实盘账户在线申请

第一步:阅读并同意以下协议内列明之所有条款

客户协议书
  1. 身份证副本!
  2. 确认客户协议书!
  3. 填写表格!
  4. 下载 客户印鑑卡 及 寄回本公司
身份证副本、住址证明 及 缴款证明 (如有) 可先扫描及在往后步骤中上传提交,如没有请连同 客户印鑑卡 寄回本公司。


WHEREAS 前言

(1) The Client is desirous of opening and maintaining one or more accounts with the Dealer as the Client may decide from time to time for receiving services provided by the Dealer in accordance with the terms and conditions as set out in this agreement.
为按照本协议议定之条件与条款获得交易商所提供的服务,客户意欲于交易商开立一个或多个帐户(视客户不时作出的决定而定)。

(2) The Dealer agrees that it will from time to time at the request of the Client and at the Dealer's sole discretion allow the Client to open one or more accounts with the Dealer for trading in precious metals which include but not limited to Loco London Gold and Loco London Silver (hereinafter called “Investment”) and accept and maintain such account or accounts to be designated by name, number or otherwise, for the provision of services on the terms and conditions as set out in this agreement.
交易商同意以其绝对的酌情权决定是否应客户不时的要求,允许客户于交易商开立一个或多个帐户以买卖贵金属(包括但不限于本地伦敦金及本地伦敦银)(以下简称“交易”),并接受客户对该(等)帐户指定姓名、编号或其他事项,以便根据本协议之条件与条款向客户提供有关服务。

NOW IT IS HEREBY AGREED as follows:
现双方同意如下:

Terms and Conditions 条件与条款
Definitions 释义

“Access Code” means the login name(s), password(s) and/or personal identifier(s) to be used by the Dealer to identify and verify the identity of the Client when accessing the ETS system or placing Investment orders with the Dealer by telephone respectively.

“进入密码” 指客户进入电子交易服务时用以识别、核实客户身份的登入名称、密码及/或个人身份标识符号。

“Additional Margin” means the additional margin funds that may be called upon by the Dealer to be deposited by the Client within the prescribed time in order to maintain the Client’s position if the market moves against the Client’s position and incurs a floating loss.

“追加保证金” 指最初保证金若出现价格走向不利时,帐户出现浮动亏损,交易商要求客户在指定时间内存入的款项,以保障客户持续地运作其交易帐户。

“Authorized Representative” means the representative(s) duly authorized and appointed by the Client pursuant to an agreement of appointment / acceptance of authorized representative (the “Agreement of Appointment / Acceptance of Authorized Representative”) executed by the Client simultaneously upon execution of this Agreement. The Client shall complete and sign the Agreement of Appointment / Acceptance of Authorized Representative appendixed hereto this Agreement. Upon receipt of the Dealer’s confirmation, the Client and his Authorized Representative can jointly manage the Client’s accounts.

“授权代表” 指依据与本协议同时由客户签署的一份交易授权书,由客户妥为委派及授权的代表。客户须填写及签署本附录「委任/接受委任授权代表补充协议」,得到交易商确认后,客户及其授权代表可共同操作客户于交易商之帐户。

“Bullion” means precious metals including but not limited to Hong Kong and/or Loco London Bullion.

“贵金属” 指贵金属包括但不限于本地及/或伦敦金银交易。

“Bullion Trading” means the purchase and sale of Bullion pursuant to the terms and conditions of a Bullion Contract to be carried out on a deposit basis which does not involve any physical delivery of Bullion.

“贵金属交易” 指以按金形式进行的合约单位的贵金属买卖,并不涉及实货交收。

“Business Day”means any day, except Saturday, Sunday and the statutory holidays being published in the Gazette.

“工作日” 星期六、星期日及宪报公佈的法定公众假期以外的其他日期。

“Client” is applicable to any circumstances, and in the case where the client(s) is individual(s), shall include his respective executor(s) and administrator(s); in the case where the client is sole proprietorship firm, shall include the sole proprietor and his executor(s) and administrator(s) and his or their successor(s) in the business; in the case of partnership firm, shall include the partners who are partners of the firm at the time when the client’s said account or accounts are being maintained and their respective executor(s) and administrator(s) and any other person or persons who shall at any time hereafter be or have been a partner of and in the firm of his/their respective executor(s) and administrator(s) and the successor(s) to such partnership business.

“客户” 此词适合于任何环境使用,如客户属于个人性质,即自动涵盖其遗产管理人及其遗嘱执行人;如客户为独资经营的商号,则涵盖独资经营者本身,其遗产管理人及其遗嘱执行人以及业务继承人。若客户属法人团体性质等,则包括法人团体以及其继承人。若客户为合伙商号,则涵盖在客户帐户维持时的商号合伙人,其合伙人各自的遗嘱执行人和遗产管理人,并包括以后加入或曾经成为合伙人的任何人士及其各自遗嘱执行人和遗产管理人及该合伙业务继承人。

“Client Telephone Code” Means the Client account number(s), password(s) and/or personal identifier(s) to be used by the Dealer to identify and verify the identity of the Client when placing Investment orders with the Dealer’s dealing room by telephone only.

“电话交易密码” 指客户使用电话服务发出指示予交易商交易部职员(以下称“交易员”)时,用以确认客户身份的一组密码。客户须于交易进行过程中报出电话交易密码,以便交易员可执行客户之指令。

“Contract” means a contract as to be agreed by the Parties (whether orally or in writing or electronically) regarding sale and purchase of Bullion pursuant to and subject to the conditions of this Agreement.

“合约” 指一份由双方以口述、书面或电子方式签订的、有关依据此协议内条款进行贵金属交易的契约。

“Dealer” means Cocus Financial Group Company Limited and its successors in title and partners who acts as a principal in Bullion Trading with the Client or the Authorized Representative.

“交易商” 指联富金融集团有限公司及其业务继承人和受让人以及合伙人,担任客户从事贵金属交易的委託人(或称代表人)。

“ETS” means Electronic Trading Services, which is the electronic facility enabling the Client to give instructions to, and obtain information and services from the Dealer in relation to Investments, including but not limited to the Dealer ’s e-trading system and the Dealer’s website.

“电子交易服务” 指客户可透过电子设施向交易商发出与交易有关的指令和获得与交易有关的资料和服务,包括但不限于交易商的电子交易及网站。

“Initial Margin” means a deposit as prescribed by the Dealer at the Dealer’s sole discretion in respect of Client’s Bullion Trading. The Client shall place such deposit with the Dealer as collateral before giving any Investment order. The Dealer may change the Initial Margin from time to time at the Dealer’s absolute discretion and any such change shall be effective forthwith without giving the Client any prior notice.

“最初保证金” 指交易商可自行决定的客户贵金属交易之按金。客户必须于发出任何买卖或限价指令前将此按金存入交易商,作为交易商执行交易指示的抵押。交易商有权随时修订最初保证金的金额并即时执行而不另行通知客户。

“Notices” means any form of communication transmitted by the Dealer to the Client by any means as prescribed by the Dealer from time to time, including the Client’s account status, the account transactions, and written notices concerning the amendment of the account opening regulations and information.

“通知书” 指交易商不时地透过交易商认可的途径传达予客户的信息,包括帐户状况及处理帐户交易及调整客户开设的帐户规则、资料的书面通告。

“Trading Day” means any day on which the global markets (in so far as Loco London Bullion is concerned) or the Chinese Gold and Silver Exchange Society (in so far as Hong Kong Bullion is concerned) are open for business.

“交易日” 指环球市场任何本地伦敦金、伦敦银的可买卖日期。若有关香港贵金属交易,则指香港金银业贸易场指定的可买卖日期。

1. Instructions and Dealing Practices 指示及交易常规

1.1 The Client shall give clear and unambiguous instructions to the Dealer. Such instructions shall be in accordance with the regulations that may be prescribed by the Dealer from time to time or the regulations of the Chinese Gold and Silver Exchange Society or the London Bullion Market Association or other relevant markets. The Dealer is hereby requested and authorized by the Client to act as broker or as agent or as principal to execute the Client's Investment order(s) constituting Bullion Contract in accordance with the terms and conditions of this agreement. For the avoidance of doubt, the Client hereby expressly agrees and confirms the Dealer by itself or its authorized representatives or staff whether acting in its capacity as the principal or agents for any parties shall have the absolute discretion to take opposite position to match any open position of the Client without any notification to Client or his Authorized Representative(s).

客户向交易商发出的指示必须清晰无误。该指示须按照交易商不时定制之规定或参照金银业贸易场或伦敦黄金市场协会或其他相关市场之规则。客户现要求,同意并授权交易商根据本协议的条件及条款以经纪人、代表人或主事人身份在该帐户执行构成贵金属合约的客户的交易指令。为免存疑,客户现明示同意并确认:交易商本身或其授权人或僱员,以主事人或任何人士之代表人的身份,有绝对酌情权为客户的任何未平仓合约订立相对或相反的合约,而毋须向客户或其授权代表发出通知。

1.2 The Dealer shall be entitled to rely on any Investment orders which the Dealer reasonably believes in good faith to be from a person authorized by the Client to act on the Client’s behalf and the Client shall be bound by such communication. The Client agrees to indemnify the Dealer against any loss, costs and/or expenses (including legal costs) suffered or incurred by the Dealer in reliance thereof. The Investment orders may be given orally (whether by telephone or physical meeting) or in writing (whether by telex or fax) or in such other form as the Client and the Dealer may agree and all communications and correspondences must quote the Access Code and Client’s account number. Once an Investment order is given, it may not be rescinded or withdrawn without the written consent or confirmation of the Dealer. All orders given by the Client will be in clear and unambiguous terms.

凡交易商本著真诚认为并有理由相信有关交易指令乃由一名获授权人士代表客户所作出,交易商有权依赖该等指令行事,而客户须受该等指令及相关通讯约束。客户同意就交易商因依赖该等指令及通讯而招致之任何损失、费用及支出(包括法律诉讼费),向交易商作出弥偿并确保交易商免受该等损失。客户可藉书面(以电邮或传真)或口头(以电话或当面接洽)或双方协定的其他方式发出交易指令,而交易指令发出时须附上客户的帐户号码及进入密码或电话交易密码。除非获交易商书面同意或认可,否则指令一经发出,一概不可撤回。客户向交易商发出的所有指令,必须清楚明确。

1.3 The Client understands and acknowledges that the Access Code is strictly confidential and is required as a means to verify his identity before execution of any Investment orders and/or giving any instructions. The Client further acknowledges that the Dealer, its employees or any agents acting on behalf of the Dealer shall be entitled to refuse executing or handling any Investment orders placed by the Client or his Authorized Representative if the Client or his Authorized Representative cannot quote the Access Code correctly or the Dealer has a reasonable doubt or suspicion that the person quoting the Access Code whether verbally or electronically is neither the Client nor the Authorized Representative himself. The Client is under a duty to keep the Access Code confidential and shall be responsible for all Bullion Contracts made, losses, costs and expenses in the event the Access Code is disclosed to any third parties (“Unauthorized Persons”) (including the employees and/or agents of the Dealer if not acting in their course of employment, the investment advisors or any third parties) by the Client or his Authorized Representative whether deliberately or unintentionally or mistakenly and the Dealer shall bear no responsibility for any loss or damage whatsoever incurred should any transaction or Investment Order or Bullion Contract be accepted and concluded by the Dealer on reliance of the Unauthorized Persons who correctly provide the Access Code or Client Telephone Code and account number of the Client or his Authorized Representative to the Dealer whether verbally or electronically or by any other means or communication.

