現(xiàn)金協(xié)議書(shū)(10篇)

第1篇 淺白語(yǔ)言統(tǒng)一現(xiàn)金客戶(hù)協(xié)議書(shū)

致：_________________________

本人／吾等（請(qǐng)?zhí)顚?xiě)姓名／名稱(chēng)）________________茲要求閣下根據(jù)下列條款及條件為本人／吾等運(yùn)作一個(gè)現(xiàn)金證券買(mǎi)賣(mài)戶(hù)口（「戶(hù)口」）

1．戶(hù)口

1．1 本人／吾等確認(rèn)「開(kāi)戶(hù)資料表格」所載資料均屬完整及正確。倘該等資料有任何變更，本人／吾等將會(huì)通知閣下。本人／吾等特此授權(quán)閣下對(duì)本人／吾等的信用進(jìn)行查詢(xún)，以核實(shí)上述表格所載資料。

1．2 閣下將會(huì)對(duì)本人／吾等戶(hù)口的有關(guān)資料予以保密，但閣下可以根據(jù)聯(lián)交所及證監(jiān)會(huì)的規(guī)定或應(yīng)其要求，將該等資料提供予聯(lián)交所及證監(jiān)會(huì)。

2．法例及規(guī)則

閣下按本人／吾等的指示而進(jìn)行的一切證券交易（「交易」），須根據(jù)適用于閣下的一切法例、規(guī)則和監(jiān)管指示的規(guī)定而進(jìn)行。這方面的規(guī)定包括聯(lián)交所及香港中央結(jié)算有限*司（「中*結(jié)算公司」）的規(guī)則。閣下根據(jù)該等法例、規(guī)則及指示而采取的所有行動(dòng)均對(duì)本人／吾等具有約束力。

3．交易

3．1 除閣下（在有關(guān)交易的成交單或其它合約單據(jù)內(nèi)）注明以自已本身名義進(jìn)行交易外， 閣下將以本人／吾等的代理人身份進(jìn)行交易。

3．2 倘沽盤(pán)是有關(guān)非由本人／吾等擁有的證券，即涉及賣(mài)空交易，本人／吾等將會(huì)通知閣下。

3．3 本人／吾等會(huì)就所有交易支付閣下通知本人／吾等的傭金和收費(fèi)，繳付聯(lián)交所征收適用征費(fèi)，并繳納所有有關(guān)的印花稅。閣下可以從戶(hù)口中扣除該等傭金、收費(fèi)、征費(fèi)及稅項(xiàng)。

3．4 就每一宗交易，除另有協(xié)議外或除非閣下已代本人／吾等持有現(xiàn)金或證券供交易交收之用，否則本人／吾等將會(huì)在閣下就該項(xiàng)交易通知本人／吾等的期限之前向閣下交付可實(shí)時(shí)動(dòng)用的資金或可以交付的證券，或以其它方式確保閣下收到此等資金或證券。倘本人／吾等未能這樣做，閣下可（如屬買(mǎi)入交易）出售買(mǎi)入的證券〉；（如屬賣(mài)出交易）借入及／或買(mǎi)入證券以進(jìn)行交易的交收。

3．5 本人／吾等將會(huì)負(fù)擔(dān)閣下因本人／吾等未能進(jìn)行交收而引起的任何損失及開(kāi)支。

3．6 本人／吾等同意就所有逾期未付款項(xiàng)（包括對(duì)本人／吾等裁定的欠付債務(wù)所引起的利息），按閣下不時(shí)通知本人／吾等的利率及其它條款支付利息。

3．7 就買(mǎi)入交易而言，倘賣(mài)方經(jīng)紀(jì)未能于交收日內(nèi)交付證券，導(dǎo)致閣下須買(mǎi)入證券進(jìn)行交收，本人／吾等毋須為買(mǎi)入該等證券的費(fèi)用向閣下負(fù)責(zé)。

4．證券的保管

4．1 由閣下寄存妥為保管的任何證券，閣下可以酌情決定：（如屬可注冊(cè)證券）以本人／吾等的名義或以閣下的代理人名義注冊(cè)；或存放于閣下的往來(lái)銀行或提供文件保管設(shè)施的任何其它機(jī)構(gòu)妥為保管。如屬香港的證券，該機(jī)構(gòu)應(yīng)為證監(jiān)會(huì)認(rèn)可的提供保管服務(wù)機(jī)構(gòu)。

4．2 倘證券未以本人／吾等的名義注冊(cè)，閣下于收到該等證券所獲派的任何股息或其它利益時(shí)，須按本人／吾等與閣下的協(xié)議記入本人／吾等的戶(hù)口或支付予轉(zhuǎn)賬予本人／吾等。倘該等證券屬于閣下代客戶(hù)持有較大數(shù)量的同一證券的一部份，本人／吾等有權(quán)按本人／吾等所占的比例獲得該等證券的利益。

4．3 本人／吾等并無(wú)根據(jù)《證券條例》第81（3）條以書(shū)面授權(quán)閣下：將本人／吾等的任何證券存放在銀行業(yè)機(jī)構(gòu)，作為閣下所獲墊支或貸款的抵押品，或者存放在中*結(jié)算公司，作為履行閣下在結(jié)算系統(tǒng)下之責(zé)任的抵押品借貸本人／吾等的任何證券基于任何目的以其它方式放棄本人／吾等的任何證券之持有權(quán)（交由本人／吾等持有或按本人／吾等的指示放棄持有權(quán)外）

5．代本人／吾等保管的現(xiàn)金

代本人／吾等保管的現(xiàn)金須依照適用法律不時(shí)的規(guī)定，存放于一家持牌銀行所開(kāi)立的一個(gè)客戶(hù)信托賬戶(hù)內(nèi)（此等現(xiàn)金不包括閣下就交易取得，而且須為交收而轉(zhuǎn)付或轉(zhuǎn)付予本人／吾等的現(xiàn)金）。

6．風(fēng)險(xiǎn)披露聲明書(shū)

本人／吾等知道證券價(jià)格可能及必定會(huì)波動(dòng)，任何個(gè)別證券的價(jià)格皆可上升或下跌，甚至可能變成毫無(wú)價(jià)值。買(mǎi)賣(mài)證券不一定獲利，而且存在著可能損失的風(fēng)險(xiǎn)。本人／吾等也知道將證券交給閣下保管可能存在風(fēng)險(xiǎn)。例如當(dāng)閣下持有本人／吾等的證券而閣下無(wú)力償債時(shí)，本人／吾等取回證券的時(shí)間可能會(huì)受到嚴(yán)重阻延。本人／吾等愿意承擔(dān)此等風(fēng)險(xiǎn)。

7．一般規(guī)定

7．1 所有本人／吾等戶(hù)口內(nèi)的證券均受制于閣下的全面留置權(quán)，以確保本人／吾等履行對(duì)閣下代本人／吾等買(mǎi)賣(mài)證券而產(chǎn)生的責(zé)任。

7．2 倘閣下沒(méi)有依照本協(xié)議書(shū)的規(guī)定履行對(duì)本人／吾等的責(zé)任，本人／吾等有權(quán)向根據(jù)《證券條例》成立的賠償基金索償，惟須受賠償基金不時(shí)的條款制約。

7．3 倘閣下的業(yè)務(wù)有重大變更，并且可能影響閣下為本人／吾等提供的服務(wù)，閣下將會(huì)通知本人／吾等。

7．4 本人／吾等確認(rèn)本人／吾等已詳閱并同意本協(xié)議書(shū)的條款，而且該等條款已經(jīng)以本人／吾等明白的語(yǔ)言向本人解釋。

7．5 本協(xié)議書(shū)受香港特別行政區(qū)法律管轄，并且可以根據(jù)香港特別行政區(qū)法律執(zhí)行。

客戶(hù)姓名：__________

______年____月____日

見(jiàn)證人：____________

______年____月____日

附件

現(xiàn)金客戶(hù)協(xié)議之補(bǔ)充協(xié)議

致：_________

帳戶(hù)號(hào)碼：______________

本人／吾等茲引述貴公司與本人／吾等于訂立有關(guān)買(mǎi)賣(mài)證券之協(xié)議（「協(xié)議」）。本補(bǔ)充協(xié)議所采用之詞語(yǔ)，除另有所指明外，均與該協(xié)議所采用或界定者含有相同意義。

由于貴公司同意以本人／吾等之名義開(kāi)設(shè)及運(yùn)作用貴公司就買(mǎi)賣(mài)證券不時(shí)設(shè)立之互聯(lián)網(wǎng)網(wǎng)站及服務(wù)（「互聯(lián)網(wǎng)服務(wù)」）所用帳戶(hù)（「互聯(lián)網(wǎng)帳戶(hù)」），本人／吾等茲同意按下列條款及條件就運(yùn)作互聯(lián)網(wǎng)帳戶(hù)訂立補(bǔ)充協(xié)議：

1．本人／吾等同意使用本人／吾等不時(shí)獲提供之互聯(lián)網(wǎng)服務(wù)

（a）作為貴公司與本人／吾等就買(mǎi)賣(mài)證券下達(dá)指不示之唯一溝通渠道，及

（b）作為貴公司與本人／吾等就一切其他有關(guān)互聯(lián)網(wǎng)帳戶(hù)之事宜（包括進(jìn)入互聯(lián)網(wǎng)帳戶(hù)及傳送資料、戶(hù)口報(bào)表、通知、要求書(shū)及其他文件）進(jìn)行溝通之唯一渠道。

2．本人／吾等同意貴公司可利用電報(bào)、傳真、電話或電子郵件按本人／吾等就通訊用途不時(shí)知會(huì)貴公司之任何號(hào)碼向本人／吾等寄發(fā)任何通知、要求書(shū)及其他訊息，所有訊息于寄發(fā)（倘以電報(bào)或電子郵件方式）或傳達(dá)通訊（倘以電話方式）時(shí)或確認(rèn)成功傳訊（倘以傳真方式）后均被視為已接收，而貴公司或貴公司之代表毋需簽署有關(guān)通知、付款通知書(shū)或通訊。

3．本人／吾等確認(rèn)，本人／吾等已閱畢及明白有關(guān)使用、運(yùn)作及操作貴公司網(wǎng)站向本人／吾等提供之互聯(lián)網(wǎng)服務(wù)之條款及條件，并進(jìn)一步確認(rèn)該等條款及條件可不時(shí)修改，而且該等條款及條件就本人／吾等在使用互聯(lián)網(wǎng)服務(wù)及互聯(lián)網(wǎng)帳戶(hù)對(duì)本人／吾等具約束力。

4．本人／吾等確認(rèn)，本人／吾等乃互聯(lián)網(wǎng)服務(wù)之唯一獲授權(quán)使用者，并同時(shí)按補(bǔ)充協(xié)議及貴公司互聯(lián)網(wǎng)網(wǎng)站不時(shí)列載之條款及條件使用互聯(lián)網(wǎng)服務(wù)。本人／吾等同意不會(huì)利用不正當(dāng)手段干預(yù)或更改或進(jìn)入或嘗試進(jìn)入補(bǔ)充協(xié)議授權(quán)本人／吾等進(jìn)入之部份以外之其他部份。

5．本人／吾等同意

（a）對(duì)本人／吾等于互聯(lián)網(wǎng)服務(wù)使用之身份及登入密碼保守秘密，并使用該密碼買(mǎi)賣(mài)透過(guò)互聯(lián)網(wǎng)服務(wù)交易之所有證券；

（b）透過(guò)使用本人／吾等之身份及登入密碼買(mǎi)賣(mài)于互聯(lián)網(wǎng)服務(wù)中之所有證券交易對(duì)自本人／吾等應(yīng)具約束力，并視作由本人／吾等進(jìn)行交易，而本人／吾等應(yīng)對(duì)所有透過(guò)互聯(lián)網(wǎng)服務(wù)作出之指令負(fù)上全責(zé)；及

（c）于貴公司互聯(lián)網(wǎng)網(wǎng)站所記錄之交易內(nèi)容，待貴公司以書(shū)面向本人／吾等以書(shū)面確認(rèn)后，即屬最后及最終之記錄。

6．本人／吾等承諾，倘本人／吾等知悉任何其他人士在未獲授權(quán)之情況下使用或登入本人／吾等之身份及登入密碼或互聯(lián)網(wǎng)服務(wù)或透過(guò)互聯(lián)網(wǎng)服務(wù)提供之任何資料，則即時(shí)通知貴公司。

7．本人／吾等承諾

（a）可不時(shí)透過(guò)互聯(lián)網(wǎng)服務(wù)或其他方式取得之分析、評(píng)論及市場(chǎng)、財(cái)務(wù)及其他資料（「資料」）乃由貴公司所編制或取自聯(lián)交所或與貴公司可能有或不一定有關(guān)連之第三者服務(wù)供應(yīng)商；

（b）資料之版權(quán)乃由貴公司、有關(guān)服務(wù)供應(yīng)商或第三者所有人擁有，本人／吾等承諾，除供本人／吾等作個(gè)人之非商業(yè)用途外，不會(huì)以任何形式使用、復(fù)制、轉(zhuǎn)發(fā)、發(fā)放或商業(yè)性使用任何該等資料；及

（c）貴公司及／或資料供應(yīng)商概不就任何資料（包括但不限于其準(zhǔn)確程度、可依賴(lài)程度、完整性或適時(shí)性）或本人／吾等倚賴(lài)透過(guò)互聯(lián)網(wǎng)服務(wù)提供之任何資料或按該等資料作出之決定承擔(dān)任何責(zé)任。

8．本人／吾等同意支付所有貴公司就使用互聯(lián)網(wǎng)服務(wù)而不時(shí)收取之認(rèn)購(gòu)及服務(wù)費(fèi)用（如有）。

9．盡管補(bǔ)充協(xié)議本附錄有所規(guī)定，貴公司有權(quán)在毋需通知本人／吾等之情況下全權(quán)終止本人／吾等登入互聯(lián)網(wǎng)服務(wù)或其任何部份。

10．本人／吾等承諾，就違反補(bǔ)充協(xié)議或任何人士因就本人／吾等使用互聯(lián)網(wǎng)服務(wù)而提出之任何索償，全面賠償貴公司、貴公司之董事、高級(jí)職員或雇員之索償、申索、訴訟、虧損、損失、成本（包括法律費(fèi)用）及開(kāi)支。

11．本人／吾等承諾及同意，貴公司、貴公司之董事、高級(jí)職員、雇員及代理毋需就因互聯(lián)網(wǎng)服務(wù)或任何通訊設(shè)備或設(shè)施之故障，受到干擾或失靈、或互聯(lián)網(wǎng)服務(wù)及／或其所載資料在未獲授權(quán)之情況下被登入、篡改或更改、或貴公司不能控制或預(yù)期之其他原因（包括但不限于政府或任何證券交易所實(shí)施限制、證券暫停買(mǎi)賣(mài)、惡劣天氣情況、地震及罷工）而導(dǎo)致指令之傳送、收訖、執(zhí)行或確認(rèn)出現(xiàn)延誤或失敗而使本人／吾等蒙受或可能蒙受之任何損失承擔(dān)任何責(zé)任，且倘本人／吾等于透過(guò)互聯(lián)網(wǎng)服務(wù)與貴公司通訊時(shí)遇上困難，本人／吾等應(yīng)使用本人／吾等可使用之其他方法與貴公司通訊。

12．本人／吾等承認(rèn)及接納以下為使用互聯(lián)網(wǎng)服務(wù)作為通訊方式所涉及之風(fēng)險(xiǎn)

（a）互聯(lián)網(wǎng)上通訊公司，屬于不可靠之通訊及資訊提供媒介，以該方式溝通及提供服務(wù)之安全性、可靠性及容量視乎多項(xiàng)不受貴公司控制之因素影響，包括服務(wù)供應(yīng)商之營(yíng)運(yùn)及該等供應(yīng)商及其他用戶(hù)使用之設(shè)備及設(shè)施；

（b）互聯(lián)網(wǎng)服務(wù)或任何通訊設(shè)備或設(shè)施可能出現(xiàn)擠塞、受平擾、斷線或未能傳送之情況，或于傳送及接收指示及其他資料或于執(zhí)行及確認(rèn)指示時(shí)發(fā)生錯(cuò)誤、遺漏或延誤，可能導(dǎo)致指示不能按互聯(lián)網(wǎng)上列出之價(jià)格執(zhí)行；

（c）互聯(lián)網(wǎng)服務(wù)及／其他任何部份或內(nèi)容可能會(huì)遭擅自接入、擅行改動(dòng)、修改或變更而可能導(dǎo)致資料被操控、非法使用、盜用或遺失資料，包括本人／吾等之個(gè)人資料。

13．本人／吾等確認(rèn)本人／吾等已閱讀本補(bǔ)充協(xié)議之條款及條件，并以本人／吾等明白之語(yǔ)言完全解釋本補(bǔ)充協(xié)議之內(nèi)容，本人／吾等接納本補(bǔ)充協(xié)議之條款及條件。

14．除本補(bǔ)充協(xié)議所述者外，協(xié)議內(nèi)容所有條款及條件應(yīng)具全面效力及生效。協(xié)議所指之所有「本協(xié)議」乃指本補(bǔ)充協(xié)議所補(bǔ)充之協(xié)議（由本補(bǔ)充協(xié)議日期起生效）。

客戶(hù)（簽字）：_________

_________年____月____日

董事（簽字）：_________

_________年____月____日

第2篇 互聯(lián)網(wǎng)證券買(mǎi)賣(mài)協(xié)議(附加於現(xiàn)金／保證金客戶(hù)協(xié)議書(shū))

互聯(lián)網(wǎng)證券買(mǎi)賣(mài)協(xié)議（附加於現(xiàn)金／ 保證金 客戶(hù)協(xié)議書(shū)）

本人／吾等乃貴公司證券戶(hù)口_________號(hào)（“戶(hù)口”）之戶(hù)口持有人，本人／吾等之證券客戶(hù)合約於_________簽訂。本人／吾等同意開(kāi)立一個(gè)或多個(gè)證券買(mǎi)賣(mài)戶(hù)口，并同意以本人／吾等名義或代表本人／吾等就證券買(mǎi)賣(mài)及相關(guān)事宜，通過(guò)網(wǎng)上交易服務(wù)運(yùn)作戶(hù)口，本人／吾等同意，戶(hù)口由貴公司透過(guò)貴公司的網(wǎng)上交易服務(wù)按照證券客戶(hù)合約及下列條款及條件（并受其規(guī)限）運(yùn)作：

1．定義及解釋

1．1 在本協(xié)議中，以下詞語(yǔ)具有下列涵義：

“進(jìn)入密碼”指密碼及戶(hù)口號(hào)碼；

“戶(hù)口”指本人在貴公司開(kāi)立的互聯(lián)網(wǎng)買(mǎi)賣(mài)戶(hù)口，經(jīng)由網(wǎng)上交易服務(wù)運(yùn)作；

“網(wǎng)上交易服務(wù)”指_________根據(jù)本協(xié)議提供的網(wǎng)上買(mǎi)賣(mài)服務(wù)，包括電子買(mǎi)賣(mài)服務(wù)，_________網(wǎng)址上的任何資料，以及其中的軟件；

“電子買(mǎi)賣(mài)服務(wù)”指本人／吾等發(fā)出電子指令的設(shè)施，以及網(wǎng)上交易服務(wù)提供的資訊服務(wù)；

“指令”指以電子方式買(mǎi)賣(mài)證券的買(mǎi)賣(mài)指令或其他處理指令；

“互聯(lián)網(wǎng)買(mǎi)賣(mài)政策”指有關(guān)網(wǎng)上交易服務(wù)運(yùn)作的政策（經(jīng)不時(shí)修訂）；

“密碼”指本人／吾等與帳號(hào)一并使用的個(gè)人密碼，據(jù)之可進(jìn)入該服務(wù)；

“證券客戶(hù)合約”指_________公司之現(xiàn)金客戶(hù)協(xié)議書(shū)或保證金客戶(hù)協(xié)議書(shū)；

“_________”指_________公司；

1．2 單數(shù)詞語(yǔ)包括眾數(shù)詞語(yǔ)，反之亦然。提到一種性別之處，包括所有性別。“人士”一詞，包括商號(hào)或獨(dú)資經(jīng)營(yíng)，合伙經(jīng)營(yíng)，集團(tuán)及法人公司，反之亦然。

2．網(wǎng)上交易服務(wù)

2．1 本人／吾等了解，電子買(mǎi)賣(mài)服務(wù)為一半自動(dòng)設(shè)施，讓本人／吾等發(fā)出電子指令，并接收信息服務(wù)。

2．2 本人／吾等同意使用電子買(mǎi)賣(mài)服務(wù)，必須遵照本協(xié)議條款及證券客戶(hù)合約。本人／吾等使用日後經(jīng)由網(wǎng)上交易服務(wù)提供的其他服務(wù)，亦必須遵照本協(xié)議條款及客戶(hù)協(xié)議書(shū)。

2．3 本人／吾等為戶(hù)口項(xiàng)下電子買(mǎi)賣(mài)服務(wù)的唯一獲授權(quán)使用者。本人／吾等需對(duì)進(jìn)入密碼的保密及使用承擔(dān)責(zé)任。本人／吾等承認(rèn)及同意，本人／吾等需就使用進(jìn)入密碼輸進(jìn)電子買(mǎi)賣(mài)服務(wù)的所有指令負(fù)責(zé)，而貴公司，貴公司董事，高級(jí)職員或雇員概毋需對(duì)本人／吾等，或經(jīng)由本人／吾等提出申索的任何其他人士（就任何有關(guān)處理，錯(cuò)誤處理或遺失任何指示）的申索承擔(dān)責(zé)任。

2．4 本人／吾等承認(rèn)，網(wǎng)上交易服務(wù)的所有人權(quán)益屬貴公司。本人／吾等保證及承諾，本人／吾等不會(huì)（亦不會(huì)嘗試）平擾，修改，拆解，易轉(zhuǎn)，操縱或以其他方式修改（且亦不會(huì)嘗試未獲授權(quán)進(jìn)入）網(wǎng)上交易服務(wù)的任何部份。本人吾等承認(rèn)，若本人／吾等在任何時(shí)候違反是項(xiàng)保證及承諾，或?qū)嵐驹谌魏螘r(shí)候合理懷疑本人／吾等違反是項(xiàng)保證及承諾，則貴公司可向本人／吾等采取法律行動(dòng)。本人／吾等承諾，若本人／吾等知悉任何人士干犯本段上文所述任何行動(dòng)，則本人／吾等須即時(shí)通知貴公司。

2．5 本人／吾等進(jìn)一步承認(rèn)及同意，作為使用電子買(mǎi)賣(mài)服務(wù)發(fā)出指令的先決條件，若有下列情況，本人／吾等需即時(shí)通知貴公司：

a．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到命令編號(hào)；

b．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到對(duì)指令或其執(zhí)行的準(zhǔn)確認(rèn)收（不論經(jīng)硬本，電子或口頭）；

c．本人／吾等收到交易指示的認(rèn)收（不論經(jīng)硬本，電子或口頭），但該等交易指示并非本人／吾等作出，或其他類(lèi)似的不一致情況；

d．本人／吾等知悉戶(hù)口號(hào)碼或密碼的任何未經(jīng)授權(quán)使用。

2．6 本人／吾等了解，貴公司擬備網(wǎng)上買(mǎi)賣(mài)政策，列出網(wǎng)上交易服務(wù)運(yùn)作政策及程序。該政策可經(jīng)由網(wǎng)址取得，在任何時(shí)候均適用。該政策的條款，對(duì)本人／吾等對(duì)使用網(wǎng)上交易服務(wù)具約束力。若本協(xié)議條款與網(wǎng)上買(mǎi)賣(mài)政策不一致，以本協(xié)議條款為準(zhǔn)。

