be subject to the rules, regulations and procedures from time to time in force of the relevant markets and Exchanges (and, in particular, as regards Transactions effected on HKFE, the Rules) on which the Company or any Associate enters into futures contracts and/or options contracts on behalf of the Client and such rules may concontain provisions requiring the Company, upon the request of SFC
Appears in 1 contract
Sources: Futures Client Agreement
Dealing and clearing. 買賣與結算
5.1 The Company company shall be entitled but not bound to act on a request from the Client to carry out a Transaction (whether directly or through a Dealer). The Company company may in its absolute discretion refuse any order or instruction of the Client and shall notify the Client accordingly provided always that the Company company shall not in any circumstances whatsoever be liable for any loss of profit or gain, damage, liability, claim, cost or expense suffered or incurred by the Client as result thereof. Except as directed by the Client where the Client is not in default hereunder and no Event of Default (as defined in Clause 8.1) has occurred, the Company company shall not be obliged to close out any Open Contract. The Company company may at any time and from time to time impose any limits including position limits on any Contract, contracts of a particular type in aggregate and/or any Account and the Client agrees to do all necessary acts to ensure that such limits shall not be exceeded at any time. Except as directed by the Client in circumstances circumstance where the Client is not in default hereunder and no Event of Default has occurred, the Company company shall have no obligation to close out any Contract or Client Contract. For the avoidance of doubt: 本公司有權（但並無責任）直接或通過交易商按客戶的要求進行任何交易。本公司可絕對酌情決定拒絕客戶的任何買賣盤或指示，並將有關事宜通知客戶，惟於任何情況下，對於客戶因而蒙受或產生的任何利潤損失或得益、損害、債務、申索、費用或支出，本公司概不承擔責任， 除按客戶指示進行外，如客戶並無違反本協議，亦無發生違約事件（詳見第 本公司有權(但並無責任)直接或通過交易商按客戶的要求進行任何交易。本公司可絕對酌情決定拒絕客戶的任何買賣盤或指示，並將有關事宜通知客戶，惟於任何情況下，對於客戶因而蒙受或產生的任何利潤損失或得益、損害、債務、申索、費用或支出，本公司概不承擔責任，除按客戶指示進行外，如客戶並無違反本協議，亦無發生違約事件（詳見第 8.1 條的釋議）， 則本公司並無責任將任何未平倉合約平倉。本公司可於任何時間不時對任何合約特定類別合約（整體計算）及／或任何帳戶訂定限額 （包括持倉限額在內），而客戶同意作出一切所需要作為，藉以確保任何時間均不會 超出有關限額。除按客戶指示進行外，在客戶並無違反本協議及並無發生違約事件的情況下，本公司並無責任將任何合約或客戶合約平倉。為免存疑條的釋議），則本公司並無責任將任何未平倉合約平倉。本公司可於任何時間不時對任何合約特定類別合約（整體計算）及／或任何帳戶訂定限額（包括持倉限額在內），而客戶同意作出一切所需要行動，藉以確保任何時間均不會超出有關限額。除按客戶指示進行外，在客戶並無違反本協議及並無發生違約事件的情況下，本公司並無責任將任何合約或客戶合約平倉。為免存疑：
(a) any order and instruction relating to any Transaction may be given by the Client or any of the Authorized Person and such order and instruction shall be absolutely and conclusively binding on the Client; 客戶或任何認可人士均可發出任何交易買賣盤及指示，而有關買賣盤及指示應該絕對及確切地對客戶具約束力；
(b) the Company company may but shall not be obliged to verify or enquire as to the identity of the person giving such order or instruction; and 本公司可（但並無責任）核實或查詢發出買賣盤或指示的人的身分；及本公司可(但並無責任)核實或查詢發出買賣盤或指示的人的身份；及