客户明白并确认客户的进入密码须绝对保密,而该密码将会在客户进行交易前作核实身份之用。客户同时确认,倘若客户未能就交易指令向交易商提供正确的进入密码,或交易商有合理理由质疑或怀疑提供进入密码(以口头或电子方式)的人士并非客户本人或其授权代表,交易商或其僱员或代理有权拒绝执行或处理由客户或其授权代表发出的交易指令。客户有责任妥善保管其进入密码,若客户或其授权代表将进入密码透露予第三者(包括交易商的僱员或并非在履行其职务或受托责任的代理人、投资顾问或任何第三者),不论密码的透露是蓄意的、非故意的或错误的,客户须对所有交易、损失、费用及支出负责,而交易商毋须为任何经核实密码后执行的交易所引致的损失、费用及支出负责。

The Client also understands and acknowledges that the Client Telephone Code is different from the Access Code, and is required as a means to verify his identity before execution of any Investment orders and/or giving any instructions through telephone communication with the Dealer ’s dealing room. The Client further acknowledges that the Dealer, any agents acting on behalf of the Dealer shall be entitled to refuse executing or handling any Investment orders placed by the Client or his Authorized Representative if the Client or his Authorized Representative cannot quote the Client Telephone Code correctly or the Dealer has a reasonable doubt or suspicion that the person quoting the Client Telephone Code whether verbally or electronically is neither the Client nor the Authorized Representative himself. The Client is under a duty to keep the Client Telephone Code confidential and shall be responsible for all Bullion Contracts made, losses, costs and expenses in the event the Client Telephone Code is disclosed to any third parties (“Unauthorized Persons”) (including agents of the Dealer if not acting in their course of employment, the investment advisors or any third parties) by the Client or his Authorized Representative whether deliberately or unintentionally or mistakenly and the Dealer shall bear no responsibility for any loss or damage whatsoever incurred should any transaction or Investment Order or Bullion Contract be accepted and concluded by the Dealer on reliance of the Unauthorized Persons who correctly provide the Client Telephone Code and account number of the Client or his Authorized Representative to the Dealer whether verbally or electronically or by any other means or communication.

客户明白并接纳,电话交易密码有别于进入密码,电话交易密码须于交易过程中透露予交易员。客户同时确认,倘若客户未能就交易指令向交易商提供正确的电话交易密码,或交易商有合理理由质疑或怀疑提供电话交易密码的人士并非客户本人或其授权代表,交易商或其僱员或代理有权拒绝执行或处理由客户或其授权代表发出的交易指令。客户有责任妥善保管其电话交易密码,若客户或其授权代表将电话交易密码透露予第三者(包括并非在履行其职务或受托责任的代理人、投资顾问),不论密码的透露是蓄意的、非故意的或错误的,客户须对所有交易、损失、费用及支出负责,而交易商毋须为任何经核实密码后执行的交易所引致的损失、费用及支出负责。

1.4 The Dealer is entitled to electronically record all telephone conversations and/or verbally made Bullion Contracts between the Client and the Dealer or any of the Dealer's representatives with or without the use of any automatic tone warning device, such recording and transcripts may be used for any purpose, including as evidence to verify instructions from the Client and such recording shall remain the sole property of the Dealer. The Client agrees to accept the contents of any such recording as final and conclusive evidence of instructions and/or verbally made Bullion Contracts of the Client in case of dispute. The Client acknowledges that the Dealer shall not be obliged to retain the said electronic recordings and transcripts permanently and the Dealer shall in its sole discretion determine the period of retention of such electronic recordings and transcripts. In the event that the Dealer loses or no longer possess such electronic recordings and/or transcripts for reasons of force majeure or resulting from a cause over which the Dealer does not have control, including but not limited to theft, fire, natural disasters, failure of electronic or mechanical equipment, the Dealer shall not bear any responsibility towards the Client for any loss or expense resulting from execution of the Bullion Contract. Should the Client have any objection or queries in relation to any Bullion Contracts made by the Client and/or his authorized representative as per the transaction invo ices and statements to be supplied by the Dealer after execution of such Bullion Contracts, the Client and/or his Authorized Representative shall raise any objection, queries within five (5) Business Days failing which the Client will be deemed to have fully accepted accuracy of the trading information as contained in such invoices and statements from the Dealer.

交易商有权在有或没有使用自动声音警告装置的情况下用电子仪器纪录客户与交易商或其代理的电话谈话及/或以口述形式协定的贵金属合约,而此纪录及誊本可用作任何用途,包括核证客户之指令。此纪录的产权绝对归交易商独有。客户同意,倘若出现纠纷,将接受任何此等录音内容,作为证实客户发出指令及 /或以口述形式协定的贵金属合约之最终及不可推翻之证据。客户同时承认交易商无责任长期保留该纪录及誊本,而交易商有绝对酌情权釐定该纪录及誊本的保留期限。倘若发生任何不可抗力事件或非交易商所能控制的情况,包括但不限于盗窃、火灾、天灾、设备之技术性失灵等而导致交易商遗失或不再管有该纪录及 /或誊本,交易商概不就客户的贵金属合约所涉及的任何损失或支出负上任何责任或义务。倘若客户按交易商向客户或其授权代表提供的成交单据及结单,对其或其授权代表所订立的贵金属合约存任何疑问,客户必须于五个工作日内提出有关反对或疑问,否则客户将被视为已完全认同及接纳由交易商载于该单据及结单中的交易资料的真确性。

1.5 The Client accepts all rules, trading facts and timetable(s) for placing Investment orders as prescribed by the Dealer from time to time.

客户将接受和遵守所有由交易商不时制定的有关发出贵金属交易指令的规则,包括保证金规则,买卖规则,交易时间表等。

1.6 The Client acknowledges and agrees that the Client shall take full responsibility for all Investment in the Client’s account(s) and the Dealer is only responsible for carrying out the Client’s Investment orders. The Dealer shall have no responsibility or obligation for any conduct, action, representation or statement of any investment advisor or third party in connection with the Investment. The Client further acknowledges that any trading recommendations and market or other information communicated to the Client by the Dealer ’s employees and/or its agents or investment advisors do not constitute any advice on which the Client is meant to rely with respect to any Investment. The Client shall make its own judgment and decision with respect to any Investment order. The Client shall not hold any person liable for any trading loss or loss in any other respects that may be incurred by the Client in reliance on and/or acceptance of the investment opinions, recommendations, analysis or other information given by such person as requested by the Client.

客户确认并同意,客户须对帐户内所有交易决定负上全责,而交易商只负责执行帐户内交易;至于交易商的任何职员及/或其他代理、投资顾问或其他第三者对帐户或 帐户内任何交易之任何行为、作为、陈述或声明,交易商概不负上任何责任或义务。客户亦确认交易商的任何职员及/或其代理人或投资顾问所给予客户的任何买卖推荐及市场或其他资料,并不构成客户赖以作出交易决定的建议。交易商毋须为该等推荐及资料负上任何责任。客户须就任何交易指令自行作出判断及 定。客户不能就信赖及听取投资、分析建议从而造成交易或任何方面的损失,要求提供意见、建议、分析及资讯者负责。

1.7 The Dealer reserves the right to refuse execution of any Investment orders on the Dealer’s own account and shall not be obliged to give any reason for such refusal. The Dealer is also authorized at its election and without notice to the Client to cancel any Investment order(s) given to the Dealer by the Client, at any time prior to their execution. The Dealer shall take reasonable steps to notify the Client and shall not be liable for any loss incurred to the Client as a result. The Client will take full obligation and responsibility for any sort of consequence whatsoever that may result from the execution of the Client's order(s).

交易商保留权利,在合适的情况下拒绝接受客户的任何指令,而且毋须作出解释。客户并授权交易商可以选择在任何时间,在没有通知客户的情况下取消客户的任何交易指令。交易商会尽可能通知客户,然而,交易商不会承担任何因遗漏通知而招致的损失,客户须就交易商按照本协议为其执行交易指令所引致的、或与此有关的各种损失、责任或后果负责。

1.8 The Client and/or his Authorized Representative may not commence giving Investment orders to the Dealer until the Dealer shall have confirmed completion of the Bullion Trading Account opening procedure by sending a specific Access Code and the account opening confirmation letter to the Client.

在交易商向客户发出特定的进入密码及开立帐户的确认书确认其贵金属交易帐户的设立程序已完成后,客户及/或其授权代表方可向交易商发出交易指令。

1.9 The Client may use the following trading means to operate his account(s) maintained with the Dealer and the Client accepts and adopts such non-exhaustive trading means upon the opening of his account(s). The Client may place Investment orders directly with the Dealer through telephone or by ETS or any other means as accepted by the Dealer. The Authorized Representative may also give Investment orders to the Dealer through the means as accepted by the Dealer. The Client may give instructions to the Dealer ’s agent(s) or give instructions after accepting the opinions or recommendations of the Dealer ’s agent(s), and the Dealer’s agent(s) shall carry out such instructions through the means as accepted by the Dealer.

客户帐户之交易方式:客户可以用以下多种方式操作其于交易商开设的一个或多个帐户。客户帐户一经开 立,客户即接纳同时接受(但不限于)以下交易方式。客户本人透过电话或网上交易指示或其他交易商接纳 的途径直接指示予交易商。客户之授权代表发出指示透过交易商接纳的途径操作其帐户的买卖。客户给予交 易商代理指示或听取其意见或建议后作决定,并透过交易商代理向交易商按交易商接纳的途径执行其指示买 卖。

2. Electronic Trading Services 电子交易服务

2.1 Upon the Client's request, the Dealer may provide the Client with ETS. The Client acknowledges that the Client shall use the ETS at its own risk and the usage of the ETS is subject to the terms and conditions to be specified by the Dealer from time to time and any applicable laws and regulations.

应客户的要求,交易商可向客户提供电子交易服务。客户愿承担使用电子交易服务的相关风险,并明白和同 意使用电子交易服务时须遵守交易商不时订立的条件与条款、以及任何适用的法律与规例。

2.2 When using the ETS, the Client hereby warrants that he is the only authorized user of the Access Codes and the Client shall be fully responsible for all instructions placed with the use, application and security of the Access Codes (whether authorized by the Client or not). The Dealer shall not be responsible for loss incurred as a result of carrying out such Investment orders. The Client shall, upon demand, indemnify the Dealer against any loss or damage as a result of any Investment orders made through the ETS.

客户保证:当使用电子交易服务时,客户是进入密码的唯一授权使用者。同时,客户同意就任何利用其进入 密码而向交易商发出的交易指令承担全部责任(不论是否由客户授权)。交易商不须对客户因交易指令的执 行而遭受的损失负责。倘因透过电子交易服务输入任何指令,致使交易商因此而招致或蒙受任何损失或损 害,客户须向交易商作出弥偿。

2.3 The Client acknowledges that the ETS belongs to the Dealer. The Client shall not attempt to tamper with, decompile, modify, dissemble, reverse engineer damage, destroy or otherwise alter in any way, or attempt to gain unauthorized access to the ETS.

客户承认电子交易服务的权益属交易商所拥有。客户将不会企图干扰、破解编程、修改、伪装、以反向编程 或用其它任何方式更改,或在未获授权的情况下使用交易商的电子交易服务。

2.4 The Dealer shall not be deemed to have received the Client's instructions or executed its Investment order(s) unless and until the Dealer's message acknowledging receipt or confirming execution of the Client's order(s) is duly and clearly received by the Client. In circumstances including but not limited to the case where there is any computer system failure, ETS system error, or inaccurate pricing (in cases where the pricing does not represent the true and accurate pricing quoted in the international Bullion market, the Client shall accept the pricing as determined by the Dealer in its professional capacity and in good faith as the conclusive accurate pricing) resulting in the issuance of an incorrect confirmation by the Dealer, the Dealer has the absolute right to make any necessary amendment or even cancel such confirmation unilaterally and the Client shall fully accept any such amendment by the Dealer and shall be responsible for any consequences arising herein.