2．7 本人／吾等承認(rèn)_________網(wǎng)址若提供報(bào)價(jià)服務(wù)，乃由貴公司不時(shí)指定的第三方提供者提供。本人／吾等承認(rèn)及同意，對(duì)本人／吾等在任何方面因報(bào)價(jià)服務(wù)或因本人／吾等依賴(lài)該服務(wù)而發(fā)生或與之有關(guān)的任何損失，費(fèi)用，支出，損害賠償或申索貴公司概毋須承擔(dān)責(zé)任。

2．8 本人／吾等了解，就提供資訊而言，電子買(mǎi)賣(mài)服務(wù)只提供由第三方刊發(fā)的證券資料。因市場(chǎng)波動(dòng)及資料傳送過(guò)程的延誤，該等資料可能并非有關(guān)證券或投資的實(shí)時(shí)市場(chǎng)報(bào)價(jià)。本人／吾等了解，雖然貴公司相信該等資料可靠，但沒(méi)有獨(dú)立基準(zhǔn)可茲證實(shí)（否定）所提供資料的準(zhǔn)確及完整性。本人／吾等了解，不應(yīng)從所提供的任何證券或投資資料而推斷貴公司作出任何推薦或認(rèn)可。

2．9 本人／吾等了解，在電子買(mǎi)賣(mài)服務(wù)中提供的資料，以“現(xiàn)狀”及“可提供”基準(zhǔn)提供，貴公司并不保證該等資料的時(shí)候，順序，準(zhǔn)確性，足夠性或完整性。貴公司沒(méi)有就該等資料作出明示或默示保證（包括但不限於可商售性或就某一用途的適合性而作出的保證）。

2．10 本人／吾等接受經(jīng)由互聯(lián)網(wǎng)或其他電子方法或設(shè)施接受或取得服務(wù)以及經(jīng)由互聯(lián)網(wǎng)或其他電子設(shè)備或設(shè)施溝通或進(jìn)行交易所帶來(lái)的風(fēng)險(xiǎn)。

3．戶(hù)口

3．1 本人／吾等承認(rèn)，本人／吾等只可經(jīng)由互聯(lián)網(wǎng)進(jìn)入戶(hù)口，本人／吾等承認(rèn)，若本人／吾等在經(jīng)由互聯(lián)網(wǎng)接觸貴公司時(shí)有任何困難，本人／吾等需嘗試使用其他方法與貴公司溝通，并把所遇困難知會(huì)貴公司。

3．2 開(kāi)戶(hù)口時(shí)，本人／吾等需在戶(hù)口申請(qǐng)表上寫(xiě)明本人／吾等就使用該服務(wù)而存入首筆按金的款額。該款額可由本人／吾等親自以 支票 ，銀行 本票 存入或以電傳存入貴公司的辦事處或銀行戶(hù)口。本人／吾等承認(rèn)貴公司收到戶(hù)口申請(qǐng)表上所載有效款項(xiàng)後，方會(huì)把進(jìn)入密碼通知本人／吾等。

4．指令――經(jīng)網(wǎng)上交易服務(wù)買(mǎi)賣(mài)

4．1 如因故障，通訊設(shè)施傳送失敗，或通訊媒體不可靠或并非貴公司所能控制或預(yù)期的一或多項(xiàng)原因，以致在傳送，收取或執(zhí)行指令上有所延誤貴公司毋須承擔(dān)責(zé)任。

4．2 本人／吾等了解，向傳播市場(chǎng)資料的各方提供市場(chǎng)資料的每一參與證券交易所或組織，對(duì)其提供的全部資料申張財(cái)產(chǎn)權(quán)益。本人／吾等亦了解，任何方概不保證市場(chǎng)資料或任何其他市場(chǎng)信息的時(shí)效，序列，準(zhǔn)確或完整性。任何損失或損害，若因下列原因或由其產(chǎn)生，貴公司或任何傳播方概毋須承擔(dān)任何責(zé)任：任何該等資料，資訊或信息不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或該等資料，資訊或信息傳送或交付時(shí)的任何不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或任何該等資料，資訊或信息因貴公司或任何傳播方的疏忽行為以致無(wú)法履行或提供；或任何不可抗力事件；或任何其他非貴公司所能控制或任何傳播方所能合理控制的其他原因。本人／吾等只會(huì)把股票報(bào)價(jià)用於自身用途，不會(huì)因任何原因向任何其他人士或?qū)嶓w提供該等資料。

4．3 本人／吾等承認(rèn)，因無(wú)法預(yù)料的通訊擠塞及其他原因，互聯(lián)網(wǎng)是存有內(nèi)在不可靠性的通訊媒體，而該不可靠性非貴公司所能控制。本人／吾等承認(rèn)，因該不可靠性，在傳送及接收指令及其他資料時(shí)可能有延誤，以致執(zhí)行指令的延誤及／或執(zhí)行指令的價(jià)格與發(fā)出指令時(shí)的價(jià)格不同。本人／吾等進(jìn)一步承認(rèn)及同意，任何通訊均有誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而該等風(fēng)險(xiǎn)需絕對(duì)由本人／吾等承擔(dān)。本人／吾等承認(rèn)及同意，指令一經(jīng)發(fā)出，通常不可取消。

5．境外指令

若本人／吾等在香港以外地方向貴公司發(fā)出指令，本人／吾等同意確保及聲明，該等指令嚴(yán)格遵守該等指令發(fā)出時(shí)所在相關(guān)司法轄區(qū)的任何適用法律。本人／吾等進(jìn)一步同意，本人／吾等有疑問(wèn)時(shí)會(huì)諮詢(xún)相關(guān)司法轄區(qū)的法律顧問(wèn)。本人／吾等接受在香港以外地區(qū)發(fā)出的指令，可能需向相關(guān)當(dāng)局支付稅費(fèi)，本人／吾等同意支付該等適用稅費(fèi)。本人／吾等同意，按要求彌償貴公司因本人／吾等在香港以外地區(qū)發(fā)出指令而發(fā)生的任何損害，損失，費(fèi)用，法律程序，要求或申索。

6．風(fēng)險(xiǎn)披露聲明

電子交易風(fēng)險(xiǎn)在交易高峰，市場(chǎng)波動(dòng)，系統(tǒng)升級(jí)及維護(hù)或其他時(shí)間，互聯(lián)網(wǎng)或其他電子設(shè)施的進(jìn)入可能會(huì)受到限制甚至無(wú)法進(jìn)入。通過(guò)互聯(lián)網(wǎng)或其他電子設(shè)施進(jìn)行的交易可能會(huì)因不可預(yù)測(cè)的流量堵塞和其他貴公司無(wú)法控制的原因而受到干擾，傳輸中斷，以及傳輸延誤。由於技術(shù)上的制約，互聯(lián)網(wǎng)是一種不完全可靠的通訊媒介。由於這種不可靠性原因，交易指令及其他資訊的傳輸和接收可能會(huì)有延誤，而這會(huì)導(dǎo)致交易指令在執(zhí)行上的延誤，或者交易執(zhí)行的價(jià)格已不同于指令發(fā)出時(shí)的市場(chǎng)價(jià)格。而且，通信和個(gè)人資料可能會(huì)被未經(jīng)授權(quán)的第三方取得，且在通信上會(huì)存在誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而這些風(fēng)險(xiǎn)將完全由本人／吾等承擔(dān)。本人／吾等確認(rèn)并同意，交易指令一旦發(fā)出通常將不可能取消。

簽署確認(rèn)

本人／吾等，為下述簽署人，茲承認(rèn)本人／吾等已閱讀，知悉，及明白本協(xié)議之內(nèi)容并接受其條款及條件。

客戶(hù)（簽字）：_________ 客戶(hù)主任（簽字）：_________

_________年____月____日 _________年____月____日

見(jiàn) 證人 （簽字）：_________

_________年____月____日

附件：

internet securities trading agreement（supplementary to the cash/margin client's agreement）

i/we am/are the client holding the securities account（s） with you numbered _________ （the ''account''） and refer to my/our cash/margin client's agreements in respect of the account dated _________. i/we agree that the account may be to open one or more securities trading account（s） （the ''account''） to be operated through internet trade service，in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of securities，and i/we agree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to the securities client's agreement：-

1.definition and construction

1.1 in this agreement，the following terms shall bear the following meanings：

'' access codes'' means together the password and the user name；

'' account'' means my internet securities trading account with you operated through the internet trade service；

''internet trade service'' means the on-line securities trading service provided by _________ under this agreement comprising the electronic trading ervice，any information contained in _________ web site and the software comprised in them；

''electronic trading service'' means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade；

''instruction'' means any instruction for the buying or selling of or otherwise dealing in any securities；

''internet trading policy'' means the policy relating to the operation of the internet trade service as amended from time to time；

''password'' means my/our personal password used in conjunction with the user name to gain access to the service；

''client's agreement'' means _________ cash client's agreement or margin client's agreement；

''_________'' means _________ securities limited；

''user name'' means the client's personal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.

1.2 words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shall include a firm or sole proprietorship，partnership，syndicate and corporation and vice versa.

2.internet trade service

2.1 i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.

2.2 i/we agree to use the electronic trading service and any additional services offered through the internet trade service only in accordance with the terms of this agreement in addition to the client's agreement.

2.3 i/we shall be the only authorized user of the electronic trading service under the account.i/we understand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electronic trading service using the access code and neither you nor your directors，officers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/us，for any claims with respect to the handling， mishandling or loss of any instruction.

2.4 i/we acknowledge that the internet trade service is proprietary to you. i/we warrant and undertake that i/we shall not， and shall not attempt to， tamper with， modify， decompile， reverse engineer or otherwise alter in any way， and shall not attempt to gain unauthorized access to， any part of the internet trade service. i/we acknowledge that you may take legal action against me/us， if i/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that i/we have breached the same. i/we undertake to notify you immediately if i/we become aware that any of the actions described above in this paragraph is being perpetrated by any other person.

2.5 i/we further acknowledge and agree that， as a condition of using the electronic trading service to give instructions， i/we shall immediately notify you if：

a.an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number；

b.an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an accurate acknowledgement of the instruction or of its execution （whether by hard copy， electronic or verbal means）；

c.i/we have received acknowledgement （whether by hard copy， electronic or verbal means） of a transaction which i/we did not instruct or any similar conflict； or

d.i/we become aware of any unauthorized use of the user name or password.

2.6 i/we understand that you shall prepare the internet trading policy setting out the operation policy and procedures of the internet trade service applicable at any time which shall be available at the internet trade web site the terms of which shall be binding on me/us in respect of my/our use of the internet trade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.

2.7 i/we acknowledge that the price quotation service， if any， for securities， available at the internet trade web site is provided by a third party provider appointed by you from time to time. i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， expenses， damages or claims which i/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.

2.8 i/we understand that the electronic trading services may provide， for informational purpose only， data about securities 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. i/we understand that whilst you believe such data to be reliable， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.

2.9 i/we understand that information provided in the electronic trading services is provided on an ''as is''， ''as available'' basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or completeness of such information. you give no express or implied warranties （including but not limited to warranties of merchantability or fitness for a particular use） with respect to such information.

2.10 i/we accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the internet or other electronic means or facilities for the purpose of the internet trade service.

3.the account

3.1 i/we acknowledge that i/we may only access the account through the internet and i/we agree that should i/we experience any problems in reaching you through the internet， i/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty i/we am/are experiencing.

3.2 when opening the account， i/we shall state in the account application the amount of my/our initial deposit of funds in the account for the use with the internet trade service. such amount shall be paid to your offices or bank account either by cheque， bankers draft or telegraphic transfer. i/we acknowledge that the access codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.

4.instructions- dealings through the internet trade service

4.1 you shall not be responsible for delays in the transmission， receipt or execution of instructions due to either transmission of communication facilities， or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.

4.2 i/we understand that each participating securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. i/we also understand that no party guarantees the timeliness， sequence， accuracy or completeness of market data or any other market information. neither you 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 message， or the transmission or delivery of the same， non-performance or interruption of any such data， message or information due to any negligent act of you or any disseminating party， or to any force majeure event， or any other cause beyond your control or the reasonable control of any disseminating party. i/we shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.

4.3 i/we acknowledge that the internet is， due to unpredictable traffic congestion and other reasons， an inherently unreliable medium of communication and that such unreliability is beyond your control. i/we acknowledge that， as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing at the time the instructions were given. i/we further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that instruction may not be cancelled after it has been given.

5.instructions outside hong kong

if i/we give any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my instruction is given， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdiction. i/we accept that there may be taxes or charges payable to relevant authorities in respect to any instruction given outside hong kong ， and i/we agree to pay such taxes or charges as possible.

6.risk disclosure statement

risk of electronic trading. access to the internet or other electronic devices may be limited or unavailable during periods of peak demand， market volatility， systems upgrades or maintenance or for other reasons. transactions conducted through the internet or other electronic devices may be subject to interruption， transmission blackout， and delayed transmission due to unpredictable traffic congestion and other reasons beyond your control. internet is， due to technical limitation， an inherently unreliable medium if communication. as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing prices at the time the instructions are given. moreover， communications and personal data may be accessed by authorized third parties； and there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that it shall not usually be possible to cancel an instruction after it has been given.

acknowledgement

i/we，the undersigned， hereby acknowledge that i/we have read， is/are aware of and understand the contents of the client's agreement and accept its terms and conditions thereof.

date：_________.

print name of client：_________

signed by account executive：_________

print name of witness：_________

第3篇 淺白語(yǔ)言證券現(xiàn)金買(mǎi)賣(mài)客戶(hù)協(xié)議書(shū)（香港地區(qū)）

本人／吾等（請(qǐng)?zhí)顚?xiě)姓名／名稱(chēng)）______________________________

茲要求閣下根據(jù)下列條款及條件為本人／吾等運(yùn)作一個(gè)現(xiàn)金證券買(mǎi)賣(mài)戶(hù)口（戶(hù)口）：

1．戶(hù)口

1．1 本人／吾等確認(rèn)［開(kāi)戶(hù)數(shù)據(jù)］及［附屬數(shù)據(jù)］所載數(shù)據(jù)均屬完整及正確。倘該等資料有任何變更，本人／吾等將會(huì)通知閣下。本人／吾等特此授權(quán)閣下對(duì)本人／吾等的信用進(jìn)行查詢(xún)，以核實(shí)上述表格所載數(shù)據(jù)。

1．2 閣下將會(huì)對(duì)本人／吾等戶(hù)口的有關(guān)數(shù)據(jù)予以保密，但閣下可以根據(jù)香港聯(lián)合交易所（聯(lián)交所）及證監(jiān)會(huì)的規(guī)定或應(yīng)其要求，將該等數(shù)據(jù)提供予聯(lián)交所及證監(jiān)會(huì)。

2．法例及規(guī)則

閣下按本人／吾等的指示所進(jìn)行的一切證券交易（交易），須根據(jù)適用于閣下的一切法例、規(guī)則和監(jiān)管指示的規(guī)定而進(jìn)行。這方面的規(guī)定包括但不限于聯(lián)交所及香港中央結(jié)算有限公司（中央結(jié)算公司）的規(guī)則。閣下根據(jù)該等法例、規(guī)則及指示而采取的所有行動(dòng)均對(duì)本人／吾等具有約束力。

3．交易

3．1 除閣下事先通知本人／吾等，以自己本身名義進(jìn)行交易外，閣下將以本人／吾等的 代理 人身份進(jìn)行交易。

3．2 本人／吾等確認(rèn)閣下表明不會(huì)接受“賣(mài)空指示”（根據(jù)“有關(guān)申報(bào)賣(mài)空活動(dòng)及備存證券借出紀(jì)錄規(guī)定的指引”第7．5條）。

3．3 本人／吾等會(huì)就所有交易支付閣下通知本人／吾等的傭金和收費(fèi)，繳付所有適用的征費(fèi)及費(fèi)用，并繳納所有有關(guān)的 印花稅 。閣下可以從戶(hù)口中扣除該等傭金、收費(fèi)、征費(fèi)及稅項(xiàng)。

3．4 就每一宗交易，除另有協(xié)議外或除非閣下已代本人／吾等持有現(xiàn)金或證券供交易交收之用，否則本人／吾等將會(huì)在閣下就該項(xiàng)交易通知本人／吾等的期限之前向閣下交付可實(shí)時(shí)動(dòng)用的資金或可以交付的證券，或以其它方式確保閣下收到此等資金或證券。倘本人／吾等未能這樣做，閣下可以（如屬買(mǎi)入交易）出售買(mǎi)入的證券；及（如屬賣(mài)出交易）借入及／或買(mǎi)入證券以進(jìn)行交易的交收。

3．5 本人／吾等將會(huì)負(fù)擔(dān)閣下因本人／吾等未能進(jìn)行交收而引起的任何損失及開(kāi)支。

3．6 本人／吾等同意就所有逾期未付款項(xiàng)（包括對(duì)本人／吾等裁定的欠付 債務(wù) 所引起的利息），按（于裁定前后）下列利率（以較高者為準(zhǔn)）加3．5％支付利息：

（i）香港 上海 匯豐銀行有限公司所公布于該日的優(yōu)惠 貸款利率 和

（ii）閣下于該日就逾期未付款項(xiàng)的貸款成本利率，以及按閣下不時(shí)通知本人／吾等其絕對(duì)酌情決定的利率及其它條款支付利息，該等利息應(yīng)以日息計(jì)算和于每一公歷月最后一日或應(yīng)閣下要求支付。

3．7 就買(mǎi)入交易而言，倘賣(mài)方經(jīng)紀(jì)未能于交收日內(nèi)交付證券，導(dǎo)致閣下須買(mǎi)入證券進(jìn)行交收，本人／吾等毋須為買(mǎi)入該等證券的費(fèi)用向閣下負(fù)責(zé)。

4．代本人／吾等保管的現(xiàn)金

除本人／吾等給予閣下“書(shū)面指示”（根據(jù)《證券及期貨（客戶(hù)款項(xiàng)）規(guī)則》第7條）或“常設(shè)授權(quán)”（根據(jù)《證券及期貨（客戶(hù)款項(xiàng)）規(guī)則》第8條），代本人／吾等保管的現(xiàn)金，須依照《證券及期貨（客戶(hù)款項(xiàng)）規(guī)則》第4（3）條，存放于一家認(rèn)可財(cái)務(wù)機(jī)構(gòu)所開(kāi)立的沒(méi)有利息的客戶(hù)賬戶(hù)或信托賬戶(hù)。

5．證券的保管

5．1 由閣下寄存妥為保管的任何證券，閣下可以酌情決定在合理及切實(shí)可行范圍內(nèi)盡快

（a）存放于在

（i）認(rèn)可財(cái)務(wù)機(jī)構(gòu)；

（ii）核準(zhǔn)保管人；或

（iii）另一獲發(fā)牌進(jìn)行證券交易的中介人；

開(kāi)立的獨(dú)立賬戶(hù)作穩(wěn)妥保管，而該賬戶(hù)是指定為信托賬戶(hù)或客戶(hù)賬戶(hù)并由閣下為持有閣下的客戶(hù)證券目的而在香港開(kāi)立及維持的；或

（b）以本人／吾等的名稱(chēng)登記。

5．2 倘證券未以本人／吾等的名義注冊(cè)，閣下于收到該等證券所獲派的任何股息或其它利益時(shí)，須按本人／吾等與閣下的協(xié)議記入本人／吾等的戶(hù)口或支付予或轉(zhuǎn)賬予本人／吾等。倘該等證券屬于閣下代客戶(hù)持有較大數(shù)量的同一證券的一部份，本人／吾等有權(quán)按本人／吾等所占的比例獲得該等證券的利益。

6．處理本人／吾等證券

（1）閣下可按照以下的指示或授權(quán)，處理閣下收取或持有的本人／吾等證券

（a）本人／吾等就以下事宜發(fā)出的口頭或書(shū)面指示

（i）出售本人／吾等證券及證券 抵押 品；或

（ii）就該項(xiàng)出售指令進(jìn)行交收；

（b）從（本協(xié)議）第5（1）（a）條提述的賬戶(hù)提取本人／吾等證券，或處理已按照（本協(xié)議）第5（1）（b）條登記的本人／吾等證券的書(shū)面指示；或

（c）常設(shè)授權(quán)（如在《證券及期貨（客戶(hù)證券）規(guī)則第6（1）（c）條》所示）。

（2）在不損害（本協(xié)議合約）第6（1）款的原則下，閣下可處置閣下代本人／吾等收取或持有的任何證券，以解除由本人／吾等對(duì)閣下所負(fù)的法律責(zé)任。

7．抵銷(xiāo)及 留置權(quán)

7．1 閣下可抵銷(xiāo)或調(diào)動(dòng)本人／吾等與閣下開(kāi)立的任何一個(gè)或多個(gè)現(xiàn)有戶(hù)口（包括任何其它本人／吾等之聯(lián)名戶(hù)口）內(nèi)賬上的任何款項(xiàng)或運(yùn)用該等戶(hù)口的任何資產(chǎn)，用以履行本人／吾等對(duì)閣下以任何方式產(chǎn)生的義務(wù)或責(zé)任（包括，如合適，共同及各別責(zé)任）。

7．2 本人／吾等同意賦予閣下：

（a）在閣下為本人／吾等戶(hù)口持有的所有證券或其它財(cái)產(chǎn)上的全面留置權(quán)；及

（b）從本人／吾等與閣下開(kāi)立的戶(hù)口（包括任何其它本人／吾等之聯(lián)名戶(hù)口）內(nèi)扣除任何逾期未付款項(xiàng)、利息以及其它債項(xiàng)以及處置任何證券和其它財(cái)產(chǎn)或進(jìn)行有關(guān)任何證券或其它財(cái)產(chǎn)的交易，并運(yùn)用從該處置或交易中所得的收益的權(quán)利（閣下可絕對(duì)酌情決定予以處置或買(mǎi)賣(mài)的證券和其它財(cái)產(chǎn)），使閣下為保障自己或因其它原因覺(jué)得適合而代表本人／吾等進(jìn)行閣下認(rèn)為有需要或適宜的（有關(guān)上述本人／吾等之任何戶(hù)口的）證券買(mǎi)賣(mài)所產(chǎn)生的義務(wù)得以履行或滿足。

8．賠償、責(zé)任和保證

本人／吾等與同意，倘（由于任何原因或于任何時(shí)間）因本協(xié)議書(shū)引致閣下和／或閣下不時(shí)的董事和雇員（［職員］）承擔(dān)的全部責(zé)任、損失、費(fèi)用和／或支出（包括法律費(fèi)用），除了因?yàn)槿魏卧摰蓉?zé)任、損失、費(fèi)用和／或支出是在閣下或其職員實(shí)際詐騙或疏忽下而引起的之外，一概由本人／吾等負(fù)責(zé)賠償并使閣下和其職員獲得賠償。

9．一般規(guī)定

9．1 閣下可以錄音方式監(jiān)控及核實(shí)證券交易的信息。

9．2 倘閣下沒(méi)有依照本協(xié)議書(shū)的規(guī)定履行對(duì)本人／吾等的責(zé)任，本人／吾等有權(quán)向根據(jù)《證券及期貨條例》成立的投資者賠償基金索償，惟須受投資者賠償基金不時(shí)的條款制約。

