现金客户协议书 

 

 

 

 

ETERNAL PEARL SECURITIES LIMITED
恒明珠证券有限公司

 

 

 

 

_____________________________________________

 

 

CLIENT AGREEMENT AND SCHEDULES

客户协议及附件

 

_____________________________________________

 

 

 

 

19/F, 88 Gloucester Road

Wanchai, Hong Kong

 

香港湾仔告士打道8819

 

Tel电话: 3199 0888

Fax传真: 2851 6128

 

Website 网页: www.ep-sec.com

 

 

 

 

 

 

 

THIS IS AN IMPORTANT DOCUMENT. 此乃重要文件,恳请细阅。

 

 

PLEASE READ THE FOLLOWINGS CAREFULLY.

 

CLIENTS SHALL NOTE NOT ONLY THAT FLUCTUATIONS IN THE PRICES OF SECURITIES SHALL BE INEVITABLE AND UNAVOIDABLE, AND THAT SECURITIES PRICES MAY MOVE SHARPLY UNWARDS OR DROP DRASTICALLY DOWNWARDS WITHIN A SHORT SPAN OF TIME, BUT ALSO THAT UNDER CERTAIN CIRCUMSTANCES, SECURITIES MAY BE, OR SHALL HAVE TO BE, SUSPENDED FROM TRADING, DELISTED OR EVEN WORSE, BECOME VALUELESS FOR ONE REASON OR ANOTHER. AS SUCH, WHEN TRADING OR INVESTING IN SECURITIES, CLIENTS SHALL BE EXTREMELY CAUTIOUS AND PRUDENT. CLIENTS SHALL NOT TRADE OR INVEST IN SECURITIES TO SUCH EXTENT WHICH SHALL BE BEYOND THEIR AFFORDABLE LIMIT OR EXTENT. CLIENTS SHALL FURTHER APPRECIATE THAT LOSSES MAY BE INCURRED RATHER THAN PROFIT MADE AS A RESULT OF TRADING OR INVESTING IN SECURITIES. IN ANY EVENT, IN LIGHT OF RECENT DEVELOPMENTS IN INTERNET OR OTHER ELECTRONIC TRADING SERVICES, CLIENTS SHALL UNDERSTAND THAT THERE ARE RISKS ASSOCIATED WITH USING THE INTERNET OR OTHER ELECTRONIC TRADING SERVICES WHICH ARE ADDITIONAL TO THOSE NORMALLY INCURRED IN TRADITIONAL MODES AND MANNERS OF SECURITIES TRADING AND INVESTMENT.

 

FURTHER, CLIENTS USING OR CONTEMPLATING TO USE MARGIN FACILITIES IN OR FOR TRADING OR INVESTING IN SECURITIES SHALL FURTHER APPRECIATE AND UNDERSTAND SUCH RISKS ASSOCIATED WITH THE USE OF MARGIN FACILITIES IN TRADING OR INVESTING IN SECURITIES, AND SHALL READ THIS AGREEMENT WITH EXTRA CARE AND CAUTION BEFORE ACCEPTING OR DECIDING TO ACCEPT ANY MARGIN FINANCING ARRANGEMENT.

 

CLIENTS WHO HAVE ANY DOUBT ABOUT THIS AGREEMENT OR ABOUT THE SALE AND/OR PURCHASE OF SECURITIES SHALL CONSULT THIS OWN SOLICITOR(S), ACCOUNTANT(S) OR OTHER INDEPENDENT PROFESSIONAL ADVISER(S).

 

 

客户必须留意,证券价格可能并定会波动,可以快速上升但亦可能急剧下跌,在某些情况下证券更可能被暂时停止买卖、取消上市资格甚或变成毫无价值。因此投资及/或买卖证券除可能获利外,亦可能蒙受有损失,此乃证券交易或投资本身之风险,因此投资及/或买卖证券必须量力而为。此外,使用互联网或其它电子交易服务时,除了通常的证券交易风险之外,亦存在其它相关之额外风险。

 

客户亦必须注意,在证券买卖当中使用孖展额及孖展交易存在相关风险。在决定接受孖展财务安排之前,客户应当仔细阅读本协议。

 

客户若对本协议、证券买卖或其它方面有任何疑问,应咨询客户之律师、会计师或其它独立专业顾问。

 

 


 
 

 

1.         INTERPRETATION释义

 

1.1      In this Agreement:

在本协议中:

 

Account”                              means the securities trading account(s) (including, without limitation, stock options trading account and collective investment account) opened and maintained by Eternal Pearl (as defined below) on behalf of Client pursuant to the Account Application and the terms of this Agreement;

账户                                指恒明珠依据开户申请表及本协议条款代客户开立及维持的一个或多个证券交易账户(包括但不限于股票期权交易账户或集合投资账户);

 

 

Account Application”        means the application submitted by Client to Eternal Pearl in such form as required by Eternal Pearl for the opening and maintaining of an Account under the terms of this Agreement;

开户申请表        指客户为了开立及维持在本协议条款下的账户,按照恒明珠所要求的格式向恒明珠提交的申请书;

 

 

 “Advice”                               means a written or typed record (including facsimile or other electronic means from which it is possible to produce a hard copy) (a) confirming and setting out the particulars of any transaction executed by Eternal Pearl on any Account, or (b) recording any other event (including without limitation receipts or withdrawals of assets) in relation to the Account, and containing such information as Eternal Pearl shall consider appropriate;

通知书            指任何书写或打字记录(包括任何以传真或其它电子途径可制作成印刷本之文件)(a)确认及列明就任何账户,由恒明珠执行的任何交易详情;或(b)纪录与账户有关的其它事宜(包括但不限于资产的收受或提取)并载有恒明珠认为恰当之资料;

 

 

 “this Agreement”                means this Client Agreement and Schedules and Appendix(ces) (if any) and Supplement(s) (if any), the Account Application and any applicable schedule, appendices and supplements and/or other documents as specified in the Schedules or determined by Eternal Pearl from time to time;

本协议                             指本客户协议及附件及附录(如有)及补充(如有)、开户申请表以及附件内所列明或由指恒明珠不时指定的任何适用附件附录及补充及/或其它文件;

 

 

 “Authorised Person”          means each of those persons specified as such in the Account Application, or subsequently appointed as such where notice of such appointment has been given to Eternal Pearl pursuant to the terms of this Agreement provided that such notice shall not take effect until such time as prescribed by Eternal Pearl at is sole and absolute discretion, and in case where no time limit is prescribed by Eternal Pearl, then the relevant appointment shall take effect five (5) days after the actual receipt by Eternal Pearl of it;

获授权人                      指每一位开户申请表指定为获授权人士,或日后获委任为获授权人而委任通知已按本协议条款给予恒明珠,惟该通知只会于恒明珠指定的日期才会生效,但若恒明珠并无指定任何日期,则相关委任当在确实收妥当日起计5日后才会生效;

 

 

 Authorised Third Party”    means each of those persons, if any, specified as such in the Account Application, or subsequently appointed as such and notice of such appointment has been given to Eternal Pearl pursuant to the terms of this Agreement provided that such notice shall not take effect until such time as prescribed by Eternal Pearl at is sole and absolute discretion, and in case where no time limit is prescribed by Eternal Pearl, then the relevant appointment shall take effect five (5) days after the actual receipt by Eternal Pearl of such notice;

获授权第三者      指每一位开户申请表指定为获授权第三者(如有的话),或日后获委任为获授权第三者而委任通知已按本协议条款给予恒明珠,惟该通知只会于恒明珠指定的日期才会生效,但若恒明珠并无指定任何日期,则相关委任当在确实收妥当日起计五日后才会生效;

 

 

 CCASS”                                means the Central Clearing and Settlement System established and operated by Hong Kong Securities Clearing Company Limited;

中央结算系统      指由香港中央结算有限公司建立及运作之中央结算及交收系统;

 

 

 Client”                                  means the person in whose name Eternal Pearl has agreed to open and maintain the Account in accordance with the terms of this Agreement and shall in the case where Client: (i) is/are individual(s) include Client and Client’s respective executors and administrators; (ii) is a sole proprietorship firm include the sole proprietor and Client’s executors, administrators and successors in the business; (iii) is a partnership firm include the partners who are the partners of the firm at the time when the Account being maintained and any other person or persons who shall at any time hereafter be or have been a partner or partners of and in the firm and all the aforesaid partners’ respective executors, administrators and the successors to such partnership business; and (iv) is a company include such company and its successors;

客户                                指恒明珠同意以其名义按本协议条款开立及维持账户的人士,及当客户乃:(i)属个人,则包括客户()本身及其等各自之遗嘱执行人及遗产管理人;(ii)属独资经营商号,则包括独资经营人及其遗嘱执行人、遗产管理人及其生意继承人;(iii)属合伙经营商号,则包括维持账户时该商号之合伙人,亦包括于今后任何时间加入该商号成为合伙人之任何人士()(不论是否其后退出)及所有前述合伙人各自之遗嘱执行人、遗产管理人及该合伙经营生意之继承人;以及(iv)属公司,则包括该公司及其继承人;

 

Eternal Pearl”                    means Eternal Pearl Securities Limited, a company incorporated in Hong Kong with limited liability and licensed by SFC (as defined below) to carry out Regulated Activity Type 1 (dealing in securities) under and pursuant to the SFO (as defined below), and where the context so requires or permits, Eternal Pearl shall be deemed to refer to the Group;

恒明珠            指恒明珠证券有限公司,一家于香港成立的有限责任公司,其已获证监会批准从事证券及期货条例项下受规管活动第一类 (证券买卖) ,于下开合适处或关连处当解释作集团;

 

 

 Event of Default”              means each of the events set out in Clause 16.1;

“违约事项”          16.1中列明之每一项违约事件;

 

 

 

 Facility”                               in respect of an Account, means any financial accommodation provided by Eternal Pearl from time to time to facilitate the acquisition and holding of securities whether or not such securities are listed on an Exchange;

财务安排          就账户而言,指恒明珠不时提供之财务安排及/或通融以便客户获得及持有无论在一交易所上市与否之证券;

 

Group”                                 means Eternal Pearl Securities Limited (being defined as Eternal Pearl as set out above) together with its subsidiaries and associated companies, and “member of the Group” shall be interpreted and construed accordingly;

集团              指恒明珠证券有限公司 (于上定义为恒明珠) 及其附属及相联公司,而「集团成员」应作相应解释;

 

HKEx”                                  means Hong Kong Exchanges and Clearing Limited;

香港结算                      指香港交易及结算所有限公司;

 

 

 

 “Hong Kong”                       means the Hong Kong Special Administrative Region of the People’s Republic of China;

「香港」                                指中华人民共和国香港特别行政区;

 

 

 “Laws”                                  means all laws, rules, regulations and regulatory requirements applying to Eternal Pearl, and to other brokers and dealers instructed by Eternal Pearl, including, where applicable, the rules of the relevant clearing house including CCASS, the rules of the Stock Exchange and SFO;

法例              指适用于恒明珠及恒明珠所指示的其它经纪和交易商的一切法例、规例及和规管要求,包括(如适用)相关交易所及其相联结算公司的规则;

 

Regulations”                        means the rules of the Regulators (as defined below) or other laws, rules, codes, guidelines, circulars and regulatory directions promulgated, implemented, issued and/or enforceable by the Regulators from time to time;

监管规则          指由监管机构不时发布及/或之规定或其它法例、规条、守则、指引、通知及规管性指示;

 

 

 Regulators”                         means the SFC, the Stock Exchange, the relevant clearing house including CCASS and any other regulator whether in Hong Kong or elsewhere;

监管机构          指证监会、交易所、相关之结算公司包括中央结算系统以及任何在香港或其它地方之监管机构;

 

 

 securities”                            means “securities” as defined in the SFO and (if applicable) any interest in the collective investment scheme that is a registered scheme as defined in the Mandatory Provident Funds Schemes Ordinance (Chapter 485 of the Laws of Hong Kong) or its constituent fund as defined in Section 2 of the Mandatory Provident Fund Schemes (General) Regulation (Chapter 485A of the Laws of Hong Kong);

证券              与证券及期货条例内的「证券」具相同含义及(如适用)于集体投资计划(<强制性公积金计划条例>(香港法例第485)所定义的注册计划)或其<强制性公积金计划(一般)规例>(香港法例第485章附属法例A)2条所定义的成分基金中的任何权益;

 

 

 SFO”                                     means the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong);

证券及期货条例    指证券及期货条例(香港法例第571)

 

 

 “SFC”                                   means the Securities and Futures Commission of Hong Kong;

证监会            指香港证券及期货事务监察委员会;

 

Stock Exchange”                means The Stock Exchange of Hong Kong Limited and, insofar as the context so requires or permits, any other stock exchange, market or association of dealers in any part of the world on which securities are traded; and

交易所            指香港联合交易所有限公司以及在世界各地进行证券买卖的任何其它交易所、市场或交易商协会;及

 

 

 “subsidiary”                        shall have the same meaning given to it under the Companies Ordinance (Chapter 622 of the Laws of Hong Kong) (as amended from time to time).

附属公司          <公司条例>(香港法例第622)(及其不时修订本)下所指明的具相同定义。

 

 

1.1A    For the purposes of this Agreement, two companies shall be taken to be associated companies if one is a subsidiary of the other, or both are subsidiaries of a third company, and “associated company” shall be interpreted and construed accordingly.

就本协议而言,如两间公司的其中一间为另一间的附属公司,或该两间公司俱是第三间公司的附属公司,则该两间公司将视为相联公司,而「相联公司」一词亦据此解释。

 

1.2      In this Agreement  在本协议中:

 

              1.2.1 the singular shall, and shall be deemed to, include the plural and vice versa;

凡指单数之词语,其释义将包含众数,反之亦然;

 

              1.2.2 words importing any gender shall include every gender, and references to persons shall include companies,  corporation, and unincorporated;

                             含有性别意义之词汇其释义将一概包含所有性别,凡指人士之词语,其释义包括法团和企业;

 

            1.2.3 where Eternal Pearl or any member of the Group is given a discretion, such discretion shall be absolute and if exercised, to the fullest extent permitted by applicable laws, Eternal Pearl shall not incur any liability of whatsoever nature to Client or any other person and, unless otherwise stated, Eternal Pearl shall not be required to give any reason for its action, inaction or decision;

凡恒明珠被授以酌情权,该酌情权应是绝对的及若行使该酌情权,在适用法律许可的最广范围内,恒明珠绝不会对客户或任何其它人士承担任何责任(不论属任何性质),恒明珠绝不必就其行为、不行为或决定而作出解释,但另有规定者除外;

 

              1.2.4 the headings in this Agreement are inserted for convenience only and shall be ignored in construing this Agreement;

                             本协议内之标题仅为方便,于释义本协议时无须理会;

 

               1.2.5 references to any statute, statutory provision or Regulations shall include a reference to that statute, provision or Regulations as from time to time amended, replaced, modified, extended or re-enacted;

                             凡指法例或监管规则,释义包括不时生效的修订本、更替本、修改本、扩充本或重新制定本;

 

              1.2.6 words not defined shall have the meanings ascribed to them in this Agreement, the SFO or the Regulations made unless the context requires otherwise;

                             凡未有诠释之文字,应按证券及期货条例或其下之规则之定义作解释,除非文意另有所指。

 

            1.2.7 if there is any inconsistency between the Chinese and English versions of this Agreement, the English version shall apply and prevail;

                             若本协议中英文版本不一致,应以英文版为准。

 

              1.2.8 any reference in this Agreement to an ordinance or a provision of any Regulations shall be deemed to include such ordinance or provision as now or hereafter amended, replaced, modified, extended or re-enacted;

                            本协议所提及之条例或任何监管规则之条文其释义包括有关条例或条文现行及其后修订、更替、变更、扩充或重新制定之版本;

 

              1.2.9 in the event of any inconsistency between any provision of this Agreement and any Laws, the latter shall prevail and Eternal Pearl shall be entitled in its discretion to take or refuse to take any action or to demand that the Client shall take or refrain from taking any action to ensure compliance with the same. All actions taken by Eternal Pearl in accordance with the Laws shall be binding on the Client.

                             如果本协议条文与任何法例有任何抵触,应以后者为准;恒明珠有权依据其绝对酌情权采取或拒绝采取任何行动,或者要求客户采取或不得采取任何行动,以确保合乎法例要求。恒明珠根据法例所采取之一切行动均对客户具有约束力。

 

1.3      Unless otherwise specified in this Agreement or by Eternal Pearl in writing, any interest owed by Client to Eternal Pearl in connection with this Agreement shall be calculated on the basis of a 365-day year or 366-day year (if the year in question is a leap year). Such basis may be changed by Eternal Pearl in its absolute discretion, at any time and from time to time, without notice to or consent from Client unless such notice or consent is stated in this Agreement, or other written agreement by Eternal Pearl, to be necessary.

除非本协议另有指明或恒明珠另以书面指明,就本协议客户亏欠恒明珠的任何利息将基于365日一年或366日一年(若有关年份乃是闰年)。该基准可能随时及不时被恒明珠按其绝对酎情权所改变而无须通知客户或获得客户同意,除非有关通知或同意于本协议或恒明珠其它的书面协议中订明乃是必要的。

 

 

2.         ACCOUNT OPENING AND MAINTENANCE开立及维持账户

 

2.1      Client hereby irrevocably and irreversibly instructs and authorises Eternal Pearl to open and maintain Account(s) (including, without limitation, stock options trading account and collective investment account) in the name of Client for purchasing, investing in, selling, exchanging or otherwise dealing in securities in Hong Kong or elsewhere in accordance with this Agreement.

客户谨此不可撤销及不可反悔地指示及授权恒明珠以客户之姓名开立并维持一个或多个账户(包括但不限于股票期权交易及集合投资账户),并根据本协议之条款,在香港或其它地方购入、投资、沽出、交换证券或进行其它证券交易。

 

2.2      In opening each and every Account, Client shall submit such detailed information to Eternal Pearl as prescribed by Eternal Pearl, which information shall include but shall by no means limited to personal particulars, financial condition, financial sources and resources, asset portfolio, investment experience, investment objectives, academic background, knowledge on and/or awareness of securities and derivative products. For avoidance of any doubt, Client shall, and shall continue to, furnish Eternal Pearl with such or such information and/or further information as may be or shall be prescribed by Eternal Pearl from time to time.

在开设任何账户时,客户必须向恒明珠提交所需之数据,此等数据必须包括但不限于客户之姓名及个人资料、财务状况、财政来源、投资经验、投资目标、对证券及衍生投资产品的认知。此外,客户必须持续性地按恒明珠不时提出的要求向恒明珠提交所需之资料。

 

2.3      Further, in opening each and every Account, Client shall complete and submit to Eternal Pearl such account opening documentation, which shall include but shall not be limited to account opening forms.

此外,在开设任何账户时,客户必须向恒明珠递交开设账户申请书及其它恒明珠指定之文件。

 

2.4      Client shall furnish Eternal Pearl with a specific mandate with respect to each Account on the person(s) being authorised to operate and/or conduct trading or investment through such Account, and in the case of Client which is a corporation, the Client shall furnish Eternal Pearl with the relevant board resolutions or minutes. Any change in particulars of any mandate shall be reported to Eternal Pearl within 24 hours. In any event, Eternal Pearl shall have sole and absolute discretion to allow or disallow any change in mandate of any Account, and no Client shall have any recourse whatsoever against Eternal Pearl for allowing or disallowing any change in mandate. Further, Client shall submit at its own costs its latest personal particulars (in case the Client is an individual) or its latest corporate particulars (in case the Client is a corporation) for consideration, scrutiny or verification by Eternal Pearl upon request by Eternal Pearl from time to time.

在开立任何账户时,客户必须将相关账户的操作授权文件给予恒明珠,若客户为商业机构,须进一步向恒明珠提交有关之董事会决议。如操作授权需要作出改动,客户必须在24小时内通知恒明珠,而恒明珠有绝对酌情权同意或拒绝任何操作授权的改动,客户绝不得异议。此外,客户必须按恒明珠不时提出之要求向恒明珠提交其最新近之个人资料 (如客户为个人) 或商业机构资料 (如客户商业机构) ,以供恒明珠核对。

 

2.5      Further, in case of any changes in Client’s particulars, in Client’s signature or in the mandate, Client shall notify Eternal Pearl in writing writing within 24 hours. In any event, Client shall comply with the Fourth Schedule and furnish such information and particulars concerning and relating to the Client to Eternal Pearl upon request by Eternal Pearl from time to time, and Client shall observe such time limit as prescribed in the Fourth Schedule. Any breach of this Clause or the Fourth Schedule shall result in cancellation or suspension of any or any relevant account in accordance with Clause 2.7.

在开立任何账户后,如客户的数据、签名式样或操作授权有任何改变,客户必须在24小时内通知恒明珠。无论如何,客户必须遵照第四附件按恒明珠不定时作出之要求,将客户本身及与其相关的数据在第四附件中指示之时限内提交予恒明珠,任何违反此条款或第四附件将致使相关的账户根据第2.7条被暂停运作甚或取消。

 

2.6      Eternal Pearl shall use its best endeavours to strike a good balance between compliance with regulatory regime regulating aspects other than personal data protection of the one part and personal data protection of the other part, and in any event, Eternal Pearl shall use its best endeavours to comply with  the following 6 principles in personal data protection as set out in the Personal Data (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong), with Eternal Pearl being the data user and each individual Client (but not corporate Client) being each a data subject:

 

(a)      Data Protection Principle 1 – Data Collection Principal:

 

(i)       Personal data shall be collected in a lawful and fair way, for a purpose directly related to the function / activity of the data user;

 

(ii)     Data subjects shall be notified of the purpose and the classes of persons to whom any personal data may be transferred; and

 

(iii)    Personal data collected should be necessary but not excessive.

 

保障数据守则1 - 收集个人数据的目的及方式:

 

数据使用者须以合法和公平的情况下,按需要但不超乎适度地收集他人的个人数据,而其目的应直接与其职能或活动有关。数据使用者须采取所有切实可行的步骤明确告知数据当事人收集该数据的目的,及数据可能会被转予那类人士。

 

(b)      Data Protection Principle 2 – Accuracy and Retention Principal:

 

Practicable steps shall be taken to ensure personal data is accurate and not kept longer than is necessary to fulfill the purpose for which it is used.

保障数据守则2 - 个人资料的准确性及保留期间:

 

数据使用者须采取所有切实可行的步骤以确保持有的个人数据是准确,如有理由相信不准确就应先厘清或删除数据。而数据的保存时间不应超过达致原来目的的实际所需。

 

(c)      Data Protection Principle 3 – Data Use Principle:

 

Personal data shall be used for the purpose for which it is collected or for a directly related purpose, unless voluntary and explicit consent with a new purpose is obtained from the data subject.

 

保障数据守则3 - 个人数据的使用

 

除非得到数据当事人的同意,个人资料只限用于收集时述明的目的或直接相关的目的,而不得用于新的目的。

 

(d)      Data Protection Principle 4 – Data Security Principle:

 

A data user shall take practicable steps to safeguard personal data from unauthorized or accidental access, processing, erasure, loss or use.

保障数据守则4 - 个人资料的保安:

 

数据使用者须采取所有切实可行的步骤,确保持有的个人数据受到保障,而不会在未经授权或意外地被查阅、处理、删除、丧失或使用。

 

(e)      Data Protection Principle 5 – Openness Principle:

 

A data user shall take practicable steps to make personal data policies and practices known to the public regarding the types of personal data it holds and how the data is used.

 

保障数据守则5 - 信息须在一般情况下可提供:

 

资料使用者须采取所有切实可行的步骤,确保任何人能获告知其处理个人数据的政策和实务、所持有的个人数据类别及其用途。

 

(f)       Data Protection Principle 6 – Data Access and Correction Principle:

 

A data subject shall be given access to his/her personal data and allowed to make corrections if it is inaccurate.

 

保障数据守则6 - 查阅个人资料:

 

数据当事人有权要求查阅其个人资料及作出更正,并在被拒时有权获提供理由及作出反对。

 

Further details of and concerning the personal data protection policy of Eternal Pearl are set out in Clause 18 and the Fifth Schedule.

 

恒明珠将尽其所能在保障个人资料及满足其它监管及法定要求中取得平衡,无论如何,恒明珠将按照在个人资料(私隐) 条例 (香港法例第486) 所列载之六大原则收集、处理及保障个人数据。恒明珠相关的私隐政策详列于第18条及第五附件。

 

2.7      Eternal Pearl may suspend and/or cancel any Account with or without any prior notice to Client in case of any failure on the part of Client to comply strictly with the preceding provisions in this Clause 2, and Client shall not have any recourse whatsoever against Eternal Pearl in any or any such suspension or cancellation of any Account. Further, in any case of money laundering or suspected money laundering through any Account, Eternal Pearl shall freeze the Account and report the same to law enforcement agencies including the Joint Financial Intelligence Unit of Hong Kong so as to discharge any obligation on the part of Eternal Pearl under the Organised and Serious Crimes Ordinance (Chapter 455 of the Laws of Hong Kong) as well as the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (Chapter 615 of the Laws of Hong Kong), and under such circumstance, no property, asset or content of or in the securities account concerned shall be dealt with pending order from the court or from the law enforcement agency(ies) concerned (whichever shall be appropriate).

遇有任何客户不遵从此第2条,恒明珠可以在没有给予客户事先通知的情况下实时暂停相关账户的运作甚或取消相关账户,而客户绝不得因此而向恒明珠作出任何申索或提起任何诉讼。再者,遇有任何清洗犯罪得益或涉嫌个案,恒明珠定必通告执法部门包括联合财富情报组以履行恒明珠有组织及严重罪行条例 (香港法例第455) 及打击洗钱及恐怖分子资金筹集(金融机构) 条例 (香港法例第615) ,并将相关的账户冻结,除依据法院命令及/或执法部门指示外 (以合适者为准) 相关账户内的资产或财物绝不得以任何方式处置。

 

 

3.         ETERNAL PEARL’S SUITABLE INFORMATION TO CLIENT恒明珠给予客户合适之资料

 

3.1      Eternal Pearl may, at Client’s request, agree to deal in securities on Client’s behalf and provide information (as the case may be) in relation to such securities, which information shall be reasonably suitable for Client having regard to Client’s financial situation, investment experience and investment objectives to the extent as required by the Regulations. Further, Eternal Pearl shall provide to Client upon request product specifications, any prospectus or other offering document covering securities which are derivative products in which Client wishes to consider dealing, and which derivative products shall be reasonably suitable for Client having regard to Client’s financial situation, investment experience and investment objectives to the extent as required by the Regulations.

恒明珠可按客户要求,同意代表客户进行证券交易,并可向客户提供有关证券之资料。该数据须在监管规则所规定的范围内经考虑客户的财政状况、投资经验及投资目标后而认为合理地适合客户的。此外,恒明珠须应客户要求,向客户提供包括其所考虑交易的证券而该等证券乃是衍生产品之产品细则、招股章程或其它要约文件,而衍生产品须在监管规则所规定的范围内经考虑客户的财政状况、投资经验及投资目标后而认为合理地适合客户的。

 

3.2      If Eternal Pearl solicits the sale of or recommends any financial product to Client, the financial product concerned shall be reasonably suitable for Client having regard to Client’s financial situation, investment experience and investment objectives to the extent as required by the Regulations. No other provision of this Agreement or any other document Eternal Pearl may ask Client to sign and no statement Eternal Pearl may ask Client to make derogates from this Clause. For the purpose of this Clause, “financial product” means any securities, futures contracts or leveraged foreign exchange contracts as defined under the SFO. Regarding “leveraged foreign exchange contracts”, it is only applicable to those traded by persons licensed for Type 3 regulated activity.

假如恒明珠向客户招揽销售或建议任何金融产品,该金融产品必须是恒明珠须在监管规则所规定的范围内经考虑客户的财政状况、投资经验及投资目标后而认为合理地适合客户的。本协议的其它条文或任何其它恒明珠可能要求客户签署的文件及恒明珠可能要求客户作出的声明概不会减损本条款的效力。就本条的目的而言,「金融产品」指 <证券及期货条例> 所界定的任何证券、期货合约或杠杆式外汇交易合约。就「杠杆式外汇交易合约」而言,其只适用于由获得发牌经营第3类受规管活动的人所买卖的该等杠杆式外汇交易合约。

 

3.3      Eternal Pearl is not acting as an investment advisor or in a fiduciary capacity. Subject to Clause 3.2, and information provided by Eternal Pearl’s officers (including directors), employees or agent, irrespective of whether or not such information or suggestion is given at Client’s request, shall not be construed as investment advice. Client should ask their own investment advice from a suitably qualified adviser and makes his/her own independent judgment and decision with respect to such Instruction. Eternal Pearl could not guarantee or assure the result of any transaction.

恒明珠并非以投资顾问或受信人之身份行事。受限于第3.2条,对于恒明珠的职员 (包括董事) 、雇员或代理人提供的任何数据及建议,不论是否应客户要求提供的,均不得被诠释为投资意见。客户应向合适及具备资格的顾问征询投资意见及对每一指示独立地作出其判断或决定。恒明珠不能对交易的结果作出任何保证或担保。

 

3.4      Clause 3.2 (and the provision of information, advice and/or recommendations which shall be reasonably suitable under Clause 3.1) shall not apply where Client is (i) an “Institutional Professional Investor” or (ii) a “Corporate Professional Investor” which meets the requirements under paragraphs 15.3A and 15.3B of the “Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission” and accepts to be treated as a professional investor under the Regulations, in which case Client shall make its own judgments and decisions independently without reliance on Eternal Pearl in its decisions in relation to dealing in securities. Definition and particulars of “Professional Investor” as prescribed under the SFO are set out in the Eight Schedule.

3.2(及在第3.1条向客户提供合理地适合的意见、数据及/或建议的条款)将不适用于以下情况:如客户为 (i)「机构专业投资者」或 (ii) 符合「证券及期货事务监察委员会持牌人或注册人操守准则」内第15.3A15.3B段的规定及同意根据监管规则被视为专业投资者的「机构专业投资者」。在上述情况客户应作出独立判断及决定有关证券交易之事宜,而不应依赖恒明珠。有关专业投资者在证券及期货条例中的定义及特质列载于第八附件。

 

 

4.         CLIENT’S INSTRUCTIONS AND STANDING AUTHORITY客户指示及常设授权

 

4.1   Instructions given by Client shall be irrevocable, irreversible and shall, in any case, at Client’s own risks regardless of the mode in which such instructions are or shall be given by Client. In any event, instructions given by Client may be given in writing, by verbal means, by facsimile or by other electronic modes (including through the E-Service, as defined in the Sixth Schedule).

客户发出之指令是不可撤销及不可反悔的, 且客户必须自行承担风险。指令可以采用书面、口头、传真或其它电子途径(包括透过附件六定义之电子服务)

 

4.2   Further to Clause 4.1, unless Client gives specific irrevocable and irreversible instructions to the contrary, Client agrees and acknowledges that all orders and/or instructions on trading and/or investing in securities shall only be valid upon receipt by Eternal Pearl, and further, all orders and instructions shall only be valid for the material trading day of the Exchange (in this Clause 4 referred to as a “Trading Day”) on which such orders and/or instructions are given and received by Eternal Pearl. Any order or instruction received by Eternal Pearl after the close of a Trading Day shall be regarded as an order or instruction by Client to Eternal Pearl for the next Trading Day and such order or instruction shall only be valid for the next Trading Day accordingly.

除非客户给予相反的特定指令,客户同意及确认所有命令及/或指令只于恒明珠收到命令或指令之有关交易所正式交易日当日有效 (在此第4条称为「交易日」)。任何在恒明珠交易日完结后收到之指令,均被视为在该交易日随后之交易日当日有效。

 

4.3   Further to Clauses 4.1 and 4.2 but subject to Clause 3, Client irrevocably confirms as at the time of giving the instructions and/or entering into any transaction,

          紧接以上第4.1条及第4.2条但受限于第3条,客户无可反悔及不得撤销地确认,在给予任何指示及/或进行任何交易时

 

(a)       Client has considered prudently, carefully and thoroughly his/her/its financial position, financial needs, investment strategy, investment objectives and the most important of all, suitability of such investment vis-à-vis the named aspects as well as the Client’s own situation;

客户已小心审视其财务状况、财务需要、投资策略、投资目标及针对客户而言,相关投资的合适性;

 

(b)       Client has thoroughly read, considered and understood this Agreement, the nature of the transaction and the risks involved (including but not limited to the risks factors as set out in the risks disclosure statement in the ending part of this Agreement);

客户已小心谨慎地阅览、明了及理解本协议及相关投资的风险 (包括但不限于本协议完结部份风险披露声明中所列载之风险)

 

(c)        Client fully understands and accepts the terms and conditions as well as the risks of any transaction and irrevocably agrees to assume the risks of the transaction;

客户完全明白及接受的交易的条款、条件及由此产生的风险,并完全理解且有能力承担及承担任何交易的风险;

 

(d)       Client has made his/her/its own independent decision to enter into the transaction without taking into account any information, whether written or oral, provided or furnished by Eternal Pearl whether or not at the request of the Client; and

客户经独立决策后自行决定达成交易,而并非将恒明珠所提供的任何(书面或口头)信息当作投资意见或建议而达成该交易;及

 

(e)        Client fully understands that Eternal Pearl cannot guarantee or assure the result or outcome of any transaction whatsoever,

客户完全明白,恒明珠不能对交易的结果作任何保证或担保,

 

                   and as such, Client shall make his/her/its own independent decision with respect to each instruction to Eternal Pearl, and whatever the nature and scope of such instruction, Eternal Pearl shall deal with it in accordance with this Agreement, and in particular, Clauses 5 and 6.

                   因此,客户须按其独立判断及决定作出各个指示,而不论指示之性质及范围,恒明珠有绝对权力依据第5条及第6条处理。

 

4.4    For any instruction, the name of Client (or any of them in case where Client is more than one person unless otherwise stated in the Account Application), the name of Client’s Authorised Person or Authorised Third Party (or the names of the Authorised Persons or Authorised Third Parties if the Account Application states that more than one Authorised Person or Authorised Third Party is required) where such instruction is given by the Client’s Authorised Person(s) or Authorised Third Party(ies) and the number of the relevant account opened with Eternal Pearl shall be quoted provided always that Eternal Pearl may but shall not be under any duty to verify or ensure as to the identity of the or any person giving such instruction and Eternal Pearl shall be entitled (but not be obliged) to act on the same and rely on its belief that such instruction emanates from Client, Client’s Authorised Person(s) or Authorised Third Party(ies). In case of Client having more than one (1) Account, Client shall give clear, specific and unequivocal instruction to Eternal Pearl on the exact Account through or against which any transaction is or shall be conducted, and in case of any ambiguity or doubt, Eternal Pearl may, if it in its absolute discretion deems fit to conduct and/or complete such transaction for Client, elect in its sole and absolute discretion any Account of Client through or against which the relevant transaction is or shall be conducted or completed, and further or in the alternative, Eternal Pearl may in its sole and absolute discretion refuse to carry out or otherwise act in accordance with any instruction as set out in Clauses 5 and 6.