(c) the Company company shall be entitled to act on the order or instruction and rely on the Companycompany's belief that such order or instruction emanates from the Client or any of the Authorized Person (as the case may be). 本公司有權按有關買賣盤或指示行事，亦可倚賴本公司相信由客戶或任何認可人士（視乎情況而定）發出的買賣盤或指示。
5.2 Because of physical restraints on any Exchange and because of the very rapid changes in the prices price of Assets that frequently take place, there may, on occasions, be a delay in making prices or in dealing. , The Company company may not always be able to trade at the prices or rates quoted at any specific time or "at best" or "at market". The Company company shall not be liable for any loss howsoever arising by reason of its failing, or being unable, to comply with the terms of any limit order undertaken on behalf of the Client. Where the Company company is for any reason whatsoever unable to perform the Client's order in full, it may, in its discretion, effect partial performance only. The Client shall in any event accept and be bound by the outcome when any request to execute orders is made. 由於任何交易所的實質環境限制及資產價格頻密發生極急速變動，在某些情況下可能會引致定價或買賣延誤。本公司或許在指定時間不能按所報出價格或按「最佳價格」或「最佳市場價格」進行買賣。對於未能或不遵行任何代表客戶進行的限價盤的條款，本公司概不承擔責任，若本公司由於任何原因不能完全執行客戶的買賣盤，本公司可自行酌情決定部分執行有關買賣盤。如客戶作出任何執行買賣盤的要求後，客戶在任何情況下均須接受有關結果，並受有關結果約束由於任何交易所的實質環境限制及資產價格頻密發生極急速變動，在某些情況下可能會引致定價或買賣延誤，本公司或許在指定時間不能按所報出價格或按「最佳價格」或「最佳市場價格」進行買賣。對於未能或不遵行任何代表客戶進行的限價盤的條款，本公司概不承擔責任，若本公司於任何原因不能完全執行客戶的買賣盤，本公司可自行酌情決定部分執行有關買賣盤。如客戶作出任何執行買賣盤的要求後，客戶在任何情況下均須接受有關結果，並受有關結果約束。
5.3 The Company company shall not be liable for any expense, loss or damage suffered by the Client or to account to the Client for any profit or gain accruing to the Company company as a result of the Company: 對於客戶由於本公司進行以下事宜而蒙受的任何支出、損失或損害、本公司概不承擔責任， 亦毋須向客戶呈報因而產生並歸於本公司的任何利潤或得益company. 對於客戶由本公司進行以下事宜而蒙受的任何支出、損失或損害、本公司概不承擔責任，亦毋須向客戶呈報因而產生並歸於本公司的任何利潤或得益：
(a) trading or dealing in futures contracts or options contracts Contracts or in any Asset underlying any Contract or Client Contract; and 期貨合約，期權合約或任何合約或客戶合約的基礎資產的交易或買賣；及期貨合約、期權合約或任何合約或客戶合約的基礎資產的交易或買賣；及
(b) dealing in respect of Contracts or Client Contracts with the ClientsClient. 與客戶進行合約或客戶合約買賣。
5.4 The Client hereby agrees to indemnify the Company company and its directors, employees, agents, representatives, Associate and correspondents and keep each of them fully indemnified against all expenses, liabilities, claims and demands arising out of anything lawfully done by the Company company or such persons in connection with this Agreement. 客戶特此同意就本公司或其董事、僱員、代理人、代表、聯繫人及代理機構基於本協議而 合法作出的任何事項所產生的一切支出、債務、申索及要求而向本公司及其董事、僱員、 代理人、代表、聯繫人及代理機構作出彌償，以及維持作出完全彌償客戶特此同意就本公司或其董事、僱員、代理人、代表、聯繫人及代理機構基於本協議而合法作出的任何事項所產生的一切支出、債務、申索及要求而向本公司及其董事、僱員、代理人，代表、聯繫人及代理機構作出彌償，以及維持作出完全彌償。
5.5 The Company company and any of its directors, employees or representatives may from time to time trade on its or their own account on any Exchange or with any Dealer and may, from time to time, act as Dealer in respect of any Contract or Client ContractContract . 本公司及其任何董事、僱員或代表可不時自行在任何交易所或與任何交易商進行買賣，並 可不時出任任何合約或客戶合約的交易商本公司及其任何董事、僱員或代表可不時自行在任何交易所或與任何交易商進行買賣，並可不時出任任何合約或客戶合約的交易商。
