Dealing Practices Sample Clauses
The Dealing Practices clause defines the standards and procedures that parties must follow when conducting transactions under the agreement. It typically outlines acceptable methods of communication, timing for orders or instructions, and any specific protocols for executing trades or deals. By establishing clear expectations for how dealings are to be conducted, this clause helps prevent misunderstandings and disputes, ensuring that all parties operate under consistent and transparent practices.
Dealing Practices. 5.1 Any day order for purchase or sale of Securities placed by the Customer that has not been executed before the close of business of the relevant Exchange or such later time as the Customer and the Company may agree shall be deemed to have been cancelled automatically.
Dealing Practices. 5.1 客戶就買入或賣出證券發出的當日指示，如果在相關交易所營業時間結束時，或在客戶和本公司約定的較後時限結束時仍未執行，應被視為已自動取消。 Any day order for purchase or sale of Securities placed by the Customer that has not been executed before the close of business of the relevant Exchange or such later time as the Customer and the Company may agree shall be deemed to have been cancelled automatically.
Dealing Practices. 4.1 客戶就買入或賣出證券發出的當日指示，如果在相關交易所營業時間結束時，或在客戶和本公司約定的較後時限結束時仍未執行，應被視為已自動取消。 Any day order for purchase or sale of Securities placed by the Client that has not been executed before the close of business of the relevant Exchange or such later time as the Client and the Companies may agree shall be deemed to have been cancelled automatically.
4.2 客戶授權本公司，在任何時候並以本公司的絕對酌情權決定，將客戶購入和／或出售證券的指示，與本公司從其他客戶收到的類似指示，進行合併和／或分拆處理，以獲得更好的交易價格和／或減少指示的數量。客戶同意，如果可以獲得的證券不足以滿足如此合併後的買賣盤的數量，則實際購得或售出的證券，須按照本公司接到該等指示的先後順序，向有關客戶作分配數量。 The Client authorizes the Companies, at any time and at Companies’ absolute discretion, for the purpose of obtaining a better execution price and/or reducing the volume of Instructions, to consolidate and/or disaggregate the Client’s Instructions to purchase and/or sell Securities on the Client’s behalf with similar Instructions received from the Companies’ other Clients. The Client agrees that in the event of there being insufficient Securities available to satisfy the purchase/sell orders so consolidated, the number of Securities actually purchased/ sold shall be allocated to the relevant Clients in the order in which those orders were received by the Companies.
4.3 客戶確認，基於任何市場的市場條件或物理限制，以及投資產品價格的迅速轉變及／或貨幣匯率的波動，在某些情況下，及即使本公司、執行經紀商或交易商 （不論於香港或其他地方）合理盡力，本公司未必能全數或按客戶指定的價格或時間或「按最佳條件」或「按市場條件」執行客戶的指示。倘因市況或本公司未能控制的任何其他原因，本公司未能全數履行任何指示，本公司概不負責，客戶應接受本公司進行的交易並受其約束。 The Client acknowledges that by reason of market conditions or physical restraints on any Market and rapid changes in the prices of investment products and/or fluctuation in currency exchange rates, on occasions and despite the reasonable endeavours of the Companies, executing brokers or dealers (whether in Hong Kong or elsewhere), the Companies may not be able to execute the Client's Instructions in full or at the specific prices or time specified by the Client or "at best" or "at market". The Companies shall not be liable if any Instruction is not performed in full due to market conditions or any other cause beyond the Companies' control, and the Client shall accept and be bound by dealings effected by the Companies.
4.4 在適用法律和規例及市場要求的規限下，本公司可以其絕對酌情權，在適當考慮收到指令的次序後，決定執行客戶指令的優先次序，且就本公司執行本公司所收到的指令而言，客戶並非享有優先於任何另一客戶的權利。 Subject to applicable laws and regulations and market requirements, the Companies may in its absolute discretion determine the priority in the execution of its Clients’ orders, having due regard to the sequence in which such orders were received, and the Client shall not have any claim of p...
