SECURITIES TRADING MARGIN ACCOUNT TERMS AND CONDITIONS
證券交易保證金賬戶條款和條件
 
1. Definitions and Interpretation 定義和詮釋
 
1.1 In the Agreement, unless the context otherwise requires, the following expressions shall bear the following meanings:
  在協議中,除非上下文另有要求,下列辭句應具有以下定義:
 
  "Account" means any one of the cash trading account(s) now opened, maintained and operated or to be opened, maintained and operated in the future, in the name of the Client with NERICO BROTHERS for trading or dealing in Securities;
  「戶口」 指客戶已在NERICO BROTHERS以客戶名義開立、保持及運作或將來開立、保持及運作的一個或以上的交易現金帳戶,用以進行證券買賣或交易;
  “Agreement” means the written agreement between the Client and NERICO BROTHERS regarding the opening, maintenance and operation of the account(s) as amended from time to time, including but not limited to the Account Opening Form, Client Information Statement, Securities Trading Margin Account Terms and Conditions, Risk Disclosure Statements and Disclaimer, all schedules, appendices and attachments thereto, all amendments issued by NERICO BROTHERS in writing from time to time, and any authority given by the Client to NERICO BROTHERS with respect to the account(s);
  「協議」 指客戶與NERICO BROTHERS就有關帳戶之開立,維持及運作而訂立且不時修訂之書面協議,其中包括但並不限於帳戶開立表格、客戶資料聲明、證券交易保證金帳戶條款和條件、風險披露聲明及免責聲明,上述文件的所有附表,附錄和附件,NERICO BROTHERS以書面形式不時發佈的所有修改,及客戶就帳戶給予NERICO BROTHERS的任何授權;
  “Client” shall in the case where the client(s) is/are individual(s) include the client(s) and his/their respective executors and administrators and in the case where the client is a sole proprietorship firm include the sole proprietor and his executor and administrator and his or their successors in the business and in the case of a partnership firm include the partners who are the partners of the firm at the time when the client’s said account is being maintained and their respective executors and administrators and any other person who shall at any time hereafter be or have been a partner of and in the firm and his or their respective executors and administrators and the successors to such partnership business and where the client is a company include such company and its successors;
  「客戶」 的含義包括以下幾種情況:如屬個人應包括客戶及其遺囑執行人及遺產管理人;如屬獨資經營商號應包括該獨資經營者及其遺囑執行人、遺產管理人及業務繼承人;如屬合夥經營商號,應包括客戶開戶期間的商號合夥人,以及彼等的遺囑執行人、遺產管理人及此後擔任或曾擔任該商號合夥人的其他人士及其遺囑執行及遺產管理人,以及該合夥經營業務的繼承人;如客戶為公司,應包括該公司及繼承人;
  “Client Account Codes” means the account number, account name, user code, user ID, user password and any other information given by NERICO BROTHERS to the Client for the unique identification of the Client and/or the Account;
  「客戶戶口代碼」 是指NERICO BROTHERS給予客戶的帳號、戶口名稱、用戶代碼、用戶身份碼、用戶密碼和任何其他資訊,用以鑑定客戶及/或戶口;
  “Client Money Rules” means the Securities and Futures (Client Money) Rules made by the SFC under Section 149 at the Securities and Futures Ordinance as amended from time to time;
  「客戶款項規則」 指證監會根據證券及期貨條例第149條所訂立,可不時修訂之證券及期貨(客戶款項)規則;
  “Client Money Standing Authority” means the standing authority granted by the Client to NERICO BROTHERS in the terms set out in section 16.3 as amended from time to time;