除非及直至客户已清楚地收妥交易商确认已收到或已执行客户指令的信息,否则不应视为交易商已收到或已 执行客户的交易指令。惟包括但不限于下列之例外情况,因电脑系统出错、电子交易系统出错、错误价位 (非国际黄金市场当时成交之真确价位,客户必须接受交易商本著诚信及专业的基础而决定价位的真确性并 以交易商的最终决定为淮)等情况导致交易商向客户错误发出确认书,交易商有最终权力单方面作出修改甚 至取消该确认,客户须完全接纳交易商的决定及承担相关或因此而产生的责任。

2.5 The Client acknowledges that the giving of an Investment order through the ETS does not guarantee execution of an order by the Dealer. The Dealer, its employees or agents shall not be held liable for failure to execute any Investment order.

客户确认交易商并不保证客户透过电子交易服务所发出的交易指令将得以执行。交易商或其职员或代理不须 对任何未获执行的指令负上责任。

2.6 The Dealer may refuse to accept or carry out any Investment orders without being obliged to give any reason for such refusal. The Dealer may refuse to accept or carry out any Investment orders for any reason whatsoeve r, which may include but is not limited to failure to maintain or deposit the Initial Margin required by the Dealer.

交易商可拒绝接受或执行任何交易指令,而不须为此提出任何理由。交易商可因任何理由拒绝接受交易指 令,包括但不限于客户未能维持或存入交易商要求的最初保证金。

2.7 The Client agrees to pay all subscription, service and usage fees, if any, that the Dealer may charge it for use of the ETS and agrees that the Dealer may change such fees without giving the Client any prior notice.

客户同意交易商就客户使用交易商的电子交易服务收取有关的所有费用、服务费和使用费,如遇上此费用有 需要调整或更改时,客户同意交易商亦不须事先向客户发出通知。

2.8 The Client shall be responsible for the accuracy of the Investment orders placed on the ETS and the Dealer shall be entitled to rely and act on such Investment orders. The Client hereby agree to carefully review every Investment order before it is made and acknowledge that once an Investment order is given through the ETS, it may not be rescinded or withdrawn without the express consent or confirmation of the Dealer, which shall not be obliged to accept such a request. The Client acknowledges that Investment orders may only be cancelled or amended before execution and in the case of full or partial execution of the Investment order, the Client shall be fully or partially responsible, as the case may be, for the execution of the Investment Order and the Client shall not hold the Dealer liable for such execution.

客户须就其透过电子交易服务发出的交易指令的淮确性负责,而交易商有权依据及执行该交易指令。客户同 意在发出每一项指令前均先加以审阅,并承认其交易指令一经发出,在未获交易商明示的同意或确认前(交 易商并无责任接受有关要求),该指令即可能无法获撤回或取消。客户确认,只可在交易指令未经执行前取 消或修改指令。倘若客户所取消的指令已获全部或部份执行客户须负责此项指令的全部或部份责任,交易商 不对此负责。

2.9 The Client is fully aware that financial data or other information published by third parties may be provided in the ETS and such data may not be the latest real-time market quotes. The Client acknowledges that the Dealer has no basis to independently verify the accuracy of such data and shall in no way treat such data provided in the ETS as a warranty, recommendation or endorsement from the Dealer in respect of any Investments. The Dealer shall not be held liable for any losses incurred by the Client in reliance of such data or from system failure of the ETS re sulting in the data being incorrect.

客户亦完全清楚明白交易商的电子交易服务系统可向客户提供由第三者发佈的财务数据及其它资料。而该等 资讯可能并非有关投资的实时或即时市场报价。客户确认,交易商无法独立地核证或确认有关方面所提供的 资料的淮确性,同时客户绝不可就交易商的电子服务系统内所提供的该等资讯而认定交易商对其交易作出了 保证、建议或认可。对客户因信赖该等数据或因电子交易服务系统失效而引致的数据错误所遭受的任何损 失,交易商概不负责。

2.10 The Client agrees that he shall not use the financial data or other information published on the ETS for use in his course of ordinary business, or make available, reproduce, publish or circulate such financial data or other information without the prior written consent of the Dealer.

客户同意:在未经交易商书面同意前,不会将透过电子交易服务获取的财务数据或其他资讯在其日常业务中 使用,亦不会向他人分发、複製、出版或散播该财务数据或其他资讯。

2.11 The Client hereby acknowledges that any information provided in the ETS is provided on an "as is", or "as available" basis and reliance on such information is at the Client’s own risk. The Dealer does not confirm, warrant or guarantee the timeliness, sequence, accuracy adequacy, continuity or completeness of such information and gives no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) in respect of such information.

客户特此确认任何由交易商的电子交易服务系统所提供的资讯是按照“现况”或“当时可供使用”的基础上 提供的,客户愿承担因依据有关资讯所涉及的风险。交易商不会确认、保证或担保该等资讯的即时性、次 序、淮确性、充分性、连续性或完整性。同时,交易商不会就该等资讯作出任何明示或暗示的保证(包括但 不限于该等资讯的商用性或就某项用途的适用性)。

2.12 The Client acknowledges and agrees to immediately notify the Dealer if:

客户承认并同意,倘若发生下述事项,客户会即时通知交易商:

(a) an instruction has been placed through the ETS and the Client has not received an order number or has not received an accurate acknowledgement of the instruction or of its execution (whether by hard copy, electronic or verbal means);

客户已经透过交易商的电子交易服务系统发出交易指令,但客户并无收到交易指令编号和对交易指令 或其执行的淮确确认 (不论是以书面、电子或是口头方式作出);

(b) the Client has received acknowledgment (whether by hard copy, electronic or verbal means) of a transaction which the Client did not instruct or becomes aware of any similar conflict;

客户收到一项客户并无发出指令的交易确认 (不论是以书面、电子或是口头方式作出)或客户获悉有任何 类似抵触;

(c) the Client becomes aware of any of the acts stated in Article 2.3 being done or attempted by any person;

客户获悉任何人士正在进行或尝试进行第2.3条所述的任何行动;

(d) the Client becomes aware of any unauthorized use of the Client's Access Code; or

客户获悉任何未获授权而使用其进入密码的行为;或

(e) the Client has difficulties with regard to the use of the ETS.

客户在使用交易商的电子交易服务系统时遇到困难。

2.13 The Client expressly agrees that the Dealer may communicate with or give notice to the Client via the ETS or by any other electronic means or facilities and that any such notice or communication shall be deemed to have been received at the time of transmission of the message to the Client.

客户明确地同意交易商可经其电子交易服务系统或任何其他电子形式或设施与客户通讯或发出通告予客户, 而当交易商经其电子交易服务或其它设施向客户传递讯息或发出通告时,则该讯息和通告在传送时即可视作 已被客户收到。

2.14 The Client acknowledges that:

客户确认:

(a) access to the ETS may be limited or unavailable at certain periods of time, market volatility, systems upgrade or maintenance or for any other reasons and the Client shall not hold the Dealer liable in cases where any such circumstances arise;

处于需求高峰期、市场波动不定,系统升级或维修期间或因其他原因,电子交易服务可能只会维持有 限服务或无法提供服务;客户不得就此情况追究交易商责任。

(b) ETS may not be a completely reliable means of communication; and

电子交易服务非完全可靠的通讯媒介;及

(c) the Investment orders may not be executed immediately after it is placed and may not be executed at the price when the Investment orders were made. In all such circumstances, the Client shall accept the price being reviewed by the Dealer as the ultimate accurate price.

交易指令可能不获即时执行,且执行价可能与客户发出指令时的价格有异。在所有情况下,客户须接受 交易商最终覆核的价格为淮。

2.15 It may be necessary for the Dealer to suspend some or all of the ETS for routine or eme rgency maintenance. In the event of such suspension, the Dealer shall take reasonable steps to notify the Client prior to the suspension. The Client also acknowledges that the Dealer may at any time in its sole discretion and without prior notice to the Client, suspend, prohibit, restrict or terminate the Client’s access to the ETS and his ability to place Investment orders, which will not affect the rights and/or obligations of either party incurred prior to the time of such suspension, prohibition, restriction or termination of access or closing of the electronic account.

交易商认为在有需要的情况下,可以暂停提供部份或全部电子交易服务,以进行定期或紧急维修。客户明白 及接纳交易商可随时行使其绝对酌情权决定而无须给予客户预先通知暂停、禁止、限制或终止客户使用或进 入交易商的电子交易服务系统而进行任何交易。而有关情况将不影响双方在暂停、禁止、限制或终止进入交 易商的电子交易服务系统或客户结束其电子帐户前所享有的权利及/ 或承担的义务。

2.16 The Dealer shall not be liable to the Client for any losses, expenses whatsoever in relation to any private or confidential information being accessed or destroyed by hackers or any incorrect messages or Notices being issued to the Client resulting from any unauthorized invasion or destruction of the computer systems of the Client and/or the Dealer by hackers.

交易商不须对交易商或客户因骇客不法侵入或破坏客户或交易商的电脑系统引致遗失客户的私人或机密资料 或向客户发出任何错误的通告或讯息或因遗失该资料而产生的任何费用而负上任何责任。

2.17 The Client agrees that he will not hold the Dealer, its employees nor any third parties liable for any loss or damage:

客户同意交易商或其僱员或任何第三者均不需要就以下情况承担任何损失或损害:

(a) of any kind, whether direct, indirect, special, consequential or incidental, resulting from access or use of or reliance on information supplied by, or inability to access or use, the ETS resulting from the act or omission of any third parties even if the Dealer, its employees and any third parties had been advised of the possibility of any loss or damage; or

不论直接的或间接的、特殊性的、因应而生的或有连带关系的,因任何第三者的行为或遗漏而进入或 使用或依据,或不能进入或使用,交易商的电子交易服务系统,即使交易商或其僱员或任何第三者曾 被忠告会招致损失可能性;或

(b) resulting from a cause over which the Dealer, its employees nor any third parties do not have control, including but not limited to any governmental restriction, suspension of trading, failure of electronic or mechanical equipment or communication lines, telephone or other interconnection problems, incompatibility of computer hardware or software, failure or unavailability of internet access, problems with internet service providers or other equipment or services relating to the Client's or the Dealer's computer system, power failure, black-outs, problem with data transmission facilities, unauthorized access, theft, fire, storms, riots, war, strikes, civil disorder, acts or threatened acts of terrorism, natural disasters or labour disputes.

因交易商或其僱员或任何第三者不能控制的事故,包括但不限于政府的限制、暂停交易、电子或机械设 备或通讯线路故障、电话或其他中断接驳问题、电脑硬件或软件的不相符合,电脑互联网的故障或不可 用、资讯提供者的问题、其他有关客户或交易商电脑系统的设备或服务问题、电力故障、停电、资讯传 讯设备发生问题、未经许可而进入电子交易服务系统、盗窃、火灾、风暴、暴乱、战争、罢工、扰乱民 事秩序或恐怖袭击、自然灾害或劳资纠纷。

2.18 The Client agrees that the Dealer shall not be responsible for any damage to the Client’s computer, software, modem, telephone or other property resulting from his use of the ETS.

客户同意交易商不须承担就客户因使用交易商的电子交易服务系统时导致客户使用的电脑、电脑软件、数据 机、电话或其它财物的损害承担任何责任。

2.19 The Dealer shall not be liable for any transmission error or execution delays of the Investment orders placed on the ETS due to breakdown, failure of transmission, failure of communication facilities or any other circumstances beyond the Dealer’s control or anticipation.

