Common use of Dealing for Collective Investment Schemes Clause in Contracts

Dealing for Collective Investment Schemes. If I/we effected the dealing for a collective investment scheme, discretionary account or discretionary trust, I/we shall, upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform the Hong Kong regulators of the identity, address and contact details of the scheme, account or trust and, if applicable, the identity, address, occupation and contact details of the person who, on behalf of the scheme, account or trust, instructed me/us to effect the dealing. If I/we effected the dealing for a collective investment scheme, discretionary account or discretionary trust, I/we shall, as soon as practicable, inform you when my/our discretion to invest on behalf of the scheme, account or trust has been overridden. In the case where my/our investment discretion has been overridden, I/we shall, immediately upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform you and/or the Hong Kong regulators of the identity, address, occupation and contact details of the person(s) who has or have given the instruction in relation to the dealing.

Dealing for Collective Investment Schemes. If I/we effected the dealing for a collective investment scheme, discretionary account or discretionary trust, I/we shall, upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform the Hong Kong regulators of the identity, address and contact details of the scheme, account or trust and, if applicable, the identity, address, occupation and contact details of the person who, on behalf of the scheme, account or trust, instructed me/us to effect the dealing. If I/we effected the dealing for a collective investment scheme, discretionary account or discretionary trust, I/we shall, as soon as practicable, inform you when my/our discretion to invest on behalf of the scheme, account or trust has been overridden. In the case where my/our investment discretion has been overridden, I/we shall, immediately upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform you and/or the Hong Kong regulators of the identity, address, occupation and contact details of the person(s) who has or have given the instruction in relation to the dealing.