9．3 倘閣下的業(yè)務(wù)有重大變更，并且可能影響閣下為本人／吾等提供的服務(wù)，閣下將會(huì)通知本人／吾等。

9．4 本人／吾等確認(rèn)本人／吾等已詳閱并同意本協(xié)議書(shū)的條款，而且該等條款已經(jīng)以本人／吾等明白的語(yǔ)言向本人解釋。

9．5 本協(xié)議書(shū)受香港特別行政區(qū)法律 管轄 ，并且可以根據(jù)香港特別行政區(qū)法律執(zhí)行。如本協(xié)議中英兩種文本的釋義之間和含義之間有不一致的，以英文本為準(zhǔn)。

10．風(fēng)險(xiǎn)披露聲明

本人／吾等必須于簽署本協(xié)議書(shū)時(shí)，簽署及確認(rèn)風(fēng)險(xiǎn)披露聲明。

由（客戶(hù)名稱(chēng)／姓名）

簽署

（公司戶(hù)口：獲授權(quán)簽名／公司印章）

見(jiàn) 證人

［見(jiàn)證人姓名、地址及職業(yè)］

［見(jiàn)證人簽名］

確認(rèn)及接受

注冊(cè)人姓名（請(qǐng)用正楷填寫(xiě)）

獲授權(quán)簽名／公司印章

開(kāi)戶(hù)資料（私人／獨(dú)資經(jīng)營(yíng)／合伙經(jīng)營(yíng)／機(jī)構(gòu)）

戶(hù)名：

現(xiàn)金客戶(hù)戶(hù)口號(hào)碼：

姓名（英文）：

姓名（中文）：

婚姻狀況（私人客戶(hù)）：

地址：

電話號(hào)碼：（日）

（夜）

（手提）

職業(yè)／業(yè)務(wù)性質(zhì)：

商業(yè)登記號(hào)碼（獨(dú)資經(jīng)營(yíng)／合伙經(jīng)營(yíng)／機(jī)構(gòu)客戶(hù)）：

已繳付股本（機(jī)構(gòu)客戶(hù)）：

東主／ 合伙人 ／董事姓名（機(jī)構(gòu)客戶(hù)）

* 身份證 號(hào)碼／護(hù)照號(hào)碼

* 根據(jù)保存已核實(shí)有關(guān)身份證或護(hù)照有關(guān)部份副本

銀行證明（包括地址，戶(hù)口種類(lèi)及號(hào)碼）：

公司注冊(cè) 證書(shū)及注冊(cè)國(guó)家（機(jī)構(gòu)客戶(hù)）：

簽名式樣（機(jī)構(gòu)客戶(hù)）

姓名

* 護(hù)照號(hào)碼／身份證號(hào)碼

簽名

（ 1 ）

（ 2 ）

（ 3 ）

（ 4 ）

* 根據(jù)保存已核實(shí)有關(guān)身份證或護(hù)照有關(guān)部份副本

簽名式樣（聯(lián)名戶(hù)口）

姓名

* 護(hù)照號(hào)碼／身份證號(hào)碼

簽名

（ 1 ）

（ 2 ）

（ 3 ）

（ 4 ）

* 根據(jù)保存已核實(shí)有關(guān)身份證或護(hù)照有關(guān)部份副本

戶(hù)口可根據(jù)其中任何兩式／以上任何一式：（聯(lián)名戶(hù)口用）簽名式樣指示下運(yùn)作。

業(yè)務(wù)印章式樣（獨(dú)資經(jīng)營(yíng)／合伙經(jīng)營(yíng)／機(jī)構(gòu)客戶(hù)）：

客戶(hù)身份聲名

本人／吾等作下列客戶(hù)身份聲名（根據(jù)證券及期貨事務(wù)監(jiān)察委員會(huì)注冊(cè)人操守準(zhǔn)則第5．4條）。

最終受益人身份：

（a）最終從該宗交易中獲得利益及／或承擔(dān)其風(fēng)險(xiǎn)的人士的身份

姓名／名稱(chēng)

* 香港身份證／護(hù)照文件／商業(yè)登記證號(hào)碼／公司注冊(cè)證書(shū)

地址

（b）最初負(fù)責(zé)發(fā)出該宗交易的指示的人士的身份（如與以上不同）

姓名／名稱(chēng)

* 香港身份證／護(hù)照文件／商業(yè)登記證號(hào)碼／公司注冊(cè)證書(shū)

地址

* 根據(jù)保存已核實(shí)有關(guān)身份證或身份證明文件的副本。

本人／吾等謹(jǐn)此聲明上述數(shù)據(jù)屬真實(shí)及正確無(wú)誤，貴公司可依賴(lài)此等資料以履行貴公司義務(wù)。此外，凡上述（a）及（b）項(xiàng)數(shù)據(jù)，如有任何變更，本人／吾等謹(jǐn)此承諾實(shí)時(shí)致函通知貴公司。

簽署：

客戶(hù)姓名（請(qǐng)用正楷填寫(xiě)）

附件 風(fēng)險(xiǎn)披露聲明

1．證券交易的風(fēng)險(xiǎn)

證券價(jià)格有時(shí)可能會(huì)非常波動(dòng)。證券價(jià)格可升可跌，甚至變成毫無(wú)價(jià)值。買(mǎi)賣(mài)證券未必一定能夠賺取利潤(rùn)，反而可能會(huì)招致?lián)p失。

2．買(mǎi)賣(mài)創(chuàng)業(yè)板股份的風(fēng)險(xiǎn)

創(chuàng)業(yè)板股份涉及很高的投資風(fēng)險(xiǎn)。尤其是該等公司可在無(wú)需具備盈利往績(jī)及無(wú)需預(yù)測(cè)未來(lái)盈利的情況下在創(chuàng)業(yè)板上市。創(chuàng)業(yè)板股份可能非常波動(dòng)及流通性很低。

你只應(yīng)在審慎及仔細(xì)考慮后，才作出有關(guān)的投資決定。創(chuàng)業(yè)板市場(chǎng)的較高風(fēng)險(xiǎn)性質(zhì)及其它特點(diǎn)，意味著這個(gè)市場(chǎng)較適合專(zhuān)業(yè)及其它熟悉投資技巧的投資者。

現(xiàn)時(shí)有關(guān)創(chuàng)業(yè)板股份的數(shù)據(jù)只可以在香港聯(lián)合交易所有限公司所操作的互聯(lián)網(wǎng)網(wǎng)站上找到。創(chuàng)業(yè)板 上市公司 一般毋須在憲報(bào)指定的報(bào)章刊登付費(fèi)公告。

假如你對(duì)本風(fēng)險(xiǎn)披露聲明的內(nèi)容或創(chuàng)業(yè)板市場(chǎng)的性質(zhì)及在創(chuàng)業(yè)板買(mǎi)賣(mài)的股份所涉風(fēng)險(xiǎn)有不明白之處，應(yīng)尋求獨(dú)立的專(zhuān)業(yè)意見(jiàn)。

3．在香港以外地方收取或持有的客戶(hù)資產(chǎn)的風(fēng)險(xiǎn)

持牌人或注冊(cè)人在香港以外地方收取或持有的客戶(hù)資產(chǎn)，是受到有關(guān)海外司法管轄區(qū)的適用法律及規(guī)例所監(jiān)管的。這些法律及規(guī)例與《證券及期貨條例》（第571章）及根據(jù)該條例制訂的規(guī)則可能有所不同。因此，有關(guān)客戶(hù)資產(chǎn)將可能不會(huì)享有賦予在香港收取或持有的客戶(hù)資產(chǎn)的相同保障。

4．提供代存郵件或?qū)⑧]件轉(zhuǎn)交第三方的授權(quán)書(shū)的風(fēng)險(xiǎn)

假如你向持牌人或注冊(cè)人提供授權(quán)書(shū)，允許他代存郵件或?qū)⑧]件轉(zhuǎn)交予第三方，那么你便須盡速親身收取所有關(guān)于你賬戶(hù)的成交單據(jù)及結(jié)單，并加以詳細(xì)閱讀，以確?？杉皶r(shí)偵察到任何差異或錯(cuò)誤。

持牌人或注冊(cè)人注意事項(xiàng)

持牌人或注冊(cè)人應(yīng)至少每年與客戶(hù)確認(rèn)到底該客戶(hù)是否希望撤銷(xiāo)該項(xiàng)授權(quán)。為了清楚說(shuō)明起見(jiàn)，持牌人或注冊(cè)人只需在該項(xiàng)授權(quán)屆滿的日期之前通知有關(guān)客戶(hù)，指明除非客戶(hù)在委托授權(quán)屆滿的日期前以書(shū)面明確地撤銷(xiāo)該項(xiàng)授權(quán)，否則該項(xiàng)授權(quán)便會(huì)自動(dòng)續(xù)期。

5．在香港聯(lián)合交易所有限公司買(mǎi)賣(mài)納斯達(dá)克－美國(guó)證券交易所證券的風(fēng)險(xiǎn)

按照納斯達(dá)克－美國(guó)證券交易所試驗(yàn)計(jì)劃（“試驗(yàn)計(jì)劃”）掛牌買(mǎi)賣(mài)的證券是為熟悉投資技巧的投資者而設(shè)的。你在買(mǎi)賣(mài)該項(xiàng)試驗(yàn)計(jì)劃的證券之前，應(yīng)先咨詢(xún)有關(guān)持牌人或注冊(cè)人的意見(jiàn)和熟悉該項(xiàng)試驗(yàn)計(jì)劃。你應(yīng)知悉，按照該項(xiàng)試驗(yàn)計(jì)劃掛牌買(mǎi)賣(mài)的證券并非以香港聯(lián)合交易所有限公司的主板或創(chuàng)業(yè)板作第一或第二上市的證券類(lèi)別加以監(jiān)管。

6．其它風(fēng)險(xiǎn)

（1）存放的現(xiàn)金及財(cái)產(chǎn)

如果你為在本地或海外進(jìn)行的交易存放款項(xiàng)或其它財(cái)產(chǎn)，你應(yīng)了解清楚該等款項(xiàng)或財(cái)產(chǎn)會(huì)獲得哪些保障，特別是在有關(guān)商號(hào)破產(chǎn)或無(wú)力償債時(shí)的保障。至于能追討多少款項(xiàng)或財(cái)產(chǎn)一事，可能須受限于具體法例規(guī)定或當(dāng)?shù)氐囊?guī)則。在某些司法管轄區(qū)，收回的款項(xiàng)或財(cái)產(chǎn)如有不足之?dāng)?shù)，則可認(rèn)定屬于你的財(cái)產(chǎn)將會(huì)如現(xiàn)金般按比例分配予你。

（2）傭金及其它收費(fèi)

在開(kāi)始交易之前，你先要清楚了解你必須繳付的所有傭金、費(fèi)用或其它收費(fèi)。這些費(fèi)用將直接影響你可獲得的凈利潤(rùn)（如有）或增加你的虧損。

（3）在其它司法管轄區(qū)進(jìn)行交易

在其它司法管轄區(qū)的市場(chǎng)（包括與本地市場(chǎng)有正式連系的市場(chǎng)）進(jìn)行交易，或會(huì)涉及額外的風(fēng)險(xiǎn)。根據(jù)這些市場(chǎng)的規(guī)例，投資者享有的保障程度可能有所不同，甚或有所下降。在進(jìn)行交易前，你應(yīng)先行查明有關(guān)你將進(jìn)行的該項(xiàng)交易的所有規(guī)則。你本身所在地的監(jiān)管機(jī)構(gòu)，將不能迫使你已執(zhí)行的交易所在地的所屬司法管轄區(qū)的監(jiān)管機(jī)構(gòu)或市場(chǎng)執(zhí)行有關(guān)的規(guī)則。有鑒于此，在進(jìn)行交易之前，你應(yīng)先向有關(guān)商號(hào)查詢(xún)你本身地區(qū)所屬的司法管轄區(qū)及其它司法管轄區(qū)可提供哪種補(bǔ)救措施及有關(guān)詳情。

（4）貨幣風(fēng)險(xiǎn)

以外幣計(jì)算的合約買(mǎi)賣(mài)所帶來(lái)的利潤(rùn)或招致的虧損（不論交易是否在你本身所在的司法管轄區(qū)或其它地區(qū)進(jìn)行），均會(huì)在需要將合約的單位貨幣兌換成另一種貨幣時(shí)受到匯率波動(dòng)的影響。

（5）交易設(shè)施

電子交易的設(shè)施是以計(jì)算機(jī)組成系統(tǒng)來(lái)進(jìn)行交易指示傳遞、執(zhí)行、配對(duì)、登記或交易結(jié)算。然而，所有設(shè)施及系統(tǒng)均有可能會(huì)暫時(shí)中斷或失靈，而你就此所能獲得的賠償或會(huì)受制于系統(tǒng)供貨商、市場(chǎng)、結(jié)算公司及／或參與者商號(hào)就其所承擔(dān)的責(zé)任所施加的限制。由于這些責(zé)任限制可以各有不同，你應(yīng)向?yàn)槟氵M(jìn)行交易的商號(hào)查詢(xún)這方面的詳情。

（6）電子交易

透過(guò)某個(gè)電子交易系統(tǒng)進(jìn)行買(mǎi)賣(mài)，可能會(huì)與透過(guò)其它電子交易系統(tǒng)進(jìn)行買(mǎi)賣(mài)有所不同。如果你透過(guò)某個(gè)電子交易系統(tǒng)進(jìn)行買(mǎi)賣(mài)，便須承受該系統(tǒng)帶來(lái)的風(fēng)險(xiǎn)，包括有關(guān)系統(tǒng)硬件或軟件可能會(huì)失靈的風(fēng)險(xiǎn)。系統(tǒng)失靈可能會(huì)導(dǎo)致你的交易指示不能根據(jù)指示執(zhí)行，甚或完全不獲執(zhí)行。

（7）場(chǎng)外交易

在某些司法管轄區(qū)，同時(shí)在特定情況之下，有關(guān)商號(hào)獲準(zhǔn)進(jìn)行場(chǎng)外交易。為你進(jìn)行交易的商號(hào)可能是你所進(jìn)行的買(mǎi)賣(mài)的交易對(duì)手方。在這種情況下，有可能難以或根本無(wú)法平掉既有倉(cāng)盤(pán)、評(píng)估價(jià)值、厘定公平價(jià)格又或評(píng)估風(fēng)險(xiǎn)。因此，這些交易或會(huì)涉及更大的風(fēng)險(xiǎn)。此外，場(chǎng)外交易的監(jiān)管或會(huì)比較寬松，又或需遵照不同的監(jiān) 管制 度；因此，你在進(jìn)行該等交易前，應(yīng)先了解適用的規(guī)則和有關(guān)的風(fēng)險(xiǎn)。

7．客戶(hù)確認(rèn)聲明

本人／吾等確認(rèn)已按照本人／吾等選擇的語(yǔ)言（英文或中文）獲提供風(fēng)險(xiǎn)披露聲明及已獲邀閱讀該風(fēng)險(xiǎn)披露聲明、提出問(wèn)題及征求獨(dú)立的意見(jiàn)（如本人／吾等有此意愿）。

簽署：

客戶(hù)姓名（請(qǐng)用正楷填寫(xiě)）

日期：

8．客戶(hù)備忘

_________證券有限公司向客戶(hù)作出的承諾，如果在客戶(hù)協(xié)議內(nèi)提供的以下數(shù)據(jù)，有任何重要的變更均會(huì)通知客戶(hù)：

（1）本公司的業(yè)務(wù)的全名及地址，包括本公司在證監(jiān)會(huì)的注冊(cè)身分及ce編號(hào)（由證監(jiān)會(huì)所分配的獨(dú)特識(shí)別號(hào)碼）；

（2）本公司向客戶(hù)提供或客戶(hù)可使用的服務(wù)，例如證券現(xiàn)金買(mǎi)賣(mài)賬戶(hù)、證券 保證金 買(mǎi)賣(mài)賬戶(hù)、委托賬戶(hù)、投資組合管理、投資顧問(wèn)服務(wù)、單位信托或期貨／期權(quán)買(mǎi)賣(mài)賬戶(hù)的性質(zhì)；

（3）客戶(hù)須向本公司支付的任何酬勞（及其支付基準(zhǔn)），例如傭金、經(jīng)紀(jì)費(fèi)及其它費(fèi)用及收費(fèi)。

此客戶(hù)協(xié)議在運(yùn)作上不會(huì)消除、排除或限制在法律之下該客戶(hù)的任何權(quán)利或注冊(cè)人的任何責(zé)任。

9．職員聲明

本人，以注冊(cè)人身份，確應(yīng)本人已按上述客戶(hù)所選擇的語(yǔ)言（英文或中文）提供風(fēng)險(xiǎn)披露聲明；及邀請(qǐng)客戶(hù)閱讀該風(fēng)險(xiǎn)披露聲明、提出問(wèn)題及征求獨(dú)立的意見(jiàn)（如客戶(hù)有此意愿）。

注冊(cè)人姓名（請(qǐng)用正楷填寫(xiě)）

簽署

ce 編號(hào)：

日期：

10．客戶(hù)確認(rèn)

本人／吾等確認(rèn)收到本人／吾等須向貴公司支付的任何酬勞（及其支付基準(zhǔn)），例如傭金、經(jīng)紀(jì)費(fèi)及其它費(fèi)用及收費(fèi)。

客戶(hù)簽署：

第4篇 互聯(lián)網(wǎng)證券交易協(xié)議（附加於現(xiàn)金／保證金客戶(hù)協(xié)議書(shū)）

本人／吾等乃貴公司證券戶(hù)口_________號(hào)（“戶(hù)口”）之戶(hù)口持有人，本人／吾等之證券客戶(hù)合約於_________簽訂。本人／吾等同意開(kāi)立一個(gè)或多個(gè)證券買(mǎi)賣(mài)戶(hù)口，并同意以本人／吾等名義或代表本人／吾等就證券買(mǎi)賣(mài)及相關(guān)事宜，通過(guò)網(wǎng)上交易服務(wù)運(yùn)作戶(hù)口，本人／吾等同意，戶(hù)口由貴公司透過(guò)貴公司的網(wǎng)上交易服務(wù)按照證券客戶(hù)合約及下列條款及條件（并受其規(guī)限）運(yùn)作：

1.定義及解釋

1.1 在本協(xié)議中，以下詞語(yǔ)具有下列涵義：

“進(jìn)入密碼”指密碼及戶(hù)口號(hào)碼；

“戶(hù)口”指本人在貴公司開(kāi)立的互聯(lián)網(wǎng)買(mǎi)賣(mài)戶(hù)口，經(jīng)由網(wǎng)上交易服務(wù)運(yùn)作；

“網(wǎng)上交易服務(wù)”指_________根據(jù)本協(xié)議提供的網(wǎng)上買(mǎi)賣(mài)服務(wù)，包括電子買(mǎi)賣(mài)服務(wù)，_________網(wǎng)址上的任何資料，以及其中的軟件；

“電子買(mǎi)賣(mài)服務(wù)”指本人／吾等發(fā)出電子指令的設(shè)施，以及網(wǎng)上交易服務(wù)提供的資訊服務(wù)；

“指令”指以電子方式買(mǎi)賣(mài)證券的買(mǎi)賣(mài)指令或其他處理指令；

“互聯(lián)網(wǎng)買(mǎi)賣(mài)政策”指有關(guān)網(wǎng)上交易服務(wù)運(yùn)作的政策（經(jīng)不時(shí)修訂）；

“密碼”指本人／吾等與帳號(hào)一并使用的個(gè)人密碼，據(jù)之可進(jìn)入該服務(wù)；

“證券客戶(hù)合約”指_________公司之現(xiàn)金客戶(hù)協(xié)議書(shū)或保證金客戶(hù)協(xié)議書(shū)；

“_________”指_________公司；

1.2 單數(shù)詞語(yǔ)包括眾數(shù)詞語(yǔ)，反之亦然。提到一種性別之處，包括所有性別?！叭耸俊币辉~，包括商號(hào)或獨(dú)資經(jīng)營(yíng)，合伙經(jīng)營(yíng)，集團(tuán)及法人公司，反之亦然。

2.網(wǎng)上交易服務(wù)2.1 本人／吾等了解，電子買(mǎi)賣(mài)服務(wù)為一半自動(dòng)設(shè)施，讓本人／吾等發(fā)出電子指令，并接收信息服務(wù)。

2.2 本人／吾等同意使用電子買(mǎi)賣(mài)服務(wù)，必須遵照本協(xié)議條款及證券客戶(hù)合約。本人／吾等使用日後經(jīng)由網(wǎng)上交易服務(wù)提供的其他服務(wù)，亦必須遵照本協(xié)議條款及客戶(hù)協(xié)議書(shū)。

2.3 本人／吾等為戶(hù)口項(xiàng)下電子買(mǎi)賣(mài)服務(wù)的唯一獲授權(quán)使用者。本人／吾等需對(duì)進(jìn)入密碼的保密及使用承擔(dān)責(zé)任。本人／吾等承認(rèn)及同意，本人／吾等需就使用進(jìn)入密碼輸進(jìn)電子買(mǎi)賣(mài)服務(wù)的所有指令負(fù)責(zé)，而貴公司，貴公司董事，高級(jí)職員或雇員概毋需對(duì)本人／吾等，或經(jīng)由本人／吾等提出申索的任何其他人士（就任何有關(guān)處理，錯(cuò)誤處理或遺失任何指示）的申索承擔(dān)責(zé)任。

2.4 本人／吾等承認(rèn)，網(wǎng)上交易服務(wù)的所有人權(quán)益屬貴公司。本人／吾等保證及承諾，本人／吾等不會(huì)（亦不會(huì)嘗試）平擾，修改，拆解，易轉(zhuǎn)，操縱或以其他方式修改（且亦不會(huì)嘗試未獲授權(quán)進(jìn)入）網(wǎng)上交易服務(wù)的任何部份。本人吾等承認(rèn)，若本人／吾等在任何時(shí)候違反是項(xiàng)保證及承諾，或?qū)嵐驹谌魏螘r(shí)候合理懷疑本人／吾等違反是項(xiàng)保證及承諾，則貴公司可向本人／吾等采取法律行動(dòng)。本人／吾等承諾，若本人／吾等知悉任何人士干犯本段上文所述任何行動(dòng)，則本人／吾等須即時(shí)通知貴公司。

2.5 本人／吾等進(jìn)一步承認(rèn)及同意，作為使用電子買(mǎi)賣(mài)服務(wù)發(fā)出指令的先決條件，若有下列情況，本人／吾等需即時(shí)通知貴公司：

a.有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到命令編號(hào)；

b.有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到對(duì)指令或其執(zhí)行的準(zhǔn)確認(rèn)收（不論經(jīng)硬本，電子或口頭）；

c.本人／吾等收到交易指示的認(rèn)收（不論經(jīng)硬本，電子或口頭），但該等交易指示并非本人／吾等作出，或其他類(lèi)似的不一致情況；

d.本人／吾等知悉戶(hù)口號(hào)碼或密碼的任何未經(jīng)授權(quán)使用。

2.6 本人／吾等了解，貴公司擬備網(wǎng)上買(mǎi)賣(mài)政策，列出網(wǎng)上交易服務(wù)運(yùn)作政策及程序。該政策可經(jīng)由網(wǎng)址取得，在任何時(shí)候均適用。該政策的條款，對(duì)本人／吾等對(duì)使用網(wǎng)上交易服務(wù)具約束力。若本協(xié)議條款與網(wǎng)上買(mǎi)賣(mài)政策不一致，以本協(xié)議條款為準(zhǔn)。

2.7 本人／吾等承認(rèn)_________網(wǎng)址若提供報(bào)價(jià)服務(wù)，乃由貴公司不時(shí)指定的第三方提供者提供。本人／吾等承認(rèn)及同意，對(duì)本人／吾等在任何方面因報(bào)價(jià)服務(wù)或因本人／吾等依賴(lài)該服務(wù)而發(fā)生或與之有關(guān)的任何損失，費(fèi)用，支出，損害賠償或申索貴公司概毋須承擔(dān)責(zé)任。

