Examples of Client Securities Rules in a sentence
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.
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.
However, as the China Connect Securities traded through China Connect are not listed or traded on the SEHK, the Client Securities Rules will not apply unless otherwise specified by the SFC or any other relevant China Connect Authority.
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.
However, as the China Connect Securities traded through China Connect are not listed or traded on SEHK, the Customer will not have protection under the Client Securities Rules, unless otherwise specified by the SFC or any other relevant China Connect Authority.