5.6 Subject to the provisions of the SFO and any applicable law, the Company company may take the opposite position to the Client's order in relation to any Exchange traded futures contracts and options contracts, whether on the Companycompany's own account or on behalf of the Companycompany's Associate or other clients of the Company company provided that such trade is executed competitively on or through the facilities of HKFE in accordance with the Rules or the facilities of any other Exchange in accordance with the rules and regulations of such other Exchange. 在受證券及期貨條例的條文及任何適用法例限制下，本公司可接受與客戶買賣盤相反的任何交易所買賣的期貨合約及期權合約的持倉，不論作為自用或代表本公司的聯繫人或本公司的其他客戶進行，惟有關買賣須按照各規則在／或通過期交所的設施以競爭方式執行， 或按照任何其他交易所的規則及規例在／或通過有關其他交易所的設施以競爭方式執行在受證券及期貨條例的條文及任何適用法例限制下，本公司可接受與客戶買賣盤相反的任何交易所買賣的期貨合約及期權合約的持倉，不論作為自營或代表本公司的聯繫人或本公司的其他客戶進行，惟有關買賣須按照各規則在／或通過期交所的設施以競爭方式執行，或按照任何其他交易所的規則及規例在／或通過有關其他交易所的設施以競爭方式執行。
5.7 The Client hereby acknowledges and agrees that the Clearing House may do all things necessary to transfer any Open Contract held by the Company company on the Client's behalf and any money and securities standing to the credit of the Client's Account to another exchange participant of HKFE in the event that the rights of the Company company as an exchange participant of HKFE is suspended or revoked. 客戶特此確認及同意，若本公司被暫停或撤銷期交所交易所參與者的權利，結算所可作出一切所需要事項，將本公司代表客戶持有的任何未平倉合約及客戶帳戶貸項任何所記款項 及證券轉移予另一名期交所的交易所參與者客戶特此確認及同意，若本公司被暫停或撤銷期交所交易所參與者的權利，結算所可作出一切所需要事項，將本公司代表客戶持有的任何未平倉合約及客戶帳戶貸項任何所記款項及證券轉移予另一名期交所的交易所參與者。
5.8 The Client acknowledges: 客戶確認：
(a) that every Exchange Contract is subject to the charge of an Investor Compensation Fund levy and a levy pursuant to the SFO, the cost of both of which shall be borne by the Client; 每份交易所合約須繳交投資者賠償基金徵費及證券及期貨條例規定的徵費，兩項費用均由客戶承擔；
(b) that every Exchange Contract is subject to other levies HKFE may impose from time to time; 並承諾繳交證券及期貨條例、任何交易所或結算所因任何交易所合約而不時徵收的其他徵費；
(c) that, as regards HKFE, in the case of a default committed by the Company company and the Client having suffered pecuniary loss thereby, the liability of the Investor Compensation Fund will be restricted to valid claims as provided for in the SFO and will be subject to the monetary limits specified in the Securities and Futures (( Investor Compensation-Compensation Limits– Compensation limits ) Rules (( Cap. 571AC of the Laws of Hong KongKong ) and accordingly, there is no assurance that any such loss sustained by reason of such a default will necessarily be recouped from the Investor Compensation Fund in full, in part or at all; and 就期交所而言，若因本公司違約而引致客戶蒙受金錢損失，則投資者賠償基金承擔的責任，謹以證券及期貨條例規定的有效申索為限，並以香港法例第571AC章證券及期貨（ 投資者賠償-賠償上限）規則所載的金額上限為限；因此，概不保證一定能夠從投資者賠償基金全額、部分或肯定收回因有關違約而蒙受的任何損失；及 就期交所而言，若因本公司違約而引致客戶蒙受金錢損失，則投資者賠償基金承擔的責任，謹以證券及期貨條例規定的有效申索為限，並以香港法例第 571AC 章證券及期貨（投資者賠償 - 賠償上限）規則所載的金額上限為限；因此，概不保證一定能夠從投資者賠償基金全額、部分或肯定收回因有關違約而蒙受的任何損失；及