交易商不须承担客户在使用交易商的电子交易服务作交易指令时因机器损坏、传送失败、通讯设备故障或任 何非交易商能控制或预料的情 下所发生的任何传送错误或延迟执行客户指令承担任何责任。

2.20 The Client agrees to indemnify and hold the Dealer, its employees nor any third parties harmless from and against any and all claims, losses, liability, costs and expenses arising out of or in connection with the Client’s use of the ETS. This obligation shall remain in full force and effect and shall be enforceable notwithstanding termination of this agreement.

客户同意赔偿及免除交易商及其僱员或任何第三者因客户使用交易商的电子交易服务系统引致任何及所有索 偿、损失、债务、费用及支出。上述义务持续直至本协议结束。

2.21 The Client may terminate his ETS account upon receipt by the Dealer of a written notice in the form being acceptable by the Dealer of its termination seven (7) Business Days prior to the effective date of the termination.

客户可提前不少于七个工作日以书面通知终止其电子交易服务之帐户,惟指令必须以交易商接纳的形式发出 (以交易商收到通知之日为淮)。

2.22 Unless otherwise specified, this Article 2 shall be without prejudice and in addition to all the other provisions in this agreement.

除非另有说明,此第二条条文乃本协议附加条款而并不损害本协议的其他条款。

3. Margin and Settlement 保证金及结算

3.1 Unless otherwise agreed by the Dealer or stated in the Bullion Contract, all transactions to be made / Investment orders to be executed shall be in the currency of U.S. dollars. In the event that the Client deposits H.K. dollars or Euro in the Client’s account, such deposits shall be converted into U.S. dollars at the exchange rate of the Hong Kong and Shanghai Banking Corporation at the time when the Client deposits money in the Client’s account or when the transaction is made / Investment orders is executed. The Client acknowledges that all references to the price of Bullion in the Bullion Contract and all and any statements or communication the Client may receive from the Dealer in relation to the funds in the Client’s account shall be stated in U.S. dollars.

除非双方另行协定或于贵金属买卖合约中另作声明,所有交易的进行或交易指令的执行必须以美元作其货币 单位。倘若存入的货币为港元或其他货币,该存款将按交易商不时制定之兑换汇率兑换为美元(交易商将参 考各大银行之美元汇率)。客户确认,一切于贵金属买卖合约中提及的贵金属价格及任何由交易商就客户的 账户存款发放给客户的任何交易单据或通讯均以美元作其货币单位。

3.2 The Client shall deposit and will at all times maintain, without any call or notice by the Dealer, the Initial Margin required by the Dealer, and upon call from the Dealer (by means including but not limited to email, fax, telephone or other means mutually agreed by both parties), the Client will deposit with the Dealer on or before the time and date prescribed by the Dealer and/or maintain forthwith Additional Margins and/or other funds which the Dealer may at its absolute discretion deem necessary for the Dealer's protection. The Client fully understands that the Initial Margin can be changed from time to time at the Dealer's absolute discretion without giving the Client any prior notice.

无论交易商有否对客户发出或送达相关知会或通知与否,客户须在任何时间依照本协议的条文和条件在任何 指定时间内,存入及维持于该账户内由交易商指定的最初保证金金额。倘若收到交易商的知会或通知(包括 但不限于以电邮、传真、电话或其他双方协定收取通知的方式)知会或通知客户时,客户必须即时或在交易 商所指定的时间和日期内存入所需补贴或增加额外保证金金额或其他款项。客户清楚明白同意交易商有绝对 酌情权考虑投资市场情况而决定客户所补贴或增加额外保证金金额以保障交易商利益及维持该帐户正常运 作。客户完全明白并完全同意交易商在考虑实际的投资市场动向及情 有绝对酌情权釐定该帐户的保证金金 额,并可不时调整或更改该额外保证金金额和数目,而事前无须知会或通知客户。

3.3 Upon failure for any reason to deposit and/or maintain such margins and/or other funds, or the Client request to terminate this agreement pursuant to Article 2.21, or in the event the Dealer terminates this agreement as hereinafter provided, the Client will confer upon the Dealer the right, at the Dealer’s election and without any call or notice and at the Client’s risk, to close out the whole or part of such transaction(s) which may be left unliquidated, or to take any action(s), at the Dealer’s discretion at any market price at any time and order the Dealer thinks fit. The Client will be liable for any loss or deficiency resulting there from. The enforcement of any right hereunder shall not operate as any waiver, release or discharge of any deficit or net debit balance which may occur in the Client's account(s) with the Dealer.

如客户未能在指定的时间和日期内存放及/或维持该额外保证金及/或其他款项,或客户根据本协议第2.21条 以书面通知交易商要求取消该帐户,客户则同意授予交易商绝对酌情权力,在毋须知会或通知客户下结算该 帐户全部或部份交易合约,交易商可随时自行 定採取任何认为合适的行动和任何市场价格来处理或执行客 户在该帐户未被结算的全部或部份交易合约,并自行决定结算该交易合约的时间及先后次序。在此情况下客 户须承担就取消该账户内的全部或部份交易合约所造成的一切损失、风险和责任。交易商在执行上述的任何 权利时将绝不构成任何免除、宽免或解除客户在该帐户的欠负或淨差额的清偿还款或填补差额责任。

3.4 The Client shall be liable to the Dealer for any deficit resulting from losses and any costs and expenses incurred by the Dealer, on a fully indemnity basis, relating to any action taken under Article 3.3, which shall be immediately due and payable failing which interest shall be charged with interest pursuant to Article 5.

客户应对任何因亏损引致之亏欠额及交易商就由交易商发起之抵销或任何其他清算交易及 /或因客户未能按 第3.3条之要求提供款项作为保证金而招致之任何费用及开支承担责任,并即时对交易商作全数弥偿。倘若 客户未即时对交易商就该亏欠额、费用及/或开支作全数弥偿,交易商有权依据本协议第5条条款向客户收取 利息。

3.5 Upon the request by the Client, the Dealer has the power to approve and provide credit facility to the Client at the Dealer ’s sole discretion. The Dealer also has the absolute discretion to determine the credit limit and settlement cap of the Client’s margin facility from time to time without giving the Client any prior notice. The Dealer and the Client may enter into other margin facility letters setting out details of the margin facility.

应客户的要求,交易商有权向客户提供信贷户口,惟最终批核权在交易商,交易商有绝对权力不时决定客户 保证金信贷户口的信贷额,交收额等限额,事先不须通知客户,交易商与客户可订立其他保证金信贷文件以 约定保证金信贷的细则。

3.6 The Client will observe and accept all rules, margin deposit requirements, trading facts, time table(s) for placing Investment order(s), taking delivery and/or other matters for and related to Investments as prescribed by the Dealer from time to time.

客户将接受和遵守所有由交易商不时制定的有关发出交易指令、交收及/或其他与交易有关的事宜的规则, 包括保证金要求、交易规则,交易时间表等。

3.7 The Dealer is specifically authorized by the Client to transfer such necessary amount from the Client’s trading margin or any other trading account(s) belonging to the Client which has profit, without any call, or notice by either party, to the Dealer as trading margin/funds to cover trading loss relating to the Client’s Investments and to transfer any trading profits from the Dealer to the Client’s account without any call or notice by either party.

客户特别授权并同意交易商在毋须知会或通知下,可随时从客户的帐户的投资款项或投资利润转移至客户设 立于交易商其他帐户内,或以弥补客户在交易商其他帐户所需的交易贵金属或其他投资上的保证金或弥补、 填补或补贴所产生亏损之用。

3.8 The Client is advised to deposit any funds/margin deposit directly to the Dealer during normal office hours and collect a receipt/margin receipt simultaneously. The Client shall not hold the Dealer responsible for any losses and/or deficiency of all funds including but not limited to deposits and trading margin paid by the Client to the Dealer through the Client’s representative or any of the Dealer’s staff member until and unless the funds are actually collected by the Dealer from the Client’s representative or any of the Dealer ’s staff member and a receipt/margin receipt bearing the authorized signature(s) of the Dealer thereof is issued to the Client.

客户在办公时间内缴付任何款项或保证金时应即时取回该款项或保证金金额的正式收据。倘若客户将款项透 过其授权人或交易商的负责人或其任何职员存放在交易商(款项包括但不限于保证金),客户则绝不能要求 交易商负责赔偿其在该部份或全部款项损失,除非该款项确实已由交易商收讫,并对该款项签发正式收据予 客户。

3.9 All receipt/margin receipt issued to the Client must bear the authorized signature(s) of the Dealer and such margin deposit is subject to transfer under Article 3.7. Such receipt shall only serve as acknowledgement of the margin deposit, and shall serve no other purpose.

所有交易商发出之款项收据或保证金收据必须由交易商授权之职员正式签署方作有效。客户同时同意并授权 交易商可按本协议第3.7条条款处理依照本条文收取的款项或保证金。交易商所发出的收据为客户于交易商 帐户内已存入保证金金额的确认,并无其他特殊用途。

3.10 Any and all Investments, now or thereafter to be held or carried by the Dealer for the Client are to be held by the Dealer as security for the payment of any liability of the Client to Dealer.

任何及所有客户透过交易商投资取得的款项,无论现在或将来,均被视为客户存放于交易商的抵押品,而该 款项可用作偿还客户欠下交易商的债务。

3.11 In addition and without prejudice to any general liens or other similar rights which the Dealer may be entitled under law or this agreement, the Dealer may, at any time without notice to the Client, combine or consolidate the accounts held by the Client and the Dealer may set off or transfer any monies, Investments or other property in any of his accounts to satisfy obligations or liabilities due to the Dealer, whether such obligations and liabilities are actual or contingent, primary or collateral, secured or unsecured, or joint or several.

在不损害交易商按照法律或本协议享有的任何一般留置权或其他类似的权利下,交易商在无须通知客户的情 况下,可随时组合或合併客户在交易商设立的帐户,同时交易商可将该帐户内的任何金钱,投资款项或其他 财产,用来履行客户对交易商的义务、责任或债务。不论该义务、责任或债务是实际的或待确定的,主要的 或附属的,无抵押的或有抵押的,共同的或个别的,均受制于本条文。

3.12 The Client may make withdrawals from his margin account(s) by giving the Dealer at least three (3) Trading Days notice in writing of his intention to withdraw. The amount to be withdrawn by the Client must not exceed the credit balance in that particular account after deducting the necessary margin and gross floating loss to be calculated by the Dealer in his sole discretion on the date when actual payment shall be made to the Client. For the avoidance of doubt, Client expressly agrees and acknowledges that in the event the remaining balance of money held at Client’s account as at the actual payment date shall be less than the amount as set out in Client’s withdrawal notice, the Dealer shall be entitled to pay the lesser sum to Client notwithstanding what has been recorded in the withdrawal notice.

客户可提前不少于三个交易日以书面通知从该帐户提取其所需款项。客户同意从该帐户提取所需款项时绝对 不能超逾该帐户的馀额,馀额的计算是必须要扣除所需的保证金、客户的总浮动亏损及无争议的金额,而该 总浮动亏损须按客户的未平仓持仓/合约在交易商发出该实际款项予客户当日计算。为免存疑,客户明示同 意及确认:倘若于交易商实际发出款项当日,客户的账户馀额少于其提取通知书之所要求的款项金额,交易 商有权向客户发出较少的款项(儘管该款项少于提取通知书所要求的款项)。

3.13 The Client may appoint a person(s) to operate his account(s) opened and maintained with the Dealer by completing and signing the Agreement of Appointment/Acceptance of Authorized Representative appendixes hereto this Agreement and upon the confirmation of the Dealer, the Client and his authorized representative may operate the Dealer’s account(s) jointly.