2.8 本人／吾等了解，就提供資訊而言，電子買(mǎi)賣(mài)服務(wù)只提供由第三方刊發(fā)的證券資料。因市場(chǎng)波動(dòng)及資料傳送過(guò)程的延誤，該等資料可能并非有關(guān)證券或投資的實(shí)時(shí)市場(chǎng)報(bào)價(jià)。本人／吾等了解，雖然貴公司相信該等資料可靠，但沒(méi)有獨(dú)立基準(zhǔn)可茲證實(shí)（否定）所提供資料的準(zhǔn)確及完整性。本人／吾等了解，不應(yīng)從所提供的任何證券或投資資料而推斷貴公司作出任何推薦或認(rèn)可。

2.9 本人／吾等了解，在電子買(mǎi)賣(mài)服務(wù)中提供的資料，以“現(xiàn)狀”及“可提供”基準(zhǔn)提供，貴公司并不保證該等資料的時(shí)候，順序，準(zhǔn)確性，足夠性或完整性。貴公司沒(méi)有就該等資料作出明示或默示保證（包括但不限於可商售性或就某一用途的適合性而作出的保證）。

2.10 本人／吾等接受經(jīng)由互聯(lián)網(wǎng)或其他電子方法或設(shè)施接受或取得服務(wù)以及經(jīng)由互聯(lián)網(wǎng)或其他電子設(shè)備或設(shè)施溝通或進(jìn)行交易所帶來(lái)的風(fēng)險(xiǎn)。

3.戶(hù)口

3.1 本人／吾等承認(rèn)，本人／吾等只可經(jīng)由互聯(lián)網(wǎng)進(jìn)入戶(hù)口，本人／吾等承認(rèn)，若本人／吾等在經(jīng)由互聯(lián)網(wǎng)接觸貴公司時(shí)有任何困難，本人／吾等需嘗試使用其他方法與貴公司溝通，并把所遇困難知會(huì)貴公司。

3.2 開(kāi)戶(hù)口時(shí)，本人／吾等需在戶(hù)口申請(qǐng)表上寫(xiě)明本人／吾等就使用該服務(wù)而存入首筆按金的款額。該款額可由本人／吾等親自以支票，銀行本票存入或以電傳存入貴公司的辦事處或銀行戶(hù)口。本人／吾等承認(rèn)貴公司收到戶(hù)口申請(qǐng)表上所載有效款項(xiàng)後，方會(huì)把進(jìn)入密碼通知本人／吾等。

4.指令經(jīng)網(wǎng)上交易服務(wù)買(mǎi)賣(mài)

4.1 如因故障，通訊設(shè)施傳送失敗，或通訊媒體不可靠或并非貴公司所能控制或預(yù)期的一或多項(xiàng)原因，以致在傳送，收取或執(zhí)行指令上有所延誤貴公司毋須承擔(dān)責(zé)任。

4.2 本人／吾等了解，向傳播市場(chǎng)資料的各方提供市場(chǎng)資料的每一參與證券交易所或組織，對(duì)其提供的全部資料申張財(cái)產(chǎn)權(quán)益。本人／吾等亦了解，任何方概不保證市場(chǎng)資料或任何其他市場(chǎng)信息的時(shí)效，序列，準(zhǔn)確或完整性。任何損失或損害，若因下列原因或由其產(chǎn)生，貴公司或任何傳播方概毋須承擔(dān)任何責(zé)任：任何該等資料，資訊或信息不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或該等資料，資訊或信息傳送或交付時(shí)的任何不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或任何該等資料，資訊或信息因貴公司或任何傳播方的疏忽行為以致無(wú)法履行或提供；或任何不可抗力事件；或任何其他非貴公司所能控制或任何傳播方所能合理控制的其他原因。本人／吾等只會(huì)把股票報(bào)價(jià)用於自身用途，不會(huì)因任何原因向任何其他人士或?qū)嶓w提供該等資料。

4.3 本人／吾等承認(rèn)，因無(wú)法預(yù)料的通訊擠塞及其他原因，互聯(lián)網(wǎng)是存有內(nèi)在不可靠性的通訊媒體，而該不可靠性非貴公司所能控制。本人／吾等承認(rèn)，因該不可靠性，在傳送及接收指令及其他資料時(shí)可能有延誤，以致執(zhí)行指令的延誤及／或執(zhí)行指令的價(jià)格與發(fā)出指令時(shí)的價(jià)格不同。本人／吾等進(jìn)一步承認(rèn)及同意，任何通訊均有誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而該等風(fēng)險(xiǎn)需絕對(duì)由本人／吾等承擔(dān)。本人／吾等承認(rèn)及同意，指令一經(jīng)發(fā)出，通常不可取消。

5.境外指令

若本人／吾等在香港以外地方向貴公司發(fā)出指令，本人／吾等同意確保及聲明，該等指令嚴(yán)格遵守該等指令發(fā)出時(shí)所在相關(guān)司法轄區(qū)的任何適用法律。本人／吾等進(jìn)一步同意，本人／吾等有疑問(wèn)時(shí)會(huì)諮詢(xún)相關(guān)司法轄區(qū)的法律顧問(wèn)。本人／吾等接受在香港以外地區(qū)發(fā)出的指令，可能需向相關(guān)當(dāng)局支付稅費(fèi)，本人／吾等同意支付該等適用稅費(fèi)。本人／吾等同意，按要求彌償貴公司因本人／吾等在香港以外地區(qū)發(fā)出指令而發(fā)生的任何損害，損失，費(fèi)用，法律程序，要求或申索。

6.風(fēng)險(xiǎn)披露聲明

電子交易風(fēng)險(xiǎn)在交易高峰，市場(chǎng)波動(dòng)，系統(tǒng)升級(jí)及維護(hù)或其他時(shí)間，互聯(lián)網(wǎng)或其他電子設(shè)施的進(jìn)入可能會(huì)受到限制甚至無(wú)法進(jìn)入。通過(guò)互聯(lián)網(wǎng)或其他電子設(shè)施進(jìn)行的交易可能會(huì)因不可預(yù)測(cè)的流量堵塞和其他貴公司無(wú)法控制的原因而受到干擾，傳輸中斷，以及傳輸延誤。由於技術(shù)上的制約，互聯(lián)網(wǎng)是一種不完全可靠的通訊媒介。由於這種不可靠性原因，交易指令及其他資訊的傳輸和接收可能會(huì)有延誤，而這會(huì)導(dǎo)致交易指令在執(zhí)行上的延誤，或者交易執(zhí)行的價(jià)格已不同于指令發(fā)出時(shí)的市場(chǎng)價(jià)格。而且，通信和個(gè)人資料可能會(huì)被未經(jīng)授權(quán)的第三方取得，且在通信上會(huì)存在誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而這些風(fēng)險(xiǎn)將完全由本人／吾等承擔(dān)。本人／吾等確認(rèn)并同意，交易指令一旦發(fā)出通常將不可能取消。

簽署確認(rèn)

本人／吾等，為下述簽署人，茲承認(rèn)本人／吾等已閱讀，知悉，及明白本協(xié)議之內(nèi)容并接受其條款及條件。

客戶(hù)（簽字）：_________ 客戶(hù)主任（簽字）：_________

_________年____月____日 _________年____月____日

見(jiàn)證人（簽字）：_________

_________年____月____日

第5篇 淺白語(yǔ)言統(tǒng)一現(xiàn)金客戶(hù)協(xié)議書(shū)(附英文譯本)

淺白語(yǔ)言統(tǒng)一現(xiàn)金客戶(hù)協(xié)議書(shū)

致：_________

本人／吾等（請(qǐng)?zhí)顚?xiě)姓名／名稱(chēng)）_________茲要求閣下根據(jù)下列條款及條件為本人／吾等運(yùn)作一個(gè)現(xiàn)金證券買(mǎi)賣(mài)戶(hù)口（「戶(hù)口」）：

1．戶(hù)口

1．1 本人／吾等確認(rèn)「開(kāi)戶(hù)資料表格」所載資料均屬完整及正確。倘該等資料有任何變更，本人／吾等將會(huì)通知閣下。本人／吾等特此授權(quán)閣下對(duì)本人／吾等的信用進(jìn)行查詢(xún)，以核實(shí)上述表格所載資料。

1．2 閣下將會(huì)對(duì)本人／吾等戶(hù)口的有關(guān)資料予以保密，但閣下可以根據(jù)聯(lián)交所及證監(jiān)會(huì)的規(guī)定或應(yīng)其要求，將該等資料提供予聯(lián)交所及證監(jiān)會(huì)。

2．法例及規(guī)則

閣下按本人／吾等的指示而進(jìn)行的一切證券交易（「交易」），須根據(jù)適用于閣下的一切法例、規(guī)則和監(jiān)管指示的規(guī)定而進(jìn)行。這方面的規(guī)定包括聯(lián)交所及香港中央結(jié)算有限公司（「中央結(jié)算公司」）的規(guī)則。閣下根據(jù)該等法例、規(guī)則及指示而采取的所有行動(dòng)均對(duì)本人／吾等具有約束力。

3．交易

3．1 除閣下（在有關(guān)交易的成交單或其它合約單據(jù)內(nèi)）注明以自已本身名義進(jìn)行交易外， 閣下將以本人／吾等的 代理 人身份進(jìn)行交易。

3．2 倘沽盤(pán)是有關(guān)非由本人／吾等擁有的證券，即涉及賣(mài)空交易，本人／吾等將會(huì)通知閣下。

3．3 本人／吾等會(huì)就所有交易支付閣下通知本人／吾等的傭金和收費(fèi)，繳付聯(lián)交所征收適用征費(fèi)，并繳納所有有關(guān)的 印花稅 。閣下可以從戶(hù)口中扣除該等傭金、收費(fèi)、征費(fèi)及稅項(xiàng)。

3．4 就每一宗交易，除另有協(xié)議外或除非閣下已代本人／吾等持有現(xiàn)金或證券供交易交收之用，否則本人／吾等將會(huì)在閣下就該項(xiàng)交易通知本人／吾等的期限之前向閣下交付可實(shí)時(shí)動(dòng)用的資金或可以交付的證券，或以其它方式確保閣下收到此等資金或證券。倘本人／吾等未能這樣做，閣下可（如屬買(mǎi)入交易）出售買(mǎi)入的證券〉；（如屬賣(mài)出交易）借入及／或買(mǎi)入證券以進(jìn)行交易的交收。

3．5 本人／吾等將會(huì)負(fù)擔(dān)閣下因本人／吾等未能進(jìn)行交收而引起的任何損失及開(kāi)支。

3．6 本人／吾等同意就所有逾期未付款項(xiàng)（包括對(duì)本人／吾等裁定的欠付 債務(wù) 所引起的利息），按閣下不時(shí)通知本人／吾等的利率及其它條款支付利息。

3．7 就買(mǎi)入交易而言，倘賣(mài)方經(jīng)紀(jì)未能于交收日內(nèi)交付證券，導(dǎo)致閣下須買(mǎi)入證券進(jìn)行交收，本人／吾等毋須為買(mǎi)入該等證券的費(fèi)用向閣下負(fù)責(zé)。

4．證券的保管

4．1 由閣下寄存妥為保管的任何證券，閣下可以酌情決定：（如屬可注冊(cè)證券）以本人／吾等的名義或以閣下的代理人名義注冊(cè)；或存放于閣下的往來(lái)銀行或提供文件保管設(shè)施的任何其它機(jī)構(gòu)妥為保管。如屬香港的證券，該機(jī)構(gòu)應(yīng)為證監(jiān)會(huì)認(rèn)可的提供保管服務(wù)機(jī)構(gòu)。

4．2 倘證券未以本人／吾等的名義注冊(cè)，閣下于收到該等證券所獲派的任何股息或其它利益時(shí)，須按本人／吾等與閣下的協(xié)議記入本人／吾等的戶(hù)口或支付予轉(zhuǎn)賬予本人／吾等。倘該等證券屬于閣下代客戶(hù)持有較大數(shù)量的同一證券的一部份，本人／吾等有權(quán)按本人／吾等所占的比例獲得該等證券的利益。

4．3 本人／吾等并無(wú)根據(jù)《證券條例》第81（3）條以書(shū)面授權(quán)閣下：將本人／吾等的任何證券存放在銀行業(yè)機(jī)構(gòu)，作為閣下所獲墊支或貸款的 抵押 品，或者存放在中央結(jié)算公司，作為履行閣下在結(jié)算系統(tǒng)下之責(zé)任的抵押品借貸本人／吾等的任何證券基于任何目的以其它方式放棄本人／吾等的任何證券之持有權(quán)（交由本人／吾等持有或按本人／吾等的指示放棄持有權(quán)外）

5．代本人／吾等保管的現(xiàn)金

代本人／吾等保管的現(xiàn)金須依照適用法律不時(shí)的規(guī)定，存放于一家持牌銀行所開(kāi)立的一個(gè)客戶(hù)信托賬戶(hù)內(nèi)（此等現(xiàn)金不包括閣下就交易取得，而且須為交收而轉(zhuǎn)付或轉(zhuǎn)付予本人／吾等的現(xiàn)金）。

6．風(fēng)險(xiǎn)披露聲明書(shū)

本人／吾等知道證券價(jià)格可能及必定會(huì)波動(dòng)，任何個(gè)別證券的價(jià)格皆可上升或下跌，甚至可能變成毫無(wú)價(jià)值。買(mǎi)賣(mài)證券不一定獲利，而且存在著可能損失的風(fēng)險(xiǎn)。本人／吾等也知道將證券交給閣下保管可能存在風(fēng)險(xiǎn)。例如當(dāng)閣下持有本人／吾等的證券而閣下無(wú)力償債時(shí)，本人／吾等取回證券的時(shí)間可能會(huì)受到嚴(yán)重阻延。本人／吾等愿意承擔(dān)此等風(fēng)險(xiǎn)。

7．一般規(guī)定

7．1 所有本人／吾等戶(hù)口內(nèi)的證券均受制于閣下的全面 留置權(quán) ，以確保本人／吾等履行對(duì)閣下代本人／吾等買(mǎi)賣(mài)證券而產(chǎn)生的責(zé)任。

7．2 倘閣下沒(méi)有依照本協(xié)議書(shū)的規(guī)定履行對(duì)本人／吾等的責(zé)任，本人／吾等有權(quán)向根據(jù)《證券條例》成立的賠償基金索償，惟須受賠償基金不時(shí)的條款制約。

7．3 倘閣下的業(yè)務(wù)有重大變更，并且可能影響閣下為本人／吾等提供的服務(wù)，閣下將會(huì)通知本人／吾等。

7．4 本人／吾等確認(rèn)本人／吾等已詳閱并同意本協(xié)議書(shū)的條款，而且該等條款已經(jīng)以本人／吾等明白的語(yǔ)言向本人解釋。

7．5 本協(xié)議書(shū)受香港特別行政區(qū)法律 管轄 ，并且可以根據(jù)香港特別行政區(qū)法律執(zhí)行。

客戶(hù)姓名：_________ 見(jiàn) 證人 ：_________

_________年____月____日 _________年____月____日

附件

uniform cash client's agreement in plain language

現(xiàn)金客戶(hù)協(xié)議之補(bǔ)充協(xié)議

致：_________

帳戶(hù)號(hào)碼：_________

本人／吾等茲引述貴公司與本人／吾等于訂立有關(guān)買(mǎi)賣(mài)證券之協(xié)議（「協(xié)議」）。本補(bǔ)充協(xié)議所采用之詞語(yǔ)，除另有所指明外，均與該協(xié)議所采用或界定者含有相同意義。

由于貴公司同意以本人／吾等之名義開(kāi)設(shè)及運(yùn)作用貴公司就買(mǎi)賣(mài)證券不時(shí)設(shè)立之互聯(lián)網(wǎng)網(wǎng)站及服務(wù)（「互聯(lián)網(wǎng)服務(wù)」）所用帳戶(hù)（「互聯(lián)網(wǎng)帳戶(hù)」），本人／吾等茲同意按下列條款及條件就運(yùn)作互聯(lián)網(wǎng)帳戶(hù)訂立補(bǔ)充協(xié)議：

1．本人／吾等同意使用本人／吾等不時(shí)獲提供之互聯(lián)網(wǎng)服務(wù)

（a）作為貴公司與本人／吾等就買(mǎi)賣(mài)證券下達(dá)指不示之唯一溝通渠道，及

（b）作為貴公司與本人／吾等就一切其他有關(guān)互聯(lián)網(wǎng)帳戶(hù)之事宜（包括進(jìn)入互聯(lián)網(wǎng)帳戶(hù)及傳送資料、戶(hù)口報(bào)表、通知、要求書(shū)及其他文件）進(jìn)行溝通之唯一渠道。

2．本人／吾等同意貴公司可利用電報(bào)、傳真、電話或電子郵件按本人／吾等就通訊用途不時(shí)知會(huì)貴公司之任何號(hào)碼向本人／吾等寄發(fā)任何通知、要求書(shū)及其他訊息，所有訊息于寄發(fā)（倘以電報(bào)或電子郵件方式）或傳達(dá)通訊（倘以電話方式）時(shí)或確認(rèn)成功傳訊（倘以傳真方式）后均被視為已接收，而貴公司或貴公司之代表毋需簽署有關(guān)通知、付款通知書(shū)或通訊。

3．本人／吾等確認(rèn)，本人／吾等已閱畢及明白有關(guān)使用、運(yùn)作及操作貴公司網(wǎng)站向本人／吾等提供之互聯(lián)網(wǎng)服務(wù)之條款及條件，并進(jìn)一步確認(rèn)該等條款及條件可不時(shí)修改，而且該等條款及條件就本人／吾等在使用互聯(lián)網(wǎng)服務(wù)及互聯(lián)網(wǎng)帳戶(hù)對(duì)本人／吾等具約束力。

4．本人／吾等確認(rèn)，本人／吾等乃互聯(lián)網(wǎng)服務(wù)之唯一獲授權(quán)使用者，并同時(shí)按補(bǔ)充協(xié)議及貴公司互聯(lián)網(wǎng)網(wǎng)站不時(shí)列載之條款及條件使用互聯(lián)網(wǎng)服務(wù)。本人／吾等同意不會(huì)利用不正當(dāng)手段干預(yù)或更改或進(jìn)入或嘗試進(jìn)入補(bǔ)充協(xié)議授權(quán)本人／吾等進(jìn)入之部份以外之其他部份。

5．本人／吾等同意：

（a）對(duì)本人／吾等于互聯(lián)網(wǎng)服務(wù)使用之身份及登入密碼保守秘密，并使用該密碼買(mǎi)賣(mài)透過(guò)互聯(lián)網(wǎng)服務(wù)交易之所有證券；

（b）透過(guò)使用本人／吾等之身份及登入密碼買(mǎi)賣(mài)于互聯(lián)網(wǎng)服務(wù)中之所有證券交易對(duì)自本人／吾等應(yīng)具約束力，并視作由本人／吾等進(jìn)行交易，而本人／吾等應(yīng)對(duì)所有透過(guò)互聯(lián)網(wǎng)服務(wù)作出之指令負(fù)上全責(zé)；及

（c）于貴公司互聯(lián)網(wǎng)網(wǎng)站所記錄之交易內(nèi)容，待貴公司以書(shū)面向本人／吾等以書(shū)面確認(rèn)后，即屬最后及最終之記錄。

6．本人／吾等承諾，倘本人／吾等知悉任何其他人士在未獲授權(quán)之情況下使用或登入本人／吾等之身份及登入密碼或互聯(lián)網(wǎng)服務(wù)或透過(guò)互聯(lián)網(wǎng)服務(wù)提供之任何資料，則即時(shí)通知貴公司。

7．本人／吾等承諾：

（a）可不時(shí)透過(guò)互聯(lián)網(wǎng)服務(wù)或其他方式取得之分析、評(píng)論及市場(chǎng)、財(cái)務(wù)及其他資料（「資料」）乃由貴公司所編制或取自聯(lián)交所或與貴公司可能有或不一定有關(guān)連之第三者服務(wù)供應(yīng)商；

（b）資料之版權(quán)乃由貴公司、有關(guān)服務(wù)供應(yīng)商或第三者所有人擁有，本人／吾等承諾，除供本人／吾等作個(gè)人之非商業(yè)用途外，不會(huì)以任何形式使用、復(fù)制、轉(zhuǎn)發(fā)、發(fā)放或商業(yè)性使用任何該等資料；及

（c）貴公司及／或資料供應(yīng)商概不就任何資料（包括但不限于其準(zhǔn)確程度、可依賴(lài)程度、完整性或適時(shí)性）或本人／吾等倚賴(lài)透過(guò)互聯(lián)網(wǎng)服務(wù)提供之任何資料或按該等資料作出之決定承擔(dān)任何責(zé)任。

8．本人／吾等同意支付所有貴公司就使用互聯(lián)網(wǎng)服務(wù)而不時(shí)收取之認(rèn)購(gòu)及服務(wù)費(fèi)用（如有）。

9．盡管補(bǔ)充協(xié)議本附錄有所規(guī)定，貴公司有權(quán)在毋需通知本人／吾等之情況下全權(quán)終止本人／吾等登入互聯(lián)網(wǎng)服務(wù)或其任何部份。

10．本人／吾等承諾，就違反補(bǔ)充協(xié)議或任何人士因就本人／吾等使用互聯(lián)網(wǎng)服務(wù)而提出之任何索償，全面賠償貴公司、貴公司之董事、高級(jí)職員或雇員之索償、申索、 訴訟 、虧損、損失、成本（包括法律費(fèi)用）及開(kāi)支。

11．本人／吾等承諾及同意，貴公司、貴公司之董事、高級(jí)職員、雇員及代理毋需就因互聯(lián)網(wǎng)服務(wù)或任何通訊設(shè)備或設(shè)施之故障，受到干擾或失靈、或互聯(lián)網(wǎng)服務(wù)及／或其所載資料在未獲授權(quán)之情況下被登入、篡改或更改、或貴公司不能控制或預(yù)期之其他原因（包括但不限于政府或任何證券交易所實(shí)施限制、證券暫停買(mǎi)賣(mài)、惡劣天氣情況、地震及罷工）而導(dǎo)致指令之傳送、收訖、執(zhí)行或確認(rèn)出現(xiàn)延誤或失敗而使本人／吾等蒙受或可能蒙受之任何損失承擔(dān)任何責(zé)任，且倘本人／吾等于透過(guò)互聯(lián)網(wǎng)服務(wù)與貴公司通訊時(shí)遇上困難，本人／吾等應(yīng)使用本人／吾等可使用之其他方法與貴公司通訊。

12．本人／吾等承認(rèn)及接納以下為使用互聯(lián)網(wǎng)服務(wù)作為通訊方式所涉及之風(fēng)險(xiǎn)：

（a）互聯(lián)網(wǎng)上通訊公司，屬于不可靠之通訊及資訊提供媒介，以該方式溝通及提供服務(wù)之安全性、可靠性及容量視乎多項(xiàng)不受貴公司控制之因素影響，包括服務(wù)供應(yīng)商之營(yíng)運(yùn)及該等供應(yīng)商及其他用戶(hù)使用之設(shè)備及設(shè)施；

（b）互聯(lián)網(wǎng)服務(wù)或任何通訊設(shè)備或設(shè)施可能出現(xiàn)擠塞、受平擾、斷線或未能傳送之情況，或于傳送及接收指示及其他資料或于執(zhí)行及確認(rèn)指示時(shí)發(fā)生錯(cuò)誤、遺漏或延誤，可能導(dǎo)致指示不能按互聯(lián)網(wǎng)上列出之價(jià)格執(zhí)行；

（c）互聯(lián)網(wǎng)服務(wù)及／其他任何部份或內(nèi)容可能會(huì)遭擅自接入、擅行改動(dòng)、修改或變更而可能導(dǎo)致資料被操控、非法使用、盜用或遺失資料，包括本人／吾等之個(gè)人資料。

13．本人／吾等確認(rèn)本人／吾等已閱讀本補(bǔ)充協(xié)議之條款及條件，并以本人／吾等明白之語(yǔ)言完全解釋本補(bǔ)充協(xié)議之內(nèi)容，本人／吾等接納本補(bǔ)充協(xié)議之條款及條件。

14．除本補(bǔ)充協(xié)議所述者外，協(xié)議內(nèi)容所有條款及條件應(yīng)具全面效力及生效。協(xié)議所指之所有「本協(xié)議」乃指本補(bǔ)充協(xié)議所補(bǔ)充之協(xié)議（由本補(bǔ)充協(xié)議日期起生效）。

客戶(hù)（簽字）：_________ 董事（簽字）：_________

_________年____月____日 _________年____月____日

to：_________

i ／we _________ request that you to operate a cash securities trading account （the ''account''） for me ／us on the following terms and conditions：

1.the account

（1）i ／we confirm that the information provided in the account opening information form is complete and accurate. i ／we will inform you of any changes to that information. you are authorized to conduct credit enquiries on me ／us to verify the information provided.