在发出任何指令时,应当提供客户姓名(或如果客户有多人,则其中任何一人之姓名除非开户申请表另有所指)、发出指令的客户之获授权人或获授权第三者的姓名(或多位获授权人或获授权第三者的姓名若开户申请表指明需要多过一位获授权人或获授权第三者)当该指令乃客户之一位或多位获授权人或获授权第三者所发出,以及在恒明珠所开立相关账户之账户号码;但在任何情况下,恒明珠都可以但并无责任核实或确保发出指令之人士或任何人士之身份,恒明珠亦有权(但并无责任)据该指令行事并依据其相信该指令乃由客户、客户之一位或多位获授权人或获授权第三者发出。如客户于恒明珠拥有多于一个账户,在发出任何指令时,客户必须清晰指明户口号码,否则恒明珠可有权决定选用相关客户的任何账户从事及/或完成交易,或甚至依据第5条及第6条拒绝执行或有绝对决定权决定该指示适用于那个账户。

 

4.5    Client may grant to Eternal Pearl the following standing authorities and once granted, Client agrees to be bound by the terms thereof:

              客户可以授予恒明珠下述之常设授权。一旦授权,客户同意受其条款所约束︰

 

               4.5.1   a standing authority pursuant to the Securities and Futures (Client Money) Rules (Cap. 571I of Laws of Hong Kong) as amended from time to time and unless the context otherwise requires, all expressions used in any standing authority shall have the same meaning as in the SFO and the Securities and Futures (Client Money) Rules (Chapter 571I of the Laws of Hong Kong) as amended from time to time;

          根据不时修订之 <证券及期货(客户款项)规则> (香港法例571 I) 之常设授权,除文意另有所指外,该常设授权内的所有词句任何表达形式,均与证券及期货条例及《证券及期货(客户款项)规则》(香港法例第571I章)不时修订之定义具有相同意思;

 

   4.5.2         a standing authority pursuant to the Securities and Futures (Client Securities) Rules (Cap. 571H of Laws of Hong Kong) as amended from time to time and for avoidance of any doubt, securities borrowing and lending agreement stated in the standing authority shall include but not be limited to market standard repurchase agreement (such as global master repurchase agreement) and unless the context otherwise requires, all expressions used in any standing authority shall have the same meaning as in the SFO and the Securities and Futures (Client Money) Rules (Chapter 571H of the Laws of Hong Kong) as amended from time to time; and

根据不时修订之 <证券及期货(客户证券)规则> (香港法例571H)之常设授权及为免生疑问该常设授权内列明的证券借贷协议包括但不限于标准回购协议 (如全球主回购协议) ,除文意另有所指外,该常设授权内的所有词句任何表达形式,均与证券及期货条例及《证券及期货(客户款项)规则》(香港法例第571H章)不时修订之定义具有相同意思;及

 

              4.5.3      a standing authority under and/or pursuant to Sub-Clause 4.5.1 covers money held or received by Eternal Pearl (including any interest accrued from the holding of any money which does not belong to Eternal Pearl) in any account maintained by Client with Eternal Pearl, the net equity balance of which exceeds the minimum margin requirements of the Account concerned.

                         该根据第4.5.1条给予恒明珠之常设授权涵盖恒明珠为客户持有或收取并存放于客户所开立的账户口内的款项(包括持有并非属于恒明珠的款项而产生之任何利息),其账户权益净额超过对该账户的最低保证金要求。

 

         4.5.4       a standing authority under and/or pursuant to Sub-Clause 4.5.1 authorises Eternal Pearl to, in Eternal Pearl’s sole and absolute discretion and without having to provide Client with any prior notice, whether oral or written, obtain prior confirmation and/or direction from Client, to transfer from the relevant Account any part or the entire amount of the money therein for the following purposes:

                         客户根据第4.5.1条给予恒明珠之常设授权授权恒明珠按其独有酌情权在无须事先给予客户任何通知或取得客户的确认及/或指示的情况下转让在该账户内全部或部份作下列用途:

 

(a)                          transfer into any segregated account opened and maintained by Client with any member of the Group for the purpose of satisfying obligations or liabilities due to any member of the Group, whether such obligations or liabilities are actual, contingent, primary or collateral, secured or unsecured, or joint or several;

至客户于恒明珠及/或集团公司内的任何成员公司所开设及持有的任何独立账户,以执行客户对恒明珠及/或集团公司内的任何成员公司的义务或法律责任,不论此等义务和法律责任是确实或突然的、原有或附带的、有抵押或无抵押的、共同或分别的;

 

(b)                          interchange with any of the segregated accounts which are maintained by Client with any member of the Group for the purpose of satisfying any margin requirement or any amount due under any account; or

从恒明珠及/或集团公司内的任何成员公司维持的客户的任何独立账户之间来回调动任何数额之款项,用以补足任何保证金要求或结清该户口中的任何欠款; /

 

(c)                           remit into any banking account as designated by Client;

存入客户特别指定的银行户口内。

 

         4.5.5       a standing authority under and/or pursuant to Sub-Clause 4.5.2 covers securities deposited in any Account such that Eternal Pearl may deal with Client’s securities and securities collateral from time to time purchased or held by Eternal Pearl and/or any member of the Group for and on behalf of Client in one or more of the following ways without having to provide Client with any prior notice, whether oral or written, obtain prior confirmation and/or direction from Client:

                         客户根据第4.5.2条给予恒明珠之常设授权同意并授权恒明珠以下列一种或多于一种方式处理恒明珠不时代客户购入或持有的证券及证券抵押品,毋须进一步通知或取得客户的同意:

                                                               

(a)                          apply any securities or securities collateral for or in relation to securities borrowing and lending agreement;

依据证券借贷协议运用任何有关证券或证券抵押品;

 

(b)                          deposit any securities or securities collateral with an authorised institution as defined in the Banking Ordinance (Chapter 155 of the Laws of Hong Kong) as collateral for financial accommodation provided to Eternal Pearl; or

将任何有关证券抵押品存放于认可财务机构,作为提供予恒明珠及/或集团公司内的任何成员公司的财务通融抵押品; /

 

(c)                           deposit any securities collateral with CCASS or any other clearing house recognised under the SFO or any other intermediary licensed to deal in securities as collateral for the discharge and satisfaction of Eternal Pearl’s clearing and settlement obligations and liabilities remit into any banking account as designated by Client;

将任何有关证券抵押品存放于获证监会认可的结算所或另一获发牌或获注册进行证券交易中介人,作为解除恒明珠及/或集团公司在交收上的义务和清偿恒明珠及/或集团公司在交收上的法律责任的抵押品.

 

(d)                          treat and deal with the securities and securities collateral in such manner as Eternal Pearl deems fit and appropriate taking into account any relevant or appropriate requirements under any applicable Laws and Regulations from time to time.

于顾及任何适用的法律或监管要求的情况下,以恒明珠及/或集团公司认为适当的方式对待及处理有关证券及证券抵押品。

 

         4.5.6       such other lawfully agreed standing authority, as amended from time to time

                                    其它合法地协议并不时修订之常设授权。

 

4.6 Subject to the Laws, any instruction given or purportedly given by Client, its Authorised Person(s) or Authorised Third Party(ies) after;

            受制于适用法律下,

 

              4.6.1      the revocation by Client of its Authorised Person(s)’ or Authorised Third Party(ies)’ authority; or

                                       于客户撤销其一位或多位获授权人或获授权第三者的权力后;或

 

   4.6.2      the commencement of liquidation or bankruptcy (as the case may be) in respect of Client or the occurrence of any analogous event; shall continue to be valid and effective in Eternal Pearl’s favour until such time as prescribed by Eternal Pearl at is sole and absolute discretion, and in case where no time limit is prescribed by Eternal Pearl, then the relevant appointment shall take effect five (5) days after the actual receipt by Eternal Pearl of a written notice informing Eternal Pearl of the occurrence of the relevant event from Client (in case of the said revocation) or in case of the said liquidation or bankruptcy, the liquidator, the trustee in bankruptcy or similar officer.

在关于客户的清盘或破产(视情况而定)开始后或发生类似事件后,由或声称由客户、其一位或多位获授权人或获授权第三者所发出的任何指令将就恒明珠利益而言继续生效及有效直至恒明珠指定的日期才会生效,但若恒明珠并无指定任何日期,则相关委任当在确实收到由客户(若是上述撤销事件)或若是上述清盘或破产事件,由清盘人、破产管理人或类似人员所发出之通知书(通知恒明珠发生有关事件)后计5日为止。

 

4.7    Any standing authority is given without prejudice to any other authority or right which Eternal Pearl and/or any member of the Group may have in relation to dealing with any money or securities deposited in any Account. In any event, any standing authority shall be valid for twelve (12) months from 1st March of one calendar year to 28th or 29th February (whichever shall be appropriate) of the immediately following calendar year, and in case where this Agreement is executed after 1st March of any calendar year, then the first standing authority shall last for less than one (1) full calendar year and expires on 28th or 29th February (whichever shall be appropriate) of the following calendar year. Any standing authority may be revoked by Client any time by serving on Eternal Pearl a written notice to such effect. Revocation of any standing authority shall not take effect until actual receipt of such notice by Eternal Pearl and shall not affect any transaction undertaken by Eternal Pearl pursuant to the standing authority prior to such revocation taking effect. At least fourteen (14) days prior to the expiry of the standing authority or on any other date as may be determined by Eternal Pearl from time to time and notifies Client in writing, Eternal Pearl may give Client a written notice reminding Client the impending expiry of the standing authority and informing Client that in case he/she/it does not object to the renewal of the standing authority, the standing authority shall be deemed to have been renewed on continual basis on the same terms and conditions as specified in this Agreement until 28th or 29th February (whichever shall be appropriate) of the following calendar year.

该授权并不损害恒明珠可享有有关处理该等账户口内款项或证券的其它授权或权利。该授权的有效期为十二个月,由每年度之三月一日至翌年之二月二十八日/二十九日终止,并可以由客户于任何时候以书面向恒明珠提出撤销。然而在恒明珠收到撤销的书面通知之前,该项撤销均属无效,并且按该授权所达成的任何交易也均不受该项撤销所影响。恒明珠可在此授权终止不少于14日前或任何由恒明珠以书面形式通知之重新订立之日期,恒明珠可向客户发出书面通知提醒客户关于有关终止日期,并指出假若客户不提出书面反对,该授权则将被视作以同样条款重新授权,有效期为十二个月至下一年度的三月一日。届时恒明珠(香港)将以书面确认有关重新授权。

 

4.8    Any instruction given by Client’s Authorised Person(s) or Authorised Third Party(ies), as the case may be, shall be deemed to be given by the Client. Client hereby agrees to accept full responsibility and shall not later challenge the instructions given by Client’s Authorised Person(s) or Authorised Third Party(ies), as the case may be.

              客户之一位或多位获授权人或获授权第三者(视情况而定)所发出之任何指示应当视为客户所发出。客户藉此同意完全接受相关责任,其后不得质疑客户之一位或多位获授权人或获授权第三者(视情况而定)所发出之指示。

 

 

5.         ETERNAL PEARL’S DISCRETION恒明珠之酌情权

 

Eternal Pearl shall be entitled to rely on and to act as it thinks fit in accordance with any instruction given or purportedly given by or on behalf of Client which Eternal Pearl believes in good faith to have been given by Client or its Authorised Person(s) or Authorised Third Party(ies). Notwithstanding the foregoing, Eternal Pearl shall have discretion to reject such instruction. Eternal Pearl shall be under no obligation either to act for the Client or upon any instruction, or execute any transaction for or on behalf of the Client if there are insufficient funds in the Account, or if Eternal Pearl believes that the acting or the execution might result in either Eternal Pearl, any member of the Group or the Client contravening any Laws or Regulations or for any other reason. If Eternal Pearl in its absolute discretion declines to act for the Client or act upon any instruction, or execute any transaction for or on behalf of the Client, Eternal Pearl shall in its own discretion notify the Client accordingly, but Eternal Pearl shall not in any circumstances whatsoever be liable in any way for any loss, damages, liability, cost, expense or whatsoever suffered or incurred by the Client arising in or in connection with the exercise of the above discretion by Eternal Pearl. In any event, Client shall not have any recourse against Eternal Pearl whatsoever.

恒明珠有权按其认为合适依照及执行任何由或代或声称由或代客户发出之任何指令而恒明珠真诚地相信该指示乃由客户或其一位或多位获授权人或获授权第三者所发出。尽管前文所述,恒明珠亦有酌情权拒绝该指令。倘账户内无足够款项,或恒明珠相信,执行有关指令或交易可能导致恒明珠,任何集团成员,或客户,触犯任何法例或监管规则或由于其它原因,恒明珠,将无责任代表客户行事或执行指令或为客户或代表客户进行任何交易。倘恒明珠按其绝对酌情决定权拒绝代表客户行事或执行指令或为客户或代表客户进行任何交易,恒明珠可酌情通知客户,惟恒明珠,在任何情况下,均不会负责任何损失、损害赔偿、责任、费用、支出,或任何客户因恒明珠运用以上酌情权而招致或产生之损失。无论如何,客户绝不得向恒明珠索偿。

 

 

6.         EXECUTION OF ORDER执行指令

 

6.1    Eternal Pearl may, in carrying out Client’s instructions, contract or otherwise deal with or through any broker for the purchase or sale of securities on any Exchange, or any person associated with Eternal Pearl in any manner, on such terms as Eternal Pearl may in its discretion determine.

在执行客户的指令时,恒明珠可以合约形式或其它方式与或透过任何经纪于任何交易所买或卖证券或以任何形式与或透过任何与恒明珠有关联之人士以执行客户的指令,条款由恒明珠按其酌情权而决定。

 

6.2    Eternal Pearl shall not be responsible for failures or delays in the transmission of offers or instructions due to a breakdown or failure of transmission of communication facilities, or to any other cause or causes beyond the reasonable control or anticipation of Eternal Pearl.

         恒明珠不会对因通讯设备故障或失灵或任何其它不在恒明珠合理控制或预期的原因而引起的要约传输失败或延迟负责。.

 

 

7.         ADVICE通知书

 

7.1   Eternal Pearl may, and, if required by the Laws, shall, send to the address(es) (email address or otherwise) and/or other contact number(s) of Client on Eternal Pearl’s records an Advice (which may be in electronic format) after Eternal Pearl has facilitated a transaction with or for the Account, or upon the occurrence of certain events of or movements in Client’s Account, in accordance with the Laws in relation to the Advice:

              在与或为账户促成一交易后,或在账户发生某些情况或某些调动时,恒明珠可及若法例要求应按有关通知的法例将有关通知书(可以是以电子格式)送往恒明珠纪录中客户之一个或多个地址(电邮地址或其它)/或其它一个或多个联络号码︰

 

   7.1.1      Client agrees that it is its responsibility to ensure that it receives Advice in due time and to make enquiries with and obtain the same from Eternal Pearl immediately if not duly received;

            客户同意此乃其责任确保其在期限内收取通知书,如无恰当地收取通知书,应立即咨询恒明珠并取回通知书;

 

     7.1.2      any purported discrepancy between the contents of any Advice and Client’s instructions shall be notified to Eternal Pearl, orally or in writing in accordance with the notice provisions of this Agreement, within seven (7) days following the date of issue or re-issue of the Advice to Client; and

                                      任何通知书与客户指令之间存在任何声称的差异,客户须在该通知书发出日或重新发出日起7日内,以口头或书面按本协议之通知条文通知恒明珠;

 

     7.1.3      at the end of the seven (7) days’ period, the contents of the Advice shall be conclusive evidence of the particulars set out therein without any further proof that the Advice and/or the transaction or event to which it relates are correct (subject to the right of Eternal Pearl, which may be exercised by it at any time and from time to time, to adjust any entries in the Account and/or details in the Advice where they have been wrongly or mistakenly made by it), except for:

                                     上述7日期限届满后,该通知书的内容将被视为其所列明之详情之终论性确实证据而无须以任何其它证据以证明该通知书及/或有关交易或其它相关事宜乃是正确的 (但恒明珠可随时及不时行使权利,修正账户上任何纪录及/或该通知书内任何详情若那些纪录及/或详情乃其不当或错误地作出的),除非出现以下情况︰

 

                                       7.1.3.1        any alleged errors notified by Client to Eternal Pearl in accordance with the notice provisions in this Agreement;

                                                                      所声称之错误已由客户根据本协议之通知条款,通知恒明珠;

 

                                       7.1.3.2        any payments made on forged or unauthorised endorsement;

                                                                      已就任何伪造或未经授权之背书支付款项;

 

                                       7.1.3.3        any unauthorised transactions arising from forgery or fraud by any third party (including Client’s employee, agent or servant) in relation to which Eternal Pearl has failed to exercise reasonable care and skill;

                                                                       因恒明珠未能采取合理谨慎及技术,而令任何第三者(包括客户的员工、代理或受雇人)可伪造或欺诈手段造成之未获授权交易;

 

                                                          7.1.3.4        any unauthorised transactions arising from forgery or fraud by any employee, agent or servant of Eternal Pearl; and/or

                                                                      任何恒明珠员工、代理或受雇人以伪造或欺诈手段造成之未获授权交易;及/

 

                                             7.1.3.5         any other unauthorised transaction arising from the default or gross negligence on the part of Eternal Pearl or any of its employees, agents or servants.

                                                                      任何因恒明珠或任何恒明珠员工、代理或受雇人之违责及重大疏忽而导致之未获授权交易。

 

             

8.         SETTLEMENT结算

 

8.1    Client shall pay to Eternal Pearl in cleared funds any money required for the purchase of securities or shall deliver to Eternal Pearl the certificates or documents of title or procure the transfer of securities held in CCASS required for the sale of securities (as the case may be), in each case at any time demanded by Eternal Pearl (even if required to be paid and/or delivered earlier than the settlement date), and Client shall take all necessary action to enable due settlement and/or delivery in respect of such purchase and sale in accordance with the Laws. Should Client fail to do so, Eternal Pearl is authorised:

              客户须向恒明珠支付买入证券所需并可自由提取使用的款项,或向恒明珠交付沽出证券所需之所有权证明或文件,或促使沽出证券所需的在中央结算系统中的证券之转让(视情况而定),上述每一种情况均应在恒明珠于任何时间要求时作出(即使要求在交收日之前支付及/或交付亦然),且客户应采取所有必需的行动,以便根据法例就该买入和沽出作出适当的结算及/或交付。倘客户未能遵照上述规定,则恒明珠有权︰

 

              8.1.1      in the case of a purchase transaction, to transfer or sell any such purchased securities to satisfy Client’s obligations to Eternal Pearl; or

                                       倘若是一宗买入交易,转让或沽出任何该等买入之证券,以偿还客户对恒明珠之责任;或

 

8.1.2     in the case of a sale transaction, to borrow and/or purchase such sold securities to satisfy Client’s obligations to Eternal Pearl.

                                       倘若是一宗沽出交易,借入及/或购入该等沽出证券,以偿还客户对恒明珠之责任。

 

8.2   If Eternal Pearl has to obtain securities which Eternal Pearl has purchased on behalf of Client in the open market, following the failure of the selling broker to deliver on the settlement date, Client shall be responsible for any difference in prices and all incidental expenses in connection with such open market purchase.

              倘若恒明珠因卖方经纪未能在交收日交付证券,导致恒明珠必须在公开市场代表客户取得该证券,客户应负责支付任何差价以及在公开市场上购买该证券所需之一切附带开支。

 

 

9.         SHORT SELLING卖空

 

Except for any security interest of Eternal Pearl or any member of the Group, securities provided by Client for selling or crediting into the Account(s) are fully paid with valid and good title and whose legal and beneficial titles are owned by the Client. Client confirms and undertakes that it will give Eternal Pearl information and/or assurances in relation to the ownership of the securities as Eternal Pearl may require before the selling order is placed. Client shall notify Eternal Pearl when a sale order relates to securities which the Client does not own i.e. where it involves short selling (including where the Client has borrowed stock for the purposes of the sale). Client acknowledges and agrees that no short selling orders will be accepted by Eternal Pearl unless Client provides Eternal Pearl with such confirmation, documentary evidence and assurance as Eternal Pearl in its opinion considers necessary to show the Client has a presently exercisable and unconditional right to vest such securities in the purchaser before placing any short selling order.

除恒明珠或任何集团成员之抵押权益外,客户提供之所有用作沽出及存入账户(或多个账户)之证券,须已全数缴足款项并具有效力及妥善之所有权,而该证券之法定及实益所有权皆为客户所有。客户必须确认及承诺在沽出指令发出之前,按恒明珠之要求给予恒明珠有关证券持有权之资料及/或保证。客户必须通知恒明珠当其沽出指令涉及客户没有拥有的证券即涉及卖空情况(包括客户为沽售而借来之证券)。客户确认及同意恒明珠不会接受任何卖空指示,除非客户向恒明珠提供恒明珠认为必要的确认、文件证据及保证证实客户在卖空指令发出前,持有实时可行使而不附有条件的权利将有关证券授与买入者。

 

 

10. MARGIN TRADINGAND OPTION TRADING 孖展买卖及期权交易

 

10.1 Subject to the terms and conditions as set out in the First Schedule, Eternal Pearl may grant the Facility to the Client to conduct margin securities trading in respect of the Account.

       按照附件一列明之条款,恒明珠可给予客户财务安排以进行涉及账户之孖展证券交易。

 

10.2 Any option trading conducted through any Account shall be conducted in accordance with the terms and conditions as set out in the Third Schedule.

         任何透过账户进行之期权交易必须依照第三附件中所列载之规范进行。

 

 

11.    INITIAL PUBLIC OFFERINGS首次公开发售

 

Where the Client requests Eternal Pearl to apply on Client’s behalf for securities in a new issue for listing on an Exchange, the Client hereby agrees to comply with the provisions contained in the Second Schedule.

       客户可以向恒明珠提出,要求代表客户认购于交易所上市之新发行证券,并同意遵守附件二之条款。

 

 

12. FOREIGN CURRENCY TRANSACTIONS外币交易

 

12.1 In the event that Client directs Eternal Pearl to enter into any transaction on an Exchange or other market on which such transactions are effected in a foreign currency, then any loss or damage arising as a result of any fluctuation in exchange rate shall be borne by Client regardless of whether or not Client has heeded warning by Eternal Pearl to Client on the exchange rate risks involved.

      倘若客户指示恒明珠在交易所或其它市场订立交易,而该交易以外币进行,则不论客户有否考虑恒明珠发出的汇率风险警告,所有因汇率波动而引起的损失及利益风险皆全数由客户承担。

 

12.2          All initial and subsequent deposits for margin purposes shall be made at such juncture, in such currency and in such amounts as Eternal Pearl may, in its absolute discretion, require from time to time.

              恒明珠拥有绝对酌情权,可以不时要求客户以恒明珠要求之货币及款额存入账户作为孖展证券交易的首次及其后之保证金款项。

 

12.3          When such a contract is liquidated, Eternal Pearl shall debit or credit the Account in such currency in which the Account is denominated, at a rate of exchange determined conclusively by Eternal Pearl on the basis of the then prevailing relevant inter-currencies exchange rate.

              当有关合约被平仓结算,恒明珠应以账户指定之货币为单位,以当时货币市场就有关货币之兑换率作基准终论性地决定相关兑换率,并于相关之账户内记入欠账或进帐。

 

12.4          In the event that Eternal Pearl exercises any of its rights under this Agreement, including without limitation the combination or consolidation of Accounts or the transfer of Client money and such combination, consolidation or transfer or exercise of any other right involves any conversion of one currency into another, such conversion shall be based solely on the spot rate of exchange (as conclusively determined by Eternal Pearl) prevailing in such foreign exchange market as determined by Eternal Pearl to be relevant on the date of such combination, consolidation, transfer or exercise of that right.

                  若恒明珠行使任何本协议权利,包括但不限于合并或综合任何账户或转移任何客户款项,而当该合并、综合、转移或行使任何其它权利牵涉兑换货币时,该兑换应以该合并、综合、转移或行使该权利当日由恒明珠决定相关之外汇市场当时之现货兑换率计算(该兑换率由恒明珠作最终决定)

 

12.5          In the event that Client places an order for the sale or purchase of Renminbi-denominated securities, Client acknowledges and agrees that:

              当客户发出指示买卖以人民币计值的证券时,客户确认及同意︰

 

(a)       Renminbi is subject to foreign exchange controls and is not freely convertible, and therefore transactions involving Renminbi-denominated securities may involve substantial exchange risks;

            人民币受外汇管制及不可自由兑换,因此涉及以人民币计值的证券之交易可能涉及重大外汇风险;

 

(b)       unless otherwise indicated by Eternal Pearl, transactions of Renminbi-denominated securities will be settled in Renminbi; and

            除恒明珠另有表明外,以人民币计值的证券之交易将以人民币结算;及

 

(c)        if Eternal Pearl is required to settle a transaction on behalf of Client by purchasing or selling Renminbi from or through the market, unless otherwise indicated by Eternal Pearl, the exchange rate shall be based on prevailing market rate or such rate as quoted by a licensed bank in Hong Kong.

                           如恒明珠为客户进行交易结算而需于市场买卖人民币,除恒明珠另有表明外,汇率将以现行市场汇率或于香港之持牌银行所报价为根据。

 

 

13. SECURITIES IN THE ACCOUNT(S) 账户内的证券

 

13.1          Client specifically authorises Eternal Pearl, in respect of any of the securities (whether in Hong Kong or elsewhere) deposited by Client with Eternal Pearl or purchased or acquired by Eternal Pearl on behalf of Client, and held by Eternal Pearl for safe keeping, to register the same in the name of Eternal Pearl or any nominee appointed or agreed by Eternal Pearl (whether such nominee is a person in Hong Kong or elsewhere) or in Client’s name, or deposit in a segregated account which is designated as a trust account or client account and established and maintained in Hong Kong by Eternal Pearl with an authorised financial institution, an approved custodian or another intermediary licensed for dealing in securities (in this Clause 13 referred to as “Segregated Account for Securities”) or deposit with any overseas custodian or overseas clearing house subject to compliance with applicable Regulations.

              客户特此授权予恒明珠就客户存于恒明珠之任何证券,或由恒明珠代表客户买入或收购之任何证券,还有恒明珠代为安全保管而持有之任何证券,(不论该证券乃于香港或其它地方),皆可以恒明珠、任何集团成员或恒明珠指定或同意的任何代名人 (不论该代名人是在香港还是在其它地方的人士) 或客户名义登记该等证券,或将该等证券存入一个由恒明珠或任何集团成员开立及维持的独立账户内而该独立账户乃指定为信托账户或客户账户并设于香港一认可财务机构、核准保管人或其它获发牌提供证券交易之中介人 (于此第13条称为「独立证券账户」) 或将该等证券存于任何海外保管人或海外结算公司但须遵守适用的监管规则。

 

13.2          Client specifically authorises Eternal Pearl, in respect of any of the securities collateral (whether in Hong Kong or elsewhere) deposited with, or otherwise provided by or on behalf of Client to Eternal Pearl, to:

              客户特此授权予恒明珠就任何由或代客户存放或提供之证券抵押品 (不论于香港或其它地方)

 

              13.2.1          deposit in a segregated Account for Securities;

                                               将该等证券抵押品存入独立证券账户;

 

              13.2.2          deposit in an account in the name of Eternal Pearl with an authorised financial institution, an approved custodian or another intermediary licensed for dealing in securities;

                                               存入于一认可财务机构、核准保管人或其它获发牌提供证券交易中介人并以恒明珠开立之账户内;

 

              13.2.3          register in the name of Client on whose behalf the securities collateral has been received, Eternal Pearl or any nominee appointed or agreed by Eternal Pearl (whether such nominee is an entity situate in Hong Kong or elsewhere); or               

                                             以代其收受证券抵押品的客户、恒明珠或恒明珠指定或同意的任何代名人 (不论该代名人是在香港或是在其它地方的人士) 之名义登记;

 

     13.2.4           deposit with any overseas custodian or overseas clearing house subject to compliance with applicable Regulations.

                                               存于任何海外保管人或海外结算公司但须遵守适用的监管规则。

 

13.3          Any securities and securities collateral (whether in Hong Kong or elsewhere) held by Eternal Pearl, any member of the Group, banker, institution, custodian, nominee, intermediary or any other person pursuant to this Clause 13 shall be at the sole risk of Client. Eternal Pearl, any member of the Group and the relevant associated entity, banker, institution, custodian, nominee, intermediary and person shall be under no obligation to insure Client against any kind of risk, which obligation shall be the sole responsibility of Client.

                  恒明珠或任何集团成员、银行、机构、保管人、代名人、中介人或任何其它人士依据本第13条持有之任何证券及证券抵押品 (不论在香港或在其它地方),均由客人自行承担风险。恒明珠、任何集团成员及相关之有联系实体、银行、机构、保管人、代名人、中介人及人士并无责任为客户之风险投保,该投保责任乃由客户完全负责。

 

13.4          If in relation to any securities deposited with Eternal Pearl pursuant to this Clause 13 but which are not registered in Client’s name, any dividends or other distributions or benefits accrue in respect of such securities, the Account(s) shall be credited (or payment made to Client as may be agreed) with the proportion of such dividends, distributions or benefits equal to the proportion of the securities held on behalf of Client out of the total number or amount of such securities. In the event that the odd lot of such securities is not eligible for any such dividends, distributions or benefits, the odd lot held on behalf of Client will not be taken into account in the apportionment. Subject to applicable Laws and Regulations, Eternal Pearl may retain, or otherwise dispose of, for its own account and benefit, any fractional shares entitlements to which Client may be entitled, and entitlements (in any form whatsoever) arising from any odd lot held on behalf of Client or from the aggregation of odd lots held on behalf of the clients of Eternal Pearl (including Client). The foregoing shall not limit or prejudice, in any way, Eternal Pearl’s rights to reject Client’s instructions under Clause 5 including, without limitation its right to reject Client’s instructions in relation to the sale or purchase of any odd lot of any securities.

       凡按本第13条存于恒明珠但并非以客户之名义登记的任何证券,一旦该等证券分派股息或其它分配或利益分发,账户 (或多个账户) 将被记入进帐 (若客户同意可另行收受),该股息、分配或利益之分派比例将等如该等证券之总数或总额中代客户持有之证券部份。若该等证券的碎股并不合资格获得任何该等股息、分派或利益,则代客户持有的碎股将不获摊分该等股息、分派或利益。在受制于适用的法例及监管规则下,恒明珠可为其本身及其利益,保留或以其它方式处置客户可能享有的任何碎股权益,以及因任何代客户持有的碎股或合并代其客户们(包括客户)持有的碎股而获得的权益 (不论属任何形式)。前述将不会以任何方式限制或损害恒明珠于第5条下的权利可拒绝客户之指令包括但不限于其权利可拒绝就卖或买任何证券的任何碎股客户之指令。

 

13.5          If in relation to any securities deposited with Eternal Pearl or any member of the Group or any other person pursuant to this Clause 13 but which are not registered in the name of Client, and loss is suffered by Eternal Pearl or any member of the Group, the Account(s) may be debited (or payment made by Client as may be agreed) with the proportion of such loss equal to the proportion of the securities held on behalf of Client out of the total number or amount of such securities.

              凡按本第13条存于恒明珠或任何集团成员或任何其它人士但并非以客户之名义登记的任何证券,一旦恒明珠或任何集团成员遭受损失,账户 (或多个账户) 将会被记入亏损 (若客户同意可另行支付),该损失支付比例将等如该等证券之总数或总额中代客户持有之证券部份。

 

13.6          Except as provided in this Agreement or otherwise allowed under the Laws, Eternal Pearl shall not, without Client’s oral or written direction or standing authority, deposit, transfer, lend, pledge, re-pledge or otherwise deal with any of Client’s securities or securities collateral for any purpose.

              除非本协议另有所指或法例容许,否则恒明珠不应在没有客户口头或书面指示或常设授权下,存入、转移、借贷、质押、再质押或以任何方式处理任何客户证券或证券抵押品不论任何目的亦然。

 

13.7          Eternal Pearl is authorised, in accordance with applicable Laws or pursuant to a lawfully agreed standing authority, to dispose of any of Client’s securities or securities collateral (and Eternal Pearl shall have absolute discretion to determine which securities or securities collateral are to be disposed of) for the purpose of settling any liability owed by or on behalf of Client to Eternal Pearl.

              为抵销任何客户或代客户欠下恒明珠之负债,恒明珠获授权 (依据适用法例或一合法协议之常设授权)处置客户任何证券或证券抵押品(恒明珠有绝对酌情权决定处置哪些证券或证券抵押品)

 

13.8          The obligations of Eternal Pearl (or any other person permitted under this Agreement) to deliver, to hold or to register in Client’s name or in the name of Client’s nominee, any of Client’s securities or securities collateral shall be satisfied by the delivery, the holding or registration in Client’s name or Client’s nominee of securities of the same class, denomination and nominal amount as, and rank pari passu with, those originally deposited with or transferred to Eternal Pearl or any other person permitted under this Agreement or otherwise agreed by Client or acquired by Eternal Pearl on Client’s behalf (“Original Securities”) (subject always to any capital reorganisation which may have occurred in the meantime) and Eternal Pearl (or any other person permitted under this Agreement) shall not be bound to deliver or return securities which are identical with the Original Securities in terms of number, class, denomination, nominal amount and rights attached thereto.

                  就任何客户之证券或证券抵押品,恒明珠(或本协议允许的任何其它人士) 交付、持有或以客户或客户代名人的名义登记的责任将以交付,持有,以客户或客户代名人的名义登记等级、面值及面额及权益相等于原先存放于恒明珠或转移至恒明珠或本协议允许或客户同意的任何其它人士或恒明珠代客户认购之证券 (「原先之证券」) (但受制于任何其时已发生的资本重组) 作为履行该责任,而就数目、等级、面值、面额及附带权益而言,恒明珠(或本协议允许的任何其它人士) 并无责任交付或交回相同于原先之证券。

 

13.9          Where any securities are held in Eternal Pearl’s name, the name of any member of the Group or the name of any nominee appointed or agreed by Eternal Pearl in accordance with this Clause 13, Eternal Pearl or such member of the Group will not attend any meeting or exercise any voting or other rights including the completion of proxies except in accordance with written instructions of Client. Nothing in this Agreement shall in any way impose on Eternal Pearl or any member of the Group any duty to inform Client or to take any action with regards the attendance of meetings and to vote at such meetings. Eternal Pearl or any member of the Group has no duty in respect of notices, communications, proxies and other documents, relating to the securities received by Eternal Pearl or any member of the Group or to send such documents or to give any notice of the receipt of such documents to Client. Eternal Pearl and/or any member of the Group has/have the right to charge Client for its/their respective services in taking or arranging custody of Client’s securities or any action pursuant to Client’s instruction.

              凡任何以恒明珠或任何集团成员,或恒明珠指定或同意之任何代名人 (按照本第13) 名义持有之证券,除非客户另有书面指令,恒明珠或该集团成员一概不会出席任何会议,行使任何投票或其它权利,包括填妥委托书。本协议内无订明恒明珠或任何集团成员有责任通知客户出席会议及于会议中投票。就恒明珠或任何集团成员接收之证券,恒明珠或任何集团成员毋须负责有关该等证券之任何通知、讯息、委托书及其它文件,亦不会传达该等文件或发出任何有关已收取该等文件之通知予客户。恒明珠及/或任何集团成员有权因提供或安排保管客户证券或按客户指示行动之服务,而向客户收取费用。

 

13.10 For avoidance of any doubt, Eternal Pearl or any nominee appointed or agreed by Eternal Pearl (whether such nominee is a person in Hong Kong or elsewhere) may hold any securities for Client in a place outside Hong Kong, subject to compliance with applicable Regulations.

              为免存疑,恒明珠、任何集团成员或恒明珠指定或同意的任何代名人 (不论该代名人是在香港还是在其它地方的人士) 在遵从适用的监管规则的情况下,可替客户在香港以外地方保有证券。

 

13.11 Without prejudice and in addition to other rights and remedies of Eternal Pearl, Eternal Pearl may, at any time and from time to time, dispose of any of the Client’s securities (whether in Hong Kong or elsewhere) or securities collateral (whether in Hong Kong or elsewhere) in settlement of any liability owed by or on behalf of Client to Eternal Pearl or a third party. Eternal Pearl is irrevocably and irreversibly authorised to do all things as necessary in connection with any such disposal without any liability for any resulting or associated loss or expense. Without prejudice to the foregoing, Client shall not have any recourse whatsoever against Eternal Pearl concerning, inter alia, the manner or timing of such disposal.

              在不损害及附加于恒明珠及其它集团成员的其它权利及补偿权下,恒明珠可随时及不时处置(或促使任何相关集团成员处置)任何客户的证券(不论在香港或其它地方)或证券抵押品(不论在香港或其它地方),以解除由或代客户对恒明珠或第三方所负的责任。恒明珠获不可撤销及不可反悔地授权就任何该处置作出一切必要事项而毋须就相应或连带的亏损或费用承担责任。在不损害上文之情况下,客户不得就该处置之事宜包括其方式或时间向恒明珠提出任何索偿。

 

 

14. MONIES IN THE ACCOUNT(S)  账户内的款项

 

Subject to compliance with applicable Regulations, Eternal Pearl shall be entitled to deposit or transfer any monies held in the Account(s) or received for or on the account of Client with or to or interchangeably between one or more segregated account(s) opened and maintained by Eternal Pearl or any member of the Group in Hong Kong or elsewhere each of which shall be designated as a trust account or client account, at one or more authorised financial institution(s) and/or any other person(s) approved by the SFC for the purposes of Section 4 of the Securities and Futures (Client Money) Rules and/or any other person(s) overseas subject to compliance with applicable Regulations. Unless otherwise agreed between Client and Eternal Pearl and, any interest accrued on such monies shall belong to Eternal Pearl absolutely.