(d) that in respect of any account of the Company company maintained with a Clearing House, whether or not such account is maintained wholly or partly in respect of futures contracts or option contracts transacted on behalf of the Client and whether or not money or Approved Securities or Approved approved Debt Securities paid or deposited by the Client has been paid to or deposited with the Clearing House, as between the Company company and the Clearing House, the Company company deals as principal and, accordingly, no such account is impressed with any trust or other equitable interest in favour of the Client and monies, Approved Securities and Approved Debt Securities paid to the Clearing House are thereby freed from the trust interest created by Clause clause 5.17. 就在任何結算所維持的任何本公司帳戶（不論是否完全或部分為代表客戶進行買賣的期貨合約或期權合約而維持有關帳戶，亦不論客戶所付或存放的款項或核准證券或核准債務證券是否已付予或存於有關結算所）而言，在本公司與結算所之間，本公司以主事人身分進行買賣；因此，任何有關帳戶將不含任何客戶受益的信托或其他衡平法權益，而付予結算所的款項、核准證券及核准債務證券因而不含第5.17條規定的信托權益就在任何結算所維持的任何本公司帳戶（不論是否完全或部分為代表客戶進行買賣的期貨合約或期權合約而維持有關帳戶，亦不論客戶所付或存放的款項或核准證券或核准債務證券是否已付予或存於有關結算所）而言，在本公司與結算所之間，本公司以主事人身分進行買賣；因此，任何有關帳戶將不含任何客戶受益的信託或其他衡平法權益，而付予結算所的款項、核准證券及核准債務證券因而不含第 5.17 條規定的信託權益。
5.9 The Client acknowledges that the Company company is bound by the Rules from time to time in force which permit Permit HKFE to take steps to limit the positions or require the closing out of contracts on behalf of such clients who in the opinion of HKFE are accumulating positions which are or may be detrimental to any particular market or markets from time to time established and operated by HKFE or which are or may be capable of adversely affecting the fair and orderly operation of any such market or markets (as the case may be). 客戶確認本公司受不時有效的各規則約束，藉此於期交所認為客戶積累的倉盤將會危害期 交所不時設立營運的特定市場、或將任何有關市場的公平及有秩序運作構成或可能構成不 利影響（視乎情況而定），期交所可採取步驟限制有關客戶的持倉，或要求代表有關客戶將合約平倉客戶確認本公司受不時有效的各規則約束，藉此於期交所認為客戶積累的倉盤將會危害期交所不時設立營運的特定市場、或將任何有關市場的公平及有秩序運作構成或可能構成不利影響（視乎情況而定），期交所可採取步驟限制有關客戶的持倉，或要求代表有關客戶將合約平倉。
5.10 All orders whether made by telex, cable, electronic mail, facsimile, mail or orally are accepted at the discretion of the Company company and transmitted at the Client's risk. The Company company shall not be responsible for the non-performance of its obligations hereunder by reasons of any cause beyond the Companycompany's control, including, without limitation, transmission or computer delays, errors or omissions, strikes and similar industrial action or the failure of any Dealer, Exchange or Clearing House to perform its obligations. 本公司可自行酌情決定是否接受以電傳、電報、電子郵件、傳真、郵遞或口頭方式發出的 買賣盤，而有關傳送風險、一概由客戶承擔。若由於本公司控制範圍以外原因 （包括（但 不限於）傳送或電腦延誤、錯漏、罷工及同類工業行動、或任何交易商、交易所或結算所 並不履行其義務等）引致本公司未能履行本協議規定的本公司義務，則本公司概不負責本公司可自行酌情決定是否接受以電傳、電報、電子郵件、傳真、郵遞或口頭方式發出的買賣盤，而有關傳送風險，一概由客戶承擔。若由於本公司控制範圍以外原因（包括（但不限於）傳送或電腦延誤、錯漏、罷工及同類工業行動 、或任何交易商、交易所或結算所並不履行其義務等）引致本公司未能履行本協議規定的本公司義務，則本公司概不負責。