（2）you will keep information relating to my ／our account confidential， but may provide any such information to the exchange and the sfc to comply with their requirements or request for information.

2.law and rules

all transactions in securities which you effect on my ／our instructions （''transactions''） shall be effected in accordance with all laws， rules and regulatory directions applying to you. this includes the rules of the exchange and of a the hong kong securities clearing company limited （the ''clearing house''）. all actions taken by you in accordance with such laws， rules and directions shall be binding on me ／us.

3.transactions

（1）you will act as my ／our agent in effecting transactions unless you indicate （in the contract note for the relevant transaction or otherwise） that you are acting as principal.

（2）i ／we will notify you when a sale order relates to securities which i ／we do not own i.e. involves short selling.

（3）on all transactions， i ／we will pay your commissions and charges， as notified to me ／us， as well as applicable levies imposed by the exchange，and all applicable stamp duties. you may deduct such commissions， charges， levies and duties from the account.

（4）unless otherwise agreed， in respect of each transaction， unless you are already holding cash or securities on my ／our behalf to settle the transaction， i ／we will pay you cleared funds or deliver to you securities in deliverable form or otherwise ensure that you have received such funds or securities by such time as you have notified me ／us in relation to that transaction. if i ／we fail to do so， you may： in the case of a purchase transaction， sell the purchased securities and in the case of a sale transaction， borrow and ／or purchase securities in order to settle the transaction.

（5）i ／we will responsible to you for any losses and expenses resulting from my ／our settlement failures.

（6）i ／we agree to pay interest on all overdue balances （including interest arising after a judgment debt is obtained against me ／us ） at such rates and on such other terms as you have notified me ／us from time to time.

（7）in the case of a purchase transaction， if the selling broker fails to deliver on the settlement date and you have to purchase securities to settle the transaction， i ／we shall not be responsible to you for the costs of such purchase.

4.safekeeping of securities

（1）any securities which are held by you for safekeeping may， at your discretion：（in the case of registrable securities） be registered in my ／our name or in the name of your nominee； or be deposited in safe custody in a designated account with your bankers or with any other institution which provides facilities for the safe custody of documents. in the case of securities in hong kong， such institution shall be acceptable to the sfc as a provider of safe custody services.

（2）where securities are not registered in my ／our name， any dividends or other benefits arising in respect of such securities shall， when received by you， be credited to my ／our account or paid or transferred to me ／us， as agreed with you. where the securities form part of a larger holding of identical securities held for your clients， i ／we shall be entitled to the same share of the benefits arising on the holding as my ／our share of the total holding.

（3）you do not have my／our written authority under section 81（3） of the securities ordinance to ：deposit any of my／our securities with a banking institution as collateral for an advance or loan made to you， or with the clearing house as collateral for the discharge of your obligations under the clearing system borrow or lend any of my／our securities otherwise part with possession （except to me ／us or on my／our instructions） of any of my／our securities for any purpose.

5.cash held for me ／us

any cash held for me ／us， other than cash received by you in respect of transactions and which is on-paid for settlement purposes or to me ／us， shall be credited to a client trust account maintained with a licensed bank as required by applicable laws from time to time.

6.risk disclosure statement

i ／we acknowledge that the price of securities can and does fluctuate， and any individual security may experience upwards or downwards movements， and may even become valueless. there is an inherent risk that losses may be incurred rather than profit made as a result of buying and selling securities. i ／we also acknowledge that there may be risks in leaving securities in your safekeeping. for example， if you are holding my ／our securities and you become insolvent， i ／we may experience significant delay in recovering the securities. these are risks that i ／we are prepared to accept.

7.general

（1）all securities held for my ／our account shall be subject to a general lien in your favour， for the performance of my ／our obligations to you arising in respect of dealing in securities for me ／us.

（2）if you fail to meet your obligations to me ／us pursuant to this agreement， i ／we shall have a right to claim under the compensation fund established under the securities ordinance， subject to the terms of the compensation fund from time to time.

（3）you will notify me ／us of material changes in respect of your business which may affect the services you provide to me ／us.

（4）i ／we confirm that i ／we have read and agree to the terms of this agreement， which have been explained to me ／us in a language that i ／we understand.

（5）this agreement is governed by， and may be enforced in accordance with， the laws of the special administrative region of hong kong.

signed by _________ in the presence of _________

date：_________ date：_________

第6篇 淺白語(yǔ)言統(tǒng)一現(xiàn)金客戶(hù)協(xié)議書(shū)模板

致：_________________________

本人/吾等(請(qǐng)?zhí)顚?xiě)姓名/名稱(chēng))________________茲要求閣下根據(jù)下列條款及條件為本人/吾等運(yùn)作一個(gè)現(xiàn)金證券買(mǎi)賣(mài)戶(hù)口(「戶(hù)口」)

1.戶(hù)口

1.1 本人/吾等確認(rèn)「開(kāi)戶(hù)資料表格」所載資料均屬完整及正確。倘該等資料有任何變更，本人/吾等將會(huì)通知閣下。本人/吾等特此授權(quán)閣下對(duì)本人/吾等的信用進(jìn)行查詢(xún)，以核實(shí)上述表格所載資料。

1.2 閣下將會(huì)對(duì)本人/吾等戶(hù)口的有關(guān)資料予以保密，但閣下可以根據(jù)聯(lián)交所及證監(jiān)會(huì)的規(guī)定或應(yīng)其要求，將該等資料提供予聯(lián)交所及證監(jiān)會(huì)。

2.法例及規(guī)則

閣下按本人/吾等的指示而進(jìn)行的一切證券交易(「交易」)，須根據(jù)適用于閣下的一切法例、規(guī)則和監(jiān)管指示的規(guī)定而進(jìn)行。這方面的規(guī)定包括聯(lián)交所及香港中央結(jié)算有限公司(「中央結(jié)算公司」)的規(guī)則。閣下根據(jù)該等法例、規(guī)則及指示而采取的所有行動(dòng)均對(duì)本人/吾等具有約束力。

3.交易

3.1 除閣下(在有關(guān)交易的成交單或其它合約單據(jù)內(nèi))注明以自已本身名義進(jìn)行交易外， 閣下將以本人/吾等的代理人身份進(jìn)行交易。

3.2 倘沽盤(pán)是有關(guān)非由本人/吾等擁有的證券，即涉及賣(mài)空交易，本人/吾等將會(huì)通知閣下。

3.3 本人/吾等會(huì)就所有交易支付閣下通知本人/吾等的傭金和收費(fèi)，繳付聯(lián)交所征收適用征費(fèi)，并繳納所有有關(guān)的印花稅。閣下可以從戶(hù)口中扣除該等傭金、收費(fèi)、征費(fèi)及稅項(xiàng)。

3.4 就每一宗交易，除另有協(xié)議外或除非閣下已代本人/吾等持有現(xiàn)金或證券供交易交收之用，否則本人/吾等將會(huì)在閣下就該項(xiàng)交易通知本人/吾等的期限之前向閣下交付可實(shí)時(shí)動(dòng)用的資金或可以交付的證券，或以其它方式確保閣下收到此等資金或證券。倘本人/吾等未能這樣做，閣下可(如屬買(mǎi)入交易)出售買(mǎi)入的證券〉;(如屬賣(mài)出交易)借入及/或買(mǎi)入證券以進(jìn)行交易的交收。

3.5 本人/吾等將會(huì)負(fù)擔(dān)閣下因本人/吾等未能進(jìn)行交收而引起的任何損失及開(kāi)支。

3.6 本人/吾等同意就所有逾期未付款項(xiàng)(包括對(duì)本人/吾等裁定的欠付債務(wù)所引起的利息)，按閣下不時(shí)通知本人/吾等的利率及其它條款支付利息。

3.7 就買(mǎi)入交易而言，倘賣(mài)方經(jīng)紀(jì)未能于交收日內(nèi)交付證券，導(dǎo)致閣下須買(mǎi)入證券進(jìn)行交收，本人/吾等毋須為買(mǎi)入該等證券的費(fèi)用向閣下負(fù)責(zé)。

4.證券的保管

4.1 由閣下寄存妥為保管的任何證券，閣下可以酌情決定：(如屬可注冊(cè)證券)以本人/吾等的名義或以閣下的代理人名義注冊(cè);或存放于閣下的往來(lái)銀行或提供文件保管設(shè)施的任何其它機(jī)構(gòu)妥為保管。如屬香港的證券，該機(jī)構(gòu)應(yīng)為證監(jiān)會(huì)認(rèn)可的提供保管服務(wù)機(jī)構(gòu)。

4.2 倘證券未以本人/吾等的名義注冊(cè)，閣下于收到該等證券所獲派的任何股息或其它利益時(shí)，須按本人/吾等與閣下的協(xié)議記入本人/吾等的戶(hù)口或支付予轉(zhuǎn)賬予本人/吾等。倘該等證券屬于閣下代客戶(hù)持有較大數(shù)量的同一證券的一部份，本人/吾等有權(quán)按本人/吾等所占的比例獲得該等證券的利益。

4.3 本人/吾等并無(wú)根據(jù)《證券條例》第81(3)條以書(shū)面授權(quán)閣下：將本人/吾等的任何證券存放在銀行業(yè)機(jī)構(gòu)，作為閣下所獲墊支或貸款的抵押品，或者存放在中央結(jié)算公司，作為履行閣下在結(jié)算系統(tǒng)下之責(zé)任的抵押品借貸本人/吾等的任何證券基于任何目的以其它方式放棄本人/吾等的任何證券之持有權(quán)(交由本人/吾等持有或按本人/吾等的指示放棄持有權(quán)外)

5.代本人/吾等保管的現(xiàn)金

代本人/吾等保管的現(xiàn)金須依照適用法律不時(shí)的規(guī)定，存放于一家持牌銀行所開(kāi)立的一個(gè)客戶(hù)信托賬戶(hù)內(nèi)(此等現(xiàn)金不包括閣下就交易取得，而且須為交收而轉(zhuǎn)付或轉(zhuǎn)付予本人/吾等的現(xiàn)金)。

6.風(fēng)險(xiǎn)披露聲明書(shū)

本人/吾等知道證券價(jià)格可能及必定會(huì)波動(dòng)，任何個(gè)別證券的價(jià)格皆可上升或下跌，甚至可能變成毫無(wú)價(jià)值。買(mǎi)賣(mài)證券不一定獲利，而且存在著可能損失的風(fēng)險(xiǎn)。本人/吾等也知道將證券交給閣下保管可能存在風(fēng)險(xiǎn)。例如當(dāng)閣下持有本人/吾等的證券而閣下無(wú)力償債時(shí)，本人/吾等取回證券的時(shí)間可能會(huì)受到嚴(yán)重阻延。本人/吾等愿意承擔(dān)此等風(fēng)險(xiǎn)。

7.一般規(guī)定

7.1 所有本人/吾等戶(hù)口內(nèi)的證券均受制于閣下的全面留置權(quán)，以確保本人/吾等履行對(duì)閣下代本人/吾等買(mǎi)賣(mài)證券而產(chǎn)生的責(zé)任。

7.2 倘閣下沒(méi)有依照本協(xié)議書(shū)的規(guī)定履行對(duì)本人/吾等的責(zé)任，本人/吾等有權(quán)向根據(jù)《證券條例》成立的賠償基金索償，惟須受賠償基金不時(shí)的條款制約。

7.3 倘閣下的業(yè)務(wù)有重大變更，并且可能影響閣下為本人/吾等提供的服務(wù)，閣下將會(huì)通知本人/吾等。

7.4 本人/吾等確認(rèn)本人/吾等已詳閱并同意本協(xié)議書(shū)的條款，而且該等條款已經(jīng)以本人/吾等明白的語(yǔ)言向本人解釋。

7.5 本協(xié)議書(shū)受香港特別行政區(qū)法律管轄，并且可以根據(jù)香港特別行政區(qū)法律執(zhí)行。

p align=right客戶(hù)姓名：__________

______年____月____日

見(jiàn)證人：____________

______年____月____日

附件

p align=center現(xiàn)金客戶(hù)協(xié)議之補(bǔ)充協(xié)議

p align=left致：_________

帳戶(hù)號(hào)碼：______________

本人/吾等茲引述貴公司與本人/吾等于訂立有關(guān)買(mǎi)賣(mài)證券之協(xié)議(「協(xié)議」)。本補(bǔ)充協(xié)議所采用之詞語(yǔ)，除另有所指明外，均與該協(xié)議所采用或界定者含有相同意義。

由于貴公司同意以本人/吾等之名義開(kāi)設(shè)及運(yùn)作用貴公司就買(mǎi)賣(mài)證券不時(shí)設(shè)立之互聯(lián)網(wǎng)網(wǎng)站及服務(wù)(「互聯(lián)網(wǎng)服務(wù)」)所用帳戶(hù)(「互聯(lián)網(wǎng)帳戶(hù)」)，本人/吾等茲同意按下列條款及條件就運(yùn)作互聯(lián)網(wǎng)帳戶(hù)訂立補(bǔ)充協(xié)議：

1.本人/吾等同意使用本人/吾等不時(shí)獲提供之互聯(lián)網(wǎng)服務(wù)

(a)作為貴公司與本人/吾等就買(mǎi)賣(mài)證券下達(dá)指不示之唯一溝通渠道，及

(b)作為貴公司與本人/吾等就一切其他有關(guān)互聯(lián)網(wǎng)帳戶(hù)之事宜(包括進(jìn)入互聯(lián)網(wǎng)帳戶(hù)及傳送資料、戶(hù)口報(bào)表、通知、要求書(shū)及其他文件)進(jìn)行溝通之唯一渠道。

2.本人/吾等同意貴公司可利用電報(bào)、傳真、電話或電子郵件按本人/吾等就通訊用途不時(shí)知會(huì)貴公司之任何號(hào)碼向本人/吾等寄發(fā)任何通知、要求書(shū)及其他訊息，所有訊息于寄發(fā)(倘以電報(bào)或電子郵件方式)或傳達(dá)通訊(倘以電話方式)時(shí)或確認(rèn)成功傳訊(倘以傳真方式)后均被視為已接收，而貴公司或貴公司之代表毋需簽署有關(guān)通知、付款通知書(shū)或通訊。

3.本人/吾等確認(rèn)，本人/吾等已閱畢及明白有關(guān)使用、運(yùn)作及操作貴公司網(wǎng)站向本人/吾等提供之互聯(lián)網(wǎng)服務(wù)之條款及條件，并進(jìn)一步確認(rèn)該等條款及條件可不時(shí)修改，而且該等條款及條件就本人/吾等在使用互聯(lián)網(wǎng)服務(wù)及互聯(lián)網(wǎng)帳戶(hù)對(duì)本人/吾等具約束力。

4.本人/吾等確認(rèn)，本人/吾等乃互聯(lián)網(wǎng)服務(wù)之唯一獲授權(quán)使用者，并同時(shí)按補(bǔ)充協(xié)議及貴公司互聯(lián)網(wǎng)網(wǎng)站不時(shí)列載之條款及條件使用互聯(lián)網(wǎng)服務(wù)。本人/吾等同意不會(huì)利用不正當(dāng)手段干預(yù)或更改或進(jìn)入或嘗試進(jìn)入補(bǔ)充協(xié)議授權(quán)本人/吾等進(jìn)入之部份以外之其他部份。

5.本人/吾等同意

(a)對(duì)本人/吾等于互聯(lián)網(wǎng)服務(wù)使用之身份及登入密碼保守秘密，并使用該密碼買(mǎi)賣(mài)透過(guò)互聯(lián)網(wǎng)服務(wù)交易之所有證券;

(b)透過(guò)使用本人/吾等之身份及登入密碼買(mǎi)賣(mài)于互聯(lián)網(wǎng)服務(wù)中之所有證券交易對(duì)自本人/吾等應(yīng)具約束力，并視作由本人/吾等進(jìn)行交易，而本人/吾等應(yīng)對(duì)所有透過(guò)互聯(lián)網(wǎng)服務(wù)作出之指令負(fù)上全責(zé);及

(c)于貴公司互聯(lián)網(wǎng)網(wǎng)站所記錄之交易內(nèi)容，待貴公司以書(shū)面向本人/吾等以書(shū)面確認(rèn)后，即屬最后及最終之記錄。

6.本人/吾等承諾，倘本人/吾等知悉任何其他人士在未獲授權(quán)之情況下使用或登入本人/吾等之身份及登入密碼或互聯(lián)網(wǎng)服務(wù)或透過(guò)互聯(lián)網(wǎng)服務(wù)提供之任何資料，則即時(shí)通知貴公司。

7.本人/吾等承諾

(a)可不時(shí)透過(guò)互聯(lián)網(wǎng)服務(wù)或其他方式取得之分析、評(píng)論及市場(chǎng)、財(cái)務(wù)及其他資料(「資料」)乃由貴公司所編制或取自聯(lián)交所或與貴公司可能有或不一定有關(guān)連之第三者服務(wù)供應(yīng)商;

(b)資料之版權(quán)乃由貴公司、有關(guān)服務(wù)供應(yīng)商或第三者所有人擁有，本人/吾等承諾，除供本人/吾等作個(gè)人之非商業(yè)用途外，不會(huì)以任何形式使用、復(fù)制、轉(zhuǎn)發(fā)、發(fā)放或商業(yè)性使用任何該等資料;及

(c)貴公司及/或資料供應(yīng)商概不就任何資料(包括但不限于其準(zhǔn)確程度、可依賴(lài)程度、完整性或適時(shí)性)或本人/吾等倚賴(lài)透過(guò)互聯(lián)網(wǎng)服務(wù)提供之任何資料或按該等資料作出之決定承擔(dān)任何責(zé)任。

8.本人/吾等同意支付所有貴公司就使用互聯(lián)網(wǎng)服務(wù)而不時(shí)收取之認(rèn)購(gòu)及服務(wù)費(fèi)用(如有)。

9.盡管補(bǔ)充協(xié)議本附錄有所規(guī)定，貴公司有權(quán)在毋需通知本人/吾等之情況下全權(quán)終止本人/吾等登入互聯(lián)網(wǎng)服務(wù)或其任何部份。

10.本人/吾等承諾，就違反補(bǔ)充協(xié)議或任何人士因就本人/吾等使用互聯(lián)網(wǎng)服務(wù)而提出之任何索償，全面賠償貴公司、貴公司之董事、高級(jí)職員或雇員之索償、申索、訴訟、虧損、損失、成本(包括法律費(fèi)用)及開(kāi)支。

11.本人/吾等承諾及同意，貴公司、貴公司之董事、高級(jí)職員、雇員及代理毋需就因互聯(lián)網(wǎng)服務(wù)或任何通訊設(shè)備或設(shè)施之故障，受到干擾或失靈、或互聯(lián)網(wǎng)服務(wù)及/或其所載資料在未獲授權(quán)之情況下被登入、篡改或更改、或貴公司不能控制或預(yù)期之其他原因(包括但不限于政府或任何證券交易所實(shí)施限制、證券暫停買(mǎi)賣(mài)、惡劣天氣情況、地震及罷工)而導(dǎo)致指令之傳送、收訖、執(zhí)行或確認(rèn)出現(xiàn)延誤或失敗而使本人/吾等蒙受或可能蒙受之任何損失承擔(dān)任何責(zé)任，且倘本人/吾等于透過(guò)互聯(lián)網(wǎng)服務(wù)與貴公司通訊時(shí)遇上困難，本人/吾等應(yīng)使用本人/吾等可使用之其他方法與貴公司通訊。

12.本人/吾等承認(rèn)及接納以下為使用互聯(lián)網(wǎng)服務(wù)作為通訊方式所涉及之風(fēng)險(xiǎn)

(a)互聯(lián)網(wǎng)上通訊公司，屬于不可靠之通訊及資訊提供媒介，以該方式溝通及提供服務(wù)之安全性、可靠性及容量視乎多項(xiàng)不受貴公司控制之因素影響，包括服務(wù)供應(yīng)商之營(yíng)運(yùn)及該等供應(yīng)商及其他用戶(hù)使用之設(shè)備及設(shè)施;

(b)互聯(lián)網(wǎng)服務(wù)或任何通訊設(shè)備或設(shè)施可能出現(xiàn)擠塞、受平擾、斷線或未能傳送之情況，或于傳送及接收指示及其他資料或于執(zhí)行及確認(rèn)指示時(shí)發(fā)生錯(cuò)誤、遺漏或延誤，可能導(dǎo)致指示不能按互聯(lián)網(wǎng)上列出之價(jià)格執(zhí)行;

(c)互聯(lián)網(wǎng)服務(wù)及/其他任何部份或內(nèi)容可能會(huì)遭擅自接入、擅行改動(dòng)、修改或變更而可能導(dǎo)致資料被操控、非法使用、盜用或遺失資料，包括本人/吾等之個(gè)人資料。

13.本人/吾等確認(rèn)本人/吾等已閱讀本補(bǔ)充協(xié)議之條款及條件，并以本人/吾等明白之語(yǔ)言完全解釋本補(bǔ)充協(xié)議之內(nèi)容，本人/吾等接納本補(bǔ)充協(xié)議之條款及條件。

14.除本補(bǔ)充協(xié)議所述者外，協(xié)議內(nèi)容所有條款及條件應(yīng)具全面效力及生效。協(xié)議所指之所有「本協(xié)議」乃指本補(bǔ)充協(xié)議所補(bǔ)充之協(xié)議(由本補(bǔ)充協(xié)議日期起生效)。

客戶(hù)(簽字)：_________

_________年____月____日

董事(簽字)：_________

_________年____月____日

第7篇 互聯(lián)網(wǎng)證券購(gòu)買(mǎi)協(xié)議(附加於現(xiàn)金／保證金客戶(hù)協(xié)議書(shū))

本人／吾等乃貴公司證券戶(hù)口_________號(hào)（“戶(hù)口”）之戶(hù)口持有人，本人／吾等之證券客戶(hù)合約於_________簽訂。本人／吾等同意開(kāi)立一個(gè)或多個(gè)證券買(mǎi)賣(mài)戶(hù)口，并同意以本人／吾等名義或代表本人／吾等就證券買(mǎi)賣(mài)及相關(guān)事宜，通過(guò)網(wǎng)上交易服務(wù)運(yùn)作戶(hù)口，本人／吾等同意，戶(hù)口由貴公司透過(guò)貴公司的網(wǎng)上交易服務(wù)按照證券客戶(hù)合約及下列條款及條件（并受其規(guī)限）運(yùn)作：