受遵守适用的监管规则所限,恒明珠有权把在账户(或多个账户)内持有或代客户接收之任何款项存放或转移至由恒明珠或任何其它集团成员所设于香港或其它地方之一或多个独立账户内或于该等账户间互相转移,而该/该等每一个独立账户须指定为信托账户或客户账户,并在一所或多所认可财务机构及/或证监会以<证券及期货(客户款项)规则>(香港法例第571I)4条为目的而批准的其它一个或多个人士及/或任何其它一个或多个海外人士(但必须遵从适用的监管规则)处开立。在客户与恒明珠均同意,所有上述款项之利息将归恒明珠所有。

 

 

15. COMMISSIONS, FEES AND CHARGES, LIENS, SET-OFF AND CONSOLIDATION

佣金、收费及费用、留置权、抵销与合并

 

15.1          In respect of every transaction or Account, Client shall pay to Eternal Pearl forthwith on demand such applicable interest, levy, charge, premium, brokerage, commission, fee (including, without limitation, dormant/inactive account fee), cost and expense for, in relation to and/or in connection with the Account whether or not under this Agreement from time to time. The most up to date advice and/or information on or concerning interest, levy, charge, premium, brokerage, commission, fee, cost and expense in connection with the purchasing, investing in, selling, exchanging or otherwise dealing in any securities in the Account can be found on the website of Eternal Pearl. Subject to applicable Laws, Eternal Pearl may, at any time and from time to time and in its absolute discretion, change any commission, fee and/or charge by upon having given relevant prior notice to Client. Client acknowledges that he/she is expected to check the website of Eternal Pearl or request updated information from Eternal Pearl from time to time before dealing in any securities and Client agrees that any information or notice posted on the website of Eternal Pearl from time to time shall be binding on Client and be sufficient and conclusive advice for all purposes and intents. Subject to applicable Laws, the new commission, fee and/or charge shall be applicable on the effective date specified in such notice, whether the specified effective date is before or after the date of such notice.

              就每项交易或每个账户而言,客户须在被要求时立即向恒明珠缴付恒明珠不时通知客户不论是否基于本协议项下所示账户之适用利息、征费、费用、溢价、经纪费、佣金、收费(包括但不限于静止/不活动账户费用)、支出及开支。在恒明珠的网页上可以找到关于购买、投资、出售、交换或以其它方式买卖账户中的任何证券的有关利息、征费、费用、溢价、经纪费、佣金、收费、支出及开支的最新资料或通知。受制于适用法例下,恒明珠可随时及不时以其绝对酎情权更改任何佣金、收费及/或费用并通知客户。当进行任何证券交易之前,客户可随时查阅恒明珠的网页,客户亦同意,在恒明珠网页上不时发布的所有通知均对客户具有其法律约束力且无论任何目的及意图均构成足够的及终论性的通知。客户同意恒明珠在法例许可的程度下,于恒明珠网站不时张贴的该等通知,在所有用意和目的上,将为足够通知。受制于适用法例下,新的佣金、收费及/或费用于该通知指定的生效日期起适用,不论指定生效日期乃该通知日期之前或之后。

 

15.2          Client shall pay or reimburse Eternal Pearl forthwith on demand an amount equal to all commissions, brokerages, levies, fees, duties and taxes and all other charges and expenses incurred by Eternal Pearl arising out of or in connection with any transaction effected by Eternal Pearl as agent on behalf of Client or otherwise arising out of or in connection with the performance of the duties of Eternal Pearl under this Agreement. Detailed information of such fees can be found in the prospectus or explanatory memorandum of the relevant fund. In any event, the fees receivable by Eternal Pearl will not exceed the maximum amount of such fees as set out in the prospectus or explanatory memorandum of the relevant fund. All or part of the fees received by Eternal Pearl will be paid to the investment consultant serving Client’s account as his/her commission.

                  客户在被要求时要立即向恒明珠缴付或付还相当于恒明珠因或关于其作为客户代理人交易证券或恒明珠在履行其在本协议下的职责而令恒明珠招致的所有佣金、经纪费、征费、收费、税项及税款及所有其它费用和开支。该等费用详情请见有关基金的招股说明书或解释备忘录。在任何情况下,恒明珠应收费用将不会超过有关基金的招股说明书或解释备忘录所载的该等费用的最大金额。恒明珠应收的费用将全部或部份用于支付服务客户账户的投资顾问,以作他/她的佣金。

 

15.3          Without prejudice to other provisions of this Clause 15, Eternal Pearl may deduct any amount contemplated in Clauses 15.1 and 15.2 above from the Account.

              在不影响本15条款的其它条文之情况下,恒明珠可以从账户中扣除上述第15.115.2条所预期之任何金额。

 

15.4          Client shall be responsible to Eternal Pearl for all losses and expenses resulting from Client’s settlement failure, and shall be subject to such additional charges and interest therefor as Eternal Pearl may determine.

              对于因为客户未能履行交收责任而引起之所有损失及开支,客户须向恒明珠承担责任,并须缴付恒明珠所定之额外费用及利息。

 

15.5          Subject to applicable the Laws, without limitation to and in addition to other rights and remedies of Eternal Pearl and other members of the Group, Client agrees that:

              在遵守适用法例之前提下,以及在不限制并附加于恒明珠及其它集团成员的任何其它权利及补偿权之情况下,客户同意︰

 

              15.5.1 Without prejudice to any other provisions in this Agreement, Eternal Pearl shall have a general lien over all or any part of any money or securities held by Eternal Pearl for the discharge of Client’s obligations to Eternal Pearl or to a third party;

                             在不影响本协议的任何其它条款之情况下,恒明珠持有的全部或任何部份款项或证券拥有一般留置权,以履行客户对恒明珠或第三方之责任;

 

              15.5.2 Eternal Pearl may at any time and from time to time without prior notice combine or consolidate all or any of Client’s accounts with, and/ or apply Client’s securities and/or other properties in or towards satisfaction of, any liabilities to Eternal Pearl;

                             恒明珠可随时及不时将客户所有或任何账户与客户欠负恒明珠的任何债项进行合并或综合,及/或将客户的证券及/或其它财产用于清偿拖欠恒明珠的任何负债,而毋须发出事先通知;

 

              15.5.3 Eternal Pearl may at any time and from time to time without prior notice set-off or transfer any sum in whatever currency standing to the credit of any of Client’s accounts with Eternal Pearl for or towards satisfaction of any of Client’s liabilities of whatever nature (including liabilities incurred as principal or surety and whether such liabilities be actual or contingent, primary or collateral, several or joint) to Eternal Pearl.

                             恒明珠可随时及不时并无须事先通知抵销或转移客户存放于其在恒明珠的任何账户内不论何种货币的任何款项,以清偿客户对恒明珠的不论任何性质之任何负债(包括以当事人或担保人身份招致之债务及不论此等债务为实际或或有、主要或附属、各别或联合)

 

15.6          Eternal Pearl may:

恒明珠可以︰

 

              15.6.1 without further disclosure to Client, receive, accept and retain for Eternal Pearl’s own account(s) and benefit absolutely from any broker or underwriter or issuer or any other third parties (who may or may not act as an agent of Client in any respect), any profit, rebate, reallowance, brokerage, commission, fee, benefit, profit, discount and/or other advantage arising out of or in connection with the provision of services to or handling of transactions for Client. Client agrees that the consent given hereunder shall constitute a permission or lawful authority for the purpose of Section 9 of the Prevention of Bribery Ordinance (Chapter 201 of the Laws of Hong Kong); and

                             在没有进一步向客户披露的情况下,接收、接受和保留任何来自经纪或承销商或发行人或任何其它第三方(其可以或可以不在任何方面作为客户的代理)因向客户提供服务或处理交易所产生或有关的任何利润、回扣、补贴、经纪佣金、佣金、费用、利益、利润、折扣及/或其它利益。客户同意本协议项下的同意应构成<防止贿赂条例>(香港法例第201)9条所指的许可或合法权限;

 

              15.6.2 without further disclosure to Client, pay to any broker or underwriter or issuer or any other third parties (who may or may not act as an agent of Client in any respect), any profit, rebate, reallowance, brokerage, commission, fee, benefit, profit, discount and/or other advantage arising out of or in connection with the provision of services to or handling or transactions for Client. Client agrees that the consent given hereunder shall constitute a permission or lawful authority for the purpose of Section 9 of the Prevention of Bribery Ordinance.

                             在没有进一步向客户披露下,支付任何经纪或承销商或发行人或任何其它第三方(他可以或可以不在任何方面作为客户的代理)任何为客户提供服务或处理交易所产生或有关的利润、回扣、补贴、经纪佣金、费用、利益、利润、折扣及/或其它利益。客户同意本协议项下的同意应构成<防止贿赂条例>(香港法例第201)9条所指的许可或合法权限。

 

15.7          Without prejudice to and in addition to other rights and remedies of Eternal Pearl, Eternal Pearl shall be entitled but not be obliged (and is hereby authorised by Client), at its discretion and without notice to Client, to dispose of Client’s securities and/or other properties for the purpose of settling any liability owed by Client to Eternal Pearl for or in connection with:

              在不损害并附加于恒明珠的其它权利及补偿权之情况下,恒明珠有权但无责任(并于此获客户授权)可以酌情决定处置客户的证券及/或其它财产(而不必通知客户),以便清还客户因或关于下述原因而拖欠恒明珠之债务︰

 

              15.7.1 dealing in securities which remains after Eternal Pearl has disposed of all other assets designated as collateral for securing settlement of that liability;

                               进行证券买卖引起之债务,而该债务在恒明珠已经处置了指定作为保证清偿该债务之抵押品的所有其它资产后仍然存在;

 

              15.7.2 financial accommodation provided by Eternal Pearl to Client which remains after Eternal Pearl has disposed of all other assets designated as collateral for securing settlement of that liability; or

                             恒明珠向客户提供财务通融引起之债务,而该债务在恒明珠处置了指定作为保证清偿该债务之抵押品的所有其它资产后仍然存在;或

 

              15.7.3 maintaining the Account(s) which has/have been designated by Eternal Pearl as inactive or dormant account(s).

                             维持账户(一个或多个)而其()已被恒明珠指明为非活跃或不活动账户。

 

15.8          Subject to applicable Laws and without prejudice to and in addition to any general lien and other rights and remedies entitled by Eternal Pearl at any time when Client is indebted to Eternal Pearl in any respect, Eternal Pearl shall be entitled but not be obliged (and Client irrevocably and unconditionally authorises Eternal Pearl) to, at its discretion and without prior notice to Client, at any time and from time to time:

              受制于适用法例下,以及在不损害及附加于恒明珠享有之任何一般留置权及其它权利及补偿权之情况下,当客户在任何时候,在任何方面对恒明珠欠有债务,恒明珠有权但无责任(及客户现不可撤回及无条件地授权恒明珠)可以酌情决定并无须事先通知客户下随时及不时︰

 

              15.8.1 to combine or consolidate all or any of Client’s existing accounts with Eternal Pearl regardless of whether notice is required and the nature of the account (i.e. whether deposit, loan or any other nature); and

                             合并或综合客户在恒明珠所开立的一切或任何现有之账户,不论是否需要通知及不管账户之性质(即不论是存款、借贷或其它性质);

 

15.8.2 to set-off or transfer any sum standing to the credit of any one or more of such accounts wherever they are situated, in order to satisfy Client’s liabilities to Eternal Pearl on any other account or other respect whatsoever.

                          抵销或转移设于任何地方的任何一个或多个该等账户内之存款,以清偿客户于其它账户或其它方面对恒明珠之欠债。

 

15.9          Eternal Pearl is irrevocably and irreversibly authorised to do the above without notice and notwithstanding any settlement of account or other matter whatsoever. The liabilities referred to above include present or future, actual or contingent, primary or collateral, and several or joint. In addition, Eternal Pearl shall have the right to sell such securities, investments and property and utilise the proceeds to offset and discharge all the obligations of Client without any prior notice to Client, whether as principal or as surety, to Eternal Pearl regardless of:

              恒明珠被不可撤销及不可反悔地授权可以在没有通知之情况下执行以上行动,不论账户有任何偿付亦不受其它事件影响。上述之债务包括现有或将来的、实际的或是或有的、基本或附带的以及各别的或联合的。除此之外,恒明珠有权沽售该等证券、投资及财产,并以所得款项抵销及清偿客户所有对恒明珠不论是作为当事人或担保人的债务,并毋须向客户提出事前通知,亦不论︰

 

              15.9.1 whether any other person is interested in, or whether Eternal Pearl has made advances in connection with, such securities, investments or property; and

                             该等证券、投资或财产是否有任何其它人士之权益,或恒明珠是否已贷出款项;及

 

              15.9.2 the number of accounts Client may carry with Eternal Pearl.

客户在恒明珠或任何集团成员开立账户之数目。恒明珠获授权就该沽售作出一切必要事项而毋须就相应亏损承担责任。在不损害上文之情况下,客户不得就该沽售之方式或时间向恒明珠提出任何索偿。

 

15.10 Client agrees to pay interest on all overdue balances owing by Client to Eternal Pearl (after as well as before any judgment), at such rate(s) from day to day as Eternal Pearl shall in its absolute discretion determine with reference to the prevailing market rate(s) from the date(s) of default up to the date(s) of actual payment, such interest to be payable on the last day of each calendar month or such other date(s) as determined by Eternal Pearl or forthwith upon any demand being made by Eternal Pearl. The aforesaid interest rate may be changed by Eternal Pearl in its absolute discretion, at any time and from time to time and without notice to and without consent from Client or any third party. If any interest rate calculated under this clause would exceed the maximum lawful rate under the Money Lenders Ordinance (Chapter 163 of Laws of Hong Kong), then the maximum lawful interest rate under that Money Lenders Ordinance shall be applied instead. Client agrees that Eternal Pearl shall be entitled (but not obliged), at any time and from time to time, without prior notice, to debit any Account with Eternal Pearl with any interest due and payable by Client in accordance with this Clause 15.10 and Client undertakes to, immediately upon demand by Eternal Pearl, do such act(s) and/or execute such document(s) as may be required by Eternal Pearl at any time and from time to time in order to give full effect to each such debit.

              客户同意缴付所有拖欠恒明珠之逾期未付款项所引起之利息(任何判决之前及之后均应付),利率(一个或多个)由恒明珠按其/其等绝对酌情权并参考现行市场利率(一个或多个)所决定而计算并逐日累算由欠缴日(一个或多个)起计直至实际付款日(一个或多个),该利息须在每一个公历月之最后一日,或其它由恒明珠决定之日子,或在恒明珠之要求下立即缴付。恒明珠可按其/其等绝对酌情权随时及不时改变上述利率及无须通知客户或任何其它第三方亦无须获得其等之同意下改变上述一个或多个利率。倘若在本条款下计算之任何息率高于放债人条例(香港法例第163)之法定最高息率,则以该条例下之法定最高息率计算。恒明珠可(及现在获授权)不时并无须事先通知从恒明珠处开立之任何账户内扣除客户按本15.10条项下款应付之任何利息及客户承诺应恒明珠之要求立即作出及/或签署恒明珠可能随时及不时要求之行动及/或文件,以使每一项该等扣除全面生效。

 

 

16. DEFAULT 违约事项

 

16.1          Further to Clause 2, Eternal Pearl shall be entitled to exercise their powers under Clause 16.2 upon or at any time after the occurrence of any of the following Events of Default:

               恒明珠有权在以下任何一项违约事项发生之际或其后之任何时候,延伸其于第2条项下之权力行使在第16.2条下之权力︰

 

              16.1.1 Non-payment: Client defaults in paying, further securing or satisfying on demand any monies or liabilities under this Agreement or any agreement between Client and Eternal Pearl;

                             欠缴︰客户未偿付,或未能在被要求后马上进一步担保或清偿于本协议下,或于客户与恒明珠间之任何协议下,所欠付之金钱或债务;

 

              16.1.2 Breach of representation: any statement, representation, warranty or undertaking made, repeated or deemed to have been repeated by Client in this Agreement or in any notice or other document delivered to Eternal Pearl in connection with this Agreement that is or proves to have been incorrect or misleading when made, repeated or deemed to have been repeated;

                             违反陈述、声明︰任何客户在本协议或送达恒明珠并有关本协议之任何通知或其它文件内,作出、重申或被视作为重申之任何陈述、声明、保证或承诺,在作出、重申或被视作重申时,该陈述、声明、保证或承诺是不正确或具误导性,或被证实在作出、重申或被视作重申时,该陈述、声明、保证或承诺已是不正确或已具误导性;

 

         16.1.3 Breach of other obligations: Client fails to perform or comply with any of its other obligations under this Agreement or any agreement between Client and Eternal Pearl and, if that failure is capable of remedy, does not remedy such failure to the satisfaction of Eternal Pearl immediately following receipt of notice from Eternal Pearl requiring it to do so;

                             违反其它责任︰客户未能履行或遵从本协议或客户与恒明珠间之协议下其任何其它责任及若该违反行为乃可补救的,但客户未能在收到恒明珠要求补救之通知后立即作出补救并达至令恒明珠满意;

 

              16.1.4 Winding-up, etc.: where Client is a corporation:

                                 清盘等︰倘若客户乃一法团︰

 

                             16.1.4.1 a petition is presented or an order is made or any effective resolution is passed or analogous proceedings are taken for the winding up of Client save for the purposes of an amalgamation, merger or reconstruction the terms whereof have previously been approved in writing by Eternal Pearl; or

针对客户提出清盘呈请、发出清盘令、通过任何有效力的清盘决议或者采取类似程序,惟合乎恒明珠事前书面同意条件之兼并、合并或重组除外;

 

                             16.1.4.2 Client convenes a meeting for the purpose of making, or proposes and/or enters into, any arrangement or composition for the benefit of its creditors; or

                                                客户召集会议,该会议目的是为客户的债权人利益而作出任何债务重整协议或偿还安排,或客户提出及/或订立任何为客户的债权人利益的债务重整协议或偿还安排;或

 

                             16.1.4.3 an encumbrancer takes possession or a Receiver or other similar officer is appointed of the whole or any part of the assets or the undertaking of Client, or a distress or execution is levied or enforced upon or sued out against any of the chattels or property of Client and is not discharged within thirty (30) days of being levied; or

                                                就客户全部或任何部份之财产或业务,一产权负担人取得管有权,或一财产接管人或其它类似人员被委任,或客户的任何动产或财产被查封、执行判决或强制执行,而在被扣押的30日内,上述之查封、执行判决或强制执行未获撤销;或

 

                             16.1.4.4 Client, without the consent in writing of Eternal Pearl, stops payment to creditors generally or (if applicable) Client (otherwise than for the purpose of such an amalgamation, merger or reconstruction as is referred to in Clause 16.1.4.1 above) ceases or threatens to cease to carry on its business or any substantial part thereof or be deemed, for the purposes of Section 178 of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Chapter 32 of the Laws of Hong Kong), to be unable to pay its debts or disposes or threatens to dispose of the whole or a substantial part of its undertaking or assets;

                                                  未经恒明珠书面同意,客户停止向债权人支付款项或者(如适用)客户(以以上第16.1.4.1条所述之兼并、合并或重组为目的者除外)停止或威胁要停止其业务或其任何实质部份,或根据公司(清盘及杂项条文)条例第178(香港法例第32)被视为无法偿还债务,或者处置或威胁要处置其业务或资产之全部或实质部份;

 

              16.1.5 Bankruptcy, etc.: Bankruptcy proceedings are commenced in respect of Client where Client is an individual, or a bankruptcy order is made against Client or Client makes any composition or arrangement with Client’s creditors, dies, becomes of unsound mind and/ or insane;

                             破产等︰就客户乃自然人而言,针对其破产程序启动,或对客户发出破产令,或客户与其债权人达成任何债务重组协议或安排,或者客户经已死亡、精神不健全及/或精神错乱;

 

              16.1.6 Material adverse change in Client’s financial condition, etc.: there occurs a material adverse change in Client’s business, assets or financial condition which would, in the opinion of Eternal Pearl, prevent or hinder or tend to prevent or hinder Client from performing in any material respect its obligations;

                             客户财政状况出现重大不利的改变等︰客户的业务、资产或财政状况出现重大不利的改变,而恒明珠认为有关改变将重大地阻止或妨碍或有可能阻止或妨碍客户履行其责任;

 

              16.1.7 Judgment or court order: where Client is a partnership or a sole proprietorship, any of its partners or the sole proprietor shall have any judgment or order of Court made or any execution levied against his goods chattels or property, dies, becomes of unsound mind and/or insane;

                                 判决或法庭命令︰当客户乃合伙经营商号或独资商号,就任何其合伙人或独资经营者的货物、动产或财产,法庭作出判决或颁令,或对该等货物、动产或财产进行强制执行,或者任何合伙人或独资经营者经已死亡、精神不健全及/或精神错乱;

 

              16.1.8 Incompetence, etc: where the Client is an individual, a sole proprietor or a partnership, a judicial declaration of incompetence or mental incapacity is made in respect of the Client or any of the partners, or the Client or any of the partners dies;

                             不胜任等︰当客户乃个人、独资经营者或合伙商号,而客户或任何合伙人在法律上已被宣布为不胜任或精神无行为能力,或者客户或任何合伙人经已死亡;

 

              16.1.9  Unlawfulness: where Eternal Pearl in its sole opinion believes there may be a basis for suspicion that the Client has engaged or may be engaging in any market malpractice or any other activity which is prohibited by any Laws or Regulations or applicable terms and conditions of whatsoever nature; or it shall become unlawful for the Client to maintain the Account or to perform any of the Client’s obligations under this Agreement; or any authorisation, consent, approval or licence necessary for the Client to continue the Account or to perform any of its obligation under this Agreement is withdrawn, restricted, revoked or otherwise ceases to be in full force and effect;

                             不合法︰当恒明珠仅按其看法相信有根据怀疑客户已或可能参与市场不当行为或任何法例、监管规则或任何适用条款及条件所禁止的任何其它活动;或客户维持账户或履行本协议责任成为非法行为;或客户维持账户或履行本协议责任所需之任何授权、同意、批准或许可被撤回、限制、撤销或者不再具有十足效力及作用;

 

              16.1.10  Fraud, etc: Client is convicted of an offence involving fraud, deception or dishonesty or any other serious criminal offence (other than a road traffic offence where a non-custodial sentence is imposed);

                                                欺诈等︰客户被裁定犯有欺诈、欺骗或不诚实等罪行或任何其它严重刑事罪行(违反交通规则而毋须判处监禁的情况除外)

 

              16.1.11 Regulatory requirements: in the discretion of Eternal Pearl, the exercise by Eternal Pearl of any powers conferred by Clause 16.2 is necessary for compliance with any Regulations;

                               规管要求︰由恒明珠酌情权判断,恒明珠执行第16.2条所赋予之权力对于遵守任何监管规则实属必须;

 

              16.1.12 Suspension of the Account: the Account or the trading of any securities or instruments in the Account is for whatsoever reason suspended;

                               冻结账户︰账户或者账户内任何证券或金融工具之交易无论因任何原因而被暂时中止;

 

              16.1.13 Illiquidity: in the absolute opinion of Eternal Pearl, there occurs market conditions (for example, illiquidity) or actions that may make it difficult or impossible to effect the relevant transactions or liquidate or offset the relevant positions; and

流通性不足:恒明珠以其绝对酌情权认为,市场情况(例如流通性不足)或者行动令其难以或无法执行相关交易,或平仓或抵销相关仓盘;及

 

              16.1.14 Others: in the sole discretion of Eternal Pearl, when it regards it to be otherwise necessary or appropriate e.g. due to margin requirements or otherwise.

                               其它情况︰当恒明珠以其独有酌情权认为其它必须或合适之情况,例如由于保证金要求或其它要求。

 

16.2          Upon or at any time after the occurrence of any of the Event of Default, all amounts owing by the Client to Eternal Pearl shall become immediately payable on demand and Eternal Pearl, without notice to the Client, may do any of the following in its discretion:-

              当发生违约事项之际或其后任何时候,客户所有未缴付恒明珠之总额,必须在要求下立即偿付;并恒明珠可在没有给予客户任何通知之情况下,酌情采取以下任何行动︰

 

16.2.1                          terminate all or any part of this Agreement and close the Account, or otherwise suspend operation of the Account;

                                 终止本协议及结束账户或暂停运作账户;

 

              16.2.2 immediately require Client to repay or discharge the Facility, if any;

                               要求客户立即清偿或偿还任何财务安排;

 

              16.2.3 cancel any or all outstanding orders or any other commitments made on behalf of the Client;

                                 撤销任何或所有未执行之指令或任何代表客户作出之其它承诺;

 

              16.2.4 close any or all contracts between Eternal Pearl and the Client, cover any short position of Client through the purchase of securities on the relevant Exchange(s) or, liquidate any long position of the Client through the sale of securities on the relevant Exchange(s);

                                 结束任何或所有客户与恒明珠之间之合约,透过在一间或多间相关交易所买入证券以填补客户之任何淡仓,或透过在一间或多间相关交易所沽出证券以清算客户之好仓;

 

              16.2.5sell or otherwise dispose of the securities held for the Client to settle any liability owed by the Client to Eternal Pearl which remains after Eternal Pearl has disposed of all client collateral for securing the settlement of that liability; and

                             沽出或以其它方式处置为客户持有之证券,以清偿任何客户对恒明珠之欠债而该欠债乃在恒明珠处置所有客户用以作该欠债之抵押品后仍然存在;及

 

     16.2.6 combine or consolidate any or all accounts of the Client and exercise right of set-off in accordance with this Agreement.

                             按照本协议,合并或综合任何或所有客户的账户及行使抵销权。

 

16.3          In the event of any sale pursuant to Clause 16.2.5:

              就第16.2.5条下之任何沽售:

 

              16.3.1 Eternal Pearl shall not be responsible for any loss occasioned thereby howsoever arising if Eternal Pearl has already used reasonable endeavours to sell or dispose of the securities or any part thereof at the then available market price;

                             倘若恒明珠已付出合理之努力,以当时可得到之市场价格沽出或处置证券或其任何部份,则恒明珠毋须为任何相关损失不论如何招致而负上责任;

 

              16.3.2 Eternal Pearl shall be entitled to appropriate to itself or sell or dispose of the securities or any part thereof at the current price to Eternal Pearl without being in any way responsible for loss occasioned thereby howsoever arising and without being accountable for any profit made by Eternal Pearl; and

                             恒明珠有权以现有之市场价格拨予恒明珠或向恒明珠沽出或处置证券或其任何部份,而毋须为任何相关损失不论如何招致而负上任何责任,亦毋须就恒明珠得到的利益作出交代;及

 

              16.3.3 the Client undertakes to pay to Eternal Pearl any deficiency if the net proceeds of sale shall be insufficient to cover all the outstanding balances owing by Client to Eternal Pearl.

                             倘若沽售所得款项不足以填补所有客户亏欠恒明珠之数额,客户承诺偿付不足之数额予恒明珠。

 

16.4          Any proceeds of sale hereunder shall be applied in the following order of priority:

              任何本协议下之沽售所得之款项应以下列之优先次序作出付款︰

 

              16.4.1 in satisfaction of all costs, levies, charges, expenses and payments (including, without limitation, legal or other professional fees, stamp duty, commission and brokerage) incurred by Eternal Pearl on a full indemnity basis;

以完全弥偿基准计算,偿还所有恒明珠之支出、征费、收费、开支及款项(包括但不限于法律或专业顾问费用、印花税、佣金及经纪费)

 

              16.4.2 in or towards the satisfaction of the amount secured by this Agreement whether principal or interest or otherwise in such order as Eternal Pearl may in its discretion decide;

                             偿还本协议所担保之数额,不论是本金、利息或其它项目,其偿还次序由恒明珠酌情决定;

 

              16.4.3 in or towards the satisfaction of any other amount owing to Eternal Pearl, and the surplus if any shall be paid to Client or to its order, and if there is any deficiency after the sale, Client shall pay such deficiency to Eternal Pearl without the need for any demand.

偿还任何拖欠恒明珠之其它款项;而如有任何盈余必须交还客户或依其指示处理。倘若沽售后仍有短欠数额,在毋须任何要求下,客户必须偿付恒明珠该短欠数额。

 

16.5          Any dividends, interest or other payments which may be received or receivable by Eternal Pearl in respect of the Margin Securities (as defined in the First Schedule) (less such reasonable charges as Eternal Pearl may determine from time to time) may be applied by Eternal Pearl as though they were proceeds of sale hereunder notwithstanding that the power of sale may not have arisen.

              恒明珠就孖展证券(如附件一所定义)而已收取或应收取的任何股息、利息或其它款项(减去恒明珠不时决定之合理收费)可以被恒明珠作为沽售所得加以应用,而不论沽售的权力有否发生。

 

16.6          A declaration, determination or decision by an officer of Eternal Pearl that the power of sale has become exercisable under this Clause 16 shall be conclusive evidence of that fact in favour of any purchaser or other person deriving title under the sale.

              恒明珠高级行政人员作出声明或决定此第16条下之出售权利可予行使,该声明或决定对于任何买方或承受其所有权的其它人士而言均属于有关事实之终论性证据。

 

 

17. LIABILITY AND INDEMNITY责任与弥偿

 

17.1          Client agrees that Eternal Pearl or any of its officers, employees or agents shall not have any liability whatsoever (other than those resulting from fraud, wilful default or a breach of Clause 3 on Eternal Pearl’s part) for any loss, expense or damage which Client may incur as a result of the performance or failure to perform this Agreement or as a result of any act or omission of any third party (whether or not such third party being appointed by Eternal Pearl) or howsoever arising out of any cause beyond the control of Eternal Pearl. Further, Eternal Pearl or any of its officers, employees or agents shall accept no liability as a result of compliance with any applicable Regulations.

              客户同意恒明珠或其行政人员、雇员或代理人对因履行或不履行本协议或因第三方(不论该第三方是否由恒明珠所指定)之行动或违漏或如何因任何非恒明珠所能控制的原因而可能令客户招致的任何损失、开支或损害赔偿并无任何责任(因恒明珠方面欺诈、故意失责或违反第3条而造成者除外)。再者,恒明珠或其行政人员、雇员或代理人将不会对因遵守任何适用的监管规则而负上责任。

 

17.2          Client undertakes to indemnify and to keep indemnified Eternal Pearl and its officers, employees and agents on a full indemnity basis from and against all losses, damages, interest costs, actions, demands, claims, proceedings, expenses, costs (including, without limitation, legal costs and costs reasonably incurred in collecting debts from Client) and liabilities of whatsoever nature (other than those resulting from fraud or wilful default on Eternal Pearl’s part) incurred, suffered or sustained by or made or brought against or threatened to be made or brought against each or any of them directly or indirectly arising out of or in connection with the performance of any act or the exercise of any right or discretion or any inaction taken or chosen by or for Eternal Pearl and/or any member of the Group pursuant to this Agreement, or arising directly or indirectly from any act or omission by Client whether or not constituting a breach of any of its obligations under this Agreement or the occurrence of any Event of Default or directly or indirectly as a consequence of reliance on by Eternal Pearl or any of its officers, employees or agents any representation stated in this Agreement or any information provided by or for Client or directly or indirectly as a result of acting on by Eternal Pearl or any of its officers, employees or agents any instruction, signature, instrument, notice, resolution, request, certificate, report or other document believed to be signed or given by the proper party(ies), whether the same is given verbally or in written form and whether the same is an original, facsimiled or electronic copy.

              客户承诺弥偿恒明珠及其高级人员、雇员及代理人,每一位或任何一位直接或间接因或就由或代恒明珠及/或任何集团成员按本协议而作出任何行动或行使任何权利或酌情权或采取或选择任何不行动,直接或间接由于客户的任何行动或遗漏,不论是否构成违反客户于本协议下之任何责任或发生任何违约事项,或恒明珠或其任何高级人员、雇员或代理人直接或间接因依赖本协议所述之任何陈述、声明或由或代客户提供之任何数据,或恒明珠或其任何高级人员、雇员或代理人直接或间接因依赖相信由适当一方或各方签署或作出的任何指令、签署、文据、通知、决议案、要求、证书、报告或其它文件(不论乃口头或书写作出,亦不论是原版本、传真版本或电子版本),而招致承担或面临或遭兴讼或被威胁兴讼的一切损失、损害赔偿、利息支出、诉讼、要求、索偿、法律程序、费用、支出(包括但不限于法律费用及因向客户追债而合理地招致之费用)及责任(不论属任何性质但由恒明珠方面欺诈或故意失责而造成者除外),客户并承诺确保恒明珠及其高级人员、雇员及代理人免受损害。

 

17.3 If any claim is made against Eternal Pearl or Client in connection with this Agreement, Eternal Pearl may, without prejudice to Clause 17.1 above, take any such steps at its sole discretion, including the withholding of payment or delivery to Client of any money or securities.

               倘若恒明珠或客户遭受有关本协议的任何申索,在不影响上述第17.1条之原则下,恒明珠可酌情决定采用任何步骤,包括扣起向客户支付或交付之任何款项或证券。

 

17.4          Client acknowledges that handling of Client’s Account(s) by any person or party other than the Client shall be properly documented as prescribed by Eternal Pearl from time to time (for example, in relation to giving of trading instructions, by completion of the relevant prescribed form applicable to Authorised Person or Authorised Third Party, as the case may be). Discretionary handling of clients’ accounts by Eternal Pearl’s representatives is generally not permitted by Eternal Pearl policy (and that if exception is granted it shall be properly documented in a further Eternal Pearl discretionary account agreement with a power of attorney). Client covenants not to hold Eternal Pearl responsible in any way, and shall indemnify Eternal Pearl, for all and any loss, damage, interest, cost, action, demand, claim, liability, expense or proceeding of any nature whatsoever relating to or resulting from the Client’s instruction, permission, acquiescence or approval to, or arrangement or understanding with, any Eternal Pearl representative or any person or party other than the Client (whether explicit or tacit) to conduct discretionary trading on the Account or other handling in respect of the Client’s Account(s) or Client’s money.

              客户确认︰客户以外的任何人士或一方处理客户账户必须经由恒明珠不时所指定的方式书面纪录(例如,就给予客户指示而言,应当填妥适用于获授权人或获授权第三者(视属何情况而定的)的有关指定表格)。恒明珠政策通常并不允许其代表全权处理客户账户(如属许可之例外情况,则必须在全权委托账户协议书当中妥为记录并附上委托书)。如果因或关于客户指示、允许、默许、批准、安排或同意任何恒明珠代表或任何人士或一方全权进行账户交易或以其地方式处置客户账户或客户款项(不论明示或默许亦然),而导致所有及任何的损失、损害赔偿、利息、支出、诉讼、要求、索偿、责任及开支或法律程序(不论任何性质亦然),客户契诺不会要求恒明珠承担任何责任,并同时向恒明珠作出相应弥偿。

 

 

18. DISCLOSURE OF INFORMATION资料披露

 

18.1          Client warrants and undertakes to Eternal Pearl that all information provided by Client from time to time in, under or pursuant to this Agreement is and will be accurate, complete and up-to-date. Client shall notify Eternal Pearl forthwith of any change to such information. Eternal Pearl shall be entitled to rely fully on all such information for all purposes until Eternal Pearl is notified to the contrary in writing and any such written notification shall be duly signed by Client. Client understands and accepts that notwithstanding anything to the contrary which may be contained in this Agreement, any change to any such information shall not take effect until such time as prescribed by Eternal Pearl at is sole and absolute discretion, and in case where no time limit is prescribed by Eternal Pearl, then the relevant appointment shall take effect five (5) days after the actual receipt by Eternal Pearl of the relevant written notification or until such shorter period of time as may be agreed by Eternal Pearl in writing.

客户向恒明珠保证及承诺,客户在本协议内或下或按本协议不时所提供之所有数据(及将会提供之数据)均准确、完整及最新的。上述资料如有任何改动,客户须立即通知恒明珠。除非恒明珠接获客户以书面通知的任何变更,否则恒明珠有权完全依赖该等资料作一切用途及任何该等书面通知须由客户恰当地签署。客户明白及接受:尽管本协议或另有相反规定,任何该等数据之任何变更,只会在恒明珠指定的日期才会生效,但若恒明珠并无指定任何日期,则相关委任当在确实收妥有关书面通知当日起计5日后或恒明珠可以书面同意之较短时间后才会生效。

 

18.2          Eternal Pearl shall notify Client of any material change to the information relating to Eternal Pearl provided in, under or pursuant to this Agreement.