授权及声明:获授权代表 客户可委任一名或以上人士操作其于交易商的一个或多个帐户,客户若有此要求须填写及签署本协议的补充 条款「委任/接受委任授权代表补充协议」所规定的委任获授权人士通知书,得到交易商确认后,客户及其 获授权人士可共同操作其于交易商之帐户。

The Dealer shall not be held responsible for any loss, cost and expenses (including any legal costs) resulting from any private trading transactions, contracts or any other relationships between the Client and the Dealer ’s officer, employees or agents. Furthermore, the Dealer shall not be held responsible for any agreement or verbal guarantee regarding any profit guarantee or preservation of capital and interests being given by any person to the Client.

交易商不会承担因客户与交易商任何职员、僱员或代理之间任何私人交易、合约、交易或关系产生之任何法 律责任。交易商同时亦不承担任何人向客户作出有关担保盈利、保本收息等协议或口头承担之任何责任。

4. Commission and Expenses 佣金及费用

4.1 The Client will pay the commission and/or any other expenses including but not limited to stamp duty, bank charges, transfer fees, any loss in the exchange rate pursuant to Article 3.1 and interest incurred for the trading, as prescribed by the Dealer, immediately after execution of each transaction and the Dealer is hereby authorized to deduct such commission/expenses from the margin deposit in the Client’s account(s) with the Dealer. In case the margin deposit in the Client’s account(s) is insufficient to cover such commission/expenses then the unpaid balance of such commission/expenses shall automatically become a debit balance in the Client’s account(s) which will be subject to the conditions stipulated in Articles 5.1 and/or 5.2.

当完成每份交易合约后,客户同意并即时支付交易商是次或每次交易的交易合约佣金及 /或其他相关费用, 当中包括但不限于印花税、银行收费、转让费用、利息及按本协议第3.1条文的汇率差价,而客户授权交易 商从该帐户内扣除。如该帐户的保证金金额不足够支付该佣金/其他相关费用,此不敷之数将自动成为该帐 户的淨差额,交易商则可按本协议第5.1及5.2条文处理该淨差额。

5. Interest and Tax 利息及税款

5.1 Net debt balances in the Client's account(s) will be charged interest at such rate(s), not exceeding the Prime Rate of banks in Hong Kong plus 3% p.a., as demanded by the Dealer. The Client shall be charged with such charges as the Dealer deems necessary to cover the Dealer’s facilities and extra services.

如该帐户的结存淨值为欠负,交易商将收取香港的银行最优惠利率加3厘的年息及向客户追讨此欠负已产生 的费用。

5.2 All funds paid to the Dealer whether as deposit or trading margin or any other purpose whatsoever shall not earn any interest from the Dealer.

除双方有特别协议外,交易商绝对不需要对客户存放于该帐户内的按金保证金或任何款项支付利息。

5.3 The Client acknowledge and agree that he shall bear all tax liability as may be incurred in connection with or from execution of the Investment and/or Bullion Contracts and/or arising from the Client’s country of origin. The Client agrees to fully indemnify the Dealer for any costs and expenses incurred as a result of such tax liabilit y.

客户确认并同意就所有有关其帐户的交易而产生的税务责任或客户因其所属国籍而产生的额外税款承担责 任,对交易商因该税务责任而有可能招致任何费用及开支作即时全数弥偿。

6. Event of Default 失责行为的情况

6.1 For the purpose of this agreement, any of the following shall each constitute an "Event of Default":

发生以下任何一项事件即构成此协议的“失责行为”:

(a) any delay or default by the Client;

客户延迟履行或违反此协议下任何条款;

(b) in respect of any transaction, the Client shall fail:

在任何一次交易中,客户未能:

(i) to pay any purchase price or other payments under this agreement when due;

按照本协议支付交易及其他付款给交易商;

(ii) to provide the required margin when called upon to do so or other sums payable to the Dealer; or

在交易商要求支付所需的保证金或其他任何款项时支付该保证金或款项(交易商有酌情权视乎个 别情况而定);或

(iii) to make or take delivery of the Investment or commodity when required under the relevant contract;

按有关合约将其有关交易或商品交付或进行交收(交易商有酌情权视乎个别情况而定);

(c) the Client stops payment, or becomes unable to pay, any of its debts, or ceases or threatens to cease to carry on its business or disposes or threatens to dispose its assets;

客户停止偿付或变得无力偿付其债务、或终止或威胁将终止经营其业务或出售或威胁将出售其事业或资 产;

(d) the filing of a petition in bankruptcy or winding-up or the commencement of other analogous proceedings against the Client; or the appointment of a receiver, in respect of the Client;

任何人士在法院对客户申请其破产或清盘或进行其他相类似的法律程序;或委任接管人接管客户财物;

(e) the levying of attachment against any of the Client’s accounts;

对客户于交易商开设的任何一个帐户(包括该帐户)实施执行扣押;

(f) the Client’s default in the due performance or observance of any terms of this agreement and the observance of any by-laws, rules and regulations of the relevant Exchanges and/or Clearing Houses;

客户未有恰当地履行和遵守本协议的任何条款及遵守有关的交易所及/或结算所的任何章程、规则和规 例。

(g) the death, insanity, bankruptcy or insolvency of the Client;

客户之死亡、精神错乱、破产或清盘;

(h) any consent, authorization or board or shareholders’ resolution required of the Client to enter into this agreement being wholly or partly revoked, suspended, terminated or ceasing to remain in full force and effect;

客户签订本协议所需之任何同意、授权或董事会或股东决议全部或部份被撤回、暂时终止、终止或不再 具有完全的效力和效果;

(i) any representation or warranty made in or in pursuance of this agreement or in any certificate statement or other documents delivered shall be or become incorrect or misleading in any aspect;

客户依据本协议或任何经证明的报表或其他文件所作出的任何陈述或保证有变或不正确或误导;

(j) the continued performance of any of the transactions or this agreement becoming illegal or is claimed by any government authority to be illegal; or

任何一项买卖投资交易或本协议的持续履行行为变成不合法或经任何的政府部门声称为不合法;或

(k) with respect to the Client's dealing or relationship with the Dealer, the Dealer forms the view in good faith that action is necessary to protect, enforce or preserve its rights hereunder.

交易商对于与客户之间的交易或关系,交易商本著真诚认为必须作出恰当的行动来保护、强制执行或保 障其代表的权力。

6.2 Without prejudice to any other right or remedy which the Dealer may have, if any Event of Default shall occur, all amounts owing by the Client to the Dealer shall become immediately payable on demand, including any interest, at the rate as specified in Article 5.1 and the Dealer shall be authorized (but is not obliged), in its absolute discretion and in accordance with any applicable laws and regulations, to take one or more of the following actions without the need of any notice being given to the Client:

倘若发生任何失责事件,客户尚欠交易商之所有数额因而变成须即时予以支付及将会按不足尚未偿还之数额 以第5.1条所订明之息率计算利息,而交易商将在不需要通知客户情况下,并在没有危害对客户享有的任何 其他权利或补救方法下将授权(但没有义务)在拥有绝对酌情权及依照适用法律规章採取下列一个或多个行 动:

(a) cancel any or all outstanding orders or any other commitments made on behalf of the Client under any or all of its accounts;

交易商可代表客户在该帐户或其他帐户取消任何或所有未执行的交易指令或任何其他作出的承诺;

(b) suspend the Dealer ’s obligations to perform pursuant to the terms and conditions of this agreement;

暂缓履行交易商须根据本协议之条款行事之责任;

(c) liquidate or cover all positions in any or all of the accounts by any means;

交易商可用任何方法将该帐户或客户其他设立于交易商的帐户的交易合约予以平仓;

(d) sell, dispose of or otherwise deal with in whatever manner any Investment, monies, securities, commodity or other property held for or on behalf of the Client under any or all of the accounts he maintains with the Dealer and to apply the proceeds thereof and any monies to offset and discharge any of the obligations or liabilities owed to the Dealer;

交易商可代表客户在该帐户或客户其他设立于交易商的帐户所持有的买卖投资、款项或其他资产出 售、处理或以其他方法无论用甚么方法处置,同时交易商可将由此所得的售卖收益和任何款项用来抵 销和解除客户欠交易商的任何义务和债务;

(e) charge default interest as determined by the Dealer from time to time;

交易商可决定向客户收取失责利息;

(f) immediately close any or all of the accounts; and/or

交易商可立即终止该帐户及客户开设于交易商的任何或所有帐户;及/或

(g) terminate this agreement forthwith without the consent of the Client.

交易商毋须经客户的同意可单方面立刻终止本协议。

6.3 In the event of any sale pursuant to this Article 6.1:

在依照本协议第6.1条作出任何出售的情况时:

(a) the Dealer shall not be responsible for any loss occasioned thereby howsoever arising if it has already used reasonable endeavours to sell or dispose of the Investments or other properties or any part thereof at the then available market price; and

倘若交易商已合理地尽力以当天市场提供的价格出售或处置客户部份或全部的买卖投资或其他资产,而 造成任何损失,交易商则不须为此等损失负上任何责任;

(b) the Dealer shall be entitled to appropriate from the net proceeds of sale all outstanding balances owing by the Client to the Dealer without being responsible for any loss to the Client rising from such sale;

交易商将有权以现价将部份或全部投资或其他财产售予交易商以抵销和偿还客户欠交易商的任何债务 而毋须为种种原因导致之损失负责;及

(c) the Client undertakes to pay to the Dealer any deficiency if the net proceeds of sale shall be insufficient to cover all the outstanding balances owing by him to the Dealer.

倘若出售所得的淨收益不足抵偿客户欠交易商尚未偿还的欠款或欠负,客户承诺并同意支付该欠款或 欠负。

6.4 Any proceeds of sale hereunder shall be applied in the following order of priority and any residue shall be paid to the Client’s account or his order:

替客户作出的出售所得收益必须按以下次序分配,而任何馀额必须支付客户或其指定的第三者:

(a) payment of all costs, charges, fees and expenses (including, without limitation, legal fees, stamp duty, commission and brokerage) incurred by the Dealer;

支付交易商因替客户作出上述的出售而引致的一切费用、收费和开支(包括但不限于法律费用、佣金和 经纪费);

(b) payment of all interest due; and

支付所有到期利息;及

(c) payment of all monies and liabilities due, owing or incurred by the Client to the Dealer.

支付客户拖欠或欠下交易商的一切款项和债务。

6.5 Any distribution, refund, compensation, dividends, interest or other payments which may be received or receivable by the Dealer in respect of the Investments held under the relevant account or accounts may be applied by the Dealer as if they were proceeds of sale notwithstanding that the power of sale may not have arisen.

儘管交易商出售客户资产的权力尚未产生,交易商可替客户经其帐户作出的买卖投资而产生可收取或应收取 的任何利益分发、退款、赔偿、红利、利息或其他款项作出分配。

6.6 The Dealer shall not be liable to the Client in any way for any loss or damage arising from the exercise of any of its rights and remedies as set out in this agreement.