5.11 The Client confirms that, whether any Account shall happen to be in credit or debit at the time of the Companycompany's so acting, the Company company is authorised authorized to act on any instructions instructions, whether written or oral and howsoever communicated purporting to be given by the Client or under the Client's authority or by any Authorised Authorized Person and the Client hereby confirms and agrees that it shall be responsible to the Company company for all engagements, indebtedness and any other obligations made or entered into in the Client's name whether in writing or orally and howsoever communicated and purporting to be given as aforesaid. 客戶確認，不論本公司行事之時，任何帳戶屬貸項或借款結餘，本公司仍獲授權按聲稱由 客戶，或依據客戶授權或由認可人士發出的任何指示（不論書面或口頭方式發出，亦不論 以何種方式傳達）行事，而客戶特此確認及同意，對於一切以客戶名義並聲稱以前述方式 作出或訂立的協定、債務及任何其他債項（不論書面或口頭方式作出或訂立，亦不論以何種方式傳達），客戶均須向本公司負責客戶確認，不論本公司行事之時，任何帳戶屬貸項或借款結餘，本公司仍獲授權按聲稱由客戶，或依據客戶授權或由認可人士發出的任何指示（不論書面或口頭方式發出，亦不論以何種方式傳達）行事，而客戶特此確認及同意，對於一切以客戶名義並聲稱以前述方式作出或訂立的協定、債務及任何其他債項（不論書面 或口頭方式作出或訂立，亦不論以何種方式傳達），客戶均須向本公司負責。
5.12 The Client understands and confirms its agreement that the Company company may tape record conversations with customers Clients whether conducted on the telephone or through any other media or otherwise in order to permit the Company company to verify data concerning any matters. 客戶知悉及確認同意本公司可將通過電話，其他媒介或其他方式與顧客的通話錄音，藉此讓本公司核實與任何事務有關的資料客戶知悉及確認同意本公司可將通過電話，其他媒介或其他方式與顧客的通話錄音藉此讓本公司核實與任何事務有關的資料。
5.13 All orders given hereunder which may be executed on more than one Exchange may be maybe executed on any Exchange or Dealer the Company company selects. 凡根據本協議發出可多於一間交易所執行的買賣盤，可於本公司選擇的任何交易所執行凡根據本協議發出可多於一間交易所執行的買賣盤，本公司可選擇任何交易所或交易商執行。
5.14 The Company company shall not be liable (in respect of matching Client Contracts or otherwise) if the relevant Exchange, Clearing House and/or Dealer has ceased for any reason (including setting off the Companycompany's positions with it) to recognise recognize the existence of any Contract or fails to perform or close out any Contract, but such cessation or failure shall not affect the Client's ’s obligations and liabilities hereunder in respect of such Contracts which the Client has required the Company company to open and which have not been closed out or other obligations or liabilities of the Client arising therefrom. 若基於任何原因（包括抵銷有關交易所、結算所及／或交易商的本公司持倉），有關交易 所、結算所及／或交易商不再承認有任何合約存在，或並不執行任何合約或將其平倉，本 公司概不承擔（與客戶合約對盤或其他項目有關的）責任，惟上述不再承認合約存在或不 執行合約或將其平倉，將不影響本協議規定客戶須負責與其要求本公司開立而尚未平倉合約有關的義務及責任，或因而產生的其他客戶義務或責任若基於任何原因（包括抵銷有關交易所、結算所及／或交易商的本公司持倉），有關交易所、結算所及／或交易商不再承認有任何合約存在，或並不執行任何合約或將其平倉，本公司概不承擔（與客戶合約對盤或其他項目有關的）責任，惟上述不再承認合約存在或不執行合約或將其平倉，將不影響本協議規定客戶須負責與其要求本公司開立而尚未平倉合約有關的義務及責任，或因而產生的其他客戶義務或責任。
5.15 The Company company may at any time without prior notice in its absolute discretion take such steps as it may consider necessary or desirable to comply with or perform, cancel or satisfy any obligations of the Company company to the relevant Exchange, Clearing House and/or Dealer in respect of Contracts acquired on the instructions of the Client, including closing out and/or performing any and all such Open Contracts, and may for such purpose: 本公司可於任何時間毋須預先通知而自行絕對酌情決定採取本公司認為所需或適宜的步驟，藉此遵行或履行、註銷或符合與本公司按客戶指示取得的合約有關而須向有關交易所、 結算所及／或交易商承擔的任何義務，包括將任何或所有有關未平倉合約平倉及／或執行有關未平倉合約，而就此而言本公司可於任何時間毋須預先通知而自行絕對酌情決定採取本公司認為所需或適宜的步驟，藉此遵行或履行、註銷或符合與本公司按客戶指示取得的合約有關而須向有關交易所、結算所及／或交易商承擔的任何義務，包括將任何或所有有關未平倉合約平倉及／或執行有關未平倉合約，而就此而言：