              本协议内或之下或据本协议所提供关于恒明珠之数据,如有任何重大改动,恒明珠应通知客户。

 

18.3          Client shall immediately on demand by Eternal Pearl at any time and from time to time supply to Eternal Pearl such financial and/or other information in connection with the subject matter of this Agreement, Client and/or the compliance of any Laws or Regulations as Eternal Pearl may reasonably require. Client agrees that Eternal Pearl may conduct credit enquiries or check on Client for the purpose of ascertaining the financial and/or compliance situation of Client.

                             在恒明珠随时及不时之要求下,客户必须立即向恒明珠提供其合理要求并有关本协议标的及/或客户及/或遵守任何法例或监管规则之财务数据及/或其它数据。客户同意恒明珠可对客户进行信用调查或检查,籍以确定客户的财政及/或守法合规状况。

 

18.4          Eternal Pearl may provide any information supplied by or relating to Client and/or any transaction and/or the Account to any Regulator or other person to comply with the lawful requirements or requests for information (whether such requirements and requests are mandatory or otherwise) or otherwise where in Eternal Pearl’s sole discretion, it deems appropriate in the circumstances. Without limiting the foregoing, relevant information may be disclosed if there is reasonable ground for Eternal Pearl to suspect that any Client may have committed a material breach or infringement of, or may not have complied with, any market misconduct provisions in Part XIII or XIV of the SFO.

                   恒明珠可将由客户提供的资料或有关客户及/或任何交易及/或账户之任何数据提供予任何监管机构或其它人士,以遵照合法之规定或要求(不论该等规定或要求是否具强制性)或其它由恒明珠行使其独有酌情权认为适当的情形。在不限制上述规定的情况下,如果恒明珠有合理理由怀疑任何客户可能重大违反或抵触,或可能没有遵守<证券及期货条例>XIII部及第XIV部规定,任何市场失当行为的条文,恒明珠可披露有关资料。

 

18.5          Further to Clause 2.5, Eternal Pearl is subject to the Personal Data (Privacy) Ordinance which regulates the use of personal data concerning individuals. Eternal Pearl’s policies and practices relating to the use of personal data are set out in the Fifth Schedule to this Agreement.

              属第2.5绦的延伸恒明珠受<个人资料(私隐)条例>(香港法例第486)(该条例规管有关个人的个人数据的使用)所约束。有关恒明珠使用个人数据的政策和惯例,载列于本协议之附件五。

 

18.6          Client represents and warrants to Eternal Pearl that Client has taken all action necessary to authorise the disclosure to Eternal Pearl and other persons permitted hereunder of all information (including, without limitation, personal data as defined in the Personal Data (Privacy) Ordinance) from time to time provided to Eternal Pearl by or for Client in, under or pursuant to this Agreement and the use of such information for the purpose of this Agreement and/or any transaction(s) contemplated hereunder and/or the Account. This representation and warranty are taken to be also made by Client on each date that any information is provided to Eternal Pearl.

              客户向恒明珠陈述、声明并保证,客户经已采取一切必要行动获授权可向恒明珠及本文允许的其它人士披露由或代本人/吾等在本协议内或下或按本协议不时所提供之所有数据(包括但不限于<个人数据(私隐)条例>(香港法例第486)所定义之个人数据)及容许恒明珠可为本协议及/或任何一项或多项本文所预期的交易及/或账户而使用该等数据。本陈述、声明及保证亦视为于每次向恒明珠提供任何数据当日由客户作出。

 

18.7          Notwithstanding other provisions in relation to the disclosure of information and tax-related arrangement under this Agreement, the Client hereby agrees to comply with the provisions contained in the Seventh Schedule. The powers, rights, discretions of Eternal Pearl under the Seventh Schedule shall be without prejudice and in addition to the provisions in this Clause 18.

              尽管本协议项下有关于信息披露及税务安排的其它条文,客户谨此同意遵守附件七中的条文。恒明珠在该附件七项下之权力、权利及酌情权均不得有所减损,且为本第18条条文之补充。

 

 

19. REPRESENTATIONS, WARRANTIES AND UNDERTAKINGS声明、陈述、保证及承诺

 

19.1  Client represents, warrants and undertakes to Eternal Pearl (in this Clause 19, referred to as the “Warranties”) that:

              客户向恒明珠陈述、声明、保证及承诺(在此第19条内称为「保证)

 

              19.1.1 where Client is a corporation, it has been duly incorporated or established in accordance with all applicable laws and regulations and has the corporate power to enter into and perform this Agreement and has taken all necessary corporate and other action to authorise this Agreement upon these terms and conditions;

                             倘若客户乃一法团,客户已按所有适用法律及规条适当地成立或建立为法团,其并具有订立及履行本协议之法团权力,并已采取一切必需之法团行动及其它行动,基于本文条款及条件批准本协议;

 

              19.1.2 no consent or authority of any person (except, in the case of a corporate client, as already obtained as contemplated in Clause 19.1.1) is required for Client to enter into this Agreement including without limitation the power of borrowing and giving security over its assets, or as the case may be, Client has obtained all such necessary consent or authority (including without limitation, consent from its employer where applicable);

                             客户订立本协议,毋须任何人士之同意或授权(除非客户乃法团,并已按第19.1.1条取得同意或授权),包括但不限于借贷及抵押其资产权力,或因应情况而定,客户已经取得所有必须之同意或授权(包括但不限于,如适用,其雇主之同意)

 

              19.1.3 the entering into by Client of this Agreement or any trading or borrowing activity in connection with this Agreement will not place Client in breach of the terms of any other arrangement or document (including any constitutional documents such as Client’s memorandum and articles of association if Client is a corporation and/or deed of trust if Client is a trustee or trust corporation), any staff dealing policies or rules of its employer (if any) or of any obligations under general law or imposed by Regulations; and Client undertakes to fully comply all relevant Laws, Regulations, terms, policies and rules;

                             客户订立本协议,或进行与本协议有关之交易或借贷活动,均不会导致客户违反任何其它安排及文件之条款(倘若客户乃一法团包括其组织章程大纲及章程细则及/或客户乃-受托人或信托法团,包括其任何信托契据)或任何员工证券交易政策,或其雇主任何之规定(如有的话),或在法律或监管规则下之任何责任。而客户亦承诺遵守所有相关之法例、监管规则、条款、政策及守则;

 

              19.1.4 Client has not taken any action nor has any step been taken or legal proceeding been started or threatened for the bankruptcy or liquidation of the Client. Nor has the Client entered into a compromise or scheme of arrangement with its creditors; and

                             客户没有采取任何行动、任何步骤作出破产或清盘亦没有面临或遭威胁任何涉及破产或清盘之法律程序。同时客户亦没有与其债权人作出任何债务妥协方案或债务偿还安排;及

 

              19.1.5 Client acknowledges that it is Client’s duty to ascertain Client’s nationality, citizenship, domicile or similar status. Client undertakes not to deal in, purchase or subscribe for any securities or investments which by virtue of the Client’s status or other characteristics Client is prohibited to deal in, purchase or subscribe. Client has taken all necessary professional advice including legal, accounting, estate planning or tax advice relating to its tax or other liability under any jurisdiction and Client has not relied in any way on Eternal Pearl relating to any of Client’s instructions or orders in respect of dealing in, purchase of or subscription in any securities or investments.

                             客户确认其有责任确认自身之国籍、公民身份、居籍或类似身份。客户承诺不可交易、买入或认购任何证券或投资若此等证券或投资乃因客户之身份或其它特征而禁止其交易、买入或认购的。客户已经取得所有于任何司法管辖区下与其税项责任或其它责任有关之必要专业建议包括法律、会计、遗产策划或税务等方面。客户在作出有关交易、买入或认购任何证券或投资之指示或指令时,并没有以任何形式依赖恒明珠。

 

19.2          Client further warrants and represents to Eternal Pearl that each of the Warranties is true, accurate and not misleading.

              客户进一步向恒明珠作出保证及陈述、声明,任何一个保证都是真实、准确而没有误导性的。

 

19.3          Client acknowledges that Eternal Pearl has entered into this Agreement on the basis of, and in reliance on, the Warranties. The Warranties are deemed to be repeated on each day up to and including the termination of this Agreement.

              客户确认恒明珠订立本协议乃建基于及依赖保证。客户将被视作每日作出保证,直至及包括终止本协议为止。

 

 

20. NOMINEE ARRANGEMENTS代名人安排

 

20.1  If any of Client’s securities are registered in the name of a nominee for Client (“Nominee”), whether or not such Nominee is a member of the Group, Client agrees as follows.

       若客户任何证券以其代名人(「代名人」)之名义登记,不论该代名人是否集团成员,客户同意下列各项︰

 

20.1.1  the Nominee shall have no liability (in negligence or otherwise howsoever) for failure to forward to Client any notice, information or other communication in respect of any such securities;

                                    代名人毋须为未能向客户送交有关任何该等证券之任何通知、数据或其它通讯而负上责任(不论是疏忽或其它责任)

 

     20.1.2  the Nominee shall have full liberty to exercise or refrain from exercising any rights or to satisfy or refrain from satisfying any liabilities arising from or in connection with the holding of any such securities without the need to consult or notify Client beforehand and without being in any way liable therefor and Client shall indemnify the Nominee for all losses, costs, claims, liabilities and expenses incurred by the Nominee and arising directly or indirectly from any action taken or not taken by the Nominee in good faith;

                                       代名人可完全自由行使或不行使持有任何该等证券所引致或关连之任何权利,或清偿或不清偿持有任何该等证券所引致或关连之任何债务,而毋须事先咨询或通知客户亦毋须因此承担任何责任,同时客户须弥偿代名人直接或间接因其真诚地采取或不采取任何行动所招致的所有损失、费用、索偿、责任及开支;

 

              20.1.3    to pay such fees, expenses and charges as the Nominee may from time to time prescribe in consideration of the nominee services, such fees, expenses and charges to be deducted as Eternal Pearl sees fit from any monies standing to Client’s credit in any account with Eternal Pearl and/or any member of the Group and until payment the securities held by the Nominee are subject to a lien in favour of the Nominee for the amount(s) concerned and such lien shall be in addition and without prejudice to other rights of the Nominee;

                                                客户须支付代名人不时规定之费用、开支及收费,作为代名人服务之代价,此等费用、开支及收费将按恒明珠认为恰当,从客户设立于恒明珠及/或其它集团成员的任何账户内之存款中扣除;而在客户付款之前,代名人就有关金额对其持有之证券拥有留置权并该留置权乃附加于亦不影响代名人之其它权利;

 

              20.1.4     the Nominee may act on the instructions of any one Authorised Person or Authorised Third Party; and

                                      代名人可按任何一位获授权人或获授权第三者之指令行事;及

 

              20.1.5    the Nominee is not bound to return to Client securities bearing identical serial numbers as any transferred to the Nominee.

                                      代名人不一定要退还跟之前转移给代名人证券编号相同之证券予客户。

 

 

21. MISCELLANEOUS其它

 

21.1          Governing Law适用法律

             

              This Agreement shall be governed by and construed in accordance with the laws of Hong Kong and Client hereby irrevocably submits to the non-exclusive jurisdiction of the courts of Hong Kong. This Agreement, all rights, obligations and liabilities under this Agreement and all transactions contemplated hereunder shall enure to the benefit of, and bind Eternal Pearl, Eternal Pearl’s successors and assigns, whether by merger, consolidation or otherwise, as well as Client and the heirs, executors, administrators, legatees, successors, personal representatives and permitted assigns of Client.

                               本协议受香港法律之管辖,并按其诠释。客户现不可撤回地服从香港法院行使非独有之司法管辖权。本协议、本协议下所有权利、责任及债务、本文项下的所有交易对于恒明珠、恒明珠的继承人及受让人(不论是透过合并、兼并或其它方式成为继承人或受让人)、以及对客户及客户的继承人、遗嘱执行人、遗产管理人、受遗赠人、继任人、个人代表或获批准受让人均具有约束力并使其等受益。

 

21.2          Enforceability可执行范围

 

If any provision of this Agreement shall be void or unenforceable by reason of any provision of applicable Laws, the remaining provisions shall continue in full force and effect and if necessary, be so amended as shall be necessary to give effect to the spirit of this Agreement so far as possible.

倘若本协议之任何条款因任何适用法例之条文而成为无效或无法强制执行,剩余之条款应继续全面有效,且如有需要,剩余条款应作出所需之修改,以便可以在可能之范围内充份实现本协议之精神。

 

21.3          Eternal Pearl’s Role恒明珠之角色

 

Save as expressly provided in this Agreement, Eternal Pearl shall act as an agent and not as a principal in relation to any transaction undertaken by Eternal Pearl pursuant to this Agreement, except where Eternal Pearl gives notice to Client to the contrary or required by the nature of the transaction initiated by Client.

除本协议另有明确规定外,关于恒明珠按本协议所进行之任何交易,恒明珠乃以代理人而非当事人之身份行事,惟恒明珠向客户发出相反之通知及由于该由客户提出的交易其性质所需除外。

 

21.4          Eternal Pearl’s Right to Report恒明珠之举报权利

Without prejudice to any right or obligation that Eternal Pearl may have under the Laws and further to Clause 2, Client acknowledges that Eternal Pearl shall have the right to report any suspected trading misconduct, other malpractice or irregularity and to disclose relevant information (without prejudice to Clause 18.4) to any Regulators, authorities or the issuer of the financial product concerned, and Eternal Pearl may in its sole discretion suspend the operation of the Account or decline to act on any instruction without incurring any liability whatsoever to Client for any claim, loss, proceeding or expense howsoever related to Eternal Pearl’s suspension of the Account or its delay or refusal to act upon any instruction relating to the Account.

在不影响恒明珠在法例下之权利及责任之情况下及延伸恒明珠于第2条项下之权力,客户确认恒明珠有权向任何监管机构、机关或有关金融产品发行者举报任何怀疑不当交易行为、其它不良行为或不合规则事件及披露相关信息(在不违背18.4条时)。同时,恒明珠可按其独有的酌情权暂停运作账户或拒绝执行任何指令,就不论怎样相关恒明珠暂停运作账户或其延迟或拒绝执行关于账户之指令而产生之任何申索、损失、法律程序或费用,恒明珠概不负责。

 

21.5          Client’s Obligations客户之责任

 

              21.5.1 Client undertakes to do and execute any act, deed, document or thing which Eternal Pearl may require in connection with the implementation, execution and enforcement of the terms of this Agreement. Client irrevocably appoints Eternal Pearl as its attorney to do and execute any act, deed, document and thing which it undertakes to do or execute under this Agreement but fails to do or execute upon the request of Eternal Pearl.

                             客户承诺按恒明珠之要求执行及签署与实施、签订及履行本协议有关之任何行动、契约、文件或事项。客户不可撤回地委任恒明珠为其受托代表人,执行及签订任何在本协议下客户承诺执行或签订但其在恒明珠要求下未能完成之任何行动、契约、文件及事项。

 

              21.5.2 If Client suspects that a fraud or an irregularity may have occurred with respect to the Account, it shall notify Eternal Pearl of the same immediately by calling Eternal Pearl’s Anti-Fraud Helpline at (852) 3199 0600 or such other telephone number as subsequently notified to Client by Eternal Pearl in writing from time to time.

                             若客户怀疑账户可能已出现欺诈或不妥情况,客户须致电恒明珠的怀疑诈骗热线:(852) 3199 0600或嗣后恒明珠以书面不时通知客户之其它电话号码,以便立即通知恒明珠。

 

21.6          Joint Account联名账户

             

              21.6.1 Where the Account is a joint account, unless otherwise stated in the Account Application, Eternal Pearl may accept instructions from any of the joint account holders, and each joint account holder agrees with the others to be jointly and severally liable for all obligations in connection with this Agreement. Eternal Pearl has no obligation to inquire into the purpose or propriety of any instruction given or to see to the application of any funds delivered by Client or any or more of the joint account holders in respect of the Account. Eternal Pearl shall be at liberty to release or discharge any of the joint account holders from his/her liability hereunder or to accept any proposition from or make other arrangements with any of the joint account holders without releasing or discharging the obligations of the other or others from or otherwise prejudicing or affecting the rights and remedies of Eternal Pearl against the other or others and none of the joint account holders nor shall this Agreement be released or discharged by the death of any one of them.

                             倘若账户乃联名账户,除非开户申请表内另有说明,恒明珠可以接受任何联名账户持有人之指令,且每位联名账户持有人同意与其它联名账户持有人共同及各别地负责与本协议有关之所有责任。恒明珠没有责任查究任何指令的目的或其适当性或留意就账户由客户或任何一位或多位联名账户持有人所交付之任何款项之运用。恒明珠可完全自由免除或解除任何联名账户持有人本协议下的责任,亦可以接受任何联名账户持有人提出的建议或者与其作出其它安排,而同时并不免除或解除其它一位或多位联名账户持有人之责任,亦不损害或影响恒明珠对其他一位或多位联名账户持有人所行使的权利或从此()人士获得补偿,任何一位联名账户持有人去世之后,所有联名账户持有人之责任以及本协议仍然有效,不得免除或解除。

 

              21.6.2 Any Advice, report, notice or communication given to any joint account holder in accordance with this Agreement shall be deemed to have been duly given to all joint account holders unless: (i) Client’s correspondence address has been provided in the Account Application, in which case, any such Advice, report, notice or communication shall be sent to that correspondence address or such other correspondence address as subsequently notified to Eternal Pearl in accordance with this Agreement; or (ii) Client has requested and Eternal Pearl has accepted that all Advice shall be sent to the email addresses of all joint account holders, being the last notified email addresses on Eternal Pearl’s records and in such case, all Advice shall be so given. Any Advice, report, notice or communication given by Eternal Pearl pursuant to the foregoing shall be deemed to have been received by all joint account holders and shall be binding on all of them.

                             根据本协议向任何联名账户持有人发出之任何通知书、报告、通知或通讯将视为已适当地向所有联名账户持有人发出,除非:(i)于开户申请表中已载有客户之通讯地址,那么任何通知书、报告、通知或通讯将送往该通讯地址或嗣后按本协议通知恒明珠之其它通讯地址;或(ii)客户已要求并恒明珠已同意,所有通知书将送往所有联名账户持有人之电邮地址而该等电邮地址乃是于恒明珠记录上最后通知其之电邮地址,那么所有通知书将如此发出。恒明珠按照上述所发出之任何通知书、报告、通知或通讯将被视为已被所有联名账户持有人收到并对其等具约束力。

 

              21.6.3 The joint account holders each acknowledge and agree that if any one of them should die,

                             每位联名账户持有人确认及同意,若其等任何一人逝世,则︰

                            

                             21.6.3.1 the surviving joint account holder(s) should immediately notify Eternal Pearl in writing of the death;

                                                尚存的联名账户持有人(一位或多位)须立即以书面通知恒明珠;

 

                             21.6.3.2 Eternal Pearl is to pay or deliver to or to the order of the surviving joint account holder(s) any moneys, investments, property, instruments and/or documents standing to the credit of or held for the Account, without prejudice to any right Eternal Pearl may have in respect of the same arising out of any set-off, counterclaim, lien, charge, pledge or otherwise whatsoever or to any step which Eternal Pearl may deem it desirable to take in view of any third party claims thereto and/or for protecting the interest of Eternal Pearl and/or other member(s) of the Group and Eternal Pearl shall be entitled to require the surviving joint account holder(s) to give and/or sign such document(s) as prescribed by Eternal Pearl before releasing any money, investment, property, instrument or document to or to the order of such survivor(s); and

                                                恒明珠可将存于账户或为账户持有之任何款项、投资、财产、工具及/或文件支付或交付予尚存的联名账户持有人(一位或多位)或按其()要求而支付或交付但并不损害恒明珠可能拥有的权利-关于以上款项、投资、财产、工具及/或文件并因任何抵销权、反申索、留置权、押记、质押或任何其它情况而产生的﹔亦不损害就第三者之申索及/或为保护恒明珠及/或其它一个或多个集团成员的利益而恒明珠认为适宜采取之任何步骤,及在发还任何款项、投资、财产、工具或文件予尚存的联名账户持有人(一位或多位)或按其()要求而发还之前,恒明珠有权要求尚存的联名账户持有人(一位或多位)给予及/或签署由恒明珠规定之一份或多份文件;及

 

                             21.6.3.3 Eternal Pearl shall not in any circumstances be liable in any way for any claim, loss, damages, liability, cost, expenses or whatsoever suffered or incurred by any person or entity (including, without limitation, the surviving joint account holder(s)), directly or indirectly, arising from or in connection with any action or inaction taken or chosen by Eternal Pearl pursuant to Clause 21.6.3.2 or any breach of this Clause 21.6.3 by any of the joint account holders; and the joint account holders each agree to indemnify Eternal Pearl against all claims, losses, damages, liabilities, costs, expenses and whatsoever suffered or incurred by Eternal Pearl, directly or indirectly, arising from or in connection with any action or inaction taken or chosen by Eternal Pearl pursuant to Clause 21.6.3.2 or any breach of this Clause 21.6.3 by any of the joint account holders.

                                                直接或间接因或关于恒明珠按第21.6.3.2条而作出或选择之任何行动或不行动或任何联名账户持有人违反本第21.6.3条而引致任何人士或实体(包括但不限于尚存的联名账户持有人(一位或多位))蒙受或承担之任何索求、损失、损害赔偿、责任、费用、支出或其它情况,恒明珠在任何情况下均不会负上任何责任。同时,每位联名账户持有人同意弥偿恒明珠,直接或间接因或关于恒明珠按第21.6.3.2条而作出或选择之任何行动或不行动或任何一位联名账户持有人违反本第21.6.3条而引致恒明珠蒙受或承担之所有索求、损失、损害赔偿、责任、费用、支出及其它情况。

 

21.7          Client’s Authorisation客户授权

 

Where Client has an account with another brokerage house being licensed by the SFC to carry out and conduct Regulated Activity Type 1 under and pursuant to the SFO, and Client and instructs Eternal Pearl to obtain cash, securities and/or other property from such account as opened and maintained by Client with the other brokerage house, Client irrevocably and irreversibly authorises Eternal Pearl, on behalf of Client, to request the other brokerage house to release such cash, securities and/or other property to Eternal Pearl.

凡客户在另一获证监会批准从事证券及期货条例项下受规管活动第一类 (证券买卖) 的证券商设有账户,并指令恒明珠从该账户提取现金、证券及/或其它财产,客户现不可撤销及不可反悔地授权恒明珠可代其要求该证券商发放上述现金、证券及/或其它财产予恒明珠。

 

21.8          Telephone Recording电话记录

               

              Eternal Pearl may record telephone conversations with Client and the contents of any such recording shall be final and conclusive evidence of the conversation concerned and its content. Client irrevocably and irreversibly confirms his/her agreement and consent for Eternal Pearl to carry out and conduct such recording with or without any notice whatsoever to Client.

                   恒明珠可以记录与客户之间之电话对话,且任何该等记录之内容将作为有关对话及其内容之最终及结论性证据。客户现不可撤销及不可反悔地同意并确定不论恒明珠有否向客户发出任何通知,恒明珠均可记录其与客户之间之电话对话。

 

21.9          Client’s Declaration and Representation客户声明、陈述

 

Client acknowledges that Eternal Pearl has offered to explain to Client the terms of this Agreement, and either Client has received such explanation or that Client fully understands the terms of this Agreement without the need for such explanation. Client acknowledges that Client has been advised, and has had the opportunity, to consult Client’s own independent legal and other professional advisers.

客户确认,恒明珠曾提出向客户解释本协议之条款,而且客户已得到该解释或客户不需要该解释即完全理解本协议之条款。客户确认,恒明珠已经建议客户及客户已经有机会征询其独立法律及其它专业顾问之意见。

 

21.10 Waiver豁免

 

Save as expressly provided in this Agreement, no failure to exercise, or delay in exercising, on the part of any party hereto any right, power or privilege under this Agreement shall operate as a waiver, nor shall any single or partial exercise of any right, power or privilege preclude any other or further exercise thereof, or the exercise of any other right, power or privilege. No waiver by Eternal Pearl shall be effective unless it is in writing. The rights and remedies of Eternal Pearl are cumulative and not exclusive of any rights or remedies provided by the Laws.

除在本协议中另有明确规定之外,任何本协议一方没有行使或延迟行使其在本协议下之任何权利、权力或特权,不构成对该权利、权力或特权之豁免;任何单独或除行使任何其它权利、权力或特权。恒明珠对于其权利之豁免,除非采用书面形式通知,否则一律无效。恒明珠之权利及补偿权是累计的,包括法部份行使任何权利、权力或特权,并不排除对该权利、权力或特权之其它或进一步行使,亦不排例赋予其之任何权利及补偿权。

 

21.11 Assignment转让

             

              21.11.1  Client shall not assign, delegate, sub-contract, transfer or otherwise dispose of any rights or obligations under this Agreement to any person without Eternal Pearl’s previous written consent. Subject to the Laws, Eternal Pearl may assign, sub-contract, delegate, transfer or otherwise dispose of any of its rights and obligations under this Agreement as Eternal Pearl may see fit by giving Client at least ten (10) days’ notice.

                                      未经恒明珠事先书面同意,客户不得转让、委托、分包、转移或以其它方式处置其在本协议下之任何权利或责任予任何人士。在遵守法例之大前提下,恒明珠可以在其认为适合并在恒明珠给予客户发出不少于10日通知之情况下,恒明珠便可转让、委托、分包、转移或以其它方式处置其在本协议下之任何权利或责任。

 

              21.11.2                       In the event that Eternal Pearl consolidates, amalgamates with, reorganises or transfers its business to another entity, Eternal Pearl may assign any of the rights and obligations under this Agreement to such entity. Eternal Pearl shall give Client not less than ten (10) days’ notice which will specify a date upon which the assignment shall become effective, which date shall be at least ten (10) days after the date of the notice. Such consolidation, amalgation, reorganisation, transfer of business or assignment of tights and obligations under this Agreement shall have the effect of creating a novated agreement between Client and the entity to which Eternal Pearl shall assign such rights and obligations. Therefore, in such event, Client hereby irrevocably and irreversibly consents for any or any future consolidation, amalgation, recorganisation, transfer of business ort assignment of rights and obligations under this Agreement by Eternal Pearl.

                                      当恒明珠组合、合并、重组或转移其业务予另一机构,恒明珠可以转让在本协议项下之任何权利及义务予该机构。恒明珠应发出至少10日的通知予客户,该通知内会列明该组合、合并、重组或转让的生效日期,唯该日期必须为发出通知后至少10日。该组合、合并、重组或转让之效力如同于客户及该机构之间建立一份约务更替协议。因此,若有此等情形,客户现不可撤销及不可反悔地同意恒明珠可日后作出任何本协议之转让。

 

21.12 Force Majeure不可抗力

 

In the event of war, terrorism, revolution, insurrection, restraint of rulers, military disturbances, riot, civil commotion, civil disobedience or other similar action involving any country, strike or lockout or stoppage or restraint of labour, seizure or confiscation of assets or other governmental action having a similar effect, any imposition of currency exchange control or restraint of capital movement or transmission by any government, any “Act of God”, epidemic, pandemic, vandalism, disruption of the operation of any Exchange, breakdown of computer systems and/or communication facilities, or any other similar event outside the control of Eternal Pearl which hinders or prevents the performance by Eternal Pearl of its obligations under this Agreement (an “event of force majeure”), then Eternal Pearl may, as an alternative to any performance otherwise required, at its absolute discretion either (a) postpone its performance until the event of force majeure no longer has such effect or (b) where any delivery or payment is required, provide or require a cash settlement based upon the prevailing price of a security or instrument relevant to such settlement on the second business day prior to the occurrence of the event of force majeure; such prevailing price being conclusively determined by Eternal Pearl. Eternal Pearl shall not be responsible or held liable for any loss suffered by Client arising out of or in connection with an event of force majeure. Client agrees to bear solely the risk of such event of force majeure.

一旦战争、恐怖主义活动、革命事件、暴动、统治者之管制、军事骚动、暴乱、内乱或其它涉及任何国家的类同行动、罢工或停工或拒绝工作或劳工管制、财产被扣押或充公或其它有类同影响的政府行动、政府管制货币兑换或政府管制资金流动或转移、任何天灾、流行性传染病、全国流行性传染病、恶意破坏行为、任何交易所之营运遭受扰乱、计算机系统及/或通讯设施故障、或任何其它类同事件发生,而非恒明珠所能控制之范围内,导致恒明珠在履行本协议下其责任时受制肘或阻碍  (「不可抗力事件」) ,那时,恒明珠可作为履行其责任之其它选择 绝对酌情权决定: (a) 延迟其履行责任直至该不可抗力事件失却影响力;或 (b) 倘若须有任何交付或支付,提供或要求现金结算而该结算乃根据发生不可抗力事件前之第二个营业日当日之有关该结算之证券或金融工具的现行市价(该现行市价由恒明珠终论地决定)。恒明珠不会负责客户任何因或关于发生不可抗力事件而招致之损失。客户同意独自承担不可抗力事件之风险。

 

21.13 Notice通知

 

              21.13.1         Any Advice, report, notice or communication to be made or given to Client shall be in writing and may be sent by ordinary post to its address stated in the Account Application, or by facsimile transmission or electronic means (including through the E-Service, as defined in Sixth Schedule) to the fax number or e-mail address stated in the Account Application (or to such other address, fax number, or e-mail address as subsequently notified by Client in writing in accordance with this Clause 21.13). Any notification so given shall be deemed to have been received forty-eight (48) hours after dispatch if sent by post or at the time of transmission if given by facsimile or electronic means.

                                                向客户作出或提供之任何通知书、报告、通知或通讯,均应采用书面形式,并可以普通邮递途径寄至其于开户申请表上列明之地址,或以传真或电子途径(包括透过电子服务,如附件六中之定义),传送至开户申请表上列明之传真号码或电邮地址(或嗣后客户按本第21.13条款以书面形式通知之其它地址、传真号码或电邮地址)。按照上述方式发出之任何通知,若以邮递方式发出即在邮寄后的48小时后被视为已经送达,或若以传真或电子方式发出即在传送时被视作已经送达。

 

              21.13.2        Eternal Pearl may also give notice to Client by telephone on the telephone number given in the Account Application or on such other number as Client shall notify Eternal Pearl in writing. All notifications so given to Client shall be deemed to have been received instantaneously if given by telephone.

                                                恒明珠亦可根据开户申请表上之电话号码或客户以书面通知恒明珠之其它号码,以电话向客户发出通知。以电话向客户发出之所有通知实时被视为已送达。

 

              21.13.3        In all cases if any notice or communication of whatsoever nature is given or delivered to Eternal Pearl, it shall only be deemed to have been given or delivered to Eternal Pearl on the day of actual receipt by it.

于所有情况下,若向恒明珠作出或交付任何通知或通讯(不论属任何性质),其于恒明珠确实收妥当日才被视作已向恒明珠作出或交付。

 

21.14         Amendment and Termination修订与终止

 

              21.14.1           Eternal Pearl may, at its absolute discretion and without giving reasons, suspend or terminate the Account and at any time cease to act on Client’s behalf. Upon termination or suspension of the Account, all monies owing from Client to Eternal Pearl shall immediately become due and payable and Client shall immediately repay such monies to Eternal Pearl.

                                                恒明珠可行使其绝对之酌情决定权而毋须给予任何理由,暂停或终止账户,并可随时停止代表客户采取行动。账户被暂停或终止时,客户拖欠恒明珠之所有款项将立即到期及须缴付,及客户须立即向恒明珠支付该等款项。

 

              21.14.2        Client agrees that the terms of this Agreement may be amended by Eternal Pearl from time to time, at its discretion, by notice in writing from Eternal Pearl to Client, in which event such terms and conditions as so amended shall apply with effect from the effective date specified in such notice, whether the specified effective date is before or after the date of such notice but subject to applicable Laws. Such amendments shall be deemed incorporated into and form part of this Agreement.

                                                客户同意本协议之条款,可由恒明珠酌情不时更改,并以书面通知客户;在此情况下,更改后之条款及条件应从该通知书内所指定之生效日期起适用,不论该指定生效日期是该通知书日期之前或之后但须受制于适用法律。该等更改将被包含为并成为本协议之一部份。

 

              21.14.3         Either party may terminate this Agreement at any time by notice to the other provided that such termination shall not affect:

                                                任何一方均可在任何时候通知另一方终止本协议,惟该终止不应影响︰

 

                             21.14.3.1          the rights or liabilities of either party arising prior to such termination;

                                                                       该终止前任何一方已产生之权利或债务;

 

                             21.14.3.2          the warranties, representations, undertakings and indemnities given by Client under this Agreement, all of which shall survive termination; and

                                                                       客户在本协议下作出之保证、陈述、声明、承诺及弥偿,其等在终止后仍然有效;及

 

                             21.14.3.3          any of the Client’s obligations to Eternal Pearl under and/or pursuant to this Agreement.

                                                                       客户按本协议对恒明珠之任何责任。

 

              21.14.4        Termination of this Agreement shall not affect any action by Eternal Pearl, or any of its agents or any third party permitted under this Agreement initiated prior to the date of termination or any indemnity or warranty given by Client under this Agreement.

                                                本协议之终止,将不会影响在终止日前恒明珠或其任何代理人或任何第三方在本协议容许下并已展开之行动,或客户在本协议下给予之任何弥偿或保证。

 

21.15 Time时间

 

                  Time shall, in all respects, be of the essence of the performance of all the obligations of Client under this Agreement and all transactions contemplated hereunder.