交易商对任何因按照本协议执行其权利及赔偿所产生之损失或赔偿,毋须承担义务。

7. Representations and Warranties 陈述、保证和承诺

7.1 The Client hereby represents and warrants to and undertakes with the Dealer on a continuing basis as follows:

客户特此向交易商作出以下持续的陈述、保证和承诺:

(a) where the Client is an individual, that he/she has attained the age of majority and that he/she is legally capable of validly entering into this agreement, of sound mind, legally competent and not a bankrupt, and fully understands the terms of this agreement;

若客人是个人身份,他/她年满十八岁及在法律上有能力承担及履行本协议,精神健全,有足够的法律知 识,不是破产人士及完全了解本协议的条款;

(b) where the Client is a corporation, that is a corporation duly incorporated and is validly existing under the laws of the country of its incorporation, and has the full power and capacity to enter into this agreement, and the opening of any account with the Dealer has been validly authorized by all corporate actions required in accordance with memorandum and articles of association or by-laws of the Client, and when executed and delivered this agreement will constitute valid and binding obligations of the Client enforceable in accordance with the terms herein;

若客户是一法团,而该法团是合法成立的法团,于本协议日其法定不变并有效存在的,且有完全的权力 和身份以订立及履行本协议内其所属责任;其签订本协议之行为亦已获其主管机构恰当授权,并且完全 遵照客户之组织章程大纲及细则或规则之规定。当本协议被签立及执行时,客户须根据本协议之条款承 担及履行其义务及责任;

(c) Client is entering into this agreement as principal and is not trading on behalf of any other person;

客户是以主事人的身份而非代表任何人来协定此协议;

(d) Client will enter into Bullion Contracts solely in reliance upon Client’s own judgment, and not upon any advice or opinion by any employee or officer or agent of the Dealer;

客户所协定的贵金属合约是按照客户独立的自行判断,而非依赖交易商的职员或交易商代理所给予的任 何推荐或意见;

(e) not to pledge or charge any of its monies or properties forming part of any account(s) opened with the Dealer without the prior written consent of the Dealer, or sell, or grant an option over, or otherwise deal in any properties or monies forming part of the account(s); and

客户同意,在未取得交易商事先同意前,不得质押或抵押组成任何帐户内之任何财产或款项,或出售、 授赠优先权购买或以其他方式处置该帐户内之任何财产或款项;及

(f) to promptly notify the Dealer in writing if any of the representation or warranties contained herein or information given to the Dealer pursuant to this agreement, ceases to be true and correct in any respect and to notify the Dealer of the occurrence of any Event of Default, as set out in Article 6, upon its occurrence.

客户同意,倘本文所载任何陈述及保证均不再为真实正确,彼将从速以书面通知交易商,并将于任何根 据本协议第6条所列明之违约事件发生后随即通知交易商。

8. Joint Clients 联名客户

8.1 Where the Client consists of more than one person:

倘客户属联名口持有人,包括多于一位人士:

(a) each Client shall be a joint tenant in relation to the other Clients with a right of survivorship. For the avoidance of doubt, the joint account holders are not, in relation to each other, tenants in common;

彼等任何一位与另一位联名户口持有人的联权共有人,并拥有生存者取得权。为免生疑义,联名户口持 有人相互之间并非分权共有人;

(b) the liability and obligations of each of them shall be joint and several and references to the Client shall be construed, as the context requires, to any or each of them;

各人之法律责任和义务均属共同及个别,而提及客户者,依内文要求,必须理解为指称他们任何一位或 每一位而言;

(c) the Dealer shall be entitled; but shall not be obliged, to act on instructions or requests from any of them;

交易商有权但无义务按照彼等任何一位之指令或请求行事;

(d) the Dealer shall be entitled to deal separately with any of the Client on any matter including the discharge of any liability to any extent without affecting the liability of any others;

即使任何须受约束之其他客户或其他人士由于种种原因未被约束,各客户仍须受约束;

(e) any Investment order or amendment to such Investment order made by one of the joint Client or their authorized representative shall be accepted and be binding on all and each of them; and

彼等任何一位或彼等任何一位的获授权代表所发出的买卖指令或其他任何指令或更改皆视为彼等共同接 纳及发出;及

(f) any communication, including any notices, Bullion Contracts or statements in relation to the funds in the Client’s account sent by the Dealer to any of the joint Clients or authorized representative’s correspondence address, as provided by the Client in the information statement, shall be deemed to be duly received by all of them and to have deemed knowledge of the contents thereof;

交易商向彼等任何一位或彼等任何一位的获授权代表所发出的任何通知、单据、报表(不论以书面、口 头或电子形式发出)皆视为获彼等知悉;

(g) any Investment orders or any other instructions given by each Client or the authorized representative of each Client shall be deemed to be mutually accepted by each of the joint Client.

联名户口内任何一人或任何一人的授权代表所发出的买卖指示或其他任何指示,皆视为彼等共同接纳。

8.2 Where the Client consists of more than one person, on the death of any of such persons(being survived by any other such persons), this Agreement shall not be terminated and the interest in the account(s) of the deceased will thereupon vest in and ensure for the benefit of the survivor(s) provided that any liabilities incurred by the deceased Client shall be enforceable by the Dealer against such deceased Client’s estate The surviving Client(s) shall give the Dealer written notice immediately upon any of them becoming aware of any such death.

倘若客户包括多于一位人士,任何等人士身故(其他该等人士仍存活)不会终止本协议,身故者在账户(等)内之 权益将转归该(等)存活人士名下,惟交易商有权就该已身故客户之遗产强制执行由已身故客户承担之任何法 律责任。该(等)存活人士中任何人士在获悉上述任何死讯后,必须立即以书面通知交易商。

9. Liabilities and Indemnities 责任及补偿

9.1 The Client hereby acknowledges and admits that the Client will take full obligation and responsibility for any sort of consequence whatsoever that may result from the Investment orders of the Client. The Client further acknowledges that any trading recommendations and market or other information communicated to the Client by the Dealer’s employees and/or its agents do not constitute any advice on which the Client is meant to rely with respect to any Investment order made by the Client, regardless of whether or not such recommendation and information are provided upon the request of the Client. The Dealer shall not be under any liability in respect of such recommendations and information. The Client shall make its own judgment and decision with respect to any Investment order.

客户特此承诺和承认会承担一切交易商因按客户交易指令而所带来的所有后果。客户亦确认交易商的任何职 员及/或其代理人所给予客户的任何买卖推荐及市场或其他资料,并不构成客户赖以所作出的交易决定的建 议,无论此建议及资料是否应客户要求而提供。交易商毋须为该等推荐及资料负上任何责任。客户须就任何 交易指令自行作出判断及决定。

9.2 The Dealer shall not be liable for any act, default, negligence, omission or neglect on the part of any broker or third party acting as agent as the Dealer may, at its sole discretion, contract or deal with in order to carry out the Client’s instructions.

为执行客户之任何指令,交易商可依据其全权决定之条款和条件,跟任何其他代理人或经纪商合同或以其他 方式建立关系。交易商将不须就任何该等代理人或经纪商的行为、错失、疏忽或遗漏承担任何责任。

9.3 The Dealer may affect transactions in Investments where the Dealer has a position in the Investments, and the Dealer shall not be obliged to account for any profits or benefits obtained.

交易商可对其持仓之投资进行买卖交易,而无须为其所获取的任何收益或福利作出解释。

9.4 The Client acknowledges and confirms that the Client has read and agreed to the terms of the Risk Disclosure Statements and Money Laundering Control Statements appendixed hereto and which shall form part of this agreement. The Client further acknowledges that the Client accepts full responsibility for the consequences of all orders executed by the Dealer for and on the Client’s behalf for the purchase or sale of Investments and that under no circumstances will the Client hold the Dealer liable for any loss or damage suffered or incurred thereby. The Client further confirms that in any event where the Dealer has failed to execute the Client’s orders or instructions expeditiously or at all, the Client will not hold the Dealer liable for any loss or damage resulting therefrom.

客户承诺和确定已细心阅读和同意本协议附带的风险披露声明书及洗钱防制备忘录。客户进一步承诺客户接 纳一切经由交易商替其执行的交易指令所带来的责任和后果,同时客户在任何情况下也不会因此遭受或招致 任何损失或损害而要求交易商负上任何法律责任。客户进一步确定无论如何倘若交易商未能迅速地或完全地 履行替客户执行其交易指令时,客户不会因此蒙受任何损失或损害而要求交易商赔偿。

9.5 The Dealer is not liable for any failure or delay to meet its obligations due to any causes beyond its control which shall include fires, storms, acts of God, riots, strikes, lock-outs, wars, governmental control, restriction or sanction whether local or international, technical failure of any equipment, power failure, black-outs or any other causes which results or is likely to result in the erratic behaviour of the Investment prices, the closure of international and local Exchanges or Clearing Houses or any other causes affecting the operation of the Dealer.

如非交易商所控制的情况下,交易商不须为任何未能或延迟替客户履行其义务而负上其法律责任。上述非交 易商所能控制的情况包括火灾、风暴、各种天灾、暴动、罢工、封闭工厂、战争、政府管制、限制或禁制, 而不论其为本地性或国际性,任何设备之技术性失灵,电力中断、灯火管制或任何其他足以导致或可能令致 商品价格反覆无常之原因,国际及本地交易所或市场关闭或任何其他原因足以影响交易商之正常运作。

9.6 Any leniency or indulgence to the Client, or failure by the Dealer to avail the Dealer of any provision hereof, shall not constitute a waiver by the Dealer of any right hereunder nor shall such leniency or indulgence be treated as binding on the Dealer towards the Client thereafter nor does it imply that other clients will receive the same amount of leniency or indulgence.

交易商对客户的迁就或通融,或不行使本协议的任何条文所赋予的权限,并不构成交易商放弃本协议书的任 何条文所赋予的权利。交易商对个别客户的通融或迁就并不构成日后如发生同样或类似情况下的先例或代表 交易商有任何义务对其他客户给予同等的通融或迁就。

10. Termination 终止

10.1 This agreement shall be effective upon execution by the Dealer’s representative and continue in full force and effect until receipt by the Dealer from the Client of written notice of its termination seven (7) Business Days prior to the effective date of the termination or receipt by the Client from the Dealer of any written notice of its termination in either event and at the Dealer’s election, the Dealer may liquidate the Client’s account(s) as hereinabove provided or transfer the Client's account(s) to such broker or commission merchant as the Dealer shall designate.

本协议须由交易商其中一名获授权人签署方为生效,而本协议将一直持续有效直至交易商收到客户的书面通 知要求交易商于七个工作日内终止本协议或客户收到交易商的任何书面通知要求在任何情 下或在交易商的 选择下终止本协议,如交易商依照本条文结束该帐户,交易商有绝对权力将该帐户内的投资、未完成的交易 合约转移到交易商所指定的代理人或经纪商。

10.2 Notwithstanding Article 10.1, the Client shall not be entitled to terminate its account(s) under this agreement if the Client has any outstanding debts, liabilities or obligations, including any failure to provide the required margin when called upon to do so.

即使第10.1条有所规定,倘若客户仍然持有未平仓合约或仍未履行的法律责任或义务,则顾客无权终止本协 议。

10.3 The Dealer may close or terminate the Client’s account(s) maintained hereunder and/or terminate this agreement by giving three (3) Business Days notice in writing to the Client. Under the circumstances as set forth under this Article or Article 10.1, the obligations of the Dealer and the Client shall remain in full force and effect and shall be enforceable notwithstanding such termination.

交易商有权提前3个工作日以书面通知结束或终止客户的帐户及/或终止本协议。根据本条款或本协议第10.1 条,交易商及客户的责任在本协议终止后仍然有效。

11. Severability 可 分 割 性

11.1 Each of the provisions in this agreement is severable and distinct from the others and if any one or more of such provision is or becomes illegal, invalid or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired.

本协议之各条款均独立于其他条款,并可与其他条款相分离。倘若该等条款之任何一条或多条变成违法、无 效或不能强制执行,其他条款在任何方面概不受任何影响。

12. Assignability 可转让性

12.1 The Client may not assign, transfer, charge or otherwise dispose of any of the Client’s rights or obligations under this agreement without the prior written consent of the Dealer. The Client expressly agrees and acknowledges the Dealer may assign its rights or any part thereof and/or novate its obligations or any part thereof under this agreement to any person without the prior consent of the Client.