Dealing Practices. 8.1 The Company may determine the priority in the execution of Instructions having due regard to market practice, applicable regulations and fairness to all Clients.
8.2 The Company may, without prior notice to the Client, combine for execution his Instructions with the instructions of other Clients in accordance with applicable laws and regulations. Where there are insufficient securities to satisfy instructions so combined, the transactions will be allocated between Clients with due regard to market practice and fairness to Clients provided that the instructions of the Clients shall have priority over instructions of the Company for its own account.
8.3 The Company will not be liable for delays or failure in the transmission of Instructions due to breakdown or collapse of communication facilities or for any other delay or failure beyond the control of the Company.
8.4 By reason of physical restraints and rapid changes of securities prices, the Company may not always be able to execute Instructions in full or at the prices quoted at any specific time or “at best” or “at market” and the Client agrees to be bound by such executions.
8.5 A request to cancel or amend an Instruction is only possible before it has been executed and is subject to acceptance (the Company shall not refuse to accept such a request unless on reasonable grounds) by the Company. In the case of full or partial execution of any Instruction before the request for cancellation has been accepted by the Company, the Client agrees to accept full responsibility for the transactions. Instructions are, unless accepted by the Company for cancellation or amendment, good for the trading day on which it was accepted by the Company and shall lapse if not executed by the end of such trading day unless otherwise agreed to by the Company.
8.6 The Company will upon request provide the Client with product specification and any prospectus or other offering documents in relation to any derivative products, which the Client instructs the Company to purchase or sell on the Client’s behalf pursuant to the terms of the Agreement.
8.7 The Company may tape record conversations with the Client and Authorized Persons in order to permit the Company to verify information concerning Instructions or any other matters. The Client hereby consents to the recording of such telephone conversations.
Dealing Practices. 3.1 SINO may determine the priority in the execution of the Client’s orders having due regard to market practice, applicable regulations and fairness to all The Client. Transactions executed may not always be able to execute orders at the prices quoted “at best” or “at market” and the Client agrees in any event to be bound by Transactions executed by SINO following Instructions given by the Client.
3.2 Any order for purchase or sale of Securities placed by the Client will be valid for the day ordered. The order(s) has not been executed before the close of business of the relevant Exchange or such later time as the Client and SINO may agree shall be deemed to have been cancelled automatically.
3.3 SINO, at any time and at Company's absolute discretion, for the purpose of obtaining a better execution price and/or reducing the volume of instructions, to consolidate and/or disaggregate the Client's Instructions to purchase and/or sell Securities. This may result in a more favorable or less favorable price being obtained for the Client than executing the Client’s orders separately. The Client agrees that in the event of there being insufficient Securities available to satisfy the purchase/sell orders so consolidated; the number of Securities actually purchased/sold shall be attributed to the relevant Client in the order in which those orders were received by SINO.
3.4 SINO will not be liable for any failure in the transmission of orders due to breakdown or collapse of communication facilities or for any other delay or failure beyond the control of SINO. When the Client request to cancel or amend the order(s), it is only possible before the order(s) is executed. In the case of full or partial execution of the Client’s cancelled orders, the Client agrees to accept full responsibility for the transactions.
3.5 After execution of the Client’s orders, SINO will send the Client trade confirmations of the Client’s transactions and relevant statements summarizing trades in the Client’s account. Such trade confirmations and statements shall be conclusive and binding on the Client if the Client did not object to in writing by the Client within 24 hours in the case of trade confirmations or 7 days in the case of statements.
3.6 If SINO provides services to the Client in relation to derivative products, including options, the Client can request SINO provide product specifications and any prospectus or other offering document covering such products.
3.7 The Client acknowled...
Dealing Practices. 5.1 客戶下達的證券買入和賣出指示如果在相關交易所交易日結束之前(或於客戶與本公司同意之較後時間)沒有成交，該指令將被視為已自動取消。 Any day order for purchase or sale of Securities placed by the Client that has not been executed before the close of business of the relevant Exchange or such later time as the Client and the Company may agree shall be deemed to have been cancelled automatically.