                 客户履行其于本协议下及本协议下所预期之所有交易之所有责任时,时间概为要素。

 

21.16 Undertakings by Intermediary中介人承诺

 

Further to Clause 2, in case Client is an intermediary specified in Section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms:

就第2条作出延伸,若客户是<打击洗钱及恐怖份子资金筹集(金融机构)条例>附表22部第4分部下第18(3)(18(3)(b)条除外)所指明的中介人(「指明中介人」)并代表其一位或多位客户(不论以全权或非全权委托为基准)或为与其一位或多位客户的一项或多项交易而运作及管理账户,客户(为免混淆,于本21.16条款(仅于中文版本)称为「中介人」)承诺以下条款︰

 

                   21.16.1      Client confirms that it is a Specified Intermediary;

                                                中介人确认其为指明中介人;

 

                   21.16.2    In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be Eternal Pearl’s intermediary to carry out for Eternal Pearl the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by Eternal Pearl in writing, Client shall carry out all the aforesaid CDD measures for Eternal Pearl;

                                                就中介人的每一位客户(账户乃代表该()客户或为与其()的一项或多项交易而运作及管理的),中介人同意担任恒明珠的中介人代恒明珠执行<打击洗钱及恐怖份子资金筹集(金融机构)条例>(「反洗黑钱条例」)以及证监会不时发布的适用监管要求所述的客户尽职审查措施。并且,除非恒明珠另以书面同意,中介人将代恒明珠执行所有前述的客户尽职审查措施;

 

                   21.16.3    Client shall on request provide to Eternal Pearl a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for Eternal Pearl without delay;

                                                中介人将应要求没有延误地向恒明珠提供中介人在代恒明珠执行上述客户尽职审查措施时取得的任何文件的复本或取得的任何数据或数据的纪录;

 

                   21.16.4     In relation to each transaction it carries out for the Account, Client shall, if requested by Eternal Pearl within a period of six (6) years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by Eternal Pearl to Client from time to time, provide to Eternal Pearl a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for Eternal Pearl as soon as reasonably practicable after receiving the request;

                                                就每一项为账户执行的交易,若恒明珠于该交易完成的日期起计的6年期间(不论任何有关业务关系(定义见反洗黑钱条例附表21部第1(1) )是否在该段期间内终止)或不时由证监会所规定并恒明珠已通知中介人的较长期间内提出要求,则中介人须在接获该要求后,在合理地切实可行的最快时间内,尽快向恒明珠提供中介人在代恒明珠执行上述客户尽职审查措施时取得的任何文件的复本或取得的任何数据或数据的纪录;

 

                   21.16.5    In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by Eternal Pearl (i) during the continuance of the Business Relationship with the client or within a period of six (6) years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by Eternal Pearl to Client from time to time, provide to Eternal Pearl a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for Eternal Pearl as soon as reasonably practicable after receiving the request;

                                                就中介人的每一位客户(账户乃代表该()客户或为与其()的一项或多项交易而运作及管理的),若恒明珠于(i)与该客户的业务关系继续期间内或在自有关业务关系终止的日期起计的6年期间内或(ii)不时由证监会所规定并恒明珠已通知中介人的较长期间内提出要求,则中介人须在接获该要求后,在合理地切实可行的最快时间内,尽快向恒明珠提供中介人在代恒明珠执行上述客户尽职审查措施时取得的任何文件的复本或取得的任何数据或数据的纪录;

 

                   21.16.6     In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.16 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of six (6) years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by Eternal Pearl to Client from time to time and Client shall keep all such documents, records, data and information in accordance with the AMLO;

就每一项为账户执行的交易或就中介人的每一位客户(账户乃代表该()客户或为与其()的一项或多项交易而运作及管理的),中介人应于仍与任何有关客户的业务关系存续期间(不论任何其它有关客户的业务关系已终止亦然)及在自有关业务关系或最后一个有关业务关系(若多于一名客户)终止的日期起计的6年期间内备存本第21.16条款以上段落所提及的所有文件、纪录、数据及数据。若证监会规定一段较长期间,即所有该等文件,纪录、数据及数据须于该不时由恒明珠通知中介人的较长时间内被中介人备存。同时,中介人必须按反洗黑钱条例备存所有该等文件、纪录、数据及数据;

 

                      21.16.7 If Client is about to cease trading or does not wish to continue to act as Eternal Pearl’s intermediary to carry out the aforesaid CDD measure(s) for Eternal Pearl, Client shall give Eternal Pearl sixty (60) days’ written notice in advance and shall provide to Eternal Pearl all the documents, records, data and information referred to in the above paragraphs of this Clause 21.16 without delay;

                                              中介人将结业或不欲继续作恒明珠的中介人为恒明珠执行上述的客户尽职审查措施,中介人须事先给予恒明珠60天书面通知,并且没有延误地向恒明珠提供本第21.16条款以上段落所提及的所有文件、纪录、数据及数据;

 

                   21.16.8   If Eternal Pearl terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for Eternal Pearl in respect of any client(s) of Client, Client shall immediately provide to Eternal Pearl all the documents, records, data and information referred to in the above paragraphs of this Clause 21.16 and in respect of such client(s);

                                              若恒明珠终止其委任中介人作其中介人就任何中介人的一个或多个客户代恒明珠执行上述客户尽职审查措施,中介人须立即向恒明珠提供于本第21.16条款以上段落所提及并有关该()客户的所有文件、纪录、数据及数据;

 

                   21.16.9   If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for Eternal Pearl and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.16 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement;

                                              若除了反洗黑钱条例所规定或由证监会所发出的监管要求外,还有任何其它法律或监管的要求并关于中介人代恒明珠执行上述客户尽职审查措施及/或本第21.16条款以上段落所提及的任何文件、纪录、数据及/或数据及/或其()的备存,中介人亦须遵守该法律或监管要求;

 

                   21.16.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for Eternal Pearl and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.16 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for Eternal Pearl and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.16 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.16. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for Eternal Pearl (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of Eternal Pearl stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and

                                              若反洗黑钱条例中或证监会不时发出的监管要求中的任何条文(该等条文乃关于中介人代恒明珠执行上述的客户尽职审查措施及/或本第21.16条款以上段落所提及的任何文件、纪录、数据及/或数据及/或备存任何该等文件、纪录、数据及/或数据)未有明文收纳于本协议,则该等条文以提述方式收纳于本协议内。反洗黑钱条例中或证监会不时发出的监管要求的条文(该等条文乃关于中介人代恒明珠执行上述的客户尽职审查措施及/或本第21.16条款以上段落所提及的任何文件、纪录、数据及/或数据及/或备存任何该等文件、纪录、数据及/或数据)将凌驾本第21.16条款的条文。尽管本协议或任何其它文件有任何规定,中介人须遵守关于代恒明珠执行上述客户尽职审查措施的所有法律及监管要求(及其等不时的修订本)(包括但不限于相关的备存纪录的要求),但前述并没有以任何方式影响反洗黑钱条例附表22部第4分部下第18(2) 条所述的任何恒明珠的责任;及

 

                   21.16.11 In this Clause 21.16, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.

                                              于本第21.16条款,(i)凡未有诠释之文字,应具有按反洗黑钱条例或证监会不时发出的适用监管要求中的定义,除非文意另有所指;及(ii)证监会不时发出的监管要求包括(但不限于)打击洗钱及恐怖分子资金筹集指引中的要求。

 

21.17 Further Undertakings额外承诺

 

Without prejudice to Clause 21.16 above, Eternal Pearl may take or omit to take any action which it, in its sole and absolute discretion, considers appropriate to take (a “Compliance Action”) for the purpose of complying with the Applicable Laws and Compliance Rules, including preventing money laundering, terrorist financing or other crimes or the provision of financial and other services to any persons or entities which may be subject to sanctions (each such person or entity is referred to as a “Sanctioned Party”). Such Compliance Action may include without limitation:

在不影响以上第21.16条的情况下,恒明珠藉其独有及绝对的酌情权,可采取或不采取任何其认为遵守适用的法律及合规规则而应适当采取的行动(合规行动),包括预防洗钱、恐怖份子财务安排或者其它犯罪,或防止向可能受制裁的任何人士或实体(每一个人士或实体被称为「受制裁方)提供金融及其它服务。该等合规行动可能包括但不限于︰

 

(a)    declining the application or refusing to handle or process, or refusing to effect payment in connection with, any transaction contemplated in this Agreement on the ground of, or as a result of, a Compliance Action or if any person or entity relating to any related underlying transaction is a Sanctioned Party;

          以合规行动为理由或因合规行动所致,或若与任何相关交易有关的任何人士或实体为受制裁方,否决申请或拒绝处理或进行本协议项下拟进行的任何交易,或拒绝履行有关本协议项下拟进行的任何交易的付款;

 

              (b) (if Eternal Pearl becomes aware that any payment made to or at the request of Client contravenes the Compliance Rules) immediately recouping such payment from Client, irrespective of any other contrary agreement with Client;

                        (如恒明珠意识到向客户或应客户要求作出的任何付款违反合规规则)立即从客户处收回该等款项,不论任何其它与客户签订的相反的协议亦然;

 

              (c)                 the interception and investigation of any payment messages and other information or communications sent to or by Client or on Client’s behalf via the systems of Eternal Pearl; and

                      截取及调查任何支付信息和其它发予客户或由客户发送或通过恒明珠的系统代表客户发送的信息或通讯;

 

              (d) making further enquiries as to whether a name which might refer to a Sanctioned Party actually refers to that party

                        进一步调查可能为受制裁方的名称是否实际上为该受制裁方。

 

Eternal Pearl will not be liable for any loss (whether direct, indirect or consequential loss, including without limitation loss of profit or interest) or any damage suffered by Client or any party arising out of:

恒明珠将不会承担客户或任何一方因以下原因而承担的任何损失(无论是直接的、间接的或后果性的损失,包括但不限于利润损失或利息损失)或任何损害:

 

(i)         any delay or failure by Eternal Pearl in processing any payment messages or other information or communication or any request from Client, or in performing any of its duties or other obligations in connection with any transaction, caused in whole or in part by any Compliance Action; or

在处理任何付款信息或其它信息或通讯或任何来自客户的要求时,或在履行其职责或与任何交易有关的其它义务时,由于任何合规行动全部或部份引致恒明珠的延迟或未能履行;

 

(ii)        the exercise of any of Eternal Pearl’s rights under or any action taken or omission made by Eternal Pearl pursuant to this section.

                                  恒明珠行使本节项下其权利或根据本节采取或不采取任何行动。

 

         In this section: 在本节中︰

 

Applicable Law” means the legal requirements of any place or any jurisdiction that Eternal Pearl operates in or such legal requirements are otherwise applicable on Eternal Pearl; and

    适用法律」是指恒明珠经营所在的任何地方或司法管辖区域的法律规定或该等适用于恒明珠的法律规定;

 

Compliance Rules” means all regulations, sanction regimes, international guidance or procedures or rules of relevant regulatory or industry body that may be applicable to Eternal Pearl.

    合规规则」是指适用于恒明珠的有关监管机构或行业组织的所有法规、制裁制度、国际指引或程序或规则。

 

 

22. CONTRACTS (RIGHTS OF THIRD PARTIES) ORDINANCE合约(第三者权利)条例

 

Save for any member of the Group and any of their respective officers, employees or agents (“Qualified Third Parties”), a person who is not a party to this Agreement shall not have any rights under the Contracts (Rights of Third Parties) Ordinance (Chapter 623 of the Laws of Hong Kong) to enforce any term of this Agreement. Notwithstanding anything to the contrary in this Agreement or in the Contracts (Rights of Third Parties) Ordinance:

除任何集团成员和其各自的任何高级管理人员、员工或代理 (「合资格第三者」) 以外,非本协议订约方的任何人士不得享有<合约(第三者权利)条例>(香港法律第623)下的任何权利,以强制执行本协议的任何条款。尽管本协议或<合约(第三者权利)条例>有任何相反的规定:

 

     (a)     the parties to this Agreement may terminate, rescind or agree any variation, waiver or settlement under this Agreement without the consent of any Qualified Third Parties; and

              本协议的订约方可在未经任何合资格第三者同意的情况下,终止、撤销或同意本协议下的任何修改、豁免或和解;及

 

    (b)    No Qualified Third Party who is not a party to this Agreement may enforce any right under this Clause without first obtaining the prior written consent of the relevant licensed corporation who/which is a contracting party to this Agreement.

              在未首先获得为本协议订约方作为持牌公司或公司事先书面同意的情况下,非本协议订约方的任何合资格第三者不可强制执行本条款下的任何权利。

 


 

FIRST SCHEDULE - MARGIN FINANCING

附件一 - 保证金(孖展)财务安排

 

1.     INTERPRETATION释义

1.1    In this First Schedule, unless the context otherwise requires, the following words and expressions have the meanings set out below:

              在本附件一内,除非文意另有所指,下列词语将具以下释义︰

 

         “Facility Letter”                       means the letter from Eternal Pearl to Client offering the Facility;

    财务安排函件 指恒明珠提供予客户之有关财务安排之函件;

 

        “Indebtedness”               means any obligation for the payment or repayment of money, whether actual or contingent;

    债务         指任何支付或偿还金钱之责任,不论实际或或有的亦然;

 

               Liabilities”            means the aggregate of:

              负债         指以下各项之总计︰

 

              (A) all present and/or future actual and/or contingent Indebtedness or other liabilities (in whatever currency they may be expressed) of Client to Eternal Pearl (whether incurred solely, severally or jointly with others and whether incurred as principal or surety) including (without limitation) all monies advanced on any current, loan or other account (whether existing or opened at any time after the date hereof), and all pecuniary obligations arising out of currency and other financial transactions; and

       所有客户现时及/或将来实际及/或或有的拖欠恒明珠之债务或其它责任(不论以任何货币显示,亦不论客户以主要债务人或以担保人的身份,也不论是单独、各别或与其它人联同引起的),包括(但不限于)从任何往来、贷款或其它账户(不论已存在或在本协议签订日后才开立之账户)中预支之所有款项,以及在货币和其它金融交易中引起之所有金钱上之责任;

 

              (B) any interest accrued in respect of the amounts and liabilities referred to in paragraph (A) above both before demand and from the date of demand to the date of payment, as well after as before judgment (whether any of the same shall have been capitalised or not); and

                        发出还款要求前和自发出还款要求日至付款日期间,以及作出裁决之前及之后,就上述 (A) 段所提及之款项和负债所引起之任何利息(不论上述任何各项是否已经予以资本化);

 

              (C) all charges, commissions and legal and other expenses incurred in any manner whatsoever by Eternal Pearl in relation to the said Indebtedness and liabilities or to this Agreement (including without limitation any foreign exchange losses and expenses incurred by Eternal Pearl in enforcing or otherwise attempting to recover any such Indebtedness or liabilities) on a full indemnity basis;

                        在完全弥偿基准之上,恒明珠以任何方式就上述债务和负债或就本协议所引起之所有收费、佣金、律师费和其它费用,包括但不限于恒明珠在强制执行或以其它方法试图讨回任何该等债务或负债而引起之任何外汇损失及开支。

 

          “Margin Account”      means an Account which has the benefit of a Facility.

    孖展账户     是指具有财务安排便利的账户。

 

1.2    In the event of any inconsistency between the provisions of this Agreement and this First Schedule, the provisions of this First Schedule shall prevail.

         凡本协议条款与本附件一条款之间有任何不一致,以本附件一之条款为准。

 

1.3    Terms and expressions defined in this Agreement shall have the same meaning in this First Schedule unless the context otherwise requires. References to clauses in this First Schedule shall refer to clauses contained in this First Schedule, unless the context otherwise requires.

               除非文意另有所指,否则本协议内所定义之词语在本附件一内意义相同。除非文意另有所指,本附件一中所提述的条款的是指本附件一所载的条款。

 

1.4    The terms of the Facility Letter and any authorisation letter given by Client with respect to the Facility shall form part of this First Schedule.

              财务安排函件之条款及客户就财务安排而作出之任何授权书构成本附件一之一部份。

 

 

2.     MARGIN SECURITIES TRADING ACCOUNT孖展证券交易账户

 

2.1    In consideration of Eternal Pearl granting to Client the Facility, Client charges to Eternal Pearl, by way of first fixed charge as a continuing security for the payment and satisfaction on demand of the Liabilities, all of Client’s securities which are now or which shall at any time be deposited with, or come into the possession, custody or control of, Eternal Pearl or any member of the Group or any nominee or custodian appointed or agreed by Eternal Pearl, or with any person, to facilitate the provision of the Facility in respect of the Account, which shall include all dividends and other distributions made or payable in respect of such securities, and all securities (and the dividends and other distributions in respect thereof), rights, monies or property of whatever nature accruing to or offered at any time by way of redemption, b onus, preference, options, purchase consideration or otherwise in right or in respect of the aforesaid securities (the “Margin Securities”).

              作为恒明珠向客户提供财务安排之代价,客户以第一固定押记之形式持续性地抵押予恒明珠,所有以下提述之证券作为支付及清偿其被要求时须缴付之负债之担保。该等证券乃客户现在或在任何时候为了促成提供与账户相关之财务安排而存于恒明珠或任何集团成员或恒明珠指定或同意的任何代名人或保管人或任何人士,或由此等人士所拥有、托管或控制之所有客户之证券,包括就该等证券而派发或支付之所有股息及其它分配,以及在任何时候以赎回、花红、优先股、认购权、购买代价或任何形式所产生之权利或就上述证券而产生或被提供之所有证券(以及就其等分发之股息及其它分配)、权利、款项或任何性质的财产(孖展证券)

 

2.2    Client undertakes客户承诺︰

 

              2.2.1 at all times to maintain the level of margin specified in the Facility Letter or any other level of margin determined by Eternal Pearl from time to time (“Margin”), either by paying to Eternal Pearl sufficient monies or by depositing (or procuring the deposit of) sufficient securities with Eternal Pearl; and

                             通过向恒明珠支付足够款项之方式,或通过在恒明珠存入(或促使存入)足够证券之方式,以维持财务安排函件中规定的或恒明珠不时决定之孖展水平(孖展)

 

              2.2.2 forthwith upon demand to pay to Eternal Pearl such sum, in cleared funds, in cash and/or deliver to Eternal Pearl such additional securities as additional or substituted security for the Liabilities;

                             在恒明珠之要求下,立即向恒明珠并以可自由提取使用之现金支付有关之款项及/或向恒明珠交付相关之额外证券,作为负债之额外或替代抵押品;

 

and, for any avoidance of any doubt, any securities deposited with or delivered to Eternal Pearl under this clause shall form part of the Margin Securities.

              为免存疑,按本条款下存放于或交付给恒明珠之任何证券将构成孖展证券之一部份。

 

2.3    Any monies received by Eternal Pearl from Client may be placed and kept to the credit of an interest bearing suspense account for so long as Eternal Pearl thinks fit without any obligation in the meantime to apply the same or any part thereof in or towards discharge of any Liabilities. Notwithstanding any such payment, in the event of any proceedings in or analogous to bankruptcy, winding-up, liquidation, composition or arrangement, Eternal Pearl may prove for and agree to accept any dividend or composition in respect of the whole or any part of such money and liabilities in the same manner as if this security had not been created.

              恒明珠从客户收取之任何款项,均可以在恒明珠认为合适之时间内存于一个生息之暂记帐户内,但同时恒明珠没有责任以该等款项或其任何部份以清偿任何负债。尽管有任何该等款项,倘若发生破产、清盘、解散、债务重整协议或安排,恒明珠可就该等款项及负债之全数或任何部份以尤如本抵押不存在时会采用之同样方式,提出债权证明和同意接收相关之摊还债款或债务重整协议。

 

2.4    Client shall pay to Eternal Pearl on a monthly basis, in respect of the Liabilities, interest at the Normal Interest Rate specified in the Facility Letter but if any Event of Default occurs, the aforesaid Normal Interest Rate may be replaced with the Default Interest Rate specified in the Facility Letter and such replacement shall immediately become effective on the date of the occurrence of such Event of Default unless otherwise agreed in writing by Eternal Pearl.

              客户应每月按照财务安排函件内指定之正常息率支付恒明珠负债相关之利息;然而,若发生任何违约事项,上述正常息率将被财务安排函件内指定之违约息率所替代,而该替代将于发生该违约事项当日实时生效,除非恒明珠另有书面协定。不管本协议之任何规定,恒明珠可随时酌情决定向客户发出书面通知,指定另一息率,该新指定之息率应自通知日当日或通知书所指明之较后日期当日起生效。

 

2.5    Notwithstanding any provisions of this Agreement, Eternal Pearl may from time to time at its discretion, by written notice to Client, stipulate another interest rate, and such other rate shall apply as from the date of the notice or such later date specified in the notice. If any interest rate mentioned in this clause 2.5 or clause 2.4 above in this First Schedule would exceed the maximum lawful rate under the Money Lenders Ordinance, then the maximum lawful interest rate under that Ordinance shall be applied instead. Client agrees that Eternal Pearl shall be entitled (but not be obliged), at any time and from time to time, without prior notice, to debit any Account with Eternal Pearl and/or any other account(s) of Client with other member(s) of the Group with any interest due and payable by Client in accordance with this clause 2. 5 or clause 2.4 above in this First Schedule and Client undertakes to, immediately upon demand by Eternal Pearl, do such act(s) and/or execute such document(s) as may be required by Eternal Pearl at any time and from time to time in order to give full effect to each such debit.

                  倘若2.5条款或本附件上2.4条款所述之任何息率高于放债人条例(香港法例第163)之法定最高息率,该息率则为该条例下之法定最高息率。客户同意,恒明珠有权(但无责任)可随时及不时并无须事先通知从恒明珠处开立之任何账户或客户在其它一个或多个集团成员处的任何一个或多个账户内扣除到期及客户按2.5条款或本附件一以上2.4条款应付之任何利息及客户承诺应恒明珠之要求立即作出及/或签署恒明珠可能随时及不时要求之行动及/或文件,以使每一项该等扣除全面生效.

 

2.6    Eternal Pearl is authorised on Client’s behalf and in Client’s name to:

              恒明珠获授权代表客户及以客户名义︰

 

              2.6.1 draw on the Facility or withdraw from any account maintained by Client with Eternal Pearl such sums of money in payment of the purchase price for the securities purchased or purportedly purchased for Client as evidenced by the bought note issued in Client’s name and at the same time deposit into any account maintained by Client with Eternal Pearl the securities so purchased or purportedly purchased with money withdrawn from any such account. In addition, Eternal Pearl may draw on the Facility or withdraw from any account maintained by Client with Eternal Pearl such sums of money in payment of brokerage, fees, disbursements, charges and any other sums owed by Client in connection with the Margin Securities; and

                             从财务安排中或从客户在恒明珠所维持的任何账户中提取款项,用作支付为客户买入或宣称为客户买入的证券之买价(以客户名义发出的买单为证),同时将上述从客户账户中提取的款项而买入或宣称买入的证券存入客户在恒明珠所维持的任何账户内。此外,恒明珠可以从财务安排中提取款项或从客户于恒明珠所维持的任何账户中提取款项用作支付经纪费、费用、开支、收费以及客户就孖展证券所拖欠的任何其它款项;以及

 

              2.6.2 withdraw from any account maintained by Client with Eternal Pearl such securities sold or purportedly sold for Client as evidenced by the sole note issued in Client’s name and at the same time deposit into any account maintained by Client with Eternal Pearl the sums of money representing the net proceeds of sale of the securities so withdrawn and so sold or purportedly sold, or apply the same or any part thereof in or towards discharge of any Liabilities.

                             从客户在恒明珠所维持的账户中提取为客户沽出或宣称沽出的证券(以客户名义发出的沽单为证),同时将上述提取并沽出或宣称沽出的证券的凈收益款项存入客户在恒明珠所维持的任何账户内,或将该凈收益款项或其任何部份用于清偿任何负债。

 

 

3.     MARGIN SECURITIES孖展证券

 

3.1   If Client shall pay to Eternal Pearl the whole of the amount of Liabilities without any deduction, Eternal Pearl shall at any time after such payment has been so made, upon Client’s request and cost, discharge the security created hereby provided always that upon discharge Eternal Pearl shall not be bound to return securities bearing serial numbers identical with those deposited with or transferred to Eternal Pearl so long as the securities returned are of the same class, denomination and nominal amount and rank pari passu with those originally deposited with or transferred to Eternal Pearl (subject always to taking account of such events like any capital reorganisation which may have occurred in the meantime).

              倘若客户毫无扣减地向恒明珠支付全部负债金额,恒明珠将在该等款项偿付后任何时间,当客户要求并支付费用后,解除于此产生之抵押。惟当解除抵押时,恒明珠退还之证券,只需与原本存入或转让予恒明珠之证券属同等级别、面值、面额及享有同样权益(惟须考虑可能在此期间出现任何如资本重组等情况),而毋须与原本存入或转让予恒明珠之证券之编号相同。

 

3.2   The security conferred on Eternal Pearl is a continuing security and shall not be discharged by any intermediate payment or satisfaction of the whole or any part of the Liabilities, or by the closing of any Client’s accounts with Eternal Pearl (whether subsequently reopened or not and either alone or jointly with others).

              授予恒明珠之抵押乃持续抵押,不应因任何中期支付或清偿全部或任何部份负债而解除,或因结束客户在恒明珠处开立之任何账户而解除(不论是否日后重开及不论独自或与他人联同开立)

 

3.3   The security hereby conferred on Eternal Pearl is in addition to and without prejudice to any collateral or other securities which Eternal Pearl may now or hereafter hold from or on account of Client nor shall such collateral or other security or any lien to which Eternal Pearl may be otherwise entitled (including any security, charge or lien prior hereto) or the liability of any person or persons not parties hereto for all or any part of the monies and liabilities hereby secured be in any way prejudiced or affected hereby. Eternal Pearl shall have full power at its discretion to deal with, exchange, release, modify or abstain from perfecting or enforcing any such securities or other guarantees or rights which it may now or hereafter have or to give time for payment or any indulgence to any other person or persons without discharging or in any way affecting Client’s liabilities or the security created hereunder. All monies received by Eternal Pearl from Client or any person or persons liable to pay the same may be applied by Eternal Pearl to any account or any transactions to which the same may be applicable.

              在此授予恒明珠之抵押,乃添加于且不减损恒明珠现有或今后可能从客户或为客户而持有之任何抵押品或其它保证,且恒明珠可能因其它原因而享有的抵押品或其它保证或任何留置权(包括在本协议之前之任何抵押、押记或留置权),或并非本协议订约方之任何人士就本协议下保证之全部或任何部份款项和负债而承担之责任,均不会在任何方面因在此授予恒明珠之抵押而受到损害或影响。恒明珠拥有全权酌情处理、交换、免除、修改或放弃完成,或放弃强制执行任何该等保证或其也现在或嗣后可能享有之其它担保或权利,或对任何其它一位或多位人士给予付款宽限时间或任何宽免,而不会解除或以任何方式影响客户之负债或本协议下设立之抵押。恒明珠从客户或有责任付款之任何一位或多位人士收取之所有款项,恒明珠可应用在任何适用之账户或交易。

 

3.4   Client shall, during the continuance of this security, pay all payments due in respect of any of the Margin Securities but Eternal Pearl may if Eternal Pearl thinks fit, make such payments on Client’s behalf. Any sums so paid by Eternal Pearl shall be repayable forthwith by Client and pending such repayment, shall both carry interest at the applicable rate and be a charge on the Margin Securities.

                             在本抵押持续期间,客户须支付所有有关任何孖展证券应付之款项,惟恒明珠若认为恰当,可代客户付款。恒明珠如此支付之任何款项,客户须立即偿还,及在还款前该款项按适用息率附加利息,并成为孖展证券上之押记。

 

3.5   In addition and without prejudice to any general liens, rights of set-off or other similar rights to which Eternal Pearl may be entitled under law or this Agreement, all securities, receivables, monies and other property of Client (held by Client either individually or jointly with others) held by or in the possession of Eternal Pearl at any time shall be subject to a general lien in favour of Eternal Pearl as continuing security to offset and discharge all of Client’s obligations, arising from the business of dealing in securities, to Eternal Pearl and any member of its Group.

              在附加于及不影响恒明珠在法例或本协议下,其可享有之任何一般留置权、抵销权或其它类同权利之情况下,所有恒明珠持有或拥有之证券、所有应收款项、款项及客户之其它财产(客户单独或联合持有),均受制于恒明珠之一般留置权下作为持续抵押,以抵销及解除客户在证券交易业务中对恒明珠或任何集团成员之所有责任。

 

 

4.     ACKNOWLEDGEMENT确认

 

Client acknowledges and accepts, for avoidance of any doubt, that Eternal Pearl and any Group company may exercise and enforce any of the rights conferred by this Agreement subject to law, in respect of Indebtedness and Liabilities owed by Client as defined under this Schedule.

客户确认及接受,为免生疑问,恒明珠及任何集团公司可就有关本附件内定义的客户拖欠的债务及负债,在法律的规限下行使及执行任何根据本协议赋予的权利。

 

 

5.     REPRESENTATIONS, WARRANTIES AND UNDERTAKINGS声明、陈述、保证及承诺

 

Client represents, warrants and undertakes to Eternal Pearl that no other person has any interest in the Margin Securities and undertakes not to sell, grant an option over or otherwise deal in any way with or create or allow to subsist a charge, pledge or other encumbrance over the Margin Securities other than pursuant to the terms of this Agreement.

客户向恒明珠陈述、声明、保证及承诺,并无他人同时拥有有关孖展证券之任何权益,并承诺除按本协议之条款外,不会沽出孖展证券,不会授予孖展证券之期权,亦不以其它方式处理孖展证券,以及不在孖展证券上设定或允许存在抵押、质押或其它产权负担。


 

SECOND SCHEDULE - INITIAL PUBLIC OFFERINGS

附件二 - 首次公开发售

 

1.         INTERPRETATION释义

 

1.1   Terms and expressions defined in this Agreement shall have the same meaning in this Second Schedule unless the context otherwise requires. References to clauses in this Second Schedule shall refer to clauses contained in this Second Schedule, unless the context otherwise requires.

              除非文意另有所指,于本协议所定义之词语,在此附件二内含意相同。除非文意另有所指,在此附件二内所提述之条款,即指此附件二内之条款。

 

1.2   In the event of any inconsistency between the provisions of this Agreement and this Second Schedule, the provisions of this Second Schedule shall prevail.

              凡本协议条款与本附件二条款之间有任何不一致之处,以本附件二条款为准。

 

 

2.     INITIAL PUBLIC OFFERINGS首次公开发售

 

2.1   Client may request Eternal Pearl to apply on Client’s behalf for securities in a new issue for listing on an Exchange (an “Application”) and the provisions of this Second Schedule shall apply.

              凡客户要求恒明珠代其认购在交易所上市之新发行证券(申购),此附件二之条款即适用。

 

              2.1.1 Client authorises Eternal Pearl to complete such application form as may be required, and represents and warrants to Eternal Pearl that all representations, warranties, confirmations and undertakings on the part of the applicant contained or incorporated in the application form are true and accurate in respect of Client.

              客户授权恒明珠填妥可能需要的申请表,并向恒明珠陈述、声明及保证申购人必须作出在申购书上所载述或包含之一切有关客户之陈述、声明、保证、确认及承诺,均真实及准确。

 

              2.1.2 Client agrees to be bound by the terms of the new issue and Client hereby:

                             客户同意受新发行证券之条款所约束并︰

 

                             2.1.2.1 warrants and undertakes that the Application shall be the only application made for Client’s benefit in respect of the same issue of securities and that Client shall make no other application in that issue;

                                                保证及承诺该申购乃在同一次证券发行中为客户利益而作出之唯一申购,及于该次证券发行,客户不可同时进行其它申购;

 

                             2.1.2.2 authorises Eternal Pearl to represent and warrant to the Exchange that no other application shall be made or shall be intended to be made by Client or for Client’s benefit;

                                                授权恒明珠向交易所陈述、声明及保证客户不会亦不拟作出其它申购,并且不会亦不拟为客户的利益而作出其它申购;

 

             2.1.2.3 acknowledges that Eternal Pearl will rely on the above warranties, undertakings and authorisations in making the application;

                                                确认恒明珠乃依据以上之保证、承诺及授权而进行申购;

 

                             2.1.2.4 acknowledges that Eternal Pearl accepts no responsibility to send Client the listing document which sets out the terms and conditions of the new issue of securities (“Prospectus”). By Client’s application for subscriptions, Client confirms that Client has obtained such Prospectus from elsewhere, have read and understood the terms and conditions, and Client’s application is not in breach of such terms and conditions. Client confirms that Client shall not request subscriptions for new issues of securities unless eligible to do so under the applicable securities legislation; and

                                                确认恒明珠没有任何责任把列明新发行证券之条款及条件之上市文件(招股书)交予客户。对于客户有关之申购,客户确认已从其它地方取得招股书,并已细阅及明白其中之条款及条件,而客户之申购亦不会违反该等条款及条件。客户确认除非在适用之证券条例下其乃合乎资格,否则客户不会认购新发行之证券;及

 

                             2.1.2.5 represents and warrants that he is not a connected person (as such term is defined in the Regulations) of the issuer of securities that are subject of the new issue.

                                                陈述、声明及保证并非有关新发行证券的证券发行者之关连人士(按监管规则下之定义)

 

              2.1.3 Client may at the same time request Eternal Pearl to provide a loan for the purpose of the Application (the “Loan”), and the following provisions shall apply:

                             客户可同时要求恒明珠提供贷款作申购之用(贷款),以下之条款则适用︰

 

                             2.1.3.1 Eternal Pearl has the discretion to accept or reject the request for the Loan.

                                                恒明珠拥有酌情权接受或拒绝该贷款要求;

 

                             2.1.3.2 Upon acceptance of a request for a Loan, Eternal Pearl shall provide a term sheet or other document(s) (“Term Sheet”) to Client confirming the terms of the Loan as agreed between Client and Eternal Pearl, which shall be conclusive and binding on Client.

一旦接受贷款要求,恒明珠应提供合约细则或其它文件(合约细则)予客户以确认双方同意之贷款条款,该等贷款条款乃终论性的,并对客户具约束力;

 

                             2.1.3.3 Prior to the provision of a Loan by Eternal Pearl, Client shall provide to Eternal Pearl a deposit for the Loan, which shall form part of the proceeds for the Application, in the amount and on or before such time as specified in the Term Sheet. Client authorises Eternal Pearl to debit from any of his accounts with Eternal Pearl an amount representing the deposit, provided that Eternal Pearl may, at its discretion, require Client to pay sufficient monies to Eternal Pearl for the deposit.

                                                在恒明珠提供贷款之前,客户应先向恒明珠提供按金,此按金乃组成申购款项之一部份,金额及提供时限在合约细则内列明。客户授权恒明珠从其设于恒明珠的任何账户扣除一笔相当于按金的款项,但恒明珠可自行酌情要求客户支付足够款项给恒明珠作为按金;

 

                             2.1.3.4 Unless otherwise specified in the Term Sheet  除非合约细则内另有指明,否则︰

 

                                                (1) the amount of the Loan shall be the total price of the securities applied for in the Application less the amount of deposit provided by Client pursuant to this clause 2.1.3;

                                                         贷款之金额应相等于申购证券之总价格,再减去客户根据本2.1.3条付出之按金;

 

                                                (2) Client shall have no right to repay the Loan, in part or in full, prior to the date of repayment specified in the Term Sheet.

                                                         客户没有权利在合约细则中订明之偿还日期前偿还部份或全部贷款。

 

                             2.1.3.5 The rate of interest applicable to the Loan shall be specified in the Term Sheet

                                                适用于贷款的息率将在合约细则中订明;

 

                             2.1.3.6 Where Eternal Pearl receives any refund in respect of an Application, Eternal Pearl shall have the right, at its discretion, to apply the same or any part thereof in or towards the discharge of the Loan including any interest accrued thereon or to return the same or any part thereof to Client, whether before or after the date of repayment specified in the Term Sheet.

                                                凡恒明珠接获有关申购之退款,不论是在合约细则内订明的偿还日期之前或之后,恒明珠均有酌情权决定将全部或部份退款用以清还贷款包括其已累积之利息,或退回上述退款或其任何部份予客户。

 

                             2.1.3.7 In consideration of Eternal Pearl granting to Client the Loan, Client charges to Eternal Pearl, by way of fixed charge as a continuing security for the full repayment of the Loan and the accrued interest thereon, all the securities in or for the Account (“Interest in the Account”), which shall include, without limitation, all securities, all dividends and other distributions made or payable in respect of such securities, rights, monies or property of whatever nature accruing to or offered at any time by way of redemption, bonus, preference, options, purchase consideration or otherwise in right or in respect of the aforesaid securities and those securities acquired on behalf of Client by virtue of the Application in respect of which the Loan is provided. Subject to the Laws, Client authorises Eternal Pearl, for so long as the security created hereby continues, at its discretion and without notice to Client, to dispose of such Interest in the Account in settlement of Client’s liability to repay or discharge any financial accommodation provided by Eternal Pearl. Upon full repayment of the Loan and the accrued Interest thereon, Eternal Pearl shall discharge the security created hereby.

                                                作为恒明珠向客户发放贷款之代价,客户以第一固定押记的形式持续性地抵押予恒明珠,所有以下提述之证券作为对贷款及其累计利息全部偿还的保证.该等证券乃账户内或为账户的所有证券(账户利益)其中包括但不限于上述证券所衍生的所有证券、股息及其它分配,以及于任何时候以赎回、花红、优先股、认购权、购买代价或任何其它形式所产生之权利或就上述证券而产生或被提供的权利、金钱或任何形式的财产,以及透过贷款代表客户申购而购入的证券.在法例的规限下,客户授权恒明珠在此抵押仍持续时,得以酌情及不须通知客户,处置该等账户利益以支付客户要清偿或解除由恒明珠所提供的任何财务安排的责任.恒明珠于贷款及其累计利息全部清偿后,将解除于此产生之抵押。

 

2.1.3.8 Eternal Pearl shall have the additional rights set out in the First Schedule as if the Loan is granted under a Facility.

                                                     申购之贷款,尤如在财务安排下发放之贷款一样,因此,恒明珠将拥有列明于附件一内之权利。


 

THIRD SCHEDULE - SPECIAL RULES FOR OPTIONS TRADED ON THE STOCK EXCHANGE OF HONG KONG LIMITED

附件三 - 香港联合交易所有限公司有关期权交易之特别规则

 

 

1.         INTERPRETATION释义

 

1.1   In this Third Schedule, unless the context otherwise requires, the following words and expressions have the meanings set out below:

              在本附件三内,除非文意另有所指,下列语词将具以下定义︰

 

              SEOCH”                       means The Stock Options Clearing House Limited;

              期权结算所     指香港联合交易所期权结算所有限公司;

 

             Options Account” means an Account in respect of which Client deals in options contracts to which this Third Schedule applies;

              期权账户       指客户在期权合约交易中使用之账户,而本附件三之条款乃适用于该账户;

 

              Options Trading

         Rules”                          means the Options Trading Rules of the Stock Exchange as amended from time to time;

              期权交易规则 指联交所不时修订之期权交易规则;

 

              Margin”                         means cash and/or securities and/or other assets as may be agreed from time to time, as security for Client’s obligations to Eternal Pearl under this Third Schedule.

