Client Securities definition

Client Securities means any Securities (other than Securities Collateral) received or held by or on behalf of USL or any other member of uSmart Group, or nominees which are so received or held on the Client’s behalf or in which the Client has a legal or equitable interest.

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Client Securities means any Securities (other than Securities Collateral) received or held by or on behalf of GTJAS or any other member of GTJA Group, or nominees which are so received or held on the Client’s behalf or in which the Client has a legal or equitable interest.

Client Securities mean the Securities, which forms part of the Portfolio.

Examples of Client Securities in a sentence

• You understand that as the China Connect Securities traded through China Connect are not listed or traded on SEHK, you will not have protection either under the Client Securities Rules nor under the Client Identity Rules.

• This form of consent will comply with the Securities and Futures (Client Securities) Rules which requires that, in the case of non-professional investors, any such consent shall specify the period for which it is current but shall remain in force for a period specified in such consent and shall, in any event, not exceed 12 months.

• In particular, as the China Connect Securities traded through Stock Connect are not listed or traded on SEHK, the Client will not have protection under the Securities and Futures (Client Securities) Rules made by the SFC under section 148 of the SFO as amended from time to time, unless otherwise specified by the SFC or any other relevant Stock Connect Authority.

• Voting Client Securities In the case of the SMA Platform, the SMA Portfolio Manager is responsible for voting proxies with respect to issuers held in an account, unless a client directs otherwise in writing.

• The Client may give consent pursuant to the Securities and Futures (Client Securities) Rules to the Company and, if so, shall do so in a form to be provided to the Client by the Company.

• The Client may give consent pursuant to the Securities and Futures (Client Securities) Rules to the Broker and, if so, shall do so in a form to be provided to the Client by the Broker.

• Voting Client Securities Unless a client instructs otherwise, LPL will vote proxies on the client’s behalf.

• By way of brief background, the Client Securities Rules prescribe how client assets are to be dealt with by all intermediaries and their associated entities.

• It is understood that the Client’s broker shall execution of Client Orders (not the Company), as well as offer custody services / safekeeping of the Client Securities bought, under the direct agreement between the Client and the Client’s Broker.

• The Client may give consent pursuant to the Securities and Futures (Client Securities) Rules to EISHK and, if so, shall do so in a form to be provided to the Client by EISHK.

More Definitions of Client Securities

Client Securities means Securities which are, from time to time, contained in the Client’s Account(s) and which are available for Lending Transactions pursuant to this Agency Agreement.

Client Securities. Rules”「客戶證券規則」 means the Securities and Futures (Client Securities) Rules (Cap. 517H of the Laws of Hong Kong).指香港法例第 571 H 章證券及期貨(客戶證券) 規則。 “Close out”「平倉」 means the entering into of a Futures Contract/Options Contract on identical terms to a previous Futures Contract or Options Contract, except (i) that the price may not be the same as the price specified in the previous contract and (ii) that we take the opposite side to the side it holds under the previous contract; for the express purpose of crystallizing the profit or loss on that previous contract; and the expressions “closed out”, “closed out” and “closed out contract” shall be construed accordingly.是指根據先前簽訂之期貨合約或期權合約的相同條款定立的一份期貨合約或期權合約，但其 (i) 價格可能與先前簽訂之合約不相同；及 (ii) 本公司持與先前之合約相反的立場，以訂出先前之合約的利潤或損失；而已平倉、正平倉及平倉合約均須相應地解釋。 “Code of Conduct”「操守準則」 means Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission issued by the SFC and as amended from time to time.指證監會發出的《證券及期貨事務監察委員會持牌人或註冊人操守準則》，及其不時修訂的版本。 “Collateral”「有關抵押品」 means all securities, money and any other properties provided by the Client to the Company or purchased or received by the Company for the Client or otherwise which come to the possession, custody or control of the Company or other persons on behalf of the Company which are charged to the Company as security under the Clause 3 of the Additional Terms for Margin Account; Accordingly, “securities collateral” refers to the securities comprised in the Collateral.指現在及將來公司或其他人士代公司持有、託管或控制所有由客戶向公司提供、公司代客戶購買或收取或以其他任何形式獲得的任何證券、款項或其他財產，而該等財產 已根據保證金賬戶之附加條款中第 3 條，抵押予公司作為押記；「證券抵押品」指有關抵押品中的證券。 “Company ”「公司」 means Fubon Securities (Hong Kong) Limited.指富邦證券(香港) 有限公司。 “Company Group”「公司集團」 means the Company, its affiliates, its direct and indirect holding companies and subsidiaries of the holding companies and a “member of the Company Group” refers to any one or more of the aforesaid companies.指公司、其聯營公司、其直接及間接控股公司及該等控股公司的附屬公司，而「公司集團成員」指上述任何一家或多家公司。 “Company Nominee”「公司代理人」 means such agents, correspondents, sub custodians or nominees in Hong Kong or elsewhere employed by the Company as it thinks fit to hold securities or other assets, to pay for and receive or to deliver or exchange or to make collections with respect to securities or other assets or otherwise to perform any of the Company’s duties as custodian under these Terms and Conditions and shall include (for the avoidance of doubt) depositories and clearing systems.指公司在其認為合適的情況下在香港或其他地區雇用的、為公司持有證券或其他資產、辦理...

Client Securities means those Securities that are currently held in any RCA client’s portfolio. A list of Client Securities is available from the Chief Compliance Officer. If an Employee owns stock that becomes a Client Security at some point in the future, the Employee is subject to the 60 day holding period restriction effective the day the stock becomes a Client Security.

Client Securities means any Securities (other than Securities Collateral) received or held by or on behalf of PATRONS, or nominees which are so received or held on the Client’s behalf or in which the Client has a legal or equitable interest.

Client Securities means securities of the Client which are deposited by KGI in a custody account with KGI or a custodian in accordance with the requirements under the Singapore Rules and applicable foreign rules