5.2 客戶授權本公司為獲得到更好交易價格和/或減少指示的數量，可以在任何時候及據本公司的絕對酌情權，將客戶的買入和/或售出證券的指示與本公司收到其他客戶的相似指示合併和/或拆散地執行。客戶同意如果沒有足夠的證券去滿足合併後的買入或售出證券的指令，本公司將根據收到指示的順序把實際買入或售出證券的數量分配給有關的客戶。 The Client authorizes the Company, at any time and at Company’s absolute discretion, for the purpose of obtaining a better execution price and/or reducing the volume of instructions, to consolidate and/or disaggregate the Client’s Instructions to purchase and/or sell Securities on the Client’s behalf with similar instructions received from the Company’s other Clients. The Client agrees that in the event of there being insufficient Securities available to satisfy the purchase/sell orders so consolidated, the number of Securities actually purchased/sold shall be attributed to the relevant Clients in the order in which those orders were received by the Company.
5.3 客戶確認由於執行交易的交易所或其他市場的交易慣例，交易指示未必可以「最佳價」或「市場價」執行，客戶同意在任何情況下，本公司依照客戶發出的指示所進行的交易承擔責任。 The Client acknowledges that due to the trading practices of the Exchange or other markets in which Transactions are executed, it may not always be able to execute orders at the prices quoted ‘at best’ or ‘at market’ and the Client agrees in any event to be bound by Transactions executed by the Company following Instructions given by the Client.
5.4 依據適用的法例和規例及市場的要求，本公司可據其絕對酌情權，及考慮接收指示的次序，決定執行客戶指示的優先權，及客戶不得對有關本公司執行任何收到的客戶指示的優先次序提出異議。 Subject to applicable laws and regulations and market requirements, the Company may in its absolute discretion determine the priority in the execution of its Clients’ orders, having due regard to the sequence in which such orders were received, and the Client shall not have any claim of priority to another Client in relation to the execution of any order received by the Company.
5.5 除非另有協訂及本公司已(就每一宗交易)代表客戶持有現金或證券以進行交易的結算，客戶應按本公司通知客戶的時間內向本公司支付可使用的款項(包括以港幣以外的其他貨幣支付)，或向本公司交付已繳清股款並擁有有效和完整的所有權及可交付形式的證券。客戶應對本公司由於客戶的交收失誤而導致的任何損失和費用承擔責任。 Unless otherwise agreed, in respect of each Transactions, unless the Company is already holding cash or Securities on the Client’s behalf to settle the Transactions, the Client shall pay the Company cleared funds (including payment in a currency other than Hong Kong dollars) or d...
Dealing Practices. TCSCL will act as your agent in effecting Transactions unless TCSCL indicates (in the contract note for the relevant Transaction or otherwise) that TCSCL is acting as a principal.
Dealing Practices. 4.1 The Broker agrees to, acting as an agent for the Client, purchase, sell (including short sales) or otherwise deal with or in Futures/ Options Contract, on margin or otherwise, for the Account(s) in accordance with the oral or written instructions or orders of the Client and/or the Authorised Representative (if one is appointed).
4.2 Notwithstanding anything provided in clause 4.1 of this Agreement, the Broker shall have the right, at its absolute discretion, to accept or reject any instructions or orders for the Account(s) and to impose trading limits without assigning any reason therefore. In particular, the Broker may at any time refuse to carry out any instruction from the Client and/or the Authorised Representative (if one is appointed) (in particular, where the Broker suspects that any fraud and/or illegality are involved). The Client acknowledges that the Broker is subject to the anti-money laundering, suppression of terrorist financing, suspicious transaction reporting laws and regulations of Hong Kong and any other applicable jurisdiction. The Client agrees to provide any information requested by the Broker for the purposes of complying with any such laws and regulations in respect of the Account(s) and/or services provided to the Client. The Broker shall not in any circumstances whatsoever be liable in any way for any loss of profit or gain, damage, liability, cost or expense suffered or incurred by the Client arising out of or in connection with the Broker refusing or declining to act or imposing trading limits on such instructions.