1．定義及解釋

1．1 在本協(xié)議中，以下詞語(yǔ)具有下列涵義：

“進(jìn)入密碼”指密碼及戶(hù)口號(hào)碼；

“戶(hù)口”指本人在貴公司開(kāi)立的互聯(lián)網(wǎng)買(mǎi)賣(mài)戶(hù)口，經(jīng)由網(wǎng)上交易服務(wù)運(yùn)作；

“網(wǎng)上交易服務(wù)”指_________根據(jù)本協(xié)議提供的網(wǎng)上買(mǎi)賣(mài)服務(wù)，包括電子買(mǎi)賣(mài)服務(wù)，_________網(wǎng)址上的任何資料，以及其中的軟件；

“電子買(mǎi)賣(mài)服務(wù)”指本人／吾等發(fā)出電子指令的設(shè)施，以及網(wǎng)上交易服務(wù)提供的資訊服務(wù)；

“指令”指以電子方式買(mǎi)賣(mài)證券的買(mǎi)賣(mài)指令或其他處理指令；

“互聯(lián)網(wǎng)買(mǎi)賣(mài)政策”指有關(guān)網(wǎng)上交易服務(wù)運(yùn)作的政策（經(jīng)不時(shí)修訂）；

“密碼”指本人／吾等與帳號(hào)一并使用的個(gè)人密碼，據(jù)之可進(jìn)入該服務(wù)；

“證券客戶(hù)合約”指_________公司之現(xiàn)金客戶(hù)協(xié)議書(shū)或保證金客戶(hù)協(xié)議書(shū)；

“_________”指_________公司；

1．2 單數(shù)詞語(yǔ)包括眾數(shù)詞語(yǔ)，反之亦然。提到一種性別之處，包括所有性別?！叭耸俊币辉~，包括商號(hào)或獨(dú)資經(jīng)營(yíng)，合伙經(jīng)營(yíng)，集團(tuán)及法人公司，反之亦然。

2．網(wǎng)上交易服務(wù)

2．1 本人／吾等了解，電子買(mǎi)賣(mài)服務(wù)為一半自動(dòng)設(shè)施，讓本人／吾等發(fā)出電子指令，并接收信息服務(wù)。

2．2 本人／吾等同意使用電子買(mǎi)賣(mài)服務(wù)，必須遵照本協(xié)議條款及證券客戶(hù)合約。本人／吾等使用日後經(jīng)由網(wǎng)上交易服務(wù)提供的其他服務(wù)，亦必須遵照本協(xié)議條款及客戶(hù)協(xié)議書(shū)。

2．3 本人／吾等為戶(hù)口項(xiàng)下電子買(mǎi)賣(mài)服務(wù)的唯一獲授權(quán)使用者。本人／吾等需對(duì)進(jìn)入密碼的保密及使用承擔(dān)責(zé)任。本人／吾等承認(rèn)及同意，本人／吾等需就使用進(jìn)入密碼輸進(jìn)電子買(mǎi)賣(mài)服務(wù)的所有指令負(fù)責(zé)，而貴公司，貴公司董事，高級(jí)職員或雇員概毋需對(duì)本人／吾等，或經(jīng)由本人／吾等提出申索的任何其他人士（就任何有關(guān)處理，錯(cuò)誤處理或遺失任何指示）的申索承擔(dān)責(zé)任。

2．4 本人／吾等承認(rèn)，網(wǎng)上交易服務(wù)的所有人權(quán)益屬貴公司。本人／吾等保證及承諾，本人／吾等不會(huì)（亦不會(huì)嘗試）平擾，修改，拆解，易轉(zhuǎn)，操縱或以其他方式修改（且亦不會(huì)嘗試未獲授權(quán)進(jìn)入）網(wǎng)上交易服務(wù)的任何部份。本人吾等承認(rèn)，若本人／吾等在任何時(shí)候違反是項(xiàng)保證及承諾，或?qū)嵐驹谌魏螘r(shí)候合理懷疑本人／吾等違反是項(xiàng)保證及承諾，則貴公司可向本人／吾等采取法律行動(dòng)。本人／吾等承諾，若本人／吾等知悉任何人士干犯本段上文所述任何行動(dòng)，則本人／吾等須即時(shí)通知貴公司。

2．5 本人／吾等進(jìn)一步承認(rèn)及同意，作為使用電子買(mǎi)賣(mài)服務(wù)發(fā)出指令的先決條件，若有下列情況，本人／吾等需即時(shí)通知貴公司：

a．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到命令編號(hào)；

b．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到對(duì)指令或其執(zhí)行的準(zhǔn)確認(rèn)收（不論經(jīng)硬本，電子或口頭）；

c．本人／吾等收到交易指示的認(rèn)收（不論經(jīng)硬本，電子或口頭），但該等交易指示并非本人／吾等作出，或其他類(lèi)似的不一致情況；

d．本人／吾等知悉戶(hù)口號(hào)碼或密碼的任何未經(jīng)授權(quán)使用。

2．6 本人／吾等了解，貴公司擬備網(wǎng)上買(mǎi)賣(mài)政策，列出網(wǎng)上交易服務(wù)運(yùn)作政策及程序。該政策可經(jīng)由網(wǎng)址取得，在任何時(shí)候均適用。該政策的條款，對(duì)本人／吾等對(duì)使用網(wǎng)上交易服務(wù)具約束力。若本協(xié)議條款與網(wǎng)上買(mǎi)賣(mài)政策不一致，以本協(xié)議條款為準(zhǔn)。

2．7 本人／吾等承認(rèn)_________網(wǎng)址若提供報(bào)價(jià)服務(wù)，乃由貴公司不時(shí)指定的第三方提供者提供。本人／吾等承認(rèn)及同意，對(duì)本人／吾等在任何方面因報(bào)價(jià)服務(wù)或因本人／吾等依賴(lài)該服務(wù)而發(fā)生或與之有關(guān)的任何損失，費(fèi)用，支出，損害賠償或申索貴公司概毋須承擔(dān)責(zé)任。

2．8 本人／吾等了解，就提供資訊而言，電子買(mǎi)賣(mài)服務(wù)只提供由第三方刊發(fā)的證券資料。因市場(chǎng)波動(dòng)及資料傳送過(guò)程的延誤，該等資料可能并非有關(guān)證券或投資的實(shí)時(shí)市場(chǎng)報(bào)價(jià)。本人／吾等了解，雖然貴公司相信該等資料可靠，但沒(méi)有獨(dú)立基準(zhǔn)可茲證實(shí)（否定）所提供資料的準(zhǔn)確及完整性。本人／吾等了解，不應(yīng)從所提供的任何證券或投資資料而推斷貴公司作出任何推薦或認(rèn)可。

2．9 本人／吾等了解，在電子買(mǎi)賣(mài)服務(wù)中提供的資料，以“現(xiàn)狀”及“可提供”基準(zhǔn)提供，貴公司并不保證該等資料的時(shí)候，順序，準(zhǔn)確性，足夠性或完整性。貴公司沒(méi)有就該等資料作出明示或默示保證（包括但不限於可商售性或就某一用途的適合性而作出的保證）。

2．10 本人／吾等接受經(jīng)由互聯(lián)網(wǎng)或其他電子方法或設(shè)施接受或取得服務(wù)以及經(jīng)由互聯(lián)網(wǎng)或其他電子設(shè)備或設(shè)施溝通或進(jìn)行交易所帶來(lái)的風(fēng)險(xiǎn)。

3．戶(hù)口

3．1 本人／吾等承認(rèn)，本人／吾等只可經(jīng)由互聯(lián)網(wǎng)進(jìn)入戶(hù)口，本人／吾等承認(rèn)，若本人／吾等在經(jīng)由互聯(lián)網(wǎng)接觸貴公司時(shí)有任何困難，本人／吾等需嘗試使用其他方法與貴公司溝通，并把所遇困難知會(huì)貴公司。

3．2 開(kāi)戶(hù)口時(shí)，本人／吾等需在戶(hù)口申請(qǐng)表上寫(xiě)明本人／吾等就使用該服務(wù)而存入首筆按金的款額。該款額可由本人／吾等親自以支票，銀行本票存入或以電傳存入貴公司的辦事處或銀行戶(hù)口。本人／吾等承認(rèn)貴公司收到戶(hù)口申請(qǐng)表上所載有效款項(xiàng)後，方會(huì)把進(jìn)入密碼通知本人／吾等。

4．指令經(jīng)網(wǎng)上交易服務(wù)買(mǎi)賣(mài)

4．1 如因故障，通訊設(shè)施傳送失敗，或通訊媒體不可靠或并非貴公司所能控制或預(yù)期的一或多項(xiàng)原因，以致在傳送，收取或執(zhí)行指令上有所延誤貴公司毋須承擔(dān)責(zé)任。

4．2 本人／吾等了解，向傳播市場(chǎng)資料的各方提供市場(chǎng)資料的每一參與證券交易所或組織，對(duì)其提供的全部資料申張財(cái)產(chǎn)權(quán)益。本人／吾等亦了解，任何方概不保證市場(chǎng)資料或任何其他市場(chǎng)信息的時(shí)效，序列，準(zhǔn)確或完整性。任何損失或損害，若因下列原因或由其產(chǎn)生，貴公司或任何傳播方概毋須承擔(dān)任何責(zé)任：任何該等資料，資訊或信息不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或該等資料，資訊或信息傳送或交付時(shí)的任何不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或任何該等資料，資訊或信息因貴公司或任何傳播方的疏忽行為以致無(wú)法履行或提供；或任何不可抗力事件；或任何其他非貴公司所能控制或任何傳播方所能合理控制的其他原因。本人／吾等只會(huì)把股票報(bào)價(jià)用於自身用途，不會(huì)因任何原因向任何其他人士或?qū)嶓w提供該等資料。

4．3 本人／吾等承認(rèn)，因無(wú)法預(yù)料的通訊擠塞及其他原因，互聯(lián)網(wǎng)是存有內(nèi)在不可靠性的通訊媒體，而該不可靠性非貴公司所能控制。本人／吾等承認(rèn)，因該不可靠性，在傳送及接收指令及其他資料時(shí)可能有延誤，以致執(zhí)行指令的延誤及／或執(zhí)行指令的價(jià)格與發(fā)出指令時(shí)的價(jià)格不同。本人／吾等進(jìn)一步承認(rèn)及同意，任何通訊均有誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而該等風(fēng)險(xiǎn)需絕對(duì)由本人／吾等承擔(dān)。本人／吾等承認(rèn)及同意，指令一經(jīng)發(fā)出，通常不可取消。

5．境外指令

若本人／吾等在香港以外地方向貴公司發(fā)出指令，本人／吾等同意確保及聲明，該等指令嚴(yán)格遵守該等指令發(fā)出時(shí)所在相關(guān)司法轄區(qū)的任何適用法律。本人／吾等進(jìn)一步同意，本人／吾等有疑問(wèn)時(shí)會(huì)諮詢(xún)相關(guān)司法轄區(qū)的法律顧問(wèn)。本人／吾等接受在香港以外地區(qū)發(fā)出的指令，可能需向相關(guān)當(dāng)局支付稅費(fèi)，本人／吾等同意支付該等適用稅費(fèi)。本人／吾等同意，按要求彌償貴公司因本人／吾等在香港以外地區(qū)發(fā)出指令而發(fā)生的任何損害，損失，費(fèi)用，法律程序，要求或申索。

6．風(fēng)險(xiǎn)披露聲明

電子交易風(fēng)險(xiǎn)在交易高峰，市場(chǎng)波動(dòng)，系統(tǒng)升級(jí)及維護(hù)或其他時(shí)間，互聯(lián)網(wǎng)或其他電子設(shè)施的進(jìn)入可能會(huì)受到限制甚至無(wú)法進(jìn)入。通過(guò)互聯(lián)網(wǎng)或其他電子設(shè)施進(jìn)行的交易可能會(huì)因不可預(yù)測(cè)的流量堵塞和其他貴公司無(wú)法控制的原因而受到干擾，傳輸中斷，以及傳輸延誤。由於技術(shù)上的制約，互聯(lián)網(wǎng)是一種不完全可靠的通訊媒介。由於這種不可靠性原因，交易指令及其他資訊的傳輸和接收可能會(huì)有延誤，而這會(huì)導(dǎo)致交易指令在執(zhí)行上的延誤，或者交易執(zhí)行的價(jià)格已不同于指令發(fā)出時(shí)的市場(chǎng)價(jià)格。而且，通信和個(gè)人資料可能會(huì)被未經(jīng)授權(quán)的第三方取得，且在通信上會(huì)存在誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而這些風(fēng)險(xiǎn)將完全由本人／吾等承擔(dān)。本人／吾等確認(rèn)并同意，交易指令一旦發(fā)出通常將不可能取消。

簽署確認(rèn)

本人／吾等，為下述簽署人，茲承認(rèn)本人／吾等已閱讀，知悉，及明白本協(xié)議之內(nèi)容并接受其條款及條件。

客戶(hù)（簽字）：_________ 客戶(hù)主任（簽字）：_________

_________年____月____日 _________年____月____日

見(jiàn)證人（簽字）：_________

_________年____月____日

第8篇 互聯(lián)網(wǎng)證券買(mǎi)賣(mài)協(xié)議（附加於現(xiàn)金／保證金客戶(hù)協(xié)議書(shū)）新

本人／吾等乃貴公司證券戶(hù)口_________號(hào)（“戶(hù)口”）之戶(hù)口持有人，本人／吾等之證券客戶(hù)合約於_________簽訂。本人／吾等同意開(kāi)立一個(gè)或多個(gè)證券買(mǎi)賣(mài)戶(hù)口，并同意以本人／吾等名義或代表本人／吾等就證券買(mǎi)賣(mài)及相關(guān)事宜，通過(guò)網(wǎng)上交易服務(wù)運(yùn)作戶(hù)口，本人／吾等同意，戶(hù)口由貴公司透過(guò)貴公司的網(wǎng)上交易服務(wù)按照證券客戶(hù)合約及下列條款及條件（并受其規(guī)限）運(yùn)作：

1．定義及解釋

1．1 在本協(xié)議中，以下詞語(yǔ)具有下列涵義：

“進(jìn)入密碼”指密碼及戶(hù)口號(hào)碼；

“戶(hù)口”指本人在貴公司開(kāi)立的互聯(lián)網(wǎng)買(mǎi)賣(mài)戶(hù)口，經(jīng)由網(wǎng)上交易服務(wù)運(yùn)作；

“網(wǎng)上交易服務(wù)”指_________根據(jù)本協(xié)議提供的網(wǎng)上買(mǎi)賣(mài)服務(wù)，包括電子買(mǎi)賣(mài)服務(wù)，_________網(wǎng)址上的任何資料，以及其中的軟件；

“電子買(mǎi)賣(mài)服務(wù)”指本人／吾等發(fā)出電子指令的設(shè)施，以及網(wǎng)上交易服務(wù)提供的資訊服務(wù)；

“指令”指以電子方式買(mǎi)賣(mài)證券的買(mǎi)賣(mài)指令或其他處理指令；

“互聯(lián)網(wǎng)買(mǎi)賣(mài)政策”指有關(guān)網(wǎng)上交易服務(wù)運(yùn)作的政策（經(jīng)不時(shí)修訂）；

“密碼”指本人／吾等與帳號(hào)一并使用的個(gè)人密碼，據(jù)之可進(jìn)入該服務(wù)；

“證券客戶(hù)合約”指_________公司之現(xiàn)金客戶(hù)協(xié)議書(shū)或保證金客戶(hù)協(xié)議書(shū)；

“_________”指_________公司；

“帳號(hào)”指客戶(hù)與密碼一并使用的個(gè)人密碼，據(jù)之可進(jìn)入電子買(mǎi)賣(mài)服務(wù)，以及其他網(wǎng)上交易服務(wù)提供的服務(wù)；

1．2 單數(shù)詞語(yǔ)包括眾數(shù)詞語(yǔ)，反之亦然。提到一種性別之處，包括所有性別?！叭耸俊币辉~，包括商號(hào)或獨(dú)資經(jīng)營(yíng)，合伙經(jīng)營(yíng)，集團(tuán)及法人公司，反之亦然。

2．網(wǎng)上交易服務(wù)

2．1 本人／吾等了解，電子買(mǎi)賣(mài)服務(wù)為一半自動(dòng)設(shè)施，讓本人／吾等發(fā)出電子指令，并接收信息服務(wù)。

2．2 本人／吾等同意使用電子買(mǎi)賣(mài)服務(wù)，必須遵照本協(xié)議條款及證券客戶(hù)合約。本人／吾等使用日後經(jīng)由網(wǎng)上交易服務(wù)提供的其他服務(wù)，亦必須遵照本協(xié)議條款及客戶(hù)協(xié)議書(shū)。

2．3 本人／吾等為戶(hù)口項(xiàng)下電子買(mǎi)賣(mài)服務(wù)的唯一獲授權(quán)使用者。本人／吾等需對(duì)進(jìn)入密碼的保密及使用承擔(dān)責(zé)任。本人／吾等承認(rèn)及同意，本人／吾等需就使用進(jìn)入密碼輸進(jìn)電子買(mǎi)賣(mài)服務(wù)的所有指令負(fù)責(zé)，而貴公司，貴公司董事，高級(jí)職員或雇員概毋需對(duì)本人／吾等，或經(jīng)由本人／吾等提出申索的任何其他人士（就任何有關(guān)處理，錯(cuò)誤處理或遺失任何指示）的申索承擔(dān)責(zé)任。

2．4 本人／吾等承認(rèn)，網(wǎng)上交易服務(wù)的所有人權(quán)益屬貴公司。本人／吾等保證及承諾，本人／吾等不會(huì)（亦不會(huì)嘗試）平擾，修改，拆解，易轉(zhuǎn)，操縱或以其他方式修改（且亦不會(huì)嘗試未獲授權(quán)進(jìn)入）網(wǎng)上交易服務(wù)的任何部份。本人吾等承認(rèn)，若本人／吾等在任何時(shí)候違反是項(xiàng)保證及承諾，或?qū)嵐驹谌魏螘r(shí)候合理懷疑本人／吾等違反是項(xiàng)保證及承諾，則貴公司可向本人／吾等采取法律行動(dòng)。本人／吾等承諾，若本人／吾等知悉任何人士干犯本段上文所述任何行動(dòng)，則本人／吾等須即時(shí)通知貴公司。

2．5 本人／吾等進(jìn)一步承認(rèn)及同意，作為使用電子買(mǎi)賣(mài)服務(wù)發(fā)出指令的先決條件，若有下列情況，本人／吾等需即時(shí)通知貴公司：

a．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到命令編號(hào)；

b．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到對(duì)指令或其執(zhí)行的準(zhǔn)確認(rèn)收（不論經(jīng)硬本，電子或口頭）；

c．本人／吾等收到交易指示的認(rèn)收（不論經(jīng)硬本，電子或口頭），但該等交易指示并非本人／吾等作出，或其他類(lèi)似的不一致情況；

d．本人／吾等知悉戶(hù)口號(hào)碼或密碼的任何未經(jīng)授權(quán)使用。

2．6 本人／吾等了解，貴公司擬備網(wǎng)上買(mǎi)賣(mài)政策，列出網(wǎng)上交易服務(wù)運(yùn)作政策及程序。該政策可經(jīng)由網(wǎng)址取得，在任何時(shí)候均適用。該政策的條款，對(duì)本人／吾等對(duì)使用網(wǎng)上交易服務(wù)具約束力。若本協(xié)議條款與網(wǎng)上買(mǎi)賣(mài)政策不一致，以本協(xié)議條款為準(zhǔn)。

2．7 本人／吾等承認(rèn)_________網(wǎng)址若提供報(bào)價(jià)服務(wù)，乃由貴公司不時(shí)指定的第三方提供者提供。本人／吾等承認(rèn)及同意，對(duì)本人／吾等在任何方面因報(bào)價(jià)服務(wù)或因本人／吾等依賴(lài)該服務(wù)而發(fā)生或與之有關(guān)的任何損失，費(fèi)用，支出，損害賠償或申索貴公司概毋須承擔(dān)責(zé)任。

2．8 本人／吾等了解，就提供資訊而言，電子買(mǎi)賣(mài)服務(wù)只提供由第三方刊發(fā)的證券資料。因市場(chǎng)波動(dòng)及資料傳送過(guò)程的延誤，該等資料可能并非有關(guān)證券或投資的實(shí)時(shí)市場(chǎng)報(bào)價(jià)。本人／吾等了解，雖然貴公司相信該等資料可靠，但沒(méi)有獨(dú)立基準(zhǔn)可茲證實(shí)（否定）所提供資料的準(zhǔn)確及完整性。本人／吾等了解，不應(yīng)從所提供的任何證券或投資資料而推斷貴公司作出任何推薦或認(rèn)可。

2．9 本人／吾等了解，在電子買(mǎi)賣(mài)服務(wù)中提供的資料，以“現(xiàn)狀”及“可提供”基準(zhǔn)提供，貴公司并不保證該等資料的時(shí)候，順序，準(zhǔn)確性，足夠性或完整性。貴公司沒(méi)有就該等資料作出明示或默示保證（包括但不限於可商售性或就某一用途的適合性而作出的保證）。

2．10 本人／吾等接受經(jīng)由互聯(lián)網(wǎng)或其他電子方法或設(shè)施接受或取得服務(wù)以及經(jīng)由互聯(lián)網(wǎng)或其他電子設(shè)備或設(shè)施溝通或進(jìn)行交易所帶來(lái)的風(fēng)險(xiǎn)。

3．戶(hù)口

3．1 本人／吾等承認(rèn)，本人／吾等只可經(jīng)由互聯(lián)網(wǎng)進(jìn)入戶(hù)口，本人／吾等承認(rèn)，若本人／吾等在經(jīng)由互聯(lián)網(wǎng)接觸貴公司時(shí)有任何困難，本人／吾等需嘗試使用其他方法與貴公司溝通，并把所遇困難知會(huì)貴公司。

3．2 開(kāi)戶(hù)口時(shí)，本人／吾等需在戶(hù)口申請(qǐng)表上寫(xiě)明本人／吾等就使用該服務(wù)而存入首筆按金的款額。該款額可由本人／吾等親自以支票，銀行本票存入或以電傳存入貴公司的辦事處或銀行戶(hù)口。本人／吾等承認(rèn)貴公司收到戶(hù)口申請(qǐng)表上所載有效款項(xiàng)後，方會(huì)把進(jìn)入密碼通知本人／吾等。

4．指令——經(jīng)網(wǎng)上交易服務(wù)買(mǎi)賣(mài)

4．1 如因故障，通訊設(shè)施傳送失敗，或通訊媒體不可靠或并非貴公司所能控制或預(yù)期的一或多項(xiàng)原因，以致在傳送，收取或執(zhí)行指令上有所延誤貴公司毋須承擔(dān)責(zé)任。

4．2 本人／吾等了解，向傳播市場(chǎng)資料的各方提供市場(chǎng)資料的每一參與證券交易所或組織，對(duì)其提供的全部資料申張財(cái)產(chǎn)權(quán)益。本人／吾等亦了解，任何方概不保證市場(chǎng)資料或任何其他市場(chǎng)信息的時(shí)效，序列，準(zhǔn)確或完整性。任何損失或損害，若因下列原因或由其產(chǎn)生，貴公司或任何傳播方概毋須承擔(dān)任何責(zé)任：任何該等資料，資訊或信息不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或該等資料，資訊或信息傳送或交付時(shí)的任何不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或任何該等資料，資訊或信息因貴公司或任何傳播方的疏忽行為以致無(wú)法履行或提供；或任何不可抗力事件；或任何其他非貴公司所能控制或任何傳播方所能合理控制的其他原因。本人／吾等只會(huì)把股票報(bào)價(jià)用於自身用途，不會(huì)因任何原因向任何其他人士或?qū)嶓w提供該等資料。