未获授交易商事先书面同意前,客户不得转让、转移、质押或以其他方式处置客户就本协议须承担之任何权 利或义务。客户明示同意及承诺交易商可将其就本协议须承担之权利和义务全部或部份转让予任何人士,而 事前毋须经客户同意或批淮。

13. General 一般条款

13.1 Time shall be of the essence in respect of all matters arising under this agreement.

就所有事宜与本协议有关的或由本协议引起的,时间均是最重要及关键的因素。

13.2 In this agreement, the singular includes the plural, words importing one gender include the other gender and the neuter, and references to persons include bodies corporate or unincorporate, in each case vice versa.

在本协议内,凡指单数的字及词句亦指众数,字及词句包含一种性别及不属于男性或女性者,和提及之人士 亦包括公司和法团,以上各种情况反之亦然。

13.3 If there is any alteration in the Client’s registration with the Dealer, the Client shall notify the Dealer in writing and such alternation will only be processed upon actual service of such written notification. The Client understands that any such alteration could only become effective one (1) to (1) to three (3) Business Days after the Dealer is in receipt of the Client’s written notice to this effect and the Client will take full responsibility for any consequences caused by the Client's change of particulars in registration.

客户如欲更改其登记于交易商记录内的任何资料,该客户必须以书面通知交易商作出更改,并以实际送达为 淮。客户明白此资料更改须在交易商收妥其更改通知书的一至三个工作日后方为有效。而客户须承担因其更 改登记资料所带来的一切责任。

13.4 This Agreement may be translated into any other language but in the event of any conflict arising the English version shall prevail.

本协议可被翻译成其他语言。倘若中、英文本相悖,则以英文本淮。

14. Amendment 修订

14.1 The Dealer may from time to time amend or supplement (whether by the addition of schedules to this agreement or otherwise) any of the terms and conditions of this agreement by notifying the Client in the manner as set out in this agreement. Any notice delivered by the Dealer to the Client by any means pursuant to Article 15.1 of this agreement shall be deemed to be effectively served to the Client. If the Client does not accept the same, the Client may terminate this agreement within seven (7) Business Days of the date of the notice. If the Client does not terminate this agreement within such time or if it continues to enter into transactions through the Dealer under this agreement after receipt or deemed receipt of notice of the amendment or supplement, the Client will be deemed to have fully accepted such amendment or supplement and will continue to be bound by this agreement as so amended or supplemented. The Client undertakes to the Dealer that (i) it shall review all statements and correspondences sent or otherwise supplied from time to time by the Dealer to the Client, and (ii) notify the Dealer in writing if any of the Client’s contact details contained in this agreement is changed and forthwith supply the new contact details to the Dealer in writing without delay.

交易商可按照本协议所规定的方式不时通知客户将任何本协议的条款及条件作出修订或增补(不论是加入附 表于本协议或以其他方式)。交易商按本协议第15.1条的方式向客户发出的通知,皆视为有效地送达给客 户。如客户不接受上述的修订或增补,客户可在交易商向其发出该书面通知日期的七个工作日内提出终止本 协议。如客户在收到该通知后,没有在上述的七个工作日内向交易商提出终止本协议或客户在收到该通知后 继续按照本协议透过交易商作出交易,客户则视为已完全接纳该修订或增补和会继续受该修订或增补的协议 所约束。客户对交易商承诺(i)客户将审核所有由交易商不时送交或以其他形式提供给客户的账户结算单和通 信,及 (ii)如客户于本协议内的联络资料有任何更改,客户需尽快以书面通知交易商有关更改。

15. Communication 通讯

15.1 Communication, including any notices, copy of Bullion Contracts or daily or monthly statements in relation to the funds in the Client’s account and/or Investment orders, transactions made, may be made to the Client at the address of the Client given herein or at such other address as the Client may hereafter give to the Dealer in writing. All communication so made whether by post, telex, cable, fax, email, telephone, messenger or otherwise shall be deemed to have been given to the Client when deposited in the mail, received by a transmitting agent, transmitted by the sending machine, telephoned, delivered personally to the Client's address, whether actually received or not. If the Client has any objection to the information, data, transaction record set out in any of the communication, the Client shall raise his objection, queries directly to the Dealer in writing within 7 Business Days from the date of deemed delivery, otherwise all such information, data and transaction records as contained in any means of communication from the Dealer will be deemed correct and the Client will be deemed to have fully accepted such information, data and transaction record.

交易商可按照本协议的客户地址与客户联络或开户之后以书面通知交易商的其他联络地址与客户联络,包 括任何通知、贵金属合约之副本、或客户的日结算单或按月结算单或帐户报表。所有交易商与客户的联络 不论是以邮寄、电讯、电报、图文传真、电话、电子邮件、电话短讯直接给予或其他方式均可当作有效地 传达给客户当存放于邮筒、经转送人接收、由机器传送、用电话传达或当面交到客户地址,不论收到与 否。倘若客户对通讯所列出的资料、数据、交易纪录有任何反对,客户必须视为有效传达日之后的五个工 作日内以书面直接向交易商提出有关反对,否则所有以任何形式发出的通讯所载有的资料、数据及交易纪 录将被视为淮确,而客户亦将被视为已完全认同及接纳该资料、数据及交易纪录。本公司毋须保留及不送 达可能退回之文件。

15.2 All Notices, communications, account information and trading confirmation shall be deemed to be duly delivered to the Client:

包括但不限于以下情况视为交易商已向客户实际送达所有通知、通讯、帐户资料、交易确认:

(a) at the time of transmission, if transmitted by courier, telephone, fax and other electronic means; or

于发出或传送出的时间,包括专人送递、电话传达、传真文件、电子方式等;

(b) two (2) Business Days after delivery, if transmitted by air mail; or

于投递之日后两个工作日,如以空邮方式发送;或

(c) seven (7) Business Days after delivery if transmitted by ordinary post.

于投递之日后七个工作日,如以平邮方式发送。

The Client expressly agrees that any account information or Notices may be given by the Dealer to the Client by electronic means and the Client agrees to accept such Notices electronically. The Client further acknowledges that any account information or Notices may also be given by the Dealer by fax and such Notices shall be deemed to be duly received by the Client. The Client hereby authorizes the Dealer to treat the instructions given by the Client by fax as the original instructions given by the Client. If the Dealer incur any loss or suffer any damage or legal claim resulting from the execution of the instructions given by the Client by fax, the Client agrees to indemnify the Dealer for any such loss or damage and the Client hereby guarantees that the Client will not under any circumstances hold the Dealer liable for any loss or damage suffered or incurred thereby.

客户谨此明确同意交易商用电子方式向客户发出之任何通知帐户资料或告示,并认同以电子方式接受上述通 知或告示。同时客户特此通知,明确同意交易商用传真方式向客户发出任何通知、帐户资料或告示,并接 受 交易商以传真方式发出的上述文件视为客户本人实际接获。客户授权交易商接纳客户发出的传真讯息指示为 客户之原本指示,若交易商执行客户发出的传真指示而引致、受到的任何损失及进一步因法律行动招致之索 偿,客户谨此保证向交易商赔偿上述所有的损失,并保障交易商不会因执行其传真指令而遭受损失。

15.3 Any member or employee or authorized representative(s) of the Dealer is/are hereby expressly permitted to visit and discuss with the Client at the Client’s place of business or residence in reference to any account(s) of the Client with the Dealer.

任何交易商的成员或员工或授权人士特此明确地淮许可到其客户的营业地址或客户住所拜访和商谈有关其帐 户的任何事项。

16. Governing Law 管辖法律

16.1 This agreement shall be governed by, construed and enforced in accordance with the Laws of Hong Kong Special Administrative Region of the People’s Republic of China (“Hong Kong”) and the parties hereto agree to submit to the non-exclusive jurisdiction of the courts of Hong Kong.

本协议将按照中华人民共和国香港特别行政区的法律所规限、解释和执行,同时双方于此同意接受香港法院 之非专有司法管辖权制约。

16.2 All transactions for the Client shall be subject to the relevant constitution, rules, regulations, by-laws, customs and usages, as amended from time to time, of The Chinese Gold & Silver Exchange Society or the London Bullion Market Association, or such other exchanges or markets or over-the counter markets (“Exchange(s)”) and the clearing houses in or outside Hong Kong (“Clearing House(s)”) and of the laws and other applicable rules and regulations of Hong Kong and other places in which the Dealer is dealing on the Client’s behalf or with the Client, each as amended from time to time. The Dealer shall not be liable to the Client as a result of action taken by the Dealer or its employees, agents or counterparties to comply therewith. The rules of the Exchange(s) and Clearing House(s), in particular those rules which relate to trading and settlement, shall be binding on the Client in respect of the transactions concluded on the instructions of the Client.

所有由交易商按客户交易指令进行的买卖交易,均须按照香港金银业贸易场或其它交易所或市场或场外交易 市场(“交易所”)和香港内外之结算所(“结算所”)所订立及往后不时作出修改的有关法则、规则、规 例、章程、惯例及阐释办理,及受任何有关法律、规则或规例管制,包括香港及其他地区的法律及条例,及 不时作出修改的规则及规例管制。交易商毋须对客户就交易商、其代理及任何人士因遵照上述规例所作出之 行动负上责任。就按客户指令完成之交易而言,交易商及客户均受交易所及结算所规则之管制,尤其是按客 户交易指令进行的有关买卖和交收之该等规则。

16.3 The Client acknowledges that the relevant laws, rules, regulations, by-laws, custom and usages as mentioned in Article 16.2 may require the disclosure of information by the Dealer relating to the Client or the Client’s account(s). The Client hereby irrevocably authorizes the Dealer, without further notice or consent of the Client, to disclose to the relevant authorities, Exchanges or Clearing Houses information relating to the Client or the Client’s account(s) and to provide all such documents in the Dealer’s possession as may be required, including without limitation, the name and ultimate beneficial owner and the financial position of the Client, as made known to the Dealer at the time. The Client agrees it will not hold the Dealer liable for any consequences arising out of the disclosure and to indemnify the Dealer against any costs or expenses suffered or incurred by the Dealer in complying with the request for disclosure.

客户确认,根据本协议第16.2条文指出的有关法例、规则、惯例及常规可能要求交易商披露与客户及 / 或客 户帐户有关之资料。客户谨此授予交易商不可撤回授权,可在未获得客户进一步通知或同意之情况下,向有 关当局、交易所及结算所披露所有该等资料,并向有关当局、交易所及结算所提供所有由交易商为该披露目 的而言,而可能有之该等文件(或其副本),包括但不限于交易商或许已知悉有关客户之名称及最终权益识 别资料及客户当时之财政状况。客户不应在任何方面指称交易商因该等披露而引致之任何后果承担责任,客 户并须应要求偿付交易商因遵循该等披露而须承担之所有费用和开支。

17. Arbitration 仲裁

17.1 At the sole option of the Dealer and in its absolute discretion, any dispute, controversy or claim arising out of or relating to this agreement, or the breach, termination or invalidity thereof, shall be settled by arbitration in accordance with the UNCITRAL Arbitration Rules as at the date any such arbitration commences and as may be amended from time to time. The appointing authority shall be Hong Kong International Arbitration Centre (“HKIAC”). The place of arbitration shall be in Hong Kong at HKIAC. There shall be only one arbitrator which shall be chosen by the Dealer. Any such arbitration shall be administered by HKIAC in accordance with HKIAC Procedures for Arbitration in force at the date any such arbitration commences. The language to be used in the arbitral proceedings shall be English. The award of the arbitration shall be final and binding on the parties.