              保证金         指在本附件三下客户向恒明珠抵押其等不时同意之现金及/或证券及/或其它资产。

 

 

1.2   Without prejudice to Clause 1.3 below, terms and expressions defined in this Agreement shall have the same meaning in this Third Schedule unless the context otherwise requires.

              在不影响以下第1.3条之情况下,除非文意另有规定,否则本协议内所定义之词语在本附件三内意义相同。

 

1.3   Words and phrases not defined will have the meanings given to them in the Options Trading Rules and the Options Clearing Rules of SEOCH

              未被定义之词语及词句之定义,应根据期权交易规则及期权结算所之期权结算规则所赋予之意义为准。

 

1.4   References to clauses in this Third Schedule shall refer to clauses contained in this Third Schedule, unless the context otherwise requires

              除非文意另有所指,在本附件三内对于条款之提述,即指本附件三内之条款。

 

1.5   In the event of any inconsistency between the provisions of this Agreement and this Third Schedule, the provisions of this Third Schedule shall prevail.

              凡本协议条款与本附件三条款之间有任何不一致之处,以本附件三之条款为准。

 

 

2.         SPECIAL RULES FOR OPTIONS TRADED ON THE STOCK EXCHANGE

有关于联交所交易之期权之特别规则

 

2.1   This Third Schedule only applies to options contracts made pursuant to Rule 513 of the Options Trading Rules incorporating the terms and conditions applicable to such options contracts as specified by the Eternal Pearl from time to time as set out in the Options Trading Rules, and an Account in respect of which Client deals in such options contracts.

              本附件三仅适用于根据期权交易规则第513条所订立、当中包涵经联交所不时修订载于期权交易规则之条款及条件的期权合约,以及适用于客户用以交易该等期权合约之账户.

 

2.2   Eternal Pearl will keep information relating to an Options Account confidential, but may provide any such information to the Stock Exchange, the SFC, HKEx and SEOCH to comply with their respective requirements or requests for information.

              恒明珠将对有关期权账户之数据保密,只在交易所、证监会、香港交易及结算所有限公司及期权结算所之要求或请求下,提供该等数据。

 

2.3      Client confirms that客户确认︰

 

              2.3.1 Client is not employed by any other Options Exchange Participant of the Stock Exchange, and no employee of any other Options Exchange Participant will have a beneficial interest in the Options Account; and

                             客户不是联交所中任何其它期权交易所参与者之雇员,任何期权交易所参与者之雇员均不会在期权账户中拥有实益权益;及

 

              2.3.2 the Options Account is operated solely for Client’s account and benefit, and not for the benefit of any other person; or

                             期权账户只为客户及其利益而运作,并非为其它人士之利益;或

 

              2.3.3 Client has disclosed to Eternal Pearl in writing the name(s) of the person(s) for whose benefit the Options Account is being operated; or

                             客户已书面通知恒明珠客户代表其等利益运作期权账户之人士名单;或

 

              2.3.4 Client has requested Eternal Pearl to operate the Options Account as an Omnibus Account, and will immediately notify Eternal Pearl, on request, of the identity of any person(s) ultimately beneficially interested in Client Contracts.

                             客户已要求恒明珠以综合账户形式运作该期权账户,并会于恒明珠要求后立即通知恒明珠任何最终实益拥有客户合约权益之人士 的身份。

 

2.4      Laws and Rules 法例及规则︰

 

              2.4.1 All Exchange Traded Options Business shall be effected in accordance with all Regulations applying to Eternal Pearl. These include, without limitation, the Options Trading Rules, the Options Clearing Rules of SEOCH and the rules of CCASS. In particular, SEOCH has authority under the Regulations to make adjustments to the terms of Contracts, and Eternal Pearl shall notify Client of any such adjustments which affect Client Contracts to which Client is a party. All actions taken by Eternal Pearl, by SEOCH or by CCASS in accordance with such Regulations shall be binding on Client.

                                  所有在交易所交易的期权业务应按所有对恒明珠适用之监管规则而成立。当中包括但不限于期权交易规则、期权结算所的结算规则及香港结算公司的规则。尤其,期权结算所有权按照监管规则修改合约之条款,而恒明珠应通知客户有关影响客户一方之合约修改。由恒明珠、联交所、期权结算所或香港结算公司按照监管规则采取之任何行动均对客户有约束力。

 

              2.4.2 All the rights and authority of Eternal Pearl or the members of the Group pursuant to this Third Schedule shall be subject to the Regulations but without limitation to any other rights and remedies which Eternal Pearl or any member of the Group may have.

                             在本附件三赋予恒明珠之任何权利及权力均须遵照监管规则,但不影响恒明珠或任何集团成员拥有之其它权利及补偿权。

 

              2.4.3 Client agrees that the terms of the Standard Contract for the relevant options series shall apply to each Client Contract between Eternal Pearl and Client in relation to those options series, and that all Client Contracts shall be created, exercised, settled and discharged in accordance with the Regulations.

                             客户同意有关于相关的期权系列之标准合约条款均适用于客户与恒明珠之间就该等期权系列订立之每一客户合约,并所有客户合约均按监管规则设立、行使、结算及解除。

 

 

2.5      Margin 保证金︰

 

2.5.1 Client agrees to provide Eternal Pearl with Margin, the form of which may be agreed from time to time, as security for Client’s obligations to Eternal Pearl under this Third Schedule. Such Margin shall be paid or delivered as demanded by Eternal Pearl from time to time. The amounts required by way of Margin shall not be less than, but may exceed, the amounts as may be required by the Regulations in respect of Client’s open positions and delivery obligations, and further Margin may be required to reflect changes in market value.

               客户同意为在本附件三项下之责任向恒明珠提供保证金,其形式由双方不时同意决定。该等保证金应在恒明珠不时要求下支付或交付。保证金需要的数额不可少于,但可多于,就客户持有之未平仓合约或交付责任按监管规则所订明之数额,及保证金可能被要求添加,藉以反映市值之变化。

 

              2.5.2 If Eternal Pearl accepts securities by way of Margin, Client will on request provide Eternal Pearl with such authority as Eternal Pearl may require under the Regulations to authorise Eternal Pearl to deliver such securities, directly or through another Options Exchange Participant, to SEOCH as SEOCH Collateral in respect of Exchange Traded Options Business resulting from Client’s instructions to Eternal Pearl. Except as otherwise provided or unless otherwise authorised by Client, Eternal Pearl does not have any further authority from Client to borrow or lend Client’s securities or otherwise part with possession (except to Client or on Client’s instructions) of any of Client’s securities for any other purpose.

                             倘若恒明珠接受以证券作为保证金,客户在接获请求时须向恒明珠提供监管规则要求恒明珠须有之授权,致使恒明珠有权,直接或透过另一期权交易所参与者交付该等证券予期权结算所,以作为关于在交易所交易的期权业务(因客户指令恒明珠)之联交所期权结算所抵押品.除另有订明外或除非客户另有授权,恒明珠不具有客户任何其它进一步授权,以任何目的,借入或借出客户之证券,或以其它方式放弃管有客户之证券(除非交予客户或按客户之指示)

 

              2.5.3 If Eternal Pearl has not received SEOCH Collateral due from Client promptly, Eternal Pearl may treat Client as being in default. Eternal Pearl may require Client to maintain SEOCH Collateral with Eternal Pearl in advance of accepting instructions from Client or may impose other requirements for the collection of SEOCH Collateral as Eternal Pearl thinks fit.

                             若恒明珠并无如期收到客户应付的联交所期权结算所抵押品,恒明珠可当客户违约处理。恒明珠可于接受客户的指示之前,预先要求客户在恒明珠维持联交所期权结算所抵押品,或为收取联交所期权结算所抵押品,施加恒明珠认为合适的其它要求。

 

              2.5.4 Eternal Pearl is authorised to deposit any cash balance in any of Client’s Options Account with any licensed bank which Eternal Pearl considers appropriate. Eternal Pearl shall be entitled to retain any benefit resulting from such deposit.

                             恒明珠可将客户之任何期权账户的现金结余存入恒明珠认为合适的任何持牌银行,恒明珠有权保有该等存款洐生之任何利益。

 

2.6      Client Default客户违约︰

 

              2.6.1 Without prejudice to Clause 16 of this Agreement, if Client fails to comply with any of its obligations and/or to meet its liabilities under this Third Schedule, including but not limited to failure to provide Margin, and/or in any way commit default of Client’s obligations under the Options Trading Rules, Eternal Pearl may without prior notice to Client:

                             在不影响本协议第16条之情况下,倘若客户未能遵循任何在本附件三下之责任及/或承担任何债务,其中包括但不限于未能提供保证金,及/或以任何方式违反期权交易规则下客户应遵守之责任,恒明珠可以在不通知客户之情况下︰

 

                             2.6.1.1 decline to accept further instructions from Client in respect of Exchange Traded Options Business;

                                                拒绝接受客户有关在交易所交易的期权业务之进一步指示;

 

                             2.6.1.2 close out, give-up or exercise some or all of its Client Contracts with Eternal Pearl;

                                                平仓、过户或行使部份或所有客户与恒明珠之间之客户合约;

 

                             2.6.1.3 enter into Contracts, or into transactions in securities, futures or commodities, in order to settle obligations arising or to hedge the risks to which Eternal Pearl is exposed in relation to Clients failure;

                                                订立合约或证券、期货或商品交易,藉此清偿因客户违约而产生的责任,或对冲恒明珠因客户未能遵行责任或清偿债务而须承受的风险;

 

                             2.6.1.4                dispose of Margin, and apply the proceeds thereof to discharge Client’s liabilities to Eternal Pearl; and/or

                                                处置保证金,并将所得收益用以付还客户亏欠恒明珠之债务;及/

 

                             2.6.1.5                dispose of any or all securities held for or on behalf of Client in order to set off any of its obligations and to exercise any rights of set off Eternal Pearl may have in relation to Client.

                                                处置任何或所有为客户持有或代表客户持有之证券,以抵销客户之任何责任及行使任何恒明珠享有与客户有关之抵销权利。

 

                             Any proceeds remaining after discharge of all Client’s liabilities to Eternal Pearl shall be paid to Client.

                             客户清偿所有拖欠恒明珠债务之后,任何所余收益应支付予客户。

 

              2.6.2 Client agrees to pay interest on all overdue balances (including interest arising after a judgment debt is obtained against Client) at such rates and on such other terms as Eternal Pearl has notified to Client from time to time. Client agrees that Eternal Pearl shall be entitled (but not obliged), at any time and from time to time, without prior notice, to debit the Account with Eternal Pearl and/or any other account(s) of Client with other member(s) of the Group with any interest due and payable by Client in accordance with this clause 2.6.2 and Client undertakes to, immediately upon demand by Eternal Pearl, do such act(s) and/or execute such document(s) as may be required by Eternal Pearl at any time and from time to time in order to give full effect to each such debit.

                             客户同意支付按恒明珠不时通知客户之息率及其它条款计算之所有逾期付款之利息(包括获得针对客户的判定债项后产生之利息)。恒明珠可(及现获授权)不时并无须事先通知从恒明珠处开立之任何账户或客户在其它一个或多个集团成员处的任何一个或多个账户内扣除客户按本2.6.2条款应付之任何利息及客户承诺应恒明珠之要求立即作出及/或签署恒明珠可能随时及不时要求之行动及/或文件,以使每一项该等扣除全面生效。

 

2.7      Contracts 合约︰

 

              2.7.1 In respect of all Contracts effected on Client’s instructions, Client will pay Eternal Pearl, within the time period notified by Eternal Pearl, the relevant premium, Eternal Pearl’s commission and any other charges, and applicable levies imposed by the Stock Exchange, as have been notified to Client. Eternal Pearl may deduct the relevant premium, commissions, charges and levies from the Options Account.

                             根据客户指示订立之所有合约,客户须在恒明珠所通知之期限内支付已通知客户之期权金、恒明珠之佣金及任何其它费用,以及联交所之适用征费予恒明珠。恒明珠亦可在期权账户中扣除该等期权金、佣金、费用及征费。

 

2.7.2 Eternal Pearl may place limits on the open positions or delivery obligations that Client may have at any time. Client acknowledges that:

                             恒明珠可限制客户在任何时候持有之未平仓合约或交付责任,客户确认︰

 

                             2.7.2.1                Eternal Pearl may be required to close out Client Contracts to comply with position limits imposed by the Stock Exchange; and

                                                恒明珠可能被要求把客户合约平仓以符合联交所设下之持仓限制;

 

                             2.7.2.2                if Eternal Pearl goes into default, the default procedures of the Stock Exchange may result in Client Contracts being closed out, or replaced by Client Contracts between Client and another Options Exchange Participant of the Stock Exchange.

倘若恒明珠违反约定,联交所之违约程序可能导致客户合约被平仓或被另一份客户与联交所之其它期权交易所参与者之间之客户合约所替代。

 

              2.7.3 At Client’s request, Eternal Pearl may agree to the Client Contracts between Eternal Pearl and Client being replaced, in accordance with the Regulations, by Client Contracts between Client and another Options Exchange Participant of the Stock Exchange.

                             在客户之要求下,恒明珠可能会同意把与客户订立之客户合约在依据监管规则下,被客户与联交所之其它期权交易所参与者之间之客户合约所替代。

 

              2.7.4 On exercise of a Client Contract by or against Client, Client will perform its delivery obligations under the relevant contract, in accordance with the Standard Contract and as Client has been notified by Eternal Pearl.

                             行使客户合约之时,客户应按标准合约及恒明珠对客户之通知,履行在有关合约下的交付责任。

 

              2.7.5 The Client shall be responsible for notifying the Stock Exchange or other relevant Regulators in the event that Client holds a reportable position (as defined in the Securities and Futures (Contract Limits and Reportable Positions) Rules (Chapter 571Y of the Laws of Hong Kong) or other applicable rules or regulations).

                             当客户持有须申报之持仓量(按证券及期货(合约限量及须申报的持仓量)规则(香港法例第571Y)或其它适用之规则或规例中之定义),客户须负责通知联交所或其它有关规管机构。

 

              2.7.6 Client acknowledges that, subject to the provisions of the SFO and any other laws, Eternal Pearl may take the opposite position to Client’s order in relation to any exchange traded options contract(s), whether on Eternal Pearl’s own account or for the account of any member of the Group or their respective officers, employees or representatives or other clients of Eternal Pearl or any member of the Group, provided that the trading is executed competitively on or through the facilities of the Stock Exchange in accordance with the rules, regulations and procedures of the Stock Exchange or the facilities of any other commodity, futures or options exchange in accordance with the rules and regulations of such other exchange.

                                客户确认,在遵循证券及期货条例及其它法律之前提下,恒明珠可就有关在交易所交易之任何期权交易合约,采取与客户指令相反之仓盘,不论是为了恒明珠本身之账户、任何集团成员之账户或其等职员、雇员或代表,或恒明珠或任何集团成员之其它客户之账户而作出的;惟有关交易应根据联交所的规则、规例及程序透过联交所的设施、或根据任何其它商品、期货、期权交易所的规则或规例透过其设施具竞争性地予以执行。

 

              2.7.7 Without prejudice to Clause 16 of this Agreement, when Eternal Pearl exercises any of Eternal Pearl’s rights:

                             在不影响本协议第16条之情况下,凡恒明珠行使任何权利︰

 

                             2.7.7.1                under Clauses 2.6.1 or 2.7.2 of this Third Schedule by closing or giving-up all or any positions in Client’s Options Account;

                                                按本附件三之第2.6.1条或第2.7.2条把任何在客户期权账户内之持仓平仓或过户;

 

                             2.7.7.2 under any other clauses in this Third Schedule by closing-out all or any positions or sale or purchase of commodities in any accounts which Eternal Pearl or any member of the Group may carry on Client’s behalf or maintain with Client;

                                                按本附件三之其它任何条款对恒明珠或任何集团成员代表客户或为客户维持之所有或任何持仓平仓或沽出或买入商品;

 

     2.7.7.3 such closing or giving-up or closing out or sale or purchase (in this clause 2.7.7 referred to as the “transactions”);

                                                该撤销或过户或平仓或沽出或买入(在本2.7.7条称为「交易)

 

                             2.7.7.4 may be made on any exchange or market where the transactions are usually transacted; or

                                                可在任何以上交易通常会交易的文易所或市场执行;或

 

                             2.7.7.5 in such manner as shall be decided by Eternal Pearl.

                                以恒明珠决定之方式执行。

 

Client agrees that in respect of the transactions, Eternal Pearl shall not be liable for any resulting loss. Without prejudice to the foregoing, Client shall not make any claim against Eternal Pearl concerning the manner or timing of the transactions. Client understands that in all cases, Eternal Pearl has the right to exercise closing, closing out or giving up without demand or notice. A prior demand or call or notice of such closing, closing out or giving up shall not be considered as a waiver of Eternal Pearl’s above-mentioned rights.

客户同意,恒明珠并不负责任何关于交易而招致之损失。在不影响以上文之情况下,客户不能就交易方式及时间而向恒明珠提出申索。客户理解在任何情况下,恒明珠均可行使撤销、平仓或过户之权利,而毋须提出要求或通知。有关撤销、平仓或过户之事前要求、催缴及通知,将不会被当作是恒明珠放弃以上提述之权利。

 

2.8      General概则︰

 

              2.8.1 Client acknowledges that, although all Options Contracts are to be executed on the Stock Exchange, Client and Eternal Pearl shall contract as principals under Client Contracts.

                             客户确认,纵使所有期权合约均在联交所中执行,客户及恒明珠乃以当事人身份订立客户合约。

 

              2.8.2 Eternal Pearl agrees to provide Client, upon request, with (i) the product specifications for Options Contracts and any prospectus or other offering document covering such Options Contracts and (ii) the HKEx’s booklet “Understanding Stock Options (and their Risks)”.

                              恒明珠同意在客户要求下向客户提供(i)期权合约之产品细则及任何涵盖该等期权合约之发行章程或其它发售文件;(ii)香港结算之小册子<理解股票期权(及其风险)>

 

              2.8.3 If Eternal Pearl fails to meet Eternal Pearl’s obligations to Client pursuant to this Third Schedule, Client shall have a right to claim under the Compensation Fund established under the SFO, subject to the terms of the Compensation Fund from time to time.

                             倘若恒明珠未能履行按本附件三下对客户之责任,客户有权依据赔偿基金之不时条订的条款,向证券及期货条例下成立之赔偿基金申索。

 

              2.8.4 Client understands that on the expiry day but only on the expiry day, the Options System will automatically generate exercise instructions in respect of all open long positions which are in-the-money by or above the percentage prescribed by SEOCH from time to time.

                             客户理解在有效到期日,但仅在有效到期日当天,期权系统将自动发出有关所有在价内等如或高于期权结算所不时所定比率之长仓并未平仓合约之行使指示。

 

              2.8.5 Client may instruct Eternal Pearl to override an “automatically generated exercise instruction” referred to in Clause 2.8.4 above before the System Closure on the expiry day in accordance with the Operational Clearing Procedures of SEOCH.

                             客户可以根据期权结算所订立之结算运作程序,在有效到期日系统终止之前,指示恒明珠撤销在第2.8.4条中提及之”自动发出之行使指示”。

 

2.9   Others 其它︰

 

Eternal Pearl shall designate a representative to be primarily responsible for Client’s affairs. Client shall be notified of the name of that representative and such particulars of the licence of that representative as required by the applicable Laws. Eternal Pearl may, in its absolute discretion, at any time and from time to time, designate another representative of its to replace the first-mentioned representative and such replacement will be effective on such date as conclusively determined by Eternal Pearl. Any information provided pursuant to this Clause 2.9 shall form part of this Agreement.

恒明珠将指定一位雇员主要负责客户事务。该雇员的全名及适用法律要求之该雇员的牌照详情将通知客户。恒明珠可按其绝对酌情权,随时及不时指定恒明珠的其它一位雇员替代首先提及之雇员,并且该替代将由恒明珠终论地决定的日子当日起生效。按本第2.9条款所提供之任何数据将成为本协议之一部份。


 

 

FOURTH SCHEDULE - CLIENT IDENTIFICATION

附件四 - 客户身份确认

 

 

1.         INTERPRETATION释义

 

              1.1 Terms and expressions defined in this Agreement shall have the same meaning in this Fourth Schedule unless the context otherwise requires. References to clauses in this Fourth Schedule shall refer to clauses contained in this Fourth Schedule, unless the context otherwise requires.

本协议所定义之词语与本附件四所述之意义相同,除非文意另有所指。本附件四所指的条款是指本附件四所包含的条款,除非文意另有所指。

 

    1.2 In the event of any inconsistency between the provisions of this Agreement and this Fourth Schedule, the provisions of this Fourth Schedule shall prevail.

                                                如果本协议条款与本附件四条款之间有任何不一致,则以本附件四条款为准。

 

 

2.     Client shall immediately upon Eternal Pearl’s request and within two (2) days (or such other time period as may be specified by Eternal Pearl) provide to Eternal Pearl and/ or a Regulator information (including, without limitation, details of identity, address, occupation, contact details and/or in the case of a corporate entity, nature and scope of business activities, source of funds, business structure, shareholdings and other information) relating to the ultimate beneficial owner(s) of the Account and/or the person(s) ultimately responsible for the giving of instructions in relation to any transaction or in relation to any dealings with any securities or investments in the Account.

              在恒明珠提出要求之后立即并须在2日内(或者在恒明珠所规定的其它限期内),就有关账户最终受益持有人及/或就任何交易、或就账户之任何证券或投资交易作出指示的最终负责人士,客户须向恒明珠及/或监管机构提供数据(包括但不限于详细的身份、地址、职业、联络详情及/或倘属公司实体,其业务性质及经营活动范围、资金来源、业务架构、股权及其它数据)

 

 

3.     If Client operates the Account or effects any transaction for a collective investment scheme, discretionary account or trust, Client shall:

              如果客户为集合投资计划、全权委托账户或信托进行账户操作或交易,客户应当︰

 

              3.1 immediately upon Eternal Pearl’s request and within two (2) days (or such other time period as may be specified by Eternal Pearl) provide to Eternal Pearl and/ or a Regulator the name, address and contact details of such scheme, account or trust and, if applicable, the identity, address, occupation or business structure and contact details of the person who, on behalf of such scheme, account or trust, ultimately originated the instruction to Client to operate the Account and/or effect the transaction; and

              在恒明珠提出要求之后立即并须在2日内(或者在恒明珠所规定的其它限期内),向恒明珠及/或监管机构提供该计划、账户或信托之名称、地址、联络详情,以及(如适用)代表该计划、账户或信托向客户发出操作账户及/或交易之指令而该指令乃最终源自一人士,该人士之身份、地址、职业或业务架构以及联络详情;以及

 

              3.2 as soon as practicable, inform Eternal Pearl when Client’s discretion or power to operate the Account or to invest on behalf of such scheme, account or trust has been overridden, revoked or terminated. In such case, Client shall, immediately upon Eternal Pearl’s request and within the time specified by Eternal Pearl, provide to Eternal Pearl and/or a Regulator the identity, address, occupation and contact details of the person who has given such overriding instruction or notice of revocation or termination.

              在客户代表该计划、账户或信托进行账户操作或投资的酌情权或权力被推翻、撤销或终止时,在切实可行的情况下尽快通知恒明珠.在如此的情况下,客户须在恒明珠提出要求的情况下并于恒明珠所指定的限期内,实时向恒明珠及/或监管机构提供有关推翻指示或发出撤销或终止通知的人士之身份、地址、职业及联络详情。

 

 

4.     If Client does not know the information referred to in clauses 2 and 3 above, Client shall confirm that:

              如果客户并不知悉上面第2及第3条所述数据,客户必须确认︰

 

              4.1 Client has arrangements in place which would entitle Client to obtain and provide to Eternal Pearl and/or a Regulator upon its request all such information or to procure that such information be so obtained within two (2) days;

              客户经已制定相关安排,可以在恒明珠及/或监管机构提出要求之时立即取得并向其/其等提供所有该等数据或在恒明珠及/或监管机构提出要求2日内促致取得该等资料;

 

              4.2 Client shall, upon Eternal Pearl’s request, immediately obtain all such information from any relevant third party, and provide that information to Eternal Pearl and/or a Regulator within two (2) days or such other time period as may be specified by Eternal Pearl and/or the Regulators; and

              客户须根据恒明珠的要求实时从任何相关第三者取得所有该等数据,并于2日内或恒明珠及/或监管机构所规定的其它限期之内向恒明珠及/或监管机构提供所述数据;以及

 

              4.3 Eternal Pearl may, pending receipt by it and/or by a Regulator of such information, or if such information is not received within two (2) days or such other the time period as may be specified by Eternal Pearl and/or the Regulators, decide in its absolute discretion and at any time, not to act (even if such declining may result in any loss) or not to give effect to any of Client’s instructions and/or to suspend or terminate the effecting of any transaction or the operation of the Account.

              在恒明珠及/或监管机构收到该等数据之前,或者恒明珠及/或监管机构未能在2日内或在其/其等规定的其它限期之内收到该等数据,恒明珠可以根据其绝对酌情权,随时拒绝执行客户任何指示(即使拒绝执行指示可能引致损失)/或暂停或终止任何交易或账户操 作。

 

 

5.     Client confirms that Client is not subject to any Regulations, or any law of any relevant jurisdiction, which prohibits Client’s performance of the obligation under this Fourth Schedule or, if Client is subject to such Regulations and/or such law, that Client or Client’s own customers, as the case may be, has or have waived the benefit of such Regulations and/or such law or consented in writing to the performance by Client of the obligations under this Fourth Schedule. Client confirms that such waivers are valid and binding under the laws of all relevant jurisdictions.

              客户确认,并无任何监管规则或任何相关司法管辖区之任何法律禁止客户履行本附件四所规定之责任,或者虽然客户受到有关监管规则及/或有关法律所约束,但客户或客户本身的客户(视乎情况而定)经已放弃有关监管规则及/或有关法律所赋予的利益,或者已书面同意客户履行本附件四所规定之责任。客户确认该放弃,在所有相关司法管辖区的法律之下是有效的并具有约束力。

 

 

6.     The Client’s obligation to provide information under this Fourth Schedule shall continue in full force and effect notwithstanding the termination of this Agreement.

              本协议终止后,客户根据本附件四提供数据的责任将继续具有十足效力及作用。


 

FIFTH SCHEDULE - PERSONAL DATA

附件五 - 个人数据

 

 

1.     INTERPRETATION释义

 

1.1      Terms and expressions defined in this Agreement shall have the same meaning in this Fifth Schedule unless the context otherwise requires. References to clauses in this Fifth Schedule shall refer to clauses contained in this Fifth Schedule, unless the context otherwise requires.

本协议所定义之词语及与本附件五所述之意义相同,除非文意另有所指。本附件五所指的条款是指本附件五所包含的条款,除非文意另有所指。

 

1.2      In the event of any inconsistency between the provisions of this Agreement and this Fifth Schedule, the provisions of this Fifth Schedule shall prevail.

                      如果本协议条款与本附件五条款之间有任何不一致,则以本附件五条款为准。 

 

2.         From time to time, it shall be necessary for Client to supply Eternal Pearl with data (including “personal data” as defined in the Personal Data (Privacy) Ordinance as amended from time to time) in connection with the establishment or continuation of accounts or the provision of services by Eternal Pearl and generally Client’s relationship with Eternal Pearl in Hong Kong. This may include but will not be limited to information obtained in relation to Client’s identity (name, date of birth, passport/identity card number, address(es), marital status, education level and employment information), as well as information collected for the purposes of ascertaining Client’s financial profile, risk appetite, income (including sources of income) and net worth. Failure to supply, or to allow Eternal Pearl to use or disclose, such data may result in Eternal Pearl being unable to provide, or continue to provide any of the above facilities or services to or for Client in Hong Kong or elsewhere.

关于账户之开立或延续,或者恒明珠所提供之服务以及一般性就于香港客户与恒明珠之关系,客户有必要不时向恒明珠提供数据(包括不时修订的<个人资料(私隐)条例>(香港法例第486)所定义之个人数据)。这可能包括但将不限于所获取的与客户身份(姓名、出生日期、护照/身份证号码、地址、婚姻状况、教育水平和就业信息)相关的信息,以及为确定客户的财务状况、风险偏好、收入(包括收入来源)和净资产而收集的信息。如果无法提供或容许恒明珠使用或者披露该等数据,可能导致恒明珠无法在香港或其它地方向或为客户提供或继续提供上述任何设施或服务。

 

3.         The purposes for which data may be collected, used and/or disclosed by Eternal Pearl (whether before or after the termination of Client’s relationship with Eternal Pearl) are set out as follows:

恒明珠可能基于下列目的收集、使用及/或披露数据(不论在客户终止与恒明珠的关系之前或之后亦然)

 

3.1      the processing of applications for, and daily operation of services provided to Client or to other persons for whom Client acts as guarantor or for whom Client provides third-party security;

处理客户、客户作为其/其等担保人或向其/其等提供第三方抵押的其它一位或多位人士所提出的服务申请,或向客户或该/该等人士所提供服务的日常运作;

 

3.2 customer relationship management (including but not limited to loyalty programs or privileges and rewards schemes);

             客户关系管理(包括但不限于忠诚客户计划、优惠及奖励计划)

 

3.3 conducting, seeking or obtaining credit checks, matching procedures, data verification, due diligence and risk management;

           执行、寻求或取得信用审查、核对程序、数据确认、尽职审查以及风险管理;

 

3.4   assisting other financial institutions to conduct credit checks and collect debts;

                            协助其它金融机构进行信用审查及追讨债务;

 

3.5   ensuring Client’s or any surety’s ongoing creditworthiness;

                            确保客户或任何担保人维持可靠信用;

 

         3.6    maintaining Client’s or any surety’s credit history for present and future reference;

                             维持客户或任何担保人的信用记录作为现在或将来参考之用;

 

         3.7 improving, enhancing, designing or launching existing or new financial services or related products for Client’s use (including, where appropriate, providing Client with financial advice);

                  改善、加强、设计或发行供客户使用的现有的或新的金融服务或相关产品(包括在适当的情况下向客户提供财务意见)

 

         3.8 if Client has consented (including an indication of no objection) to the use of Client’s personal data for direct marketing purposes by members of the Group and/or entities outside the Group in the Account Application, or otherwise marketing the following goods, products, services and facilities:

                                                倘客户在账户申请时或在其它情况已同意(包括不反对之暗示)集团成员及/或集团以外的实体使用客户个人数据以作直接促销的用途,,藉向客户推广下列货品、产品、服务和设施︰

             

                             3.8.1 Financial services;

                                            金融服务;

             

                             3.8.2 Related investment products;

                                            相关投资产品;

             

                             3.8.3 Financial and investment advice;

                                            金融与投资建议;

             

                             3.8.4 Client relationship management services;

                                            客户关系管理服务;

             

                             3.8.5 Client credit protection and maintenance services; or

                                            客户信用的保护和维护服务;或

             

                             3.8.6 Any other related goods, products or services that Eternal Pearl or a member of the Group may develop under paragraph 3.7 of this Fifth Schedule, unless Client instructs Eternal Pearl otherwise, and seeking or obtaining the same;

                              除非客户对恒明珠另有指示,任何恒明珠或本集团成员公司可根据本附件五第3.7段发展其它相关的产品或服务,及寻求或取得该等产品或服务;

 

         3.9   determining the amount of indebtedness owed to or by Client or any surety;

                             决定客户或任何担保人与恒明珠之间的债务数额;

 

              3.10             collecting of amounts outstanding from Client or any surety;

                             向客户或任何担保人追收欠款;

 

              3.11             meeting any requests or requirements to make disclosure under the Laws;

                             满足法例所提出的资料披露请求或要求;

 

              3.12             enabling an actual or proposed assignee of Eternal Pearl in connection with merger, amalgamation, reconstruction or otherwise to evaluate the transaction intended to be the subject of the assignment;

                                                使恒明珠在合并、并合、重组或其它情况下的实际或建议承让人对拟作转让的交易进行评核;

 

              3.13             any other purpose disclosed in the website(s) of Eternal Pearl or a member of the Group from time to time;

                             任何其它在恒明珠或本集团成员公司网站上不时披露的用途;

 

              3.14             commencing, defending or otherwise participating in any legal or administrative proceedings or inquiry before any court or competent authority;

                             在任何法院或主管当局展开或进行答辩或以其它形式参与任何法律或行政程序;

 

              3.15             satisfying any requirements under the codes on takeovers and mergers and share repurchases issued by the SFC (as amended from time to time) and/or any other applicable Laws and/or Regulations in relation to takeovers in Hong Kong and/or any part of the world;

                                                遵守证监会颁布(并不时修订)的公司收购、合并及股份购回守则及/或香港及/或世界任何地方有关收购之任何其它适用法例及/或监管规则的任何要求;

 

              3.16                             seeking or obtaining administrative, telecommunications, computer, payment, debt collection or securities clearing, custodian, market data provision, audit, banking, financing, insurance, business consulting, outsourcing, or other services to Eternal Pearl in connection with the operation of its business; and

                           寻求或取得的行政、电讯、计算机、付款、债务追讨或证券结算、托管、提供市埸资料、审计、银行、财务安排、保险、业务咨询、外判服务或其它予恒明珠的与其业务经营相关的服务;以及

 

              3.17             any other lawful purpose directly or indirectly relating or incidental to any of the above.

                             任何与上述直接或间接有关或附带的用途。

 

4.         Data held by Eternal Pearl relating to Client, any surety and/or the Account shall be kept confidential but Eternal Pearl may, at its sole discretion, provide such information to the following persons for direct marketing purposes (where consented (including an indication of no objection) by Client) or any other purposes permitted by this Fifth Schedule:

恒明珠所持有关于客户、任何担保人及/或账户的数据必须保密,惟恒明珠可以根据其独有酌情权向下列人士提供该等数据作直接促销用途(当客户同意(包括不反对之暗示))或附件五所允许的任何其它用途︰

 

              4.1   any agent, contractor or third party service provider (whether in Hong Kong or elsewhere) who provides administrative, telecommunications, computer, payment, debt collection or securities clearing, custodian, market data provision, audit, banking, financing, insurance, risk management, business consulting, outsourcing, customer relationship management, marketing or other services to Eternal Pearl in connection with the operation of its business;

                             任何向恒明珠提供行政、电讯、计算机、付款、追讨债务、证券结算、托管、提供市埸资料、审计、银行、财务安排、保险、风险管理、业务咨询、外判服务、客户关系管理、营销或其它恒明珠业务运作相关服务的代理人、承办商或第三方服务供货商(不论在香港或其它地方)

 

              4.2   any branch or office of Eternal Pearl or any member of the Group, whether in Hong Kong or elsewhere;

                             在香港或其它地方的恒明珠分支机构、办事处或在香港或其它地方的任何集团成员;

 

              4.3   any person acting or proposing to act as surety;

                             作为担保人或拟作为担保人的任何人士;

 

              4.4   any person under a duty of confidentiality to Eternal Pearl (or any member of the Group) or who has undertaken to keep such information confidential;

                             对恒明珠(或任何集团成员)负有保密责任或者经已承诺对该等资料保密的任何人士;

 

              4.5   any financial institution with which Client has or proposes to have dealings;

                             与客户进行交易或拟作交易的任何金融机构;

             

              4.6   credit reference agencies and, in the event of default, to debt collection agencies;

                             信贷数据服务机构;如果客户欠账,可将数据提供予债务追讨机构;

            

              4.7   the drawee bank providing a copy of a paid cheque (which may contain information about the payee) to the drawer;

                             向出票人提供已付款支票副本(其中可能载有收款人资料)的付款银行;

 

              4.8   any actual or proposed assignee or transferee of Eternal Pearl;

                             恒明珠任何实际或提议的承让人或受让人;

 

              4.9   any person or entity who has established or proposes to establish any business relationship with Eternal Pearl or the recipient of the data; and

                                                与恒明珠经已建立或拟建立任何业务关系的任何人士或实体或数据接受人;及

             

              4.10             any person in accordance with the Laws or Regulations including through or pursuant to any rules, judgment, decision or ruling of the courts, arbitral tribunals, Financial Dispute Resolution Centre Limited, governmental, regulatory or other bodies or institutions, whether as required by the Laws and Regulations that are applicable to any member of the Group, or otherwise, or any company issuing a notice under section 329 of the SFO.