(a) buy or sell (in any manner howsoever and including from itself) the Asset underlying any Open Contract; and/or 買入或出售（可按任何方式進行，包括自行買入或出售）任何未平倉合約的基礎資產；及／或
(b) borrow, buy or sell any currency; and/or 借取、買入或出售任何貨幣；及／或
(c) apply any Margin or Charged Securities in each case so that all sums expended by the Company company in excess of any sums held by the Company company on the Client's behalf shall be paid to the Company company forthwith on demand. 在各種情況下應用任何保證金或押記證券，藉此本公司所付出的款項超逾本公司代表 客戶所持有款項的溢額，應於收到要求後即時付給本公司在各種情況下應用任何保證金或押記證券，藉此本公司所付出的款項超逾本公司代表客戶所持有款項的溢額，應於收到要求後即時付給本公司。
5.16 The Companycompany's written confirmation of Contracts entered into and settlement statements and statements of open and/or closed positions in respect of the Client's Accounts shall be conclusive against the Client if not objected to in writing sent by registered mail to the Companycompany's office within seven five business days after transmission of the information contained in such confirmations whether by telephone, mail, electronic mail, facsimile or otherwise to the Client. The records of the Company company shall, in the absence of manifest error, be conclusive and binding on the Client as to the amount standing to the debit or credit of the Account. 若於本公司基於客戶帳戶所發出的訂立合約確認書、交收結單及未平倉及／或平倉合約結 單傳送（不論以電話、郵遞、電子郵件、傳真或其他方式）予客戶後七個營業 日內，並不 以掛號郵遞方式對有關確認書所載的資料提出書面異議，並送交本公司的辦事處，則有關 確認書對客戶而言將不可推翻。就帳戶的借項或貸項所記款項而言，如無明顯錯誤，本公司的有關紀錄應不可推翻，並對客戶具約束力若於本公司基於客戶帳戶所發出的訂立合約確認書、交收結單及未平倉及／或平倉合約結單傳送（不論以電話、郵遞、電子郵件、傳真或其他方式）予客戶後五個營業日內，並不以掛號郵遞方式對有關確認書所載的資料提出書面異議，並送交本公司的辦事處，則有關確認書對客戶而言將不可推翻。就帳戶的借項或貸項所記款項而言，如無明顯錯誤，本公司的有關紀錄應不可推翻，並對客戶具約束力。
5.17 All moneymonies, Approved Securities, Approved Debt Securities and other property received by the Company company from the Client or from any other person (including the Clearing House) for the account of the Client shall be held by the Company company as trustee, segregated from the Companycompany's own assets and paid into a Segregated Bank Account or a Segregated Securities Account or a Segregated Debt Securities Account as soon as practicable and in any event within the next bank trading day after receipt thereof, and all money, Approved Securities, Approved Debt Securities or other property so held by the Company company shall not form part of the assets of the Company company for insolvency or winding up purposes but shall be returned to the Client promptly upon the appointment of a provisional liquidator, liquidator or similar officer over all or any part of the Companycompany's business or assets. All monies, Approved Securities securities or Approved Debt Securities received by the Company company from the Client or from any other person (including the Clearing House) shall be held in the manner specified under paragraphs 7 to 12 of Schedule 4 to the Code and the Client client hereby authorizes the Company company to apply any such monies, Approved Debt Securities or Approved Securities in the manner set out in Clauses 7.4 to 7.6 below and also in or towards meeting the Companycompany's obligations to any party insofar as such obligations arise in connection with or incidental to Contracts transacted on the Client's behalf. 