4．3 本人／吾等承認(rèn)，因無(wú)法預(yù)料的通訊擠塞及其他原因，互聯(lián)網(wǎng)是存有內(nèi)在不可靠性的通訊媒體，而該不可靠性非貴公司所能控制。本人／吾等承認(rèn)，因該不可靠性，在傳送及接收指令及其他資料時(shí)可能有延誤，以致執(zhí)行指令的延誤及／或執(zhí)行指令的價(jià)格與發(fā)出指令時(shí)的價(jià)格不同。本人／吾等進(jìn)一步承認(rèn)及同意，任何通訊均有誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而該等風(fēng)險(xiǎn)需絕對(duì)由本人／吾等承擔(dān)。本人／吾等承認(rèn)及同意，指令一經(jīng)發(fā)出，通常不可取消。

5．境外指令

若本人／吾等在香港以外地方向貴公司發(fā)出指令，本人／吾等同意確保及聲明，該等指令嚴(yán)格遵守該等指令發(fā)出時(shí)所在相關(guān)司法轄區(qū)的任何適用法律。本人／吾等進(jìn)一步同意，本人／吾等有疑問(wèn)時(shí)會(huì)諮詢(xún)相關(guān)司法轄區(qū)的法律顧問(wèn)。本人／吾等接受在香港以外地區(qū)發(fā)出的指令，可能需向相關(guān)當(dāng)局支付稅費(fèi)，本人／吾等同意支付該等適用稅費(fèi)。本人／吾等同意，按要求彌償貴公司因本人／吾等在香港以外地區(qū)發(fā)出指令而發(fā)生的任何損害，損失，費(fèi)用，法律程序，要求或申索。

6．風(fēng)險(xiǎn)披露聲明

電子交易風(fēng)險(xiǎn)在交易高峰，市場(chǎng)波動(dòng)，系統(tǒng)升級(jí)及維護(hù)或其他時(shí)間，互聯(lián)網(wǎng)或其他電子設(shè)施的進(jìn)入可能會(huì)受到限制甚至無(wú)法進(jìn)入。通過(guò)互聯(lián)網(wǎng)或其他電子設(shè)施進(jìn)行的交易可能會(huì)因不可預(yù)測(cè)的流量堵塞和其他貴公司無(wú)法控制的原因而受到干擾，傳輸中斷，以及傳輸延誤。由於技術(shù)上的制約，互聯(lián)網(wǎng)是一種不完全可靠的通訊媒介。由於這種不可靠性原因，交易指令及其他資訊的傳輸和接收可能會(huì)有延誤，而這會(huì)導(dǎo)致交易指令在執(zhí)行上的延誤，或者交易執(zhí)行的價(jià)格已不同于指令發(fā)出時(shí)的市場(chǎng)價(jià)格。而且，通信和個(gè)人資料可能會(huì)被未經(jīng)授權(quán)的第三方取得，且在通信上會(huì)存在誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而這些風(fēng)險(xiǎn)將完全由本人／吾等承擔(dān)。本人／吾等確認(rèn)并同意，交易指令一旦發(fā)出通常將不可能取消。

簽署確認(rèn)

本人／吾等，為下述簽署人，茲承認(rèn)本人／吾等已閱讀，知悉，及明白本協(xié)議之內(nèi)容并接受其條款及條件。

客戶(hù)（簽字）：_________ 客戶(hù)主任（簽字）：_________

_________年____月____日 _________年____月____日

見(jiàn)證人（簽字）：_________

_________年____月____日

附件

i/we am/are the client holding the securities account(s) with you numbered _________ (the 'account') and refer to my/our cash/margin client’s agreements in respect of the account dated _________. i/we agree that the account may be to open one or more securities trading account(s) (the 'account') to be operated through internet trade service，in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of securities，and i/we agree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to the securities client’s agreement:

i/we am/are the client holding the securities account(s) with you numbered _________ (the 'account') and refer to my/our cash/margin client’s agreements in respect of the account dated _________. i/we agree that the account may be to open one or more securities trading account(s) (the 'account') to be operated through internet trade service，in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of securities，and i/we agree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to the securities client’s agreement:-

1. definition and construction

1. definition and construction

1.1 in this agreement，the following terms shall bear the following meanings:

1.1 in this agreement，the following terms shall bear the following meanings:

' access codes' means together the password and the user name;

（1）' access codes' means together the password and the user name;

（2）' account' means my internet securities trading account with you operated through the internet trade service;

' account' means my internet securities trading account with you operated through the internet trade service;

'internet trade service' means the on-line securities trading service provided by _________ under this agreement comprising the electronic trading ervice，any information contained in _________ web site and the software comprised in them;

（3）'internet trade service' means the on-line securities trading service provided by _________ under this agreement comprising the electronic trading ervice，any information contained in _________ web site and the software comprised in them;

（4）'electronic trading service' means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade;

'electronic trading service' means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade;

'instruction' means any instruction for the buying or selling of or otherwise dealing in any securities;

（5）'instruction' means any instruction for the buying or selling of or otherwise dealing in any securities;

（6）'internet trading policy' means the policy relating to the operation of the internet trade service as amended from time to time;

'internet trading policy' means the policy relating to the operation of the internet trade service as amended from time to time;

'password' means my/our personal password used in conjunction with the user name to gain access to the service;

（7）'password' means my/our personal password used in conjunction with the user name to gain access to the service;

（8）'client’s agreement' means _________ cash client’s agreement or margin client’s agreement;

'client’s agreement' means _________ cash client’s agreement or margin client’s agreement;

'_________' means _________ securities limited;

（9）'_________' means _________ securities limited;

（10）'user name' means the client’s personal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.

'user name' means the client’s personal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.

1.2 words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shall include a firm or sole proprietorship，partnership，syndicate and corporation and vice versa.

1.2 words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shallinclude a firm or sole proprietorship，partnership，syndicate and corporation and vice versa.

2. internet trade service

2. internet trade service

2.1 i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.

2.1 i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.

2.2 i/we agree to use the electronic trading service and any additional services offered through the internet trade service only in accordance with the terms of this agreement in addition to the client’s agreement.

2.2 i/we agree to use the electronic trading service and any additional services offered through the internet trade service only in accordance with the terms of this agreement in addition to the client’s agreement.

2.3 i/we shall be the only authorized user of the electronic trading service under the account.i/we understand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electronic trading service using the access code and neither you nor your directors，officers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/us，for any claims with respect to the handling， mishandling or loss of any instruction.

2.3 i/we shall be the only authorized user of the electronic trading service under the account.i/we understand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electronic trading service using the access code and neither you nor your directors，officers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/us，for any claims with respect to the handling， mishandling or loss of any instruction.

2.4 i/we acknowledge that the internet trade service is proprietary to you. i/we warrant and undertake that i/we shall not， and shall not attempt to， tamper with， modify， decompile， reverse engineer or otherwise alter in any way， and shall not attempt to gain unauthorized access to， any part of the internet trade service. i/we acknowledge that you may take legal action against me/us， if i/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that i/we have breached the same. i/we undertake to notify you immediately if i/we become aware that any of the actions described above in this paragraph is being perpetrated by any other person.

2.4 i/we acknowledge that the internet trade service is proprietary to you. i/we warrant and undertake that i/we shall not， and shall not attempt to， tamper with， modify， decompile， reverse engineer or otherwise alter in any way， and shall not attempt to gain unauthorized access to， any part of the internet trade service. i/we acknowledge that you may take legal action against me/us， if i/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that i/we have breached the same. i/we undertake to notify you immediately if i/we become aware that any of the actions described above in this paragraph is being perpetrated by any other person.

2.5 i/we further acknowledge and agree that， as a condition of using the electronic trading service to give instructions， i/we shall immediately notify you if:

2.5 i/we further acknowledge and agree that， as a condition of using the electronic trading service to give instructions， i/we shall immediately notify you if:

（1）an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number;

a. an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number;

b. an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an accurate acknowledgement of the instruction or of its execution (whether by hard copy， electronic or verbal means);

（2）an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an accurate acknowledgement of the instruction or of its execution (whether by hard copy， electronic or verbal means);

（3）i/we have received acknowledgement (whether by hard copy， electronic or verbal means) of a transaction which i/we did not instruct or any similar conflict; or

c. i/we have received acknowledgement (whether by hard copy， electronic or verbal means) of a transaction which i/we did not instruct or any similar conflict; or

d.i/we become aware of any unauthorized use of the user name or password.

2.6 i/we understand that you shall prepare the internet trading policy setting out the operation policy and procedures of the internet trade service applicable at any time which shall be available at the internet trade web site the terms of which shall be binding on me/us in respect of my/our use of the internet trade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.

（4）i/we become aware of any unauthorized use of the user name or password.

2.6 i/we understand that you shall prepare the internet trading policy setting out the operation policy and procedures of the internet trade service applicable at any time which shall be available at the internet trade web site the terms of which shall be binding on me/us in respect of my/our use of the internet trade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.

2.7 i/we acknowledge that the price quotation service， if any， for securities， available at the internet trade web site is provided by a third party provider appointed by you from time to time. i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， expenses， damages or claims which i/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.

2.7 i/we acknowledge that the price quotation service， if any， for securities， available at the internet trade web site is provided by a third party provider appointed by you from time to time. i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， expenses， damages or claims which i/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.

2.8 i/we understand that the electronic trading services may provide， for informational purpose only， data about securities 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. i/we understand that whilst you believe such data to be reliable， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.

2.8 i/we understand that the electronic trading services may provide， for informational purpose only， data about securities 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. i/we understand that whilst you believe such data to be reliable， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.

2.9 i/we understand that information provided in the electronic trading services is provided on an ’’as is'， ’’as available' basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or completeness of such information. you give no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information.

2.9 i/we understand that information provided in the electronic trading services is provided on an ’’as is'， ’’as available' basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or completeness of such information. you give no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information.

2.10 i/we accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the internet or other electronic means or facilities for the purpose of the internet trade service.

3. the account

2.10 i/we accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the internet or other electronic means or facilities for the purpose of the internet trade service.

3. the account

3.1 i/we acknowledge that i/we may only access the account through the internet and i/we agree that should i/we experience any problems in reaching you through the internet， i/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty i/we am/are experiencing.

3.1 i/we acknowledge that i/we may only access the account through the internet and i/we agree that should i/we experience any problems in reaching you through the internet， i/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty i/we am/are experiencing.

3.2 when opening the account， i/we shall state in the account application the amount of my/our initial deposit of funds in the account for the use with the internet trade service. such amount shall be paid to your offices or bank account either by cheque， bankers draft or telegraphic transfer. i/we acknowledge that the access codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.

4. instructions- dealings through the internet trade service

3.2 when opening the account， i/we shall state in the account application the amount of my/our initial deposit of funds in the account for the use with the internet trade service. such amount shall be paid to your offices or bank account either by cheque， bankers draft or telegraphic transfer. i/we acknowledge that the access codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.

4. instructions- dealings through the internet trade service

4.1 you shall not be responsible for delays in the transmission， receipt or execution of instructions due to either transmission of communication facilities， or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.

4.1 you shall not be responsible for delays in the transmission， receipt or execution of instructions due to either transmission of communication facilities， or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.

4.2 i/we understand that each participating securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. i/we also understand that no party guarantees the timeliness， sequence， accuracy or completeness of market data or any other market information. neither you 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 message， or the transmission or delivery of the same， non-performance or interruption of any such data， message or information due to any negligent act of you or any disseminating party， or to any force majeure event， or any other cause beyond your control or the reasonable control of any disseminating party. i/we shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.

4.2 i/we understand that each participating securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. i/we also understand that no party guarantees the timeliness， sequence， accuracy or completeness of market data or any other market information. neither you 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 message， or the transmission or delivery of the same， non-performance or interruption of any such data， message or information due to any negligent act of you or any disseminating party， or to any force majeure event， or any other cause beyond your control or the reasonable control of any disseminating party. i/we shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.

4.3 i/we acknowledge that the internet is， due to unpredictable traffic congestion and other reasons， an inherently unreliable medium of communication and that such unreliability is beyond your control. i/we acknowledge that， as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing at the time the instructions were given. i/we further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that instruction may not be cancelled after it has been given.

5. instructions outside hong kong

4.3 i/we acknowledge that the internet is， due to unpredictable traffic congestion and other reasons， an inherently unreliable medium of communication and that such unreliability is beyond your control. i/we acknowledge that， as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing at the time the instructions were given. i/we further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that instruction may not be cancelled after it has been given.

5. instructions outside hong kong

if i/we give any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my instruction is given， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdiction. i/we accept that there may be taxes or charges payable to relevant authorities in respect to any instruction given outside hong kong ， and i/we agree to pay such taxes or charges as possible.

6. risk disclosure statement

if i/we give any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my instruction is given， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdiction. i/we accept that there may be taxes or charges payable to relevant authorities in respect to any instruction given outside hong kong ， and i/we agree to pay such taxes or charges as possible.

6. risk disclosure statement

risk of electronic trading. access to the internet or other electronic devices may be limited or unavailable during periods of peak demand， market volatility， systems upgrades or maintenance or for other reasons. transactions conducted through the internet or other electronic devices may be subject to interruption， transmission blackout， and delayed transmission due to unpredictable traffic congestion and other reasons beyond your control. internet is， due to technical limitation， an inherently unreliable medium if communication. as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing prices at the time the instructions are given. moreover， communications and personal data may be accessed by authorized third parties; and there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that it shall not usually be possible to cancel an instruction after it has been given.

acknowledgement

risk of electronic trading. access to the internet or other electronic devices may be limited or unavailable during periods of peak demand， market volatility， systems upgrades or maintenance or for other reasons. transactions conducted through the internet or other electronic devices may be subject to interruption， transmission blackout， and delayed transmission due to unpredictable traffic congestion and other reasons beyond your control. internet is， due to technical limitation， an inherently unreliable medium if communication. as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing prices at the time the instructions are given. moreover， communications and personal data may be accessed by authorized third parties; and there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that it shall not usually be possible to cancel an instruction after it has been given.

acknowledgement

i/we，the undersigned， hereby acknowledge that i/we have read， is/are aware of and understand the contents of the client’s agreement and accept its terms and conditions thereof.

date:_________.

i/we，the undersigned， hereby acknowledge that i/we have read， is/are aware of and understand the contents of the client’s agreement and accept its terms and conditions thereof.

client(signature):_________ account executive(signature):_________

print name of client:_________

date:_________ date:_________

signed by account executive:_________

witness(signature):_________

print name of witness:_________

date:_________

第9篇 現(xiàn)金贈(zèng)與協(xié)議書(shū)范本

贈(zèng)與合同是贈(zèng)與人將自己的財(cái)產(chǎn)無(wú)償給予受贈(zèng)人，受贈(zèng)人表示接受贈(zèng)與的合同，其特點(diǎn)是贈(zèng)與的無(wú)償性和諾成性。為了平衡當(dāng)事人之間的利益，法律賦予贈(zèng)與人及其繼承人、法定代理人贈(zèng)與撤銷(xiāo)權(quán)。其中，出贈(zèng)財(cái)產(chǎn)的一方為贈(zèng)與人，接受贈(zèng)與的一方為受贈(zèng)人。

精選現(xiàn)金贈(zèng)與協(xié)議書(shū)范本

甲方：

乙方：

為資助乙方購(gòu)買(mǎi)房屋，甲方自愿向乙方捐贈(zèng)。按照合同法等有關(guān)法律規(guī)定，雙方達(dá)成贈(zèng)與協(xié)議如下

第一條 本著雙方自愿的原則，甲方捐贈(zèng)下列財(cái)產(chǎn)歸乙方個(gè)人所有

現(xiàn)金： 元(人民幣 )( 元整)

第二條 贈(zèng)與財(cái)產(chǎn)用途：

甲方贈(zèng)與現(xiàn)金 萬(wàn)元( 元整)只能用于購(gòu)置個(gè)人住房。

購(gòu)置的住房地址為：

第三條 贈(zèng)與財(cái)產(chǎn)的交付時(shí)間、地點(diǎn)及方式：

一、交付時(shí)間：乙方在購(gòu)置住房前，雙方約定在合理期限內(nèi)交付贈(zèng)與款。

二、交付地點(diǎn)：安徽巢湖

三、交付方式：

1、甲方在約定期限內(nèi)將贈(zèng)與現(xiàn)金通過(guò)銀行轉(zhuǎn)入乙方指定的銀行賬號(hào)。

2、乙方收到甲方贈(zèng)與財(cái)產(chǎn)后，應(yīng)當(dāng)出具合法、有效的收據(jù)，以證明收到贈(zèng)與款項(xiàng)。第四條 甲方有權(quán)向乙方查詢(xún)捐贈(zèng)財(cái)產(chǎn)的使用、管理情況，并提出意見(jiàn)和建議。對(duì)于甲方的查詢(xún)，乙方應(yīng)當(dāng)如實(shí)答復(fù)。

第五條 乙方必須按照本協(xié)議約定的用途合理使用捐贈(zèng)財(cái)產(chǎn)，且不得擅自改變捐贈(zèng)財(cái)產(chǎn)的用途。如果確需改變用途的，應(yīng)當(dāng)征得甲方的同意。

第六條 其他約定事項(xiàng)：贈(zèng)與用于購(gòu)置住房的現(xiàn)金，只歸乙方個(gè)人所有，不屬于乙方的夫妻共同財(cái)產(chǎn)。

第七條 本協(xié)議一式二份，甲乙雙方各執(zhí)一份。

甲方(簽名/蓋章 乙方(蓋章)： 地址： 地址

電話： 電話：

簽訂時(shí)間： 年 月 日

擴(kuò)展閱讀

1.格式

贈(zèng)與合同

甲方(贈(zèng)與人)：(寫(xiě)明姓名、住址)

乙方(受贈(zèng)人)：(寫(xiě)明姓名、住址)

甲乙雙方就贈(zèng)送(贈(zèng)與的標(biāo)的物，如贈(zèng)與微機(jī)一臺(tái)，應(yīng)寫(xiě)明浪潮386型微機(jī)一臺(tái)，如其他物品，也應(yīng)寫(xiě)明該贈(zèng)與物是什么、在什么位置)事宜達(dá)成協(xié)議如下：

一、甲方將其所有的(標(biāo)的物)贈(zèng)送給乙方，其所有權(quán)證明為：(寫(xiě)明證明甲方擁有所有權(quán)的證據(jù)名稱(chēng)，如贈(zèng)與房屋，就應(yīng)有房產(chǎn)所有權(quán)證，贈(zèng)與微機(jī)應(yīng)有購(gòu)買(mǎi)該微機(jī)的發(fā)票等)( 文章閱讀網(wǎng)：www.sanwen.net )

二、贈(zèng)與物的交割

(寫(xiě)明交割的條件，在什么時(shí)間、什么地點(diǎn)交割，辦理什么手續(xù)等等)

三、乙方應(yīng)在期限內(nèi)辦理所有權(quán)轉(zhuǎn)移的手續(xù)逾期不辦的，視為拒絕贈(zèng)與(也可以約定其他條件)。

四、本合同自日起生效(可以寫(xiě)自公證之日起生效)。

五、本合同一式兩份，雙方各執(zhí)一份。

甲方：(簽字、蓋章)

乙方：(簽字、蓋章)

年月日

2.說(shuō)明

贈(zèng)與合同是指贈(zèng)與方將自己所有的物品、現(xiàn)金或者某種權(quán)利贈(zèng)送給他人的行為。贈(zèng)與合同通常是單務(wù)合同，即合同生效后，贈(zèng)與方負(fù)有將贈(zèng)與物交給受贈(zèng)人的義務(wù)而不享有任何權(quán)利;受贈(zèng)方享有領(lǐng)取贈(zèng)與物的權(quán)利而不承擔(dān)義務(wù)。贈(zèng)與也可以附條件，即贈(zèng)與一方要求受贈(zèng)方履行某種義務(wù)，受贈(zèng)方不履行義務(wù)贈(zèng)與方有權(quán)撤銷(xiāo)贈(zèng)與。但這種條件一般是與贈(zèng)與人的利益無(wú)關(guān)的條件，而不是要求有償?shù)刭?zèng)送。如果將某種物送給他人并要求給付一定的金錢(qián)就不是贈(zèng)與關(guān)系。因此，附條件的贈(zèng)與仍然是單務(wù)行為。簽訂贈(zèng)與合同應(yīng)當(dāng)注意的問(wèn)題有：

(1)贈(zèng)與標(biāo)的必須是贈(zèng)與人所有的或者贈(zèng)與人有權(quán)處理的財(cái)產(chǎn)或者某種權(quán)利，贈(zèng)與人不能把不履于自己或者自己無(wú)權(quán)處理的財(cái)產(chǎn)和權(quán)利贈(zèng)送他人，否則，構(gòu)成侵害他人權(quán)益的行為。贈(zèng)與標(biāo)的可以是物，可以是貨幣(包括外國(guó)貨幣)，也可以是有價(jià)證券、某種權(quán)利。例如專(zhuān)利權(quán)人可以將專(zhuān)利權(quán)贈(zèng)與他人，房屋所有人可以將房屋贈(zèng)與他人等。

(2)權(quán)利轉(zhuǎn)移涉及到有關(guān)部門(mén)批準(zhǔn)的，應(yīng)當(dāng)在合同中訂立清楚。例如，贈(zèng)與房屋合同就需要到房管部門(mén)辦理房屋所有權(quán)轉(zhuǎn)移手續(xù)，沒(méi)有辦理手續(xù)的，其轉(zhuǎn)讓無(wú)效。

(3)合同中要寫(xiě)清楚贈(zèng)與人有權(quán)處理贈(zèng)與財(cái)產(chǎn)的證明文件，確保贈(zèng)與行為的合法有效。

第10篇 互聯(lián)網(wǎng)證券買(mǎi)賣(mài)協(xié)議（附加於現(xiàn)金／保證金客戶(hù)協(xié)議書(shū)）

本人／吾等乃貴公司證券戶(hù)口_________號(hào)（“戶(hù)口”）之戶(hù)口持有人，本人／吾等之證券客戶(hù)合約於_________簽訂。本人／吾等同意開(kāi)立一個(gè)或多個(gè)證券買(mǎi)賣(mài)戶(hù)口，并同意以本人／吾等名義或代表本人／吾等就證券買(mǎi)賣(mài)及相關(guān)事宜，通過(guò)網(wǎng)上交易服務(wù)運(yùn)作戶(hù)口，本人／吾等同意，戶(hù)口由貴公司透過(guò)貴公司的網(wǎng)上交易服務(wù)按照證券客戶(hù)合約及下列條款及條件（并受其規(guī)限）運(yùn)作：

1．定義及解釋

1．1 在本協(xié)議中，以下詞語(yǔ)具有下列涵義：

“進(jìn)入密碼”指密碼及戶(hù)口號(hào)碼；

“戶(hù)口”指本人在貴公司開(kāi)立的互聯(lián)網(wǎng)買(mǎi)賣(mài)戶(hù)口，經(jīng)由網(wǎng)上交易服務(wù)運(yùn)作；

“網(wǎng)上交易服務(wù)”指_________根據(jù)本協(xié)議提供的網(wǎng)上買(mǎi)賣(mài)服務(wù)，包括電子買(mǎi)賣(mài)服務(wù)，_________網(wǎng)址上的任何資料，以及其中的軟件；