  「客戶款項常設授權」 指由客戶按照載於第16.3條內可不時修訂的條款賦予NERICO BROTHERS的常設授權;
  “Client Securities Rules” means the Securities and Futures (Client Securities) Rules made by the SFC under section 148 of the Securities and Futures Ordinance as amended from time to time;
  「客戶證券規則」 指證監會根據證券及期貨條例第148條所訂立,可不時修訂之證券及期貨(客戶證券)規則;
  “Client Securities Standing Authority” means the standing authority granted by the Client to NERICO BROTHERS in the terms set out in section 16.4 as amended from time to time;
  「客戶證券常設授權」 指由客戶按照載於第16.4條可不時修訂的條款賦予NERICO BROTHERS的常設授權;
  “Exchange” means The Stock Exchange of Hong Kong Limited or, where applicable, any other stock exchanges;
  「交易所」 指香港聯合交易所有限公司,或若適用,任何其他證券交易所;
  “NERICO BROTHERS” means Nerico Brothers Limited which is licensed under the Securities and Futures Ordinance (with CE No.: AGK862) to carry out regulated activities, including trading and dealing in securities, and its successors in title and assigns;
  「NERICO BROTHERS」 指NERICO BROTHERS環球投資有限公司,其為證券及期貨條例(中央編號:AGK862)所界定的持牌法團,並可進行受規管活動包括證券買賣及交易,及其業權繼承人及承讓人;
  “NERICO BROTHERS’s Associated Companies” means any companies or body corporate which are NERICO BROTHERS's direct or indirect holding companies and their subsidiaries or affiliated companies, in Hong Kong or elsewhere;
  「NERICO BROTHERS之聯營公司」 指NERICO BROTHERS位於香港或其他地方的直接或間接控股公司,附屬公司或聯營公司;
  “Hong Kong” means the Hong Kong Special Administrative Region of the People’s Republic of China;
  「香港」 指中華人民共和國香港特別行政區;
  “Instructions” include instructions given by the Client, which in any way relate to purchases, sales, holdings or other dealings in Securities, in connection with the Account, whether such instructions are given orally, in writing, by facsimile, telex and/or by electronic means and/or via the Internet
  「指示」 包括客戶發出的在任何方面有關NERICO BROTHERS代表客戶進行的證券及其他金融產品買賣或持有指示。該等指示因戶口而產生及/或與戶口有關,可以以口頭、書面、傳真、電傳及/或電子方式及/或經互聯網發出的;
  “Internet Trading Service” means the on-line securities trading services via the Internet as provided by NERICO BROTHERS and/or independent service providers engaged by NERICO BROTHERS from time to time;
  「互聯網交易服務」 指由NERICO BROTHERS或由NERICO BROTHERS所聘用的獨立服務提供者,所提供經互聯網的在線證券交易服務;
  “Securities” include the meaning as defined in Schedule 1 to the Securities and Futures Ordinance, and for the purposes of the Agreement, shall also include warrants, B shares, unlisted securities (including mutual funds), securities to be listed on the Exchange and securities listed and/or traded on any Exchange and shall include securities collateral;
  「證券」 包括證券及期貨條例附表1之涵義,但為免產生疑問,亦包括認股權證、B股、非上市證券(包括互惠基金)、將於交易所上市的證券及在任何交易所上市及/或買賣的證券及其抵押品;
  “Securities and Futures Ordinance” means the Securities and Futures Ordinance (Chapter 571) of the Laws of Hong Kong as amended or re-enacted from time to time;
  「證券及期貨條例」 指經不時修訂或重新制定立法的《證券及期貨條例》(香港法例第571章);
  “SEHK” means the Stock Exchange of Hong Kong Limited;
  「聯交所」 指香港聯合交易所有限公司;
  “SFC” means the Securities and Futures Commission of Hong Kong;
  「證監會」 指香港證券及期貨事務監察委員會;
 