                             符合法例或任何监管规则(包括通过或根据法院、仲裁庭、金融纠纷调解中心有限公司、政府、监管或其它团体或机构的任何规则、判决、决定或裁决)的任何人士,不论是根据法律或监管规则适用于任何集团成员的规例或其它规定之要求或其它情况;或者发出<证券及期货条例>329条所指通知的任何公司。

 

5.         Client agrees that data may be transferred overseas pursuant to the provisions of this Fifth Schedule.

客户同意,有关数据可以根据本附件五的条款转移到海外。

 

6.     Client acknowledges and accepts the risks that the information disclosed pursuant to this Fifth Schedule may be subject to further disclosure by the recipient to other parties in accordance with the laws of the country in which the recipient is located. Such laws may be wider in scope and implemented under less restrictive terms than would otherwise be the case in Hong Kong due to difference in applicable laws and regulations.

                客户确认并接受,根据本附件五作出数据披露的风险可能包括接收人根据其所在国家之法律向其它人士披露资料。而由于适用法律及规例的不同, 与香港的情况相较,有关法律的适用范围可能较广,其执行亦可能较宽松。

 

7.     Client agrees to allow Eternal Pearl to disclose Client’s data for the purposes and to those persons as set out in this Fifth Schedule and to use such data pursuant to this Fifth Schedule.

              客户同意容许恒明珠可为本附件五所列之目的及向于本附件五所列人士披露客户数据及可按本附件五使用该等数据。

 

8.     Where Client supplies Eternal Pearl with any data (including personal data), Client represents and warrants to Eternal Pearl that Client has taken all action necessary to authorise the disclosure of such data to Eternal Pearl and the use by Eternal Pearl of such data pursuant to this Agreement.

              当客户向恒明珠提供任何数据(包括个人数据),客户向恒明珠陈述、声明并保证,客户经已采取一切必要行动获授权可向恒明珠披露及容许恒明珠可按本协议使用该等数据。

 

9.         Client may request to ascertain whether Eternal Pearl holds Client’s personal data and Eternal Pearl’s policies and practices in relation to personal data. Further, Client may request access to and correction of Client’s personal data. Client also has the right to be informed about the kind of personal data held by Eternal Pearl and which items of data Eternal Pearl routinely discloses to credit reference agencies, and to be provided with further information to enable the making of a data access and correction request to the relevant credit reference agency. Any requests should be made in writing with fourteen (14) day advance notice to the Compliance Department, 19/F, No. 88 Gloucester Road, Wanchai, Hong Kong or such other address as Eternal Pearl may subsequently notify from time to time. Eternal Pearl may charge a reasonable fee for processing any data access request.

客户可要求确定恒明珠是否持有客户的个人数据及关于个人数据恒明珠之政策及实务。再者,客户可以查询及更改客户个人数据。客户亦有权了解恒明珠持有的个人资料之种类及恒明珠常规性地向信贷数据服务机构所披露的数据项,并有权获得进一步的数据,以便向相关信贷数据服务机构作出查询及更改数据的要求。任何有关要求应提前14日以书面通知恒明珠合规部主管,地址为香港湾仔告士打道8819楼或恒明珠日后所公布之其它地址。恒明珠可能会收取合理费用,以处理任何查阅数据之要求。

 

10.      Where Eternal Pearl grants any credit facilities to Client or to another person for whom Client acts as guarantor, in the event that Client or the borrower defaults in repayment for a period exceeding sixty (60) days or such other period as prescribed by the laws or the relevant Regulators from time to time, data (which has been provided by Eternal Pearl to the relevant credit reference agency) may be retained by that credit reference agency until the earlier of the expiry of five (5) years from the date of final settlement of the amount in default and five (5) years from the date of Client’s discharge from bankruptcy as notified to that credit reference agency. In the event of termination of the relevant account by full repayment and on condition that there has not been, within five (5) years immediately before account termination, any material default on that account, Client may instruct Eternal Pearl to make a request to the relevant credit reference agency to delete from its database any account data relating to the terminated account but such instruction should be given within five (5) years after account termination.

当恒明珠提供财务安排予客户或客户作为其担保人的另一名人士时,倘若客户或借款人拖欠还款超过60日或者法律或相关监管机构不时规定的其它期限,有关信贷资料服务机构可以保留恒明珠向其提供之资料直至欠款最终清偿之日起计5年届满为止或该信贷资料机构接获客户解除破产通知之日起计5年届满为止,以较早的日期为准。倘相关账户因全数还款而结束,及若在账户结束前5年为没有重大欠账;则客户有权指示恒明珠向有关信贷资料服务机构提出请求将关于已结束账户之任何账户资科从其数据库内删除,但该指示须于账户结束后5年内作出。

 

11.      Without limiting the other provisions of this Fifth Schedule where Client applies for credit (including any loan, overdraft facility or any other kind of credit) to be granted to Client or to another person for whom Client acts as guarantor, the data which Client provides to Eternal Pearl may be passed on to a credit reference agency or, in the event of a default, to a debt collection agency in accordance with the provisions of the code of practice on consumer credit data approved and issued under the Personal Data (Privacy) Ordinance as amended from time to time.

在无限制本附件五之其它条款下,当客户申请向其或向客户作为其担保人的另一名人士授予信贷安排(包括任何贷款、透支服务或任何类型的信贷),客户向恒明珠所提供的数据可能会被移交至信贷数据服务机构或债务追讨机构(后者适用于拖欠债务的情况),但必须合乎根据不时修订的<个人资料(私隐)条例>下所颁布的个人信贷资料实务守则的条文。

 

12.      For the purposes of this Fifth Schedule, if applicable, account data may include account general data (i.e. general particulars of the relevant account such as account opening date, repayment terms, whether Client as a borrower or guarantor, approved loan amount, repayment terms) and account repayment data (such as the amount repaid, outstanding balance of the loan, default data including the amount and number of days overdue).

就本附件五而言,若适用,账户数据可包括账户一般数据(即相关账户的一般细节,例如开户日期、还款条款、客户是借款人或担保人、批核的贷款金额、还款条款)以及账户还款数据(例如已偿还金额、贷款未清还余额,欠款数据包括拖欠金额及拖欠日数)

 

13. Without prejudice to the right of Eternal Pearl to rely on grandfathering provision(s) or exemption(s) under the Personal Data (Privacy) Ordinance as amended from time to time or other applicable law, by consenting (including an indication of no objection) to the use of Client’s personal data for direct marketing purposes by members of the Group in the Account Application, or otherwise Client agrees and consents that Eternal Pearl may send by telephone, mail, email or other electronic means to Client from time to time direct marketing materials or messages relating to services or products which, in the opinion of Eternal Pearl, Client may be interested in. Client agrees that to the extent permitted by Laws and the Regulations the consent herein shall constitute specific opt-in for the purpose of any applicable privacy rules or regulations. Notwithstanding this, Client may at any time request not to receive such direct marketing materials or messages from Eternal Pearl if Client so requests in writing to Eternal Pearl at this address: Compliance Department, 19/F, No. 88 Gloucester Road, Wanchai, Hong Kong or such other address as Eternal Pearl may subsequently notify from time to time. Unless and until Client has so requested in writing, Client shall be deemed to be willing to receive any such information.

              在无损恒明珠依赖不时修订的<个人资料(私隐)条例>下原有的条文或豁免,通过同意(包括不反对的暗示)集团成员在账户申请时使用客户个人数据以作直接促销用途,客户同意,恒明珠可以透过电话、邮寄、电邮或其它电子方式,不时向客户发送恒明珠认为客户可能有兴趣并且与服务或产品相关的直接促销材料。客户同意,在法律或监管规则许可的前提下,在此作出的同意即被视为满足任何适用的私隐规则或规例的特定选择接收之要求。虽然如此,客户可以随时透过书面方式,向恒明珠要求不再接收有关直接促销材料或讯息。除非客户经已提出书写要求,否则客户将被视为愿意接收任何该等信息,地址为香港湾仔告士打道8819楼恒明珠合规部主管或恒明珠日后不时公布之其它地 址。

 

14.   The contents of this Schedule may be updated by Eternal Pearl by giving written notice to Client at any time.

              恒明珠可随时就更新本附件向客户发出书面通知。


 

SIXTH SCHEDULE - The E-SERVICE

附件六 - 电子服务

 

 

1.         INTERPRETATION释义

 

1.1      In this Sixth Schedule, unless the context otherwise requires, the following words and expressions have the meanings set out below:

在本附件六中,除非文意另有所指,下列词语具有以下含义︰

 

              Access Codes”         means together any Key File (if applicable), Password and the Login ID;

              接达密码     统指任何锁码档案(若适用)、密码及登入识别码;

 

 

              E-Service”               means the Internet or other facility provided by, and/or on behalf of, Eternal Pearl which enables Client to give electronic Instructions in accordance with the terms of this Agreement, whether in Hong Kong or elsewhere, and to receive information and related services;

              电子服务     指由恒明珠及/或代表恒明珠所提供的互联网或其它设施,以便客户在香港或其它地方根据本协议条款发出电子指示以及接收信息及相关服务;

 

 

              Instruction”            means any offer or acceptance in relation to any Securities or, where applicable, any instruction in relation to the Account and “Instruct” shall be construed accordingly;

              指示         指关于任何证券的任何要约或承诺或当适用,关于账户的任何指令或;

 

 

              Internet Trading Policy”     means the policy relating to the operation of the E-Service as amended from time to time;

              互联网交易政策 指与电子服务运作有关并不时修订的政策;

 

 

              Key File”                                  means a computer file, disk or other device which contains a file code which may be used in conjunction with the Login ID and the Password to gain access to the E-Service;

              锁码档案     指包含档案密码的计算机档案、磁盘或其它装置,可能需要与登入识别码及密码一同使用以取用电子服务;

 

 

              Login ID”                      means personal identification used in conjunction with other Access Codes to gain access to the E-Service; and

              登入识别码   指与其它接达密码一同使用以取用电子服务的个人身份识别码;及

 

 

              Password”               means Client’s personal password, used in conjunction with other Access Codes to gain access to the E-Service.

              密码         指客户的个人密码,与其它接达密码一同使用以取用电子服务。

 

 

1.2      Terms and expressions defined in this Agreement shall have the same meaning in this Sixth Schedule unless the context otherwise requires. References to clauses in this Sixth Schedule shall refer to clauses contained in this Sixth Schedule, unless the context otherwise requires.

本协议所定义之词语与本附件六所述之意义相同,除非文意另有所指。本附件六所指的条款是指本附件六所包含的条款,除非文意另有所指。

 

1.3   In the event of any inconsistency between the provisions of this Agreement and this Sixth Schedule, the provisions of this Sixth Schedule shall prevail.

              如果本协议条款与本附件六条款之间有任何不一致,则以本附件六条款为准。

 

2.         Eternal Pearl may at its discretion provide Client with the E-Service on the terms of this Agreement, and the provisions of this Sixth Schedule apply if Eternal Pearl provides Client with the E-Service. Client agrees to use the E-Service in accordance with the terms of this Agreement.

               恒明珠可行使其酌情权,按本协议条款向客户提供电子服务,若恒明珠向客户提供电子服务,则本附件六条款得以适用.客户同意使用电子服务必须遵照本协议之条款.

 

3.         Client understands that the E-Service is a semi-automated facility which enables it to send electronic Instructions and receive information services. Client acknowledges that notwithstanding anything to the contrary contained herein or in any other document (written form or otherwise), Eternal Pearl shall have the absolute discretion to determine the functions of E-Services available to Client and such functions may be changed by Eternal Pearl at any time and from time to time without notice to or consent from Client and without assigning any reason therefor. Client further acknowledges receipt of the Access Codes and agrees to be the sole user of the Access Codes and not to disclose the Access Codes to any other person; and to be solely responsible for the confidentiality, use and protection of the Access Codes and all Instructions entered through the E-Service using the Access Codes. Client agrees that neither Eternal Pearl nor Eternal Pearl’s directors, officers or employees shall have any liability to Client, or to any other person whose claim may or may not arise through Client, for any claims with respect to the handling, mishandling or loss of, or loss of confidentiality of, any Instruction.

               客户明白,电子服务为半自动设施,让客户发出电子指示,并接收信息服务。客户确认,尽管本文或任何其它文件(不论以书写或其它形式)另有规定,恒明珠有绝对酌情权决定客户可取得之电子服务的功能,及恒明珠可随时及不时更改该等功能并无须给予客户通知或获得客户之同意亦无须给予任何理由。客户再确认经已收到接达密码,并同意作为接达密码的唯一使用者,并且不会向任何其它人士透露接达密码;同时客户同意独自负责接达密码的保密使用及保护以及所有透过电子服务利用接达密码输入的指示。客户同意,恒明珠、恒明珠的董事、高级职员或雇员概无须就任何有关处理、错误处理或遗失任何指示或其保密性,而对客户、或不论是否经由客户提出申索的任何其它人士承担任何责任。

 

4.     Eternal Pearl may, at any time and from time to time, block Client’s access to and/or use of the E-Service (or any part thereof) without prior notice to or any consent from Client and without assigning any reason therefor.

              恒明珠可随时及不时禁止客户进入及/或使用电子服务(或其任何部份)而无须给客户事前通知或取得客户任何同意,并无须给予任何理由。

 

5.     Client shall forthwith notify Eternal Pearl if:

              客户须实时通知恒明珠以下情况︰

 

5.1      An Instruction has been placed through the E-Service and Client has not received an accurate acknowledgment receipt of the Instruction (whether by hard copy, electronic or verbal means) within one working day of the Instruction and the aforesaid “working day” means a day when Eternal Pearl opens for business in Hong Kong;   

客户经已透过电子服务发出指示,但在该指示发出的一个工作日内尚未收到有关收到该指示的正确收条(不论透过书面、电子或口头方式),前述之”工作日”指恒明珠于香港开门营业的日子;

 

5.2      Client has received notification (whether by hard copy, electronic or verbal means) of a transaction which Client did not Instruct;

                                  客户并未发出指示,但收到有关一项交易通知(不论透过书面、电子或口头方式)

 

5.3      Client becomes aware of any apparent unauthorised use of any of Client’s Access Codes;

                                  客户察觉其接达密码明显未经授权而被使用;

 

5.4      Client experiences any problems in accessing its Account through the E-Service; or

                                  客户在通过电子服务进入账户时遭到任何问题;或

 

5.5      Client loses, fails or is otherwise unable to adequately protect confidentiality of the Access Codes.

               客户遗失接达密码,或者未能或无法给予对接达密码足够的保密。

 

6.       Any risk, including (without limitation) the risk of transmission error, transmission failure, delay, unauthorised access and unauthorised use, arising from or related to the access to and/or use of the E-Service by Client and/or any software or equipment for accessing and/or using the E-Service (whether provided by Eternal Pearl or otherwise), is at the risk of Client. Client shall provide and maintain, at Client’s own risk and cost, the connection equipment (including personal computers, mobile trading devices and modems) and services for accessing and using the E-Service. Client shall be solely responsible for preventing anything which may be harmful to any such equipment (including, without limitation, computer virus, malicious program or harmful component) from entering into any such equipment, whether or not it is originated from Eternal Pearl’s websites (including, without limitation, the Group’s Website and the website comprising E-Service), whether maintained or provided by or on behalf of Eternal Pearl, (together, the “Websites”) and, if applicable, whether or not originated from anything provided by Eternal Pearl. Further, Client acknowledges that the Internet or other electronic medium (including E-Service or any part of the Websites) is an inherently unreliable medium of communication and that such unreliability is beyond Eternal Pearl’s control. Client further acknowledges that such unreliability may give rise to various consequences e.g. it may result in failure or delay in transmission of any Instruction or information or affect any function of E-Service or the timeliness, sequence, accuracy, adequacy or completeness of any Instruction or information transmitted or cause loss, or loss of confidentiality, of any Instruction or information transmitted or any transaction made on terms different from the relevant Instruction. Client understands that the aforesaid is not an exhaustive list of all consequences resulted from such unreliability. Client agrees that without limiting the generality of Clause 17.1 of this Agreement above, Eternal Pearl shall not be responsible for any loss, damage, cost, expenses, claim or liability of whatsoever nature, directly or indirectly, arising out of or in connection with such unreliability or the public nature of the Internet or other electronic medium (including E-Service or any part of the Websites).

                  对于因或就客户进入及/或使用电子服务及/或透过任何软件及/或装置(无论是由恒明珠或他人提供)进入及/或使用电子服务,而产生之任何风险,包括(但不限于)传送错误、传送失败、延迟、未经授权进入及未经授权使用的风险,客户须自行承担。客户须以自负风险及费用的方式,提供并维持进入及使用电子服务所需的连接装备(包括个人计算机、移动交易装置以及调制解调器)以及服务。客户须独自承担阻止任何可能损害任何该等连接装备的东西(包括但不限于计算机病毒、恶意程序、有害成份)进入任何该等连接装备,不论该东西是否源自由或代恒明珠所维持或提供的恒明珠网站(包括但不限于集团网站及包含电子服务之网站)(统称”网站”),(若适用)不论是否源自恒明珠所提供的任何东西。再者,客户确认:电子服务或互联网乃本质上不可信赖之传讯媒介而该不可信赖性乃非恒明珠所能控制的。客户再确认,该不可信赖性可能引致各种不同的后果,例如:其可能导致任何指示或数据不能或延迟被传送,或影响电子服务的任何功能,或任何被传送之指示或数据之及时性、顺序、准确性、足够性、或完整性或令任何被传送之指示或数据失去或失却保密性,或任何交易以不同于相关指示的条款达成。客户明白,前述并非一份没有遗漏并列举所有因该不可信赖性而引致之后果的清单。客户同意:在没有限制以上本协议第17.1条所述的一般性之情况下,直接或间接因该不可信赖性或互联网或其它电子媒介(包括电子服务或网站的任何部份)之公众性质而产生的任何损失、损害赔偿、支出、费用、索求或责任(不论属任何性质) ,恒明珠将一概不会负责。

 

7.     Client shall use information and materials available through the E-Service for its own needs and shall not resell to any third party or otherwise allow or permit any third party’s access to or use of any such information or materials or otherwise deal with it/them in any way.

电子服务所提供的数据仅供客户自身使用,客户不得转售予任何第三者、或以其它方式容许他人取览或使用或者以任何方式处置该/该等数据。

 

8.     Client acknowledges that the E-Service, the Websites, information available via or on the E-Service and/or any part of the Websites and the software comprised in the E-Service and/or any part of the Websites are proprietary to Eternal Pearl and/or its agents, partners or contractors. Client warrants and undertakes that it shall not, and shall not attempt to,

              客户确认,电子服务、网站、透过或于电子服务及/或网站之任何部份所提供之数据及电子服务及/或网站之任何部份所包含的软件均属于恒明珠及/或其代理人、合作伙伴或承办商所拥有。客户保证及承诺,不会(亦不会尝试)

 

(i)         tamper with, modify, de-compile, reverse-engineer or otherwise alter in any way, or

干扰、更改、拆解、逆改设计或以其它方式修改,或

 

(ii)        gain unauthorised access to or make unauthorised use of

未获授权进入或未获授权使用;

any part of the E-Service or any part of the Websites or any information available via or on the E-Service or any part of the Websites or any of the software comprised in the E-Service or any part of the Websites. Client acknowledges that Eternal Pearl may take legal action against it, if Client at any time breaches this warranty and undertaking or if Eternal Pearl at any time reasonably suspects that Client has breached the same. Client undertakes to notify Eternal Pearl immediately if Client becomes aware that any action described in this clause 8 is being perpetrated or attempted by another person.

电子服务之任何部份或网站之任何部份,或透过或于电子服务或网站任何部份所提供之任何数据,或电子服务或网站任何部份里面包含的任何软件。客户确认,若客户在任何时候违反是项保证及承诺,或恒明珠在任何时候合理怀疑客户已违反是项保证及承诺,则恒明珠可向客户采取法律行动。客户承诺,如果察觉其它人士作出或意图作出于本第8条款所述之任何行动,客户须实时通知恒明珠。

 

9.     Client acknowledges that in providing the E-Service, Eternal Pearl may use such authentication technologies as it deems appropriate. Client acknowledges that no authentication, verification or

              客户确认,恒明珠在提供电子服务时可以使用其认为适合的认证科技。客户确认,任何认证、核证或计算机安全科技均不可能做到完全可靠或安全,客户同意承担未经授权进入/使用、黑客入侵或身份被盗等相关风险。

 

10.   Client understands that Eternal Pearl shall be entitled to prepare the Internet Trading Policy (as amended from time to time) setting out the operation policy and procedures of the E-Service which shall be available on the Websites (or such part thereof as designated by Eternal Pearl from time to time) and the terms of which shall be binding on Client in respect of its use of the E-Service. The Internet Trading Policy may be amended by Eternal Pearl at any time and from time to time and each amended version shall be applicable on the effective date as specified in the relevant notice available on the Websites (or such part thereof as designated by Eternal Pearl from time to time). In the event of inconsistencies between the terms of this Agreement and the Internet Trading Policy, the terms of this Agreement shall prevail.

                             客户明白,恒明珠有权制定并不时修订的互联网交易政策列明之电子服务操作政策及程序,该政策及程序可于网站(或于恒明珠不时指定之网站部份)取阅并就客户使用电子服务而言,对客户具约束力。互联网交易政策可由恒明珠随时并不时地更改,及每一更改版将于网站(或恒明珠不时指定之网站部份)可得到之相关通知书内所载的生效日期当日起适用。如果本协议的条款与互联网交易政策之间存在任何矛盾,则以本协议条款为准。

 

11.   Client acknowledges that the price quotation service (if any) available on any part of the Websites may be provided by a third party provider appointed by Eternal Pearl from time to time. Client acknowledges and agrees that Eternal Pearl shall not be responsible to Client or any other person for any losses, costs, expenses, damages, claims or liabilities of whatsoever nature which Client or such other person may suffer, directly or indirectly, as a result of or in connection with any aspect of such service including, without limitation, Client’s or such other person’s reliance on such service. Client shall use price quotation (if any) for its individual use only and shall not furnish such data to any other person or entity for any reason.

              客户确认,网址的任何部份所提供的报价服务(若有的话),可由恒明珠不时指定的第三方提供者所提供。客户确认及同意,直接或间接因或就 该服务之任何方面(包括但不限于客户或任何其它人士对该服务之依赖)而产生的任何损失、费用、支出、损害赔偿、申索或责任(不论属任何性质),恒明珠概无须对客户或该其它人士承担责任。价格报价(若有的话)仅供客户使用,客户不得基于任何理由将该等数据提供予任何其它人士或实体。

 

12.   Client understands that any part of the Websites may provide, for informational purpose only, data regarding Securities and/or other investments published by third parties. Owing to market volatility and possible delay in the data-transmission process, the data may not be real-time market quotes for the relevant Securities or investment. Client understands that whilst Eternal Pearl believes such data to be reliable, there is no independent basis for Eternal Pearl to verify or contradict the accuracy or completeness of such data. Client understands that no recommendation or endorsement from Eternal Pearl shall be inferred from such data.

              客户明白,网址的任何部份可能提供由第三方刊发有关证券及/或其它投资数据(仅作为信息用途)。因市场波动及数据传送过程的延误,该等数据可能并非相关证券或投资的实时市场报价。客户明白,虽然恒明珠相信该等数据可靠,但没有独立基准可供恒明珠核实或否定该等数据的准确性或完整性。客户明白,不应从该等数据而推断恒明珠作出任何推荐或认可。

 

13.   Client acknowledges and agrees that Eternal Pearl does not guarantee the timeliness, sequence, accuracy, adequacy or completeness of any information provided by or via the E-Service or on or via the Websites (or any part thereof) and any such information is provided on an “as is”, “as available” basis. Eternal Pearl gives no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information. Further, Client acknowledges that Eternal Pearl gives no express or implied warranties, representations or undertakings with respect to the prices available from or via E-Service at which Client may make offers in respect of Securities (including, without limitation, any warranty, representation or undertaking that such prices are real-time market quotes or best available market prices).

              客户确认及同意,恒明珠并不保证任何由或经电子服务或于或透过网站(或其等任何部份)所提供或所载之数据其及时性、顺序、准确性、足够性或完整性,而任何该数据乃以”现况”、”现有”的基础提供。恒明珠没有就该等数据作出明示或默示保证(包括但不限于可商售性或就某一用途的适合性之保证)。再者,客户确认,关于由或经电子服务可取得之价格(可作为客户就证券而作出的要约价格),恒明珠没有作出明示或默示保证、陈述、声明或承诺(包括但不限于任何保证、陈述、声明或承诺该等价格乃实时市场报价或最佳可取得之市价)

 

14.   Client accepts the risks of receiving or gaining access to services and communication and conducting transactions via the E-Service or over the Internet or by other electronic means or facilities.

              客户接受经由电子服务或互联网或其它电子方法或设施获得或取得之服务及通讯以及经由电子服务或互联网或其它电子方法或设施进行交易所带来的风险。

 

15.   Client shall, forthwith upon Eternal Pearl’s demand from time to time, pay to Eternal Pearl such applicable costs, charges, expenses, fees, taxes, levies, duties, brokerages, commissions and other applicable remuneration and payments in respect of any transaction via the E-Service and/or the provision to Client of the E-Service (or any part thereof) as notified in writing by Eternal Pearl to Client from time to time.

              客户须按恒明珠不时之要求,立即向恒明珠支付那些由恒明珠不时以书面通知客户关于透过电子服务的任何交易及/或关于向客户提供电子服务(或其任何部份)之适用成本、收费、开支、费用、税项、征费、税款、经纪费、佣金及其它适用酬金及款项。

 

16.   Client consents that any document (including, without limitation, any Advice), information, notice or communication may be given or presented to or exchanged with Client electronically on, via or over the Internet, the E-Service and/or any part of the Websites. Any document (including, without limitation, any Advice), information, notice or communication so given or presented to or exchanged with Client as aforesaid shall be deemed to have received by it immediately upon despatch. However, all notices and communications given or delivered to Eternal Pearl electronically on, via or over the Internet, the E-Service and/or any part of the Websites shall be deemed to have been given or delivered to Eternal Pearl on the day of actual receipt by it.

              客户同意,可以电子形式在或透过互联网、电子服务及/或网站的任何部份,将任何文件(包括但不限于任何通知书)、数据、通知或通讯给予客户或向客户出示或跟客户交换。任何如上述给予客户或向客户出示或跟客户交换之文件(包括但不限于任何通知书)、数据、通知或通讯在发出之时将被视为已被客户接获。但所有以电子形式在或透过互联网、电子服务及/或网站的任何部份向恒明珠发出或交付的通知及通讯均于恒明珠实际收讫当日才被视作已向其发出或交付。

 

17.   Client agrees that should it experience any problems in accessing to and/or using the E-Service, it shall attempt to use the alternative method to communicate with Eternal Pearl (whether or not for the purpose of any transaction) and inform Eternal Pearl of the difficulty it is experiencing.

              客户同意,若客户进入及/或使用电子服务遭受任何困难,客户须尝试使用其它方法与恒明珠沟通(不论是否为任何交易),并把所遇困难知会恒明珠。

 

18.   Client understands that each association/entity asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. Client also understands that no party guarantees the timeliness, sequence, adequacy, accuracy or completeness of market data or any other market information. Client agrees that neither Eternal Pearl nor any disseminating party shall be liable in any way for any loss or damage arising from or caused by any inaccuracy, error or delay in or omission from any such data, information or related message, or the transmission or delivery of the same, or non-performance or interruption of any such data, message or information due to any negligent act of Eternal Pearl or any disseminating party, or to any force majeure event, or any other cause beyond Eternal Pearl’s control or the reasonable control of any disseminating party.

                 客户明白,就第三方所发布的市场数据,提供该等数据的各个机构/实体均主张拥有所有人权益。客户亦明白到,任何一方均无担保市场数据或任何其它市场信息乃及时、有序、充分、准确、或完整。如果由于任何该等数据、数据或相关讯息有任何不准确、错误、延迟或遗漏或其等之传送或交付或恒明珠或任何发布资料一方之任何疏忽作为,或者任何不可抗力事件,或者恒明珠或任何发布数据一方不能合理控制之任何其它原因,而造 成任何该等数据、讯息或数据不能履行或遭受干扰,并引致任何损失或损害赔偿,恒明珠或任何发布数据一方均无须负责。

 

19.   Client acknowledges and agrees that there are risks of misunderstanding or errors in any communication (including any communication or Instruction via the E-Service) and that such risks shall be absolutely and solely borne by Client.

              客户确认及同意,任何通讯(包括任何经电子服务之通讯或指示)均有误解或错误的风险,而该等风险须绝对由客户独自承担。

 

20.   Client acknowledges and agrees that each Instruction once given cannot be revoked and if acted on by Eternal Pearl, such Instruction shall be binding on Client. For avoidance of any doubt, any Instruction in relation to any Securities given via E-Service shall constitute an irrevocable offer which, if accepted by Eternal Pearl, shall become a binding contract between Eternal Pearl and Client. Notwithstanding anything to the contrary which may be contained in this Agreement or any other document, Eternal Pearl may, at any time and from time to time, in its absolute discretion without notice and without giving any reason therefor, decline to accept any Instruction. Client acknowledges that without prejudice to the foregoing in this Clause 20, any trade confirmation issued from or via E-Service shall be merely an acknowledgement of the receipt of the relevant Instruction.

              客户确认及同意,每项指示一经发出,便不可撤销;若恒明珠按其行事,该指示则会约束客户。为免存疑,任何经电子服务发出关于证券的指示将构成一项不可撤销的要约,而若被恒明珠接受,该要约将成为恒明珠与客户间一份具约束力的合约。尽管本协议或任何其它文件中可能有任何相反规定,恒明珠可随时及不时,按恒明珠绝对酌情权及无须通知并无须给予任何理由,拒绝接受任何指示。客户确认,在无损害本第20条款之前文下,由或透过电子服务发出的任何交易确认仅为相关指示的收条。

 

21.   Client understands that the order management engine used in processing Client’s Instructions is, generally speaking, handled on a “First-In-First Out” order and accordingly, Eternal Pearl does not guarantee that any of Client’s Instructions will be processed even though it may have been received.

              客户明白,用以处理客户的指示的管理器通常是以”先进先出”方式处理指示,恒明珠并不保证任何客户的指示一定会被成功处理,即使恒明珠可能已收到该指示。

 

22.   If Client gives any Instruction to Eternal Pearl outside Hong Kong, Client agrees to ensure and represent that such Instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which such Instruction is given, and Client further agrees that it shall, when in doubt, consult legal advisers and other professionals of the relevant jurisdiction. Client accepts that there may be taxes and/or charges payable to relevant authorities in respect of any Instruction given outside Hong Kong, and Client agrees to pay such taxes and/or charges as applicable.

              若客户在香港以外地方向恒明珠发出任何指示,客户同意确保并声明,该指示严格遵守该指示发出时所在相关司法管辖区的任何适用法律。同时,客户进一步同意,客户有疑问时,会咨询相关司法管辖区的法律顾问及其它专业人士。客户接受就在香港以外地区发出的指示,可能需向相关当局支付税费及/或费用,及客户同意支付该等适用税费及/或费用。

 

23.   Without limiting the generality of Clause 17.1 of this Agreement above, Client agrees that Eternal Pearl shall not be responsible for any loss, damage, cost, expenses, claim or liability of whatsoever nature, directly or indirectly, arising out of or in connection with:

                             在没有限制以上本协议第17.1条所述的一般性之情况下,客户同意,恒明珠无须就直接或间接因下列各项而产生或与下列各项有关的任何损失、损害赔偿、开支、申索或责任(不论属任何性质)负上任何责任︰

 

              23.1             Client’s access to and/or use of the Internet or other electronic medium (including E-Service or any part of the Websites) notwithstanding that such access and/or use is for accessing any website operated by Eternal Pearl and/or on Eternal Pearl’s behalf and/or using any service provided by Eternal Pearl and/or on Eternal Pearl’s behalf;

                                                客户使用互联网或其它电子媒介(包括电子服务或网站的任何部份),尽管该使用是为了登入由及/或代恒明珠运作的任何网站及/或使用由及/或代恒明珠提供的任何服务;

 

              23.2             any reliance on any information obtained via Client’s use of the Internet or other electronic medium (including E-Service or any part of the Websites) notwithstanding that such information is obtained from any website operated by Eternal Pearl and/or on Eternal Pearl’s behalf; and

依赖客户透过使用互联网或其它电子媒介(包括电子服务或网站的任何部份)而获取的任何数据,尽管有关数据乃由及/或代恒明珠运作的任何网站所取得;

 

              23.3            any other cause beyond Eternal Pearl’s control or anticipation including, without limitation, any delay in the transmission, receipt or execution of any Instruction due to a breakdown or failure of transmission of communication facilities.

任何非恒明珠可控制或预期的其它原因,包括但不限于因通讯设施故障或传送失败而令传送、收取或执行任何指示有所延误。

 

24.   Client agrees that notwithstanding anything to the contrary contained herein or in any other document, should there be any inconsistency between the information (including any document but not any Advice) available from or via the E-Service, the Websites, the Internet or other electronic medium (whether or not the same being available in accordance with this Agreement) and the information on Eternal Pearl’s records, the information on Eternal Pearl’s records shall prevail save for any manifest error and that Eternal Pearl shall accept no liability as a result of the unreliable nature of the Internet or other electronic medium (including E-Service or any part of the Websites) or other reason beyond the control of Eternal Pearl.

              客户同意,尽管本文或任何其它文件另有规定,若从或经电子服务、网站、互联网或其它电子媒介可取得的数据(包括任何文件但并不包括任何通知书)(不论该数据是否根据本协议而可取得)与恒明珠记录中的数据有任何不同之处,当以恒明珠记录中的数据为准(重大错误者除外),及对 因互联网或其它电子媒介(包括电子服务及网站任何部份)之不可靠性质或其它非恒明珠可控制之原因而产生之责任,恒明珠概不承责。

 

25.   Client understands and accepts the following risks in using the E-Service:

              客户明白及同意接受以下在使用电子服务之风险︰

 

              25.1             Risk in relation to the use of the Internet or other electronic medium

                             使用互联网或其它电子媒介的风险

 

(a)            The Internet or other electronic media (including without limitation, where applicable, electronic devices, services of third party telecom service providers such as mobile phones or other handheld trading devices) is/are an inherently unreliable form(s) of communication, and that such unreliability is beyond Eternal Pearl’s control.

互联网或其它电子媒介(包括但不限于(若适用)电子仪器,由第三方电讯服务供货商所提供的服务,例如手提电话或其它手提交易仪器)本质上乃是不可靠的通讯形式,而此不可靠性乃非恒明珠所能控制的。

 

(b)            Transactions over the Internet or through other electronic media (including without limitation, where applicable, electronic devices, services of third party telecom service providers such as mobile phones or other handheld trading devices) may be subject to interruption (including, without limitation, stoppage of price data feed), transmission blackout, delayed transmission due to data volume, incorrect data transmission due to the public nature of the Internet or other electronic media or loss of information or loss of confidentiality.

互联网或其它电子媒介(包括但不限于(若适用)电子仪器,由第三方电讯服务供货商所提供的服务,例如手提电话或其它手提交易仪器)上的交易可能会遭到干扰(包括但不限于提供价格数据有所停顿)、输送停顿、因大量数据而延误传送,或由于互联网或其它电子媒介的公众性质而导致不正确数据传达或失去数据或失去保密性。

 

(c)            As a result of such unreliability, there may be time-lags or delays in the transmission of data and receipt of Instructions and Client has to solely bear any loss resulting from any such time-lag or delay.

由于这些不可靠性,可能在传达讯息和接受指示时会有时间上的差距或延误,而客户须独自承担因任何该时间上的差距或延误而产生的任何损失。

 

              25.2             Risk of Electronic Trading System电子交易系统风险

 

              Trading on one electronic trading system may differ from trading on other electronic trading systems. If Client undertakes transactions on an electronic system, Client shall be exposed to risks associated with the system including the failure of hardware and software. The result of any system failure may be that in respect of Client’s Instructions, there may be transmission error, failure or delay.