在交易商有权选择和绝对酌情权下,因本协议所引起或与之有关的任何争议、争论和申索,或本协议终止或 无效或对其违约,将按照仲裁日时仍然有效并不时会作出修订的联合国国际贸易法委员会仲裁规则通过仲裁 解决。委任机构为香港国际仲裁中心。仲裁地点将在香港国际仲裁中心。仲裁员为一人,并由交易商挑选。 香港国际仲裁中心将按照仲裁开始日时生效之仲裁程序管理任何该等仲裁。仲裁程序所使用之语言为英文。 而仲裁结果将是最终及对双方具约束力。

Risk Disclosure
风险披露声明书

The risk of loss in Bullion trading on margin can be substantial. You agree that you may sustain losses in excess of your initial margin funds. The placing of contingent orders such as “stop-loss” or "stop-limit" orders may not necessarily limit your losses to the intended amount. Certain market conditions may make it impossible to execute such orders. You agree that you may be called upon at short notice to deposit additional margin funds. If the required funds are not provided within the prescribed time, your position may be liquidated at a loss. You will remain liable for any resulting losses in your account. You should therefore carefully consider whether such trading is suitable in light of your own financial position and investment objectives.

贵金属保证金方式的买卖亏损风险可以十分重大。你所蒙受的亏损可能超过你的最初保证金款额。即使你定下 备用交易指令,例如“止蚀”或“限价” 交易指令,亦未可以将亏损局限于你原先设想的数额。市场情况可能 使这交易指令无法执行。你可能被要求一接到通知即存入额外的保证金款额。如果你未能在所订的时间内提供 所需的款额,你的未平仓合约可能会被结算。你将要为你的帐户所出现的任何逆差负责。因此你必须仔细考 虑,鉴于自己的财务状况投资目标,这种买卖是否适合你。

Hedging Disclosure
锁仓声明

Hedging means when the market goes against your expectation after taking a “long” position followed by a “short” position for the same value. You agree that this hedging operation will result in interest cost, which is caused by interest margin and normally is at the level of 3% of the annual interest rate in the market. You will have to pay additional commission for your hedging operation.

锁仓指若客户买入贵金属,市况逆转,客户复沽出同样数量之合约,变成同时持有同等数量之买及卖未平仓合 约。反之亦然。客户须明瞭锁货将引致利息开支,这皆因息差所导致,通常市场买卖的息差约为年利率百分之 三。同时,客户亦须为锁仓支付额外的佣金。

Money Laundering Control Statement
洗钱防制备忘录

Pursuant to the my/our opening of a bullion trading account with Cocus Financial Group Company Limited, I/we have read, understood and executed this Client Statement (the “Statement”) concerning money laundering activities.

兹因本人 / 本人等于联富金融集团有限公司开立帐户,经阅读、瞭解并签署下列有关洗钱行为之声明。

Money laundering activities consist of drug-trafficking offenses and financial misconduct. Drug-trafficking offenses include the manufacture, importation, sale, or distribution of controlled substances; the commission of acts constituting a continuing criminal offense and transportation of drug paraphernalia.

本声明书指之洗钱行为,包括药品销售之犯罪及财务上之不法行为。药品销售之犯罪指製造、进口、销售管制 药品,以上犯罪行为包括由持续性之犯罪集团所为及随身携带毒品之内;

Financial misconduct includes the concealment of assets from a receiver, custodian, trustee, marshal, or other officer of the court from creditors in a bankruptcy proceeding; the making of a fraudulent conveyance in contemplation of a bankruptcy proceeding with the intent to defeat any bankruptcy law; the giving of false oaths or claims in relation to a bankruptcy proceeding; bribery; the giving of commissions or gifts for the procurement of loans; theft, embezzlement, or misapplication of bank funds or funds of other lending, credit, or insurance institutions; the making fraudulent bank or credit institution entries or loan or credit application; and mail, wire, or bank fraud or bank or bank postal robbery or theft.

财务上之不法行为,是指对收受者、保管人、受託人、或法院行官隐匿资产、及在破产程序中对债权人隐匿资 产;在破产程序中,蓄意违反破产法之规定,製造虚伪之移转行为;在破产程序中作出虚假之宣誓或要求;行 贿;在贷款程序中给予佣金或餽赠;窃盗,侵佔或向银行、其他借贷机构、保险机构申请不当借贷;向银行或信 用机构提出虚伪之贷款或信用申请;及邮寄、电汇或诈欺银行或对银行邮寄作业之抢夺及窃盗。

Other activities associated with money laundering also include counterfeiting, espionage, kidnapping or hostage taking, copyright infringement, entry of goods by means of false statements, smuggling, removing goods from the custody of customs officials, and illegally exporting arms.

其他与洗钱有关之犯罪行为,尚包括仿冒行为、间谍行为、绑架及掳走人质、侵著作权、或是藉由虚伪之声明引 进货品、侵佔或移走海关人员保管下之货物、非法出口武器等在内。

I/We have read and understood the contents of this statement and hereby expressly confirm and represent to the Company that none of the assets, which I/we, or any corporation in which I am/we are either as beneficial owner or holding a controlling interest, has been derived from any of the aforementioned activities specified in this statement.

本人 / 本人等已经阅读并瞭解本洗钱防制备忘录之内容,谨确定声明本人 / 本人等之资产或任何由本人 / 本人等 有或掌管之公司财产,均非来自上述备忘录所述之行为。



客户贵金属交易须知

合约名称 本地伦敦黄金 本地伦敦白银
最低价格波幅 每盅司 10 美仙 每盅司 1 美仙
差价 (正常市况) 50 美仙 3-5 美仙
交易时间 (香港时间) 冬令时间:电话及网上交易:週一上午七时 至 週六凌晨五时
夏令时间:电话及网上交易:週一上午七时 至 週六凌晨四时
休市时间 (香港时间) 夏令时间:週一至週五:上午五时 至 上午五时三十分 (冬令时间将顺延一小时)
自动平仓 如每张合约维持保证金下跌至最初保证金之 20% 或以下,交易商有全权的酌情权在不事先知会客户或未经客户同意下,将客户户口内部分或全部合约进行强制平仓。若平仓所得之结馀为欠负,客户仍须就所欠款项负责。
下单指令
市价 以市价现价做买卖,客户发出买或卖指令后交易员通过交易平台执行,并以最快覆核客户之价位为准,客户须全部接受回返价格的价位差别。
限价盘 就客户自己设定非市场现价的买卖指令 (按交易商的下单设定)。
止蚀盘 以协议价格买入 / 卖出的定单。客户预设一份停止损失定单,可在到达或超过指定价格时,自动清算指定的未平仓合约。
按序下价盘 客户同时预先设定进场价位,并于该价位成交后,立刻自动挂出指定限价盘及止蚀盘,以便价位到达时可代为执行。
自动替代委託指令 客户设定一个上限及下限价格指令,当其中一个限价指令完成后,另一个限价指令盘则自动取消。
附注 因市况波动等情况,客户上述下单指令可能以较差之价位执行甚至不能执行而客户不须交易商承担任何责任。
限价盘时效 如客户在下单时没有预先声明买卖指示有效时间,限价指示一律会被当作即日盘处理。若客户在下单时声明限价指示有效至星期五;除非获交易商确认取消,否则该盘有效至纽约时间星期五或假期交易时间结束。
自动替代委託指令离价 以当时价格的 8 美元作标准 以当时价格的 80 美仙作标准
支票拒付 如客户在下单时没有预先声明买卖指示有效时间,限价指示一律会被当作即日盘处理。若客户在下单时声明限价指示有效至星期五;除非获交易商确认取消,否则该盘有效至纽约时间星期五或假期交易时间结束。
限价离价 以当时价格的 4 美元作标准 以当时价格的 40 美仙作标准
跳空情况 帐户有未平仓合约,经过周六周日因国际假期中继交易时间的情况下,周一早上或假期完成后开市时的价格与上周五或假期前的收市价出现较大距离,导致客户最低按金水平低于 20% 以下,客户同意交易商以开市后第一口价强制替客户平仓,客户须承担所有损失甚至可能出现的欠负金额。
周五及假期前持仓过市 客户如于周五收市前及国际假期暂停交易前有未平仓合约,则其帐户保证金水平必须高于 100% 以上,否则交易商将于收市前强制替客户平仓至其保证金水平回升至 100% 以上。
出入款汇率 倘若存入的货币为港元或其他货币,该存款将按交易商不时制定之兑换汇率换为美元。(交易商将参考各大银行之美元汇率)
利息 利息计算参考美国联储局变动,以交易商不时制定为准
逢星期五计算三日利息,其馀日子则计算一日利息,星期六及日不作计算。

客户意向书
(1) 电话获取个人户口密码申请 Password Collection by Phone

本人现向贵公司要求以电话形式获取进入密码及客户电话交易密码,以便本人儘快进行交易,请致电本人之电话号码 (与所签署客户协议/客户资料表格内之号码相同)。 本人清楚瞭解透过电话获取密码前,贵公司需要本人透露有关个人资料作为核实身份之用,亦完全明白本人之户口密码需绝对保密。

I hereby declare my desire of collecting my Access Code and Client Telephone Code through telephone in order to shorten the duration required before any trade can be carried out. The contact number I wish to receive my password through is (which is identical to as stated in the Client Agreement). I am fully understand the necessity of a credit check conducted by your company prior to the collection of password through telephone, and also the obligation of keeping the password in confidential at all time for security reason.

本人须对贵公司核实密码后被接纳的所有买卖、损失、费用及支出负全部责任。本人明白如因密码洩露予贵公司的客户主任或任何人而导致有任何损失,本人须承担所有由此而引致的责任及其损失。

I also understand that my password is strictly confidential and I am responsible for all transactions, loss, cost and expenses, should any transaction be accepted and concluded by your company on the identification of the Access Code and the Client Telephone Code.

(2) 以电子邮件形式收取日结单及贵公司的通讯 Receiving Statements and Notices by E-mail

本人同意以电子邮件形式收取日结单及贵公司的通讯,作为完全替代贵公司以书面形式予本人的正式通知。 本人电子邮件地址为 (与所签署客户协议/客户资料表格内之电子邮件位址相同)。

I hereby agree to receive any daily statement or notice in electronic copy through my email, given my email address (which is identical to as stated in the Client Agreement). I understand that all statements and notice in electronic copy stand as the official copies.

本人接纳如电子邮件箱因其电子邮件供应商或网络服务供应商的问题而未能及时接收贵公司的日结单电子副本或任何相关通讯的电子邮件,致令本人蒙受损失,本人亦应承担全部责任,并不得追究贵公司。

I agree to take all responsibility for any losses as a result of not receiving (or not receiving timely) any statement or notice through email due to the failure of my email service provider or my internet service provider, while your company should take no responsibility upon these situation.

(3) 适用之地区法律条款 Terms and Conditions

本人(为以下之客户)申请于贵公司开设贵金属交易户口时同意, 倘若本人在履行与贵公司已签署的《客户协议》合同时发生任何争议, 本人同意祗选择适用于中华人民共和国香港特别行政区的法律。

Regarding the “Client Agreement” signed with Cocus Financial Group Company Limited, I (Client) agree to follow the People’s Republic of China Hong Kong Special Administrative Region Law when any disputes exist, at the time I set up an account with your company.

以上内容包含:(1)客户协议;(2)免责声明;(3)风险披露声明。;(4)客户贵金属交易须知。;(5)客户意向书。

「本人」已认真阅读并同意以上三份协议内列明之所有条款。