1.2 Where the Client consists of more than one individual or where the Client is a firm consisting of more than one partner, the Agreement by and the liabilities of the Client shall be joint and several of such individuals or partners.
  若客戶由兩名或以上之個人組成,或為一間由兩名或以上股東開設之商號,則協議涉及客戶之責任,須由此等個人或股東,個別及共同承擔責任。
 
1.3 The singular includes the plural and vice versa and words importing one gender includes the other gender.
  凡表示單數詞也包括複數詞的意義,相反亦然。有性別的詞義也包括其餘性別。
 
1.4 Headings are inserted for reference only and shall not affect the construction and interpretation of the Agreement or any part thereof.
  協議中插入的標題只為方便參閱,不會影響對協議或任何部份的詮釋。
 
1.5 Reference to person includes reference to corporation, whether incorporated or unincorporated.
  當提及人士時應包括公司,無論是否有法團地位。
 
2. The Account賬戶
 
2.1 The Client declares that the Client is legally capable of validly entering into the Agreement.
  客戶聲明客戶在法律上有能力和權力合法地簽定協議。
 
2.2 The Client warrants that the Client is the true and beneficial owner of the Account and that the Client is not holding the Account on behalf of or for the benefits of any other person.
  客戶保證客戶是戶口的真正及受益擁有人及客戶並不代表其他人士或為其他人士的得益,持有戶口。
 
2.3 The Client agrees and confirms that the information contained in the Client Information Statement is complete, true and correct and the Client shall inform NERICO BROTHERS of any change to such information in writing as soon as possible. NERICO BROTHERS is entitled to rely on such information or such changed information in all matters relating to the Account.
  客戶確認及同意「客戶資料聲明」所載的資料或由客戶就開立戶口向NERICO BROTHERS提供的其他資料皆為完整、真實及正確及如有變更,將會儘快書面通知NERICO BROTHERS。 NERICO BROTHERS有權於所有有關戶口的事宜,依賴此等資料或變更的資料。
 
2.4 The Client agrees and authorizes NERICO BROTHERS to conduct or cause to be conducted a credit enquiry or check on the Client for the purpose of ascertaining the financial situation and investment objectives of the Client.
  客戶同意及授權NERICO BROTHERS進行或致使他人進行對客戶之信用諮詢或查證,以確定客戶之財政狀況或投資目標。
 
2.5 Whilst the Client can expect NERICO BROTHERS to keep confidential all information and matters relating to the Account, the Client understands and agrees that NERICO BROTHERS may be required to disclose such information or matters or any part thereof to the relevant Exchange, the SFC, the SEHK, government agencies or any other persons pursuant to court orders or statutory provisions. NERICO BROTHERS may comply with such requirements but without notice to or consent from the Client. In so doing, NERICO BROTHERS shall not accept any liability to the Client whatsoever.
  雖然客戶可期望NERICO BROTHERS對有關其戶口的所有資料及事宜保密。但客戶特此明確同意NERICO BROTHERS可能有需要根據任何法院命令或成文法規要求向有關機構如交易所、證監會、政府當局或任何人士披露該等資料或事宜或其任何部份。而NERICO BROTHERS將毋須知會客戶或取得客戶的同意而遵守上述要求。在遵守上述要求時,NERICO BROTHERS不會對客戶承擔任何責任。
 
3. Laws and Rules法例及規則
 
  All transactions with respect to Securities made for and on behalf of the Client in Hong Kong or elsewhere shall be subject to the constitution, rules, rulings, regulations, transaction levies, customs and usages prevailing from time to time of the Exchange or other market and its clearing house, if any, where the transactions are effected (including, without limitation, with respect to trading and settlement) and to all laws, regulations and orders of any governmental or regulatory authorities that may be applicable from time to time. For the avoidance of doubt, transactions executed on Client’s instructions on SEHK or any exchange in another country shall be subject to stamp duties, transaction levies and any other levies that SEHK or the relevant overseas exchange from time to time may impose. NERICO BROTHERS is hereby authorized to collect or deduct any such levies in accordance with the rules of the SEHK and Hong Kong Securities Clearing Company Limited and the rules of the relevant overseas exchange and clearing house shall be binding on the Client and NERICO BROTHERS. NERICO BROTHERS shall not accept any liability to the Client in respect of any action taken by NERICO BROTHERS in compliance with the aforesaid.
  一切為或代表客戶在香港或其他地方進行之證券交易,須受有關交易所或市場及(如有)其結算公司當時適用之章程、附例、規則、判令、規例、交易徵費、常規及慣例約束(包括但不限於有關交易及交收之規則),並須遵守政府或監管機構不時頒佈之所有適用法例,規則及法令之規定。為免引起懷疑,依客戶指示在香港聯合交易所有限公司(聯交所)或其他國家的證券交易所完成之交易須繳付交易徵費及由聯交所或上述證券交易所不時徵收的任何其他費用。NERICO BROTHERS謹此獲授權根據聯交所或有關海外證券交易所不時指定之規則收取該等徵費。有關依客戶指示達成之一切交易,聯交所及香港中央結算有限公司及其他國家有關證券交易所及結算所(倘若該等交易為在其他國家的證券交易所所進行)之規則(尤其有關交易及交收之規則),對NERICO BROTHERS及客戶均具約束力。而NERICO BROTHERS不會對客戶承擔因遵從上述條款而採取的任何行動而引致的任何責任。
 