              透过一个电子交易系统进行买卖,可能会与透过其它电子交易系统进行买卖有所不同。如果客户透过某个电子交易系统进行买卖,便须承受该系统带来之风险,包括有关系统硬件或软件可能会失灵的风险。系统失灵的结果可能会是:就客户的指示而言,可能会有传送错误、失败或延迟。

 

                        25.3    Risk of Trading Facilities交易设施风险

 

              Electronic trading facilities are supported by computer-based component systems. As with all facilities and systems, they are vulnerable to temporary disruption or failure. Client’s ability to recover certain losses may be subject to limits on liability imposed by the system provider, the market, the clearing house and/or participant firms. Such limits may vary: Client should ask the firm with which Client deals for details in this respect.

                   电子交易的设施是以计算机组成之系统所支持的。然而,所有设施及系统均有可能会暂时中断或失灵,而客户就此所能获得的赔偿或会受制于系统供货商、市场、结算公司及/或参与者商号就其所承担的责任所施加的限制。由于这些责任限制可以各有不同,客户应向为客户进行交易的商号查询这方面的详情。

 

Client understands and acknowledges that the risks above disclosed do not purport to disclose or discuss all of the risks associated with using E-Service and that Client should consult Client’s own independent legal and other advisors prior to entering into any transaction via E-Service.

客户明白及确认,以上所透露之风险并非意图透露或讨论所有使用电子服务之相关风险及在透过电子服务订立任何交易前,客户应咨询客户本身及独立之法律及其它顾问之意见。

 

26.   Client consents and authorises Eternal Pearl to deliver the Password to Client by email (“Authorisation”) to the email address specified in the Account Application and agrees to bear all risks associated with such email delivery, including but not limited to the risks of transmission error, delay, unauthorised disclosure and unauthorised use. Client agrees that the Password will be deemed to have been received by Client immediately upon despatch. Client acknowledges that once the Password is deemed to be received by Client, Client shall be the sole user of the Password and be solely responsible for the confidentiality, protection and use of the Password as well as all instructions/offers placed by using the Password. Eternal Pearl shall not have any liability to Client or any third party for any loss, damages, expense, cost, claim or liability of whatsoever nature, directly or indirectly, arising out of or in connection with any such instruction/offer and/or the handling, inaccurate or incomplete transmission, delay in transmission, loss or loss of confidentiality, or the same. Client agrees at all times on demand to indemnify and keep indemnified Eternal Pearl from and against all liabilities, costs and expenses of any nature whatsoever reasonably incurred by it arising from or in any way related to its reliance and/or acting on this Authorisation (including any email address provided by Client). Client acknowledges that this Authorisation will become effective on the date of Eternal Pearl’s approval of sending the Password in accordance with the terms hereof, which approval may or may not be given by Eternal Pearl in its absolute discretion.

              客户同意并授权恒明珠通过电子邮件(该电子邮件地址于账户申请中指定)的方式发送密码(“授权”),并同意承担与该电子邮件传递相关联的所有风险,包括但不限于传输错误、延迟、未经授权的披露和未经授权的使用的风险。客户同意,一经寄发,密码将被视为已被客户收取。客户确认,一旦密码被视为已被客户收取,客户应是密码的唯一用户,并独立对保密、密码的保护及使用及使用密码而设的所有指令/指示负责。恒明珠将不会对客户或任何第三方的损失、损害、支出、开支、索偿或任何性质的责任(无论是直接或间接因任何该等指令/指示及或处理、不准确或不完整传输、传输延迟、损失或保密损失而引致或与其相关)或任何该等指令/指示及/或处理、不准确或不完整传输、传输延迟、损失或保密损失承担任何责任。客户同意任何时候一经要求即履行弥偿,并就所有责任、支出及开支(无论任何性质并由恒明珠合理引致或与恒明珠依赖及/或依据该授权(包括任何客户提供的电子邮件地址)行动所产生的支出及开支)对恒明珠保持弥偿。客户确认,该授权将于恒明珠批准发送密码(根据本协议条款发送;视其绝对酌情,恒明珠可以或可以不批准密码之发送)之日起生效。

 

27.   Client acknowledges and agrees that the fees set forth in the Websites (or any part thereof) appropriately reflect the allocation of risks set forth in this Agreement. Accordingly, based on the foregoing, Client acknowledges as reasonable the exclusions of warranties and limitations on liability set forth in this Agreement. As such, Client acknowledges and agrees that if any of the exclusions or limitation of warranties or liabilities set forth in this Agreement should be deemed to be invalid, ineffective or unenforceable, or in the event Eternal Pearl is found liable for any claim arising out of or in connection with this Agreement or this Sixth Schedule, then, the entire collective liability of Eternal Pearl and/or any member of the Group shall in no circumstance exceed two (2) times the amount of fees paid by Client to Eternal Pearl in the month immediately preceding the act or omission or circumstance giving rise to a claim.

              客户确认并同意,列载于网站(或其等任何部份)的费用适当反映本协议列载的风险分配。因此,基于上述,客户确认本协议列载之担保排除及责任限制合理。就此,客户确认并同意,倘本协议列载之任何担保或责任的排除或限制被视为无效、失效或不具执行效力,或当恒明珠因或有关本协议或本附录六而被认为对任何索偿有责任,恒明珠及/或集团任何成员的全部集体责任在任何情况下将不超过客户于引致索偿产生的行为或遗漏或 情形之日起的前一个日付予恒明珠的金额之两(2)倍。

 

28.   All or any part of the E-Service (or any option permitted under all or any part of the E-Service) may be provided at the sole and absolute discretion of Eternal Pearl either on an individual account basis or on the basis of all accounts maintained by Client with Eternal Pearl. Eternal Pearl shall have the right to send a notice by way of a letter, email or other electronic means to require Client to clarify or confirm its instructions relating to all or any part of the E-Service and/or any other service provided under the Agreement. Client shall have the duty to clarify or confirm its instruction as required by such notice. If Eternal Pearl does not subsequently receive any express instruction in writing from Client correcting Eternal Pearl’s understanding of Client’s instruction as stated in such notice by the response time limit stated in such notice, Client shall be deemed to have confirmed Eternal Pearl’s understanding of the relevant instruction of Client and/or the manner in which Eternal Pearl handles or will handle Client’s instruction as stated in such notice.

              恒明珠有独自及绝对酌情权以个别单一账户的形式或客户在恒明珠持有的所有账户一拼的形式提供电子服务的全部或任何部分(或其下容许的任何选项)。恒明珠有权以信件,电邮或其它电子方式向客户发出通知书要求客户澄清或确认与电子服务或本协议下提供的其它服务的全部或任何部分有关的指示。客户有责任按该通知书的要求澄清或确认其指示。倘若恒明珠其后在该通知书订明的限期内没有收到客户作出的纠正该通知书中所述恒明珠对客户指示的理解的明确书面指示,则客户会被视作已确认恒明珠就该通知书中所述有关客户指示的理解及/或恒明珠处理或将处理客户指示 的方式。


 

SEVENTH SCHEDULE - FOREIGN LAW REQUIREMENTS

附件七 - 外国法要求

 

 

1.     INTERPRETATION释义

 

1.1   Definitions    定义

             

In this Seventh Schedule, unless the context otherwise requires, the following words and expressions have the meanings set out below:

              除非上下文另有规定,本附件七中的词汇与术语具有以下含义:

 

Close-Out Amount”               means, unless otherwise specifically provided for in the transaction documentation applicable to a particular transaction or group of transactions, with respect to each terminated transaction, the amount of the losses or costs of Eternal Pearl that are or would be incurred under then prevailing circumstances (expressed as a positive number) or gains of Eternal Pearl that are or would be realised under then prevailing circumstances (expressed as a negative number) in replacing, or in providing for Eternal Pearl the economic equivalent of the material terms of that terminated transaction. Any Close-out Amount will be determined by Eternal Pearl (or its agent), which will act in good faith and use commercially reasonable procedures in order to produce a commercially reasonable result. Unpaid Amounts in respect of a terminated transaction and legal fees and out-of-pocket expenses are to be excluded in all determinations of Close-out Amounts. In determining a Close-out Amount, Eternal Pearl may consider any relevant information, including, without limitation, quotations (either firm or indicative) for replacement transactions supplied by one or more third parties and market data in the relevant market. When it is commercially reasonable to do so, Eternal Pearl may in addition consider in calculating a Close-out Amount any loss or cost (or gain) incurred in connection with its terminating, liquidating or re-establishing any hedge related to a terminated transaction. Commercially reasonable procedures used in determining a Close-out Amount may include the application of pricing or other valuation models that are, at the time of the determination of the Close-out Amount, used by Eternal Pearl in the regular course of its business in pricing or valuing transactions.

结算款项                指除非在适用于特定交易或特定交易组别的交易文件中另有特别规定外,就每笔被终止交易而言,结算款项是指恒明珠在替代该笔被终止交易,或在提供与其主要条款具有等同经济效益时,在当时情况下遭受或将会遭受的损失或费用金额(以正数表示)或恒明珠在当时情况下实现或将会实现的收益金额(以负数表示)。任何结算款项将由恒明珠(或其代理)以真诚及商业上合理的程序厘定,以达致商业上合理的结果。在厘定结算款项过程中,结算款项均不包括有关某笔被终止交易的未付款项、法律费用及实付费用。在厘定结算款项时,恒明珠或会考虑任何相关数据,包括但不限于一个或多个第三方提供的有关替代交易的确定或参考报价,以及相关市场的市场数据。如在商业上合理的话,恒明珠或会在计算结算款项时额外考虑就其终止、清盘或重新设立与某一交易有关的任何对冲所产生的任何损失或费用(或收益)。厘定结算款项所用的商业合理程序可能包括应用恒明珠在厘定结算款项时,于日常业务过程中为交易定价或作估值时使用的定价或其它估值模型。

 

 

              FATCA” means <海外户口税收合规法> 或“FATCA”指

 

(a)            sections 1471 through 1474 of the U.S. Internal Revenue Code of 1986 (as amended) or any amended or successor version thereof;

<1986年美国国内收入法> (U. S. Internal Revenue Code of 1986) (经修订)1471条至1474条,或其任何修订或继任版本;

 

(b)            any intergovernmental agreement, memorandum of understanding, undertaking and other arrangement between governments and regulators in connection with item (a) including as entered into by the government of Hong Kong;

政府与规管机构之间就上述(a)项订立的任何政府间协议、谅解备忘录、承诺及其它安排(包括香港政府订立的任何政府间协议、谅 解备忘录、承诺及其它安排)

                            

(c)            agreements between Eternal Pearl and the IRS or other regulator or government agency pursuant to or in connection with item (a); and

恒明珠与IRS或其它规管机构或政府机构根据或就上述(a)项订立的协议;及

                            

(d)            any laws, rules, regulations, interpretations or practices adopted in the U.S., Hong Kong or elsewhere pursuant to any of the foregoing.

根据任何前述者在美国、香港或其它地方采纳的任何法律、规则、规例、诠释或惯例。

            

              Foreign Law Requirement” means any obligation imposed on Eternal Pearl pursuant to any future or present: 外国法要求」指向恒明珠施加任何义务的任何现行或今后实行的以下各项:

 

(a)            foreign laws (including foreign laws in respect of which Eternal Pearl considers itself bound);

外国法律(包括恒明珠认为其受约束的外国法律)

                            

(b)            Hong Kong laws that implement Hong Kong’s obligations under an agreement with a foreign government (including the government of the PRC) or regulator;

执行因香港与外国政府(包括中国政府)或规管机构所订立协议下的义务而产生的香港法律;

                            

(c)            agreements entered into between Eternal Pearl and a foreign government (including the government of the PRC) or regulator;

恒明珠与外国政府(包括中国政府)或规管机构订立的协议;

 

(d)            agreements entered into between Eternal Pearl and any counterparty or between Eternal Pearl and any issuer of securities or other investment products under or pursuant to or in connection with which Eternal Pearl is required to comply with any foreign laws or any guidelines or guidance mentioned in item (e) below; or

恒明珠与任何交易对手达成的,或者恒明珠与任何证券或投资产品发行人达成的协议,在该等协议中,恒明珠应当遵守任何外国法或下述第(e)项中提及的任何指引或准则;或

 

(e)            guidelines or guidance issued by any legal, regulatory, government, tax or law enforcement body within or outside of Hong Kong in respect of items (a) to (c).

在香港境内或境外的任何法律、规管、政府、税务或执法团体就上述(a)(c)项颁布的指引或准则。

 

For avoidance of any doubt, this definition includes any obligation or requirement applying to Eternal Pearl as amended or introduced from time to time, including pursuant to FATCA.

为免存疑,该定义包含适用于恒明珠的任何不时经修订或颁布的义务或规定,包括根据FATCA适用于恒明珠的义务或规定。

 

Government Authority”       means any government, government body, government agency or regulator, in or outside of Hong Kong, including the Inland Revenue Department of Hong Kong and the IRS.

              政府机关                指于香港境内或境外的任何政府、政府团体、政府机构或规管机构,包括香港税务局及IRS

             

“            IRS”                                           means the U.S. Internal Revenue Services.

              IRS                                       指美国国家税务局 (Internal Revenue Services)

 

              PRC”                                         means the People’s Republic of China (excluding Hong Kong, Macau and Taiwan).

              中国                指中华人民共和国(不包括香港、澳门及台湾)

 

Relevant Information”         means any information, document or certification given by or relating to Client, any Ultimate Owner, any authorised representatives of the Client, any Account with Eternal Pearl or any transaction and shall include where the context permits identity information and personal data including Client’s name, address, tax payer identification number, Account numbers, Account balances or value and any payments made in respect to the Accounts.

有关资料                指客户提供的或关于客户、任何最终拥有人、客户的任何获授权代表、于恒明珠开立的任何账户或任何交易的任何数据、文件或证明书,以及凡文意允许之处,须包括身份数据及个人数据,包括客户的名称、地址、纳税人识别号、账户号码、账户余额或价值,以及任何与账户有关的付款。

 

 “Ultimate Owner”                                       means any ultimate beneficial owner of any Account with Eternal Pearl, the person ultimately responsible for giving of instructions of any transaction, any person who act on Client’s behalf in receiving payment or any other person identified by Eternal Pearl in its sole and absolute discretion as being connected with Client.

最终拥有人              指于恒明珠开立任何账户的任何最终实益拥有人、就发出任何交易指示负上最终责任的人士、代客户领取付款的任何人士,或恒明珠按其唯一绝对酌情权识别为与客户有关联的任何其它人士。

 

 “Unpaid Amounts”                           mean any unpaid amounts and the value of unsettled transactions together with interest thereon as determined by Eternal Pearl in good faith and a commercially reasonable manner.

未付款项                指任何未付款项及由恒明珠真诚及以商业上合理方式厘定的任何未结算交易的价值,连同有关利息。

 

              U.S.”                                          means the United States of America.

              美国                指美利坚合众国。

 

1.2      Terms and expressions defined in this Agreement shall have the same meaning in this Seventh Schedule unless the context otherwise requires. References to clauses in this Seventh Schedule shall refer to clauses contained in this Seventh Schedule, unless the context otherwise requires.

除非上下文意另有所指,本协议中已有定义的词汇及术语在本附件七中具有相同含义。本附件七中提及的条款,均指附件七中的条款,但上下文另有规定的除外。

 

1.3      In the event of any inconsistency between the provisions of this Agreement and this Seventh Schedule, the provisions of this Seventh Schedule shall prevail; provided, however, that this Seventh Schedule in no way seeks to limit any of Eternal Pearl’s rights under this Agreement and should be interpreted accordingly.

当本协议的条文与本附件七存在不一致时,概以本附件七的条文为准;惟本附件七并非旨在限制恒明珠在本协议项下的权利,以及应当据此诠释。

 

 

2.     UNDERTAKING TO PROVIDE INFORMATION    承诺提供数据

 

2.1    Client agrees that Eternal Pearl may disclose Relevant Information to any person or Government Authority, whether or not established under Hong Kong law, as required under any Foreign Law Requirement (including but not limited to FATCA) as determined by Eternal Pearl.

              客户同意,恒明珠可根据任何外国法要求 (包括但不限于 FATCA),向任何人士或政府机关(不论是否根据香港法例成立) 披露恒明珠决定的有关资料。

 

2.2   Client undertakes to provide Eternal Pearl with information, documents and certifications as reasonably required by Eternal Pearl in order to meet Eternal Pearl’s obligations under any Foreign Law Requirement (including but not limited to FATCA). Client acknowledges and agrees that this may include Eternal Pearl – Client Agreement January 2017 Edition 26 information, documents or certifications in connection with Client, its authorized representatives, or the Ultimate Owner.

                 客户承诺向恒明珠提供恒明珠为履行其于任何外国法要求 (包括但不限于 FATCA) 项下的义务而合理要求的数据、文件及证明书。客户确认及同意,这可能包括与客户、客户的获授权代表或最终拥有人有关的资料、文件及证明书。

 

2.3   Client will, promptly and from time to time, supply Eternal Pearl with identity information and personal data in connection with the establishment or continuation of any Account with Eternal Pearl or provision of services. Client further acknowledges that failure to supply Relevant Information may result in Eternal Pearl being unable to effect a transaction, provide the services under this Agreement or operate or maintain any Account with Eternal Pearl; or may result in Eternal Pearl terminating the Account. It may also result in Eternal Pearl having to withhold or deduct amounts as required under any Foreign Law Requirement (including but not limited to FATCA).

              客户将不时立即向恒明珠提供与于恒明珠开立或维持开立任何账户或提供服务有关的身份数据及个人数据。客户进一步确认:如未能提供有关数据,则可能导致恒明珠不能进行交易,或不能向客户提供本协议项下的服务,或不能操作或维持于恒明珠开立的任何账户,或导致恒明珠终止账户,且亦可能导致恒明珠须根据任何外国法要求 (包括但不限于 FATCA) 扣缴或扣减款项。

 

2.4    Client shall notify Eternal Pearl forthwith of any change to the Relevant Information. Eternal Pearl shall be entitled to rely fully on all such Relevant Information for all purposes until Eternal Pearl is notified to the contrary in writing and any such written notification shall be duly signed by Client. Client understands and accepts that notwithstanding anything to the contrary which may be contained in this Agreement including this Seventh Schedule, any change to any such information shall not take effect until such time as prescribed by Eternal Pearl at is sole and absolute discretion, and in case where no time limit is prescribed by Eternal Pearl, then the relevant appointment shall take effect five (5) days after the actual receipt by Eternal Pearl of the relevant written notification or until such shorter period of time as may be agreed by Eternal Pearl in writing.

              若有关资料有任何改动,客户须立即通知恒明珠。除非恒明珠接获客户以书面通知的任何变更,否则恒明珠有权完全依赖该等有关资料作一切用途及任何该等书面通知须由客户恰当地签署。客户明白及接受:尽管本协议(包括本附件七)或另有相反规定,任何该等数据之任何变更,只会在恒明珠指定的日期才会生效,但若恒明珠并无指定任何日期,则相关委任当在确实收妥有关书面通知当日起计5日后或恒明珠可以书面同意之较短时间后才会生效。

 

2.5   For avoidance of any doubt, to the extent that applicable non-disclosure, confidentiality, bank secrecy, data privacy or other law imposes nondisclosure requirements on transaction and similar information required or permitted to be disclosed as contemplated herein but permits a party to waive such requirements by consent, the consent and acknowledgements provided herein shall be a consent by Client for purposes of such law.

              为免存疑,倘若任何适用的禁止披露要求、保密要求、银行业秘密要求、数据私隐要求或其它法律不允许对交易或本附件要求或允许进行披露的类似数据进行披露,但却允许一方同意放弃上述禁止要求,则此处之同意及承诺即视为客户为上述法律之目的作出的同意。

 

 

3.         INDEMNITY弥偿

 

Without limiting any other indemnity provided by Client, Client will indemnify Eternal Pearl and its directors, employees and representatives against any liability, reasonable loss or expense (including tax or levy) arising from Client’s instructions, Account or the provision of a service to Client, including as a result of any failure by Client to comply with this Agreement, including this Seventh Schedule, Client or other agent of Client providing misleading or false information in respect of Client or any other person or matter in connection with this Agreement, unless Eternal Pearl is guilty of wilful misconduct. 在并无限制客户提供的任何其它弥偿的情况下,客户将就因客户的指示、账户或向客户提供服务而产生的责任、合理损失或开支(包括税费及其它征费),包括因为客户未能遵守本协议(包括本附件七)、客户及客户的其它代理人就客户或任何其它人士或与本协议有关联的事宜提供具误导成份或错误的数据而引致的任何责任、合理损失或开支(包括税费或其它征费),向恒明珠、其董事、雇员及代表作出弥偿,但恒明珠的故意不当行为罪行所造成者则另作别论。

 

 

4.         CONSENT TO DEDUCT, WITHHOLD AND BLOCK同意扣减和扣缴款项及暂停交易

 

4.1      Client acknowledges and agrees that notwithstanding any other provisions of this Agreement:

就本协议内有任何其它条文,客户确认及同意:

 

(a)        any payments by Eternal Pearl under this Agreement will be subject to taxes, levies, imposts, duties or other charges, withholding and/or deduction of a similar nature, at present or in the future, as required under any Foreign Law Requirement (including but not limited to FATCA), including but not limited to value added taxes, stamp duties, fines, penalties or interest payable in connection with any failure to pay or any delay in paying any of the above;

恒明珠根据本协议支付的任何款项,将须根据外国法要求(包括但不限于 FATCA)于目前或将来被征税费、征费、税金、关税或其它费用,或进行类似性质的扣缴及/或扣减,该等款项包括但不限于未能支付或迟延支付上述税费而遭致的增值税、印花税、罚金、处罚或利息;

 

(b)        any amount withheld under paragraph (a) above may be held in whatever Account or in whatever manner determined by Eternal Pearl; and

据上述第(a)段被扣缴的任何款项可于恒明珠决定的任何账户或按恒明珠决定的任何方式持有;并且

 

(c)        Eternal Pearl is not liable for any gross up, loss or damage suffered as a result of the exercising of our rights under this Clause 4.1.

恒明珠毋须对因恒明珠行使其于本第4.1条的权利而蒙受的任何所扣税项补足、损失或损害赔偿承担责任。

 

4.2      Client further acknowledges and agrees that客户进一步确认及同意:

 

(a)       Eternal Pearl has the right to refuse to carry out any instruction or perform any service under this Agreement if such instruction or service, in Eternal Pearl’s opinion, is in contradiction with or constitutes a breach of any Foreign Law Requirement (including but not limited to FATCA) and/or Eternal Pearl’s policies in relation thereof;

倘若恒明珠认为本协议项下的任何指示或服务将违反任何外国法要求(包括但不限于 FATCA)/或恒明珠与之有关的政策,或者与之有所抵触,恒明珠有权拒绝执行该等指示或提供该等服务;

 

(b)       any transaction, payment or instruction under this Agreement may be delayed, blocked, transferred or terminated as required for Eternal Pearl to meet its obligations including those under any Foreign Law Requirement (including but not limited to FATCA) as determined by Eternal Pearl; and

如恒明珠为履行其义务(包括任何外国法要求(包括但不限于 FATCA)项下的义务)而有需要的话,恒明珠可延迟、暂停、转让或终止本协议项下的任何交易、付款或指示;以及

 

(c)        Client waives any rights to claim for any loss, damage, cost or expenses suffered as a result Eternal Pearl exercising its rights under the Seventh Schedule.

倘若因恒明珠行使其于附件七中的权利而致使客户遭受损失、损害、成本或开销,客户于此放弃向恒明珠进行索偿的一切权利。

 

 

5.         TERMINATION终止

 

5.1      Eternal Pearl may take such action that it deems in its sole discretion as appropriate, in respect of the Account, including without limitation suspending or closing the Account if Client fails to comply with any requirement of this Seventh Schedule in respect of any Foreign Law Requirement (including but not limited to FATCA), including failing to provide information, documents and supporting materials as required by Eternal Pearl or closure is otherwise necessary or convenient for compliance with any Foreign Law Requirement (including but not limited to FATCA).

倘若客户未能就外国法要求(包括但不限于 FATCA)遵守本附件七的任何要求,包括未能提供恒明珠要求的数据、文件及支持材料,或者终结账户对于遵守外国法要求(包括但不限于 FATCA)而言是必要或方便的,则恒明珠有自主酌情权可向账户采取所需行动包括但不限于暂停或终结账户。

 

5.2      If Eternal Pearl terminates the services under this Agreement and close the Account(s) of Client, then Eternal Pearl shall have the right, by termination notice to Client, to designate a day not earlier than the day such termination notice is effective as a close-out date (the “Close-Out Date”) and close out some or all of the outstanding transaction(s) in relation to the terminated Account(s) of Client at Eternal Pearl’s sole and absolute discretion. For avoidance of any doubt, when exercising its right to close out the transactions pursuant to this Clause 5, Eternal Pearl is not liable for any losses or damages arising therefrom.

倘若恒明珠终止本协议项下的服务并终结客户的账户,则恒明珠有权以向客户发出终止通知,其中指定某个不早于该终止通知生效日期的日子为结算日期(结算日期),并依据恒明珠的唯一绝对酌情权终止并结算与客户被终止账户有关的部分或全部未完成交易。为免存疑,在行使本第5条赋予的权利终止并结算交易时,恒明珠不对其中产生的任何损失或损害承担责任。

 

5.3      Eternal Pearl shall calculate in good faith, with respect to such terminated transaction(s) as of the Close-Out Date or as soon thereafter as reasonably practicable, the early termination amount (the “Early Termination Amount”) as follows:

恒明珠应于结算日期或在合理切实可行情况下尽快按以下方式真诚计算有关该等被终止交易的提早终止款项(提早终止款项)

 

(a)       for each such terminated transaction or each group of such terminated transactions, calculate a Close-Out Amount;

就各项该等被终止交易或各组该等被终止交易计算结算款项;

 

(b)       calculate the Early Termination Amount being an amount equal to (1) the sum of (A) the aggregate sum of the Close-Out Amount (whether positive or negative) for each terminated transaction, (B) the Unpaid Amounts owing to Eternal Pearl and (C) any legal cost and out-of-pocket expenses incurred by Eternal Pearl in good faith less (2) the Unpaid Amounts owing to Client; and

计算提早终止款项,该款项等于(1)(A)各笔被终止交易的结算款项之总额(不论正数或负数)(B)欠负恒明珠的未付款项与(C) 恒明珠真诚招致之任何法律费用或实付费用之和,减去(2)欠负客户的未付款项;及

 

(c)        if the Early Termination Amount is a positive number, Client will pay it to Eternal Pearl; if the Early Termination Amount is a negative number, Eternal Pearl will pay the absolute value of the Early Termination Amount to Client.

若提早终止款项为正数,则客户将向恒明珠支付有关款项;若提早终止款项为负数,则恒明珠将向客户支付该提早终止款项的绝对值。


 

 

EIGHTH SCHEDULE – PROFESSIONAL INVESTOR

附件八 -专业投资者

 

The definition of “Professional Investor” under the SFO (note that, for ease of reference, certain other defined terms have been paraphrased)

根据香港法例第571 <证券及期货条例> 附表一的第1部份:

 

 

“Category A” Professional Investor 「甲类」专业投资者指

 

(a)       certain recognized exchange companies, clearing houses, exchange controllers or investor compensation companies, or persons authorized under the SFO to provide automated trading services;

认可交易所、认可结算所、认可控制人或认可投资者赔偿公司,或根据证券及期货条例第95(2) 条获认可提供自动化交易服务的人;

 

(b)       SFO licensed/registered firms and banks, or any person carrying on the business of the provision of investment services and regulated under the law of any place outside Hong Kong;

中介人,或经营提供投资服务的业务并受香港以外地方的法律规管的其它人;

 

(c)       Hong Kong and overseas regulated banks;

认可财务机构,或并非认可财务机构但受香港以外地方的法律规管的银行;

 

(d)       insurers authorised under the Insurance Companies Ordinance (Chapter 41 of the Laws of Hong Kong), or any person carrying on insurance business and regulated under the law of any place outside Hong Kong;

根据 <保险公司条例> (香港法例第41) 获授权的保险人,或经营保险业务并受香港以外地方的法律规管的其它人;

 

(e)       any scheme which is an authorised collective investment scheme under the SFO, or any scheme which is similarly constituted under the law of any place outside Hong Kong and, if regulated under such laws, is permitted to be operated under those laws, and any person operating any such scheme;

根据证券及期货条例第104条获认可的集体投资计划或以相似的方式根据香港以外地方的法律成立,(如受该地方的法律规管) 根据该地方的法律获准许营办,或营办任何该等计划的人;

 

(f)        any Hong Kong registered mandatory provident fund scheme (or its constituent fund), or its approved trustee, service provider or investment manager;

<强制性公积金计划条例> (香港法例第485)2(1) 条界定的注册计划,<强制性公积金计划(一般)规例> (香港法例第485,附属法例A)2条界定的该等计划的成分基金,或就任何该等计划而言属该条例第2(1) 条界定的核准受托人或服务提供者或属任何该等计划或基金的投资经理的人;

 

(g)       certain Hong Kong and non-Hong Kong occupational retirement schemes;

<职业退休计划条例> (香港法例第426)2(1) 条界定的注册计划; 或属该条例第2(1) 条界定的离岸计划,并(如以某地方为本籍而受该地方的法律规管)根据该地方的法律获准许营办,或就任何该等计划而言属该条例第2(1) 条界定的管理人的人;

 

(h)       any government, central bank or multilateral agency, e.g. the World Bank;

任何政府(市政府当局除外)、执行中央银行职能的任何机构,或任何多边机构;

 

(i)         (except for the purposes of licensing under the SFO), any wholly-owned subsidiary (direct or indirect) of a company falling within (a) or (b) above, or any (direct or indirect) parent company (holding all of the issued share capital) of any company falling within (a) or (b) above, or any other wholly-owned subsidiary (direct or indirect) of such a parent company

(除为施行证券及期货条例外)符合以下说明的法团,属于下述者的全资附属公司: a.中介人,或经营提供投资服务的业务并受香港以外地方的法律规管的其它人; b.认可财务机构,或并非认可财务机构但受香港以外地方的法律规管的银行; 或属持有下述者的所有已发行股本的控股公司: a.中介人,或经营提供投资服务的业务并受香港以外地方的法律规管的其它人; b. 认可财务机构,或并非认可财务机构但受香港以外地方的法律规管的银行; c.属第 (ii) 节提述的控股公司的任何其它全资附属公司;

 

 “Category B” Professional Investor 「乙类」专业投资者指

 

(j)        (except for the purposes of licensing under the SFO) any person of a class which is prescribed under the Professional Investor Rules, including

属于为施行本段而藉根据证券及期货条例第397条订立的规则订明为就证券及期货条例条文属本定义所指的类别的人, (如为施行本段而藉如此订立的规则订明某类别为就证券及期货任何条文属本定义所指的类别) 在该范围内属于该类别的人:

 

(a)       any trust corporation having been entrusted under the trust or trusts of which it acts as a trustee with total assets of not less than $40 million or its equivalent in any foreign currency at the relevant date or

符合以下说明的任何信托法团:担任一项或多于一项信托的信托人,而在该项或该等信托下获托付的总资产在有关日期不少于$40,000,000或等值之外币,或该总资产值:

 

(i)              as stated in the most recent audited financial statement prepared已载于 —   

(A)     in respect of the trust corporation; and

就该信托法团;并

 

(B)    within 16 months before the relevant date

在有关日期前16个月内,拟备的最近期经审计的财务报表内;

 

(ii)         as ascertained by referring to one or more audited financial statements, each being the most recent audited financial statement, prepared通过参照

(A)               in respect of the trust or any of the trusts; and

就该项信托或该等信托中任何一项信托;

(B)               within 16 months before the relevant date; or

在有关日期前16个月内,拟备的一份或多于一份属最近期的经审计的财务报表而获确定;

 

(iii)         as ascertained by referring to one or more custodian statements issued to the trust corporation通过参照

(A)               in respect of the trust or any of the trusts; and

就该项信托或该等信托中任何一项信托;

(B)               within 12 months before the relevant date;

在有关日期前12个月内,发给该信托法团的一份或多于一份保管人结单而获确定;

 

(b)       any individual, either alone or with any of his or her associates on a joint account, having a portfolio of not less than $8 million or its equivalent in any foreign currency at the relevant date or

符合以下说明的任何个人,单独或联同其有联系者于某联权共有账户拥有的投资组合在有关日期不少于$8,000,000或等值外币,或该投资组合总值

 

(i)              as stated in a certificate issued by an auditor or a certified public accountant of the individual within 12 months before the relevant date; or

已载于由该人的核数师或会计师在有关日期前12个月内发出的证明书内;或

 

(ii)             as ascertained by referring to one or more custodian statements issued to the individual (either alone or with the associate) within 12 months before the relevant date;

通过参照在有关日期前12个月内发给该人(单独或联同有关有联系者)的一份或多于一份保管人结单而获确定;

 

(c)       any corporation or partnership having符合以下说明的任何法团或合伙

 

(i)                  a portfolio of not less than $8 million or its equivalent in any foreign currency; or

拥有的投资组合在有关日期不少于 $8,000,000或等值外币;

 

(ii)             total assets of not less than $40 million or its equivalent in any foreign currency, at the relevant date, or as ascertained by referring to

拥有的总资产在有关日期不少于 $40,000,000或等值外币,或该投资组合总值或总资产值

 

(iii)           the most recent audited financial statement prepared通过参照

(A)    in respect of the corporation or partnership (as the case may be); and

就该法团或合伙(视属何情况而定);

(B)    within 16 months before the relevant date; or

在有关日期前16个月内,拟备的最近期的经审计的财务报表而获确定;

 

(iv)           one or more custodian statements issued to the corporation or partnership (as the case may be) within 12 months before the relevant date; and

通过参照在有关日期前12个月内发给该法团或合伙 (视属何情况而定) 的一份或多于一份保管人结单而获确定;

 

(d)       any corporation the sole business of which at the relevant date is to hold investments and which at the relevant date is wholly owned by any one or more of the following persons

在有关日期的唯一业务是持有投资项目并在有关日期由以下任何一名或多于一名人士全资第 571D - <证券及期货(专业投资者)规则> - 拥有的任何法团

 

(i)         a trust corporation that falls within the description in paragraph (a);

符合 (a) 段描述的信托法团;

 

(ii)        an individual who, either alone or with any of his or her associates on a joint account, falls within the description in paragraph (b);

符合 (b) 段描述的个人(不论是单独或联同其有联系者于某联权共有账户)

 

(iii)      a corporation that falls within the description in paragraph (c); and

符合 (c) 段描述的法团;及

 

(iv)      a partnership that falls within the description in paragraph (c)

符合 (c) 段描述的合伙。


 

RISK DISCLOSURE STATEMENTS

风险披露声明

 

This risk disclosure statement does not purport to disclose or discuss all of the risks, or other significant aspects, of conducting transactions or of the transactions conducted. In light of the risks involved, you (i.e. Client) should undertake a transaction only if you understand its nature, the contractual relationship into which you are entering, and the nature and extent of your exposure to risk. You should also consider whether a transaction is appropriate for you in light of your experience, objectives, financial resources and other relevant circumstances. While Eternal Pearl proposes to give this general risk warning, it is not acting as your financial advisor and you shall not regard Eternal Pearl as so acting. You should consult your own independent legal, tax or financial advisors prior to entering into any transaction.

本风险披露声明并非就作出交易或交易本身的全部风险及其它重要方面进行披露或讨论。有鉴于所涉及的风险,客户(即客户)只应在客户明白交易的性质,客户将要订立的合约关系和客户所须承担风险的性质和程度后才进行交易。客户亦应按客户的投资经验、投资目标、财政资源和其它相关条件,去考虑交易是否适合自己。即使恒明珠作出此一般性的风险的警告,恒明珠并不是亦不能被视为客户的财务顾问。客户应在 进行任何交易前咨询客户自己的独立法律、税务或财务顾问。

 

 

RISK OF SECURITIES TRADING证券交易的风险

1.          The prices of securities fluctuate, sometimes dramatically, and that the price of a security may move up or down, and may become valueless. It is as likely that losses will be incurred rather than profit made as a result of buying and selling securities.