“電子買(mǎi)賣(mài)服務(wù)”指本人／吾等發(fā)出電子指令的設(shè)施，以及網(wǎng)上交易服務(wù)提供的資訊服務(wù)；

“指令”指以電子方式買(mǎi)賣(mài)證券的買(mǎi)賣(mài)指令或其他處理指令；

“互聯(lián)網(wǎng)買(mǎi)賣(mài)政策”指有關(guān)網(wǎng)上交易服務(wù)運(yùn)作的政策（經(jīng)不時(shí)修訂）；

“密碼”指本人／吾等與帳號(hào)一并使用的個(gè)人密碼，據(jù)之可進(jìn)入該服務(wù)；

“證券客戶(hù)合約”指_________公司之現(xiàn)金客戶(hù)協(xié)議書(shū)或保證金客戶(hù)協(xié)議書(shū)；

“_________”指_________公司；

“帳號(hào)”指客戶(hù)與密碼一并使用的個(gè)人密碼，據(jù)之可進(jìn)入電子買(mǎi)賣(mài)服務(wù)，以及其他網(wǎng)上交易服務(wù)提供的服務(wù)；

1．2 單數(shù)詞語(yǔ)包括眾數(shù)詞語(yǔ)，反之亦然。提到一種性別之處，包括所有性別。“人士”一詞，包括商號(hào)或獨(dú)資經(jīng)營(yíng)，合伙經(jīng)營(yíng)，集團(tuán)及法人公司，反之亦然。

2．網(wǎng)上交易服務(wù)

2．1 本人／吾等了解，電子買(mǎi)賣(mài)服務(wù)為一半自動(dòng)設(shè)施，讓本人／吾等發(fā)出電子指令，并接收信息服務(wù)。

2．2 本人／吾等同意使用電子買(mǎi)賣(mài)服務(wù)，必須遵照本協(xié)議條款及證券客戶(hù)合約。本人／吾等使用日後經(jīng)由網(wǎng)上交易服務(wù)提供的其他服務(wù)，亦必須遵照本協(xié)議條款及客戶(hù)協(xié)議書(shū)。

2．3 本人／吾等為戶(hù)口項(xiàng)下電子買(mǎi)賣(mài)服務(wù)的唯一獲授權(quán)使用者。本人／吾等需對(duì)進(jìn)入密碼的保密及使用承擔(dān)責(zé)任。本人／吾等承認(rèn)及同意，本人／吾等需就使用進(jìn)入密碼輸進(jìn)電子買(mǎi)賣(mài)服務(wù)的所有指令負(fù)責(zé)，而貴公司，貴公司董事，高級(jí)職員或雇員概毋需對(duì)本人／吾等，或經(jīng)由本人／吾等提出申索的任何其他人士（就任何有關(guān)處理，錯(cuò)誤處理或遺失任何指示）的申索承擔(dān)責(zé)任。

2．4 本人／吾等承認(rèn)，網(wǎng)上交易服務(wù)的所有人權(quán)益屬貴公司。本人／吾等保證及承諾，本人／吾等不會(huì)（亦不會(huì)嘗試）平擾，修改，拆解，易轉(zhuǎn)，操縱或以其他方式修改（且亦不會(huì)嘗試未獲授權(quán)進(jìn)入）網(wǎng)上交易服務(wù)的任何部份。本人吾等承認(rèn)，若本人／吾等在任何時(shí)候違反是項(xiàng)保證及承諾，或?qū)嵐驹谌魏螘r(shí)候合理懷疑本人／吾等違反是項(xiàng)保證及承諾，則貴公司可向本人／吾等采取法律行動(dòng)。本人／吾等承諾，若本人／吾等知悉任何人士干犯本段上文所述任何行動(dòng)，則本人／吾等須即時(shí)通知貴公司。

2．5 本人／吾等進(jìn)一步承認(rèn)及同意，作為使用電子買(mǎi)賣(mài)服務(wù)發(fā)出指令的先決條件，若有下列情況，本人／吾等需即時(shí)通知貴公司：

a．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到命令編號(hào)；

b．有關(guān)戶(hù)口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人／吾等未收到對(duì)指令或其執(zhí)行的準(zhǔn)確認(rèn)收（不論經(jīng)硬本，電子或口頭）；

c．本人／吾等收到交易指示的認(rèn)收（不論經(jīng)硬本，電子或口頭），但該等交易指示并非本人／吾等作出，或其他類(lèi)似的不一致情況；

d．本人／吾等知悉戶(hù)口號(hào)碼或密碼的任何未經(jīng)授權(quán)使用。

2．6 本人／吾等了解，貴公司擬備網(wǎng)上買(mǎi)賣(mài)政策，列出網(wǎng)上交易服務(wù)運(yùn)作政策及程序。該政策可經(jīng)由網(wǎng)址取得，在任何時(shí)候均適用。該政策的條款，對(duì)本人／吾等對(duì)使用網(wǎng)上交易服務(wù)具約束力。若本協(xié)議條款與網(wǎng)上買(mǎi)賣(mài)政策不一致，以本協(xié)議條款為準(zhǔn)。

2．7 本人／吾等承認(rèn)_________網(wǎng)址若提供報(bào)價(jià)服務(wù)，乃由貴公司不時(shí)指定的第三方提供者提供。本人／吾等承認(rèn)及同意，對(duì)本人／吾等在任何方面因報(bào)價(jià)服務(wù)或因本人／吾等依賴(lài)該服務(wù)而發(fā)生或與之有關(guān)的任何損失，費(fèi)用，支出，損害賠償或申索貴公司概毋須承擔(dān)責(zé)任。

2．8 本人／吾等了解，就提供資訊而言，電子買(mǎi)賣(mài)服務(wù)只提供由第三方刊發(fā)的證券資料。因市場(chǎng)波動(dòng)及資料傳送過(guò)程的延誤，該等資料可能并非有關(guān)證券或投資的實(shí)時(shí)市場(chǎng)報(bào)價(jià)。本人／吾等了解，雖然貴公司相信該等資料可靠，但沒(méi)有獨(dú)立基準(zhǔn)可茲證實(shí)（否定）所提供資料的準(zhǔn)確及完整性。本人／吾等了解，不應(yīng)從所提供的任何證券或投資資料而推斷貴公司作出任何推薦或認(rèn)可。

2．9 本人／吾等了解，在電子買(mǎi)賣(mài)服務(wù)中提供的資料，以“現(xiàn)狀”及“可提供”基準(zhǔn)提供，貴公司并不保證該等資料的時(shí)候，順序，準(zhǔn)確性，足夠性或完整性。貴公司沒(méi)有就該等資料作出明示或默示保證（包括但不限於可商售性或就某一用途的適合性而作出的保證）。

2．10 本人／吾等接受經(jīng)由互聯(lián)網(wǎng)或其他電子方法或設(shè)施接受或取得服務(wù)以及經(jīng)由互聯(lián)網(wǎng)或其他電子設(shè)備或設(shè)施溝通或進(jìn)行交易所帶來(lái)的風(fēng)險(xiǎn)。

3．戶(hù)口

3．1 本人／吾等承認(rèn)，本人／吾等只可經(jīng)由互聯(lián)網(wǎng)進(jìn)入戶(hù)口，本人／吾等承認(rèn)，若本人／吾等在經(jīng)由互聯(lián)網(wǎng)接觸貴公司時(shí)有任何困難，本人／吾等需嘗試使用其他方法與貴公司溝通，并把所遇困難知會(huì)貴公司。

3．2 開(kāi)戶(hù)口時(shí)，本人／吾等需在戶(hù)口申請(qǐng)表上寫(xiě)明本人／吾等就使用該服務(wù)而存入首筆按金的款額。該款額可由本人／吾等親自以支票，銀行本票存入或以電傳存入貴公司的辦事處或銀行戶(hù)口。本人／吾等承認(rèn)貴公司收到戶(hù)口申請(qǐng)表上所載有效款項(xiàng)後，方會(huì)把進(jìn)入密碼通知本人／吾等。

4．指令——經(jīng)網(wǎng)上交易服務(wù)買(mǎi)賣(mài)

4．1 如因故障，通訊設(shè)施傳送失敗，或通訊媒體不可靠或并非貴公司所能控制或預(yù)期的一或多項(xiàng)原因，以致在傳送，收取或執(zhí)行指令上有所延誤貴公司毋須承擔(dān)責(zé)任。

4．2 本人／吾等了解，向傳播市場(chǎng)資料的各方提供市場(chǎng)資料的每一參與證券交易所或組織，對(duì)其提供的全部資料申張財(cái)產(chǎn)權(quán)益。本人／吾等亦了解，任何方概不保證市場(chǎng)資料或任何其他市場(chǎng)信息的時(shí)效，序列，準(zhǔn)確或完整性。任何損失或損害，若因下列原因或由其產(chǎn)生，貴公司或任何傳播方概毋須承擔(dān)任何責(zé)任：任何該等資料，資訊或信息不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或該等資料，資訊或信息傳送或交付時(shí)的任何不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或任何該等資料，資訊或信息因貴公司或任何傳播方的疏忽行為以致無(wú)法履行或提供；或任何不可抗力事件；或任何其他非貴公司所能控制或任何傳播方所能合理控制的其他原因。本人／吾等只會(huì)把股票報(bào)價(jià)用於自身用途，不會(huì)因任何原因向任何其他人士或?qū)嶓w提供該等資料。

4．3 本人／吾等承認(rèn)，因無(wú)法預(yù)料的通訊擠塞及其他原因，互聯(lián)網(wǎng)是存有內(nèi)在不可靠性的通訊媒體，而該不可靠性非貴公司所能控制。本人／吾等承認(rèn)，因該不可靠性，在傳送及接收指令及其他資料時(shí)可能有延誤，以致執(zhí)行指令的延誤及／或執(zhí)行指令的價(jià)格與發(fā)出指令時(shí)的價(jià)格不同。本人／吾等進(jìn)一步承認(rèn)及同意，任何通訊均有誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而該等風(fēng)險(xiǎn)需絕對(duì)由本人／吾等承擔(dān)。本人／吾等承認(rèn)及同意，指令一經(jīng)發(fā)出，通常不可取消。

5．境外指令

若本人／吾等在香港以外地方向貴公司發(fā)出指令，本人／吾等同意確保及聲明，該等指令嚴(yán)格遵守該等指令發(fā)出時(shí)所在相關(guān)司法轄區(qū)的任何適用法律。本人／吾等進(jìn)一步同意，本人／吾等有疑問(wèn)時(shí)會(huì)諮詢(xún)相關(guān)司法轄區(qū)的法律顧問(wèn)。本人／吾等接受在香港以外地區(qū)發(fā)出的指令，可能需向相關(guān)當(dāng)局支付稅費(fèi)，本人／吾等同意支付該等適用稅費(fèi)。本人／吾等同意，按要求彌償貴公司因本人／吾等在香港以外地區(qū)發(fā)出指令而發(fā)生的任何損害，損失，費(fèi)用，法律程序，要求或申索。

6．風(fēng)險(xiǎn)披露聲明

電子交易風(fēng)險(xiǎn)在交易高峰，市場(chǎng)波動(dòng)，系統(tǒng)升級(jí)及維護(hù)或其他時(shí)間，互聯(lián)網(wǎng)或其他電子設(shè)施的進(jìn)入可能會(huì)受到限制甚至無(wú)法進(jìn)入。通過(guò)互聯(lián)網(wǎng)或其他電子設(shè)施進(jìn)行的交易可能會(huì)因不可預(yù)測(cè)的流量堵塞和其他貴公司無(wú)法控制的原因而受到干擾，傳輸中斷，以及傳輸延誤。由於技術(shù)上的制約，互聯(lián)網(wǎng)是一種不完全可靠的通訊媒介。由於這種不可靠性原因，交易指令及其他資訊的傳輸和接收可能會(huì)有延誤，而這會(huì)導(dǎo)致交易指令在執(zhí)行上的延誤，或者交易執(zhí)行的價(jià)格已不同于指令發(fā)出時(shí)的市場(chǎng)價(jià)格。而且，通信和個(gè)人資料可能會(huì)被未經(jīng)授權(quán)的第三方取得，且在通信上會(huì)存在誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而這些風(fēng)險(xiǎn)將完全由本人／吾等承擔(dān)。本人／吾等確認(rèn)并同意，交易指令一旦發(fā)出通常將不可能取消。

簽署確認(rèn)

本人／吾等，為下述簽署人，茲承認(rèn)本人／吾等已閱讀，知悉，及明白本協(xié)議之內(nèi)容并接受其條款及條件。

客戶(hù)（簽字）：_________客戶(hù)主任（簽字）：_________

_________年____月____日_________年____月____日

見(jiàn)證人（簽字）：_________

_________年____月____日

附件

i/we am/are the client holding the securities account(s) with you numbered _________ (the 'account') and refer to my/our cash/margin client's agreements in respect of the account dated _________. i/we agree that the account may be to open one or more securities trading account(s) (the 'account') to be operated through internet trade service，in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of securities，and i/we agree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to the securities client's agreement:

i/we am/are the client holding the securities account(s) with you numbered _________ (the 'account') and refer to my/our cash/margin client's agreements in respect of the account dated _________. i/we agree that the account may be to open one or more securities trading account(s) (the 'account') to be operated through internet trade service，in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of securities，and i/we agree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to the securities client's agreement:-

1. definition and construction

1. definition and construction

1.1 in this agreement，the following terms shall bear the following meanings:

1.1 in this agreement，the following terms shall bear the following meanings:

' access codes' means together the password and the user name;

（1）' access codes' means together the password and the user name;

（2）' account' means my internet securities trading account with you operated through the internet trade service;

' account' means my internet securities trading account with you operated through the internet trade service;

'internet trade service' means the on-line securities trading service provided by _________ under this agreement comprising the electronic trading ervice，any information contained in _________ web site and the software comprised in them;

（3）'internet trade service' means the on-line securities trading service provided by _________ under this agreement comprising the electronic trading ervice，any information contained in _________ web site and the software comprised in them;

（4）'electronic trading service' means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade;

'electronic trading service' means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade;

'instruction' means any instruction for the buying or selling of or otherwise dealing in any securities;

（5）'instruction' means any instruction for the buying or selling of or otherwise dealing in any securities;

（6）'internet trading policy' means the policy relating to the operation of the internet trade service as amended from time to time;

'internet trading policy' means the policy relating to the operation of the internet trade service as amended from time to time;

'password' means my/our personal password used in conjunction with the user name to gain access to the service;

（7）'password' means my/our personal password used in conjunction with the user name to gain access to the service;

（8）'client's agreement' means _________ cash client's agreement or margin client's agreement;

'client's agreement' means _________ cash client's agreement or margin client's agreement;

'_________' means _________ securities limited;

（9）'_________' means _________ securities limited;

（10）'user name' means the client's personal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.

'user name' means the client's personal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.

1.2 words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shall include a firm or sole proprietorship，partnership，syndicate and corporation and vice versa.

1.2 words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shallinclude a firm or sole proprietorship，partnership，syndicate and corporation and vice versa.

2. internet trade service

2. internet trade service

2.1 i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.

2.1 i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.

2.2 i/we agree to use the electronic trading service and any additional services offered through the internet trade service only in accordance with the terms of this agreement in addition to the client's agreement.

2.2 i/we agree to use the electronic trading service and any additional services offered through the internet trade service only in accordance with the terms of this agreement in addition to the client's agreement.

2.3 i/we shall be the only authorized user of the electronic trading service under the account.i/we understand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electronic trading service using the access code and neither you nor your directors，officers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/us，for any claims with respect to the handling， mishandling or loss of any instruction.

2.3 i/we shall be the only authorized user of the electronic trading service under the account.i/we understand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electronic trading service using the access code and neither you nor your directors，officers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/us，for any claims with respect to the handling， mishandling or loss of any instruction.

2.4 i/we acknowledge that the internet trade service is proprietary to you. i/we warrant and undertake that i/we shall not， and shall not attempt to， tamper with， modify， decompile， reverse engineer or otherwise alter in any way， and shall not attempt to gain unauthorized access to， any part of the internet trade service. i/we acknowledge that you may take legal action against me/us， if i/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that i/we have breached the same. i/we undertake to notify you immediately if i/we become aware that any of the actions described above in this paragraph is being perpetrated by any other person.

2.4 i/we acknowledge that the internet trade service is proprietary to you. i/we warrant and undertake that i/we shall not， and shall not attempt to， tamper with， modify， decompile， reverse engineer or otherwise alter in any way， and shall not attempt to gain unauthorized access to， any part of the internet trade service. i/we acknowledge that you may take legal action against me/us， if i/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that i/we have breached the same. i/we undertake to notify you immediately if i/we become aware that any of the actions described above in this paragraph is being perpetrated by any other person.

2.5 i/we further acknowledge and agree that， as a condition of using the electronic trading service to give instructions， i/we shall immediately notify you if:

2.5 i/we further acknowledge and agree that， as a condition of using the electronic trading service to give instructions， i/we shall immediately notify you if:

（1）an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number;

a. an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number;

b. an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an accurate acknowledgement of the instruction or of its execution (whether by hard copy， electronic or verbal means);

（2）an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an accurate acknowledgement of the instruction or of its execution (whether by hard copy， electronic or verbal means);

（3）i/we have received acknowledgement (whether by hard copy， electronic or verbal means) of a transaction which i/we did not instruct or any similar conflict; or

c. i/we have received acknowledgement (whether by hard copy， electronic or verbal means) of a transaction which i/we did not instruct or any similar conflict; or

d.i/we become aware of any unauthorized use of the user name or password.

2.6 i/we understand that you shall prepare the internet trading policy setting out the operation policy and procedures of the internet trade service applicable at any time which shall be available at the internet trade web site the terms of which shall be binding on me/us in respect of my/our use of the internet trade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.

（4）i/we become aware of any unauthorized use of the user name or password.

2.6 i/we understand that you shall prepare the internet trading policy setting out the operation policy and procedures of the internet trade service applicable at any time which shall be available at the internet trade web site the terms of which shall be binding on me/us in respect of my/our use of the internet trade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.

2.7 i/we acknowledge that the price quotation service， if any， for securities， available at the internet trade web site is provided by a third party provider appointed by you from time to time. i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， expenses， damages or claims which i/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.

2.7 i/we acknowledge that the price quotation service， if any， for securities， available at the internet trade web site is provided by a third party provider appointed by you from time to time. i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， expenses， damages or claims which i/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.

2.8 i/we understand that the electronic trading services may provide， for informational purpose only， data about securities 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. i/we understand that whilst you believe such data to be reliable， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.

2.8 i/we understand that the electronic trading services may provide， for informational purpose only， data about securities 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. i/we understand that whilst you believe such data to be reliable， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.

2.9 i/we understand that information provided in the electronic trading services is provided on an ''as is'， ''as available' basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or completeness of such information. you give no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information.

2.9 i/we understand that information provided in the electronic trading services is provided on an ''as is'， ''as available' basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or completeness of such information. you give no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information.

2.10 i/we accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the internet or other electronic means or facilities for the purpose of the internet trade service.

3. the account

2.10 i/we accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the internet or other electronic means or facilities for the purpose of the internet trade service.

3. the account

3.1 i/we acknowledge that i/we may only access the account through the internet and i/we agree that should i/we experience any problems in reaching you through the internet， i/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty i/we am/are experiencing.

3.1 i/we acknowledge that i/we may only access the account through the internet and i/we agree that should i/we experience any problems in reaching you through the internet， i/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty i/we am/are experiencing.

3.2 when opening the account， i/we shall state in the account application the amount of my/our initial deposit of funds in the account for the use with the internet trade service. such amount shall be paid to your offices or bank account either by cheque， bankers draft or telegraphic transfer. i/we acknowledge that the access codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.

4. instructions- dealings through the internet trade service

3.2 when opening the account， i/we shall state in the account application the amount of my/our initial deposit of funds in the account for the use with the internet trade service. such amount shall be paid to your offices or bank account either by cheque， bankers draft or telegraphic transfer. i/we acknowledge that the access codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.

4. instructions- dealings through the internet trade service

4.1 you shall not be responsible for delays in the transmission， receipt or execution of instructions due to either transmission of communication facilities， or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.

4.1 you shall not be responsible for delays in the transmission， receipt or execution of instructions due to either transmission of communication facilities， or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.

4.2 i/we understand that each participating securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. i/we also understand that no party guarantees the timeliness， sequence， accuracy or completeness of market data or any other market information. neither you 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 message， or the transmission or delivery of the same， non-performance or interruption of any such data， message or information due to any negligent act of you or any disseminating party， or to any force majeure event， or any other cause beyond your control or the reasonable control of any disseminating party. i/we shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.

4.2 i/we understand that each participating securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. i/we also understand that no party guarantees the timeliness， sequence， accuracy or completeness of market data or any other market information. neither you 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 message， or the transmission or delivery of the same， non-performance or interruption of any such data， message or information due to any negligent act of you or any disseminating party， or to any force majeure event， or any other cause beyond your control or the reasonable control of any disseminating party. i/we shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.

4.3 i/we acknowledge that the internet is， due to unpredictable traffic congestion and other reasons， an inherently unreliable medium of communication and that such unreliability is beyond your control. i/we acknowledge that， as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing at the time the instructions were given. i/we further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that instruction may not be cancelled after it has been given.

5. instructions outside hong kong

4.3 i/we acknowledge that the internet is， due to unpredictable traffic congestion and other reasons， an inherently unreliable medium of communication and that such unreliability is beyond your control. i/we acknowledge that， as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing at the time the instructions were given. i/we further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that instruction may not be cancelled after it has been given.

5. instructions outside hong kong

if i/we give any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my instruction is given， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdiction. i/we accept that there may be taxes or charges payable to relevant authorities in respect to any instruction given outside hong kong ， and i/we agree to pay such taxes or charges as possible.

6. risk disclosure statement

if i/we give any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my instruction is given， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdiction. i/we accept that there may be taxes or charges payable to relevant authorities in respect to any instruction given outside hong kong ， and i/we agree to pay such taxes or charges as possible.

6. risk disclosure statement

risk of electronic trading. access to the internet or other electronic devices may be limited or unavailable during periods of peak demand， market volatility， systems upgrades or maintenance or for other reasons. transactions conducted through the internet or other electronic devices may be subject to interruption， transmission blackout， and delayed transmission due to unpredictable traffic congestion and other reasons beyond your control. internet is， due to technical limitation， an inherently unreliable medium if communication. as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing prices at the time the instructions are given. moreover， communications and personal data may be accessed by authorized third parties; and there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that it shall not usually be possible to cancel an instruction after it has been given.

acknowledgement

risk of electronic trading. access to the internet or other electronic devices may be limited or unavailable during periods of peak demand， market volatility， systems upgrades or maintenance or for other reasons. transactions conducted through the internet or other electronic devices may be subject to interruption， transmission blackout， and delayed transmission due to unpredictable traffic congestion and other reasons beyond your control. internet is， due to technical limitation， an inherently unreliable medium if communication. as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing prices at the time the instructions are given. moreover， communications and personal data may be accessed by authorized third parties; and there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that it shall not usually be possible to cancel an instruction after it has been given.

acknowledgement

i/we，the undersigned， hereby acknowledge that i/we have read， is/are aware of and understand the contents of the client's agreement and accept its terms and conditions thereof.

date:_________.

i/we，the undersigned， hereby acknowledge that i/we have read， is/are aware of and understand the contents of the client's agreement and accept its terms and conditions thereof.

client(signature):_________account executive(signature):_________

print name of client:_________

date:_________ date:_________

signed by account executive:_________

witness(signature):_________

print name of witness:_________

date:_________