凡本公司基於客戶的帳戶而從客戶或任何其他人士（包括結算所在內）收到的款項、核准 證券、核准債務證券及其他財產，應由本公司以受託人身分持有，並與本公司本身資產分 開處理，並於切實可行時盡快（惟於任何情況下在收訖後下一個銀行營業日內）存入獨立 銀行帳戶，獨立證券帳戶或獨立債務證券帳戶，而於無力償債或清盤情況下，本公司按此 持有的所有款項、核准證券、核准債務證券或其他財產，將不屬於本公司資產的一部分， 惟於本公司的全部或部分業務或資產委任臨時清盤人，清盤人或同類官員之後，須即時退 還客戶。凡本公司從客戶或任何其他人士（包括結算所在內）收到的款項、核准證券或核 准債務證券，須按照該準則附表4第7至 12段所載的方式持有，而客戶特此授權本公司按下 文第7.4至7.6條例載的方式應用任何有關款項、核准證券及核准債務證券，亦用於應付本公司所欠任何人士的債務，惟有關債務須與代表客戶進行買賣的合約有關或所致凡本公司基於客戶的帳戶而從客戶或任何其他人士（包括結算所在內）收到的款項、核准證券、核准債務證券及其他財產，應由本公司以受託人身分持有，並與本公司本身資產分開處理，並於切實可行時盡快（惟於任何情況下在收訖後下一個銀行營業日內）存入獨立銀行賬戶，獨立證券帳戶或獨立債務證券帳戶，而於無力償債或清盤情況下，本公司按此持有的所有款項、核准證券、核准債務證券或其他財產，將不屬於本公司資產的一部分，惟於本公司的全部或部分業務或資產委任臨時清盤人，清盤人或同類官員之後，須即時退還客戶。凡本公司從客戶或任何其他人士（包括結算所在內）收到的款項、核准證券或核准債務證券，須按照該準則附表 4 第 7 至 12 段所載的方式持有，而客戶特此授權本公司按下文第 7.4 至 7.6 條例載的方式應用任何有關款項、核准證券及核准債務證券，亦用於應付本公司所欠任何人士的債務，惟有關債務須與代表客戶進行買賣的合約有關或所致。
5.18 Liquidating instructions on open futures positions maturing in a current month must be given to the Company company prior to 4:00 p.m. 4:00p.m. on the business day before the last trading day of the current month in the case of long positions and, in the case of short positions, prior to 4:00 p.m. on the business day before the last trading day of the current month. , Alternatively, sufficient good funds to take delivery or the necessary delivery deliver documents must be delivered to the Company company within the same period described above. If neither instructions, nor good funds, nor documents are received by the Companycompany, the Company company may, without notice, either liquidate the Client's ’s position, or make or receive delivery on behalf of the Client upon such terms and by such methods which the Company company shall deem to be feasible. 就即月到期的未平倉期貨持倉的平倉指示而言，如屬長倉指示，必須於即月最後交易日的 上一個營業日下午四時之前發給本公司；如屬空倉指示，必須於即月最後交易日的上一個 營業日下午四時之前發給本公司。不然，必須於上文所載期間內將用於收取交付所需的充 足及即時可用款項或所需交付文件送交本公司。若本公司並未收到任何有關指示，即時可 用款項或文件，本公司可毋須通知而按本公司認為可行的條款及方法，代表客戶將客戶的持倉平倉或作出或收取交付。 5.19就即月到期的未平倉期貨持倉的平倉指示而言，如屬長倉指示，必須於即月最後交易日的上一個營業日下午四時之前發給本公司；如屬淡倉指示，必須於即月最後交易日的上一個營業日下午四時之前發給本公司。不然，必須於上文所載期間日內將用於收取交付所需的充足及即時可用款項或所需交付文件送交本公司。若本公司並未收到任何有關指示，即時可用款項或文件，本公司可毋須通知而按本公司認為可行的條款及方法，代表客戶將客戶的持倉平倉或作出或收取交付。
(a) Transactions related to Exchange Contracts shall be subject subjected to the rules, regulations and procedures from time to time in force of the relevant markets and Exchanges (and, in particular, as regards Transactions effected on HKFE, the Rules) on which the Company company or any Associate enters into futures contracts and/or options contracts on behalf of the Client and such rules may concontain provisions r
Appears in 1 contract
Sources: Client Agreement for Futures