SECURITIES IN THE ACCOUNT. 2.1 The securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities which are listed or traded on a recognized market as defined under the SFO (including the market operated by SEHK) or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the Broker (“Local Securities”) shall be:
Appears in 6 contracts
Samples: Client Agreement, Client Master Agreement, Client Agreement
SECURITIES IN THE ACCOUNT. 2.1 The securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities which are listed or traded on a recognized market as defined under the SFO (including the market operated by SEHK) SEHK or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the The Broker (“Local Securities”) shall be:
Appears in 5 contracts
Samples: Margin Client Agreement, Client Services Agreement, Margin Client Agreement
SECURITIES IN THE ACCOUNT. 2.1 2.1. The securities Securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities Securities which are listed or traded on a recognized market as defined under the SFO (including the market operated by SEHK) or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the Broker (“"Local Securities”") shall be:
Appears in 2 contracts
Samples: Securities Transactions Client Agreement, Securities Transactions Client Agreement
SECURITIES IN THE ACCOUNT. 2.1 5.1 The securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities which are listed or traded on a recognized market as defined under the SFO (including the market operated by SEHK) SEHK or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the Broker (“Local Securities”) shall be:
Appears in 2 contracts
Samples: Cash Client Agreement, Agreement
SECURITIES IN THE ACCOUNT. 2.1 The securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFO. In particular, the securities which are listed or traded on a recognized market as defined under the SFO (including the market operated by SEHK) or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the Broker AIF SEC (“Local Securities”) shall be:
Appears in 1 contract
Samples: Client Agreement
SECURITIES IN THE ACCOUNT. 2.1 5.1 The securities of the Client in the Account shall be treated and dealt with in compliance with the provisions of the SFOSFO and/or any Applicable Laws and Regulations in any Foreign Jurisdictions. In particular, the securities collateral which are listed or traded on a recognized market as defined under the SFO (including the market operated by SEHK) Exchange or interests in an authorized collective investment scheme (as defined in the SFO) and are received or held in Hong Kong by the Broker PC Securities Limited (“Local SecuritiesSecurities Collateral”) shall be:
Appears in 1 contract
Samples: Client Agreement