4. Transactions交易
 
4.1 NERICO BROTHERS will act as the agent of the Client in effecting all transactions in relation to the Account unless NERICO BROTHERS indicates (in the contract note for the relevant transaction or otherwise) that it is acting as a principal.
  除非NERICO BROTHERS在有關交易的成交單據或其他合約單據內註明以自己本身名義進行交易外,NERICO BROTHERS於所有戶口的交易,將以客戶代理人身份進行交易。
 
4.2 The Client undertakes to inform NERICO BROTHERS when placing a sale order is in respect of Securities which the Client does not own (i.e. a short sale). The Client acknowledges and agrees that NERICO BROTHERS may refuse to execute such order or may be prohibited by applicable laws and regulations from executing such order on behalf of the Client.
  客戶承諾,當一個沽盤是有關客戶不擁有的證券時(即賣空),客戶會通知NERICO BROTHERS。客戶知悉及同意NERICO BROTHERS受適用法律及規例下,可能被禁止代客戶執行該指示。
 
4.3 Unless otherwise agreed, in respect of each purchase or sale of Securities, unless NERICO BROTHERS is already holding sufficient funds or relevant Securities to settle the transaction on behalf of the Client, the Client shall:
  除另有協議外,就每一宗證券買賣,除非NERICO BROTHERS代客戶已經持有現金或證券供交易交收之用,否則客戶須
  1. pay to NERICO BROTHERS cleared funds or deliver to it relevant Securities in deliverable form to settle the transaction, or
    向NERICO BROTHERS交付可即時動用的資金或可以交付的證券,供交收該交易,或
  2. ensure that NERICO BROTHERS has received such funds or Securities
    以其他方式確保NERICO BROTHERS收到此等資金或證券,
by such time as NERICO BROTHERS has notified the Client in relation to that transaction, to settle the transaction.
在NERICO BROTHERS就該項交易通知客戶之時,用以交收該交易。
If the Client fails to do so, the Client understands and agrees that NERICO BROTHERS may in its absolute discretion:
倘客戶未能這樣做,客戶明白及同意NERICO BROTHERS可行使其絕對酌情權︰
  1. in the case of a purchase, transfer and/or sell the purchased Securities; and
    (如屬買入交易) 出售買入的證券及/或將其轉戶;及
  2. in the case of a sale, borrow and/or purchase Securities in order to settle the transaction.
    (如屬賣出交易) 借入及/或買入證券以進行交易的交收。
 
4.4 The Client shall be responsible to NERICO BROTHERS for all losses and expenses arising out of or resulting from any failure of the Client to settle transactions in relation to the Account.
  客戶須負擔NERICO BROTHERS因客戶未能就其戶口交易進行交收而引起之任何損失及開支。
 
4.5 The Client agrees to pay interest on all overdue balances at such rates and on such other terms as NERICO BROTHERS has notified the Client from time to time.
  客戶同意就所有逾期未付款項,按NERICO BROTHERS不時通知客戶的利率及其他條款支付利息。
 
4.6 In the case of a purchase, NERICO BROTHERS does not guarantee the delivery by the selling broker of any Securities purchased in accordance with the instructions of the Client.
  NERICO BROTHERS不能擔保賣方經紀可就根據客戶買入證券的指示,交付證券。
 
4.7 NERICO BROTHERS shall use reasonable endeavors to comply with and fulfill all reasonable Instructions that the Client may give to NERICO BROTHERS concerning the operation of the account or in respect of any transaction but NERICO BROTHERS shall have the right, but without giving any reason therefor or accepting any liability thereof whatsoever, to refuse to comply with such Instructions of the Client, if, including but not limited to the following, a) in the opinion of NERICO BROTHERS, the Instructions do not contain sufficient details or information to enable NERICO BROTHERS to act upon, b) the funds in the account of the Client are insufficient to settle the transaction as instructed by the Client, or c) the trading limit as set by NERICO BROTHERS in relation to the account of the Client will be exceeded.
  NERICO BROTHERS應盡力依照和執行所有客戶之合理指示,營運客戶之戶口或進行任何交易,惟NERICO BROTHERS有權拒絕代客戶執行任何特定交易指示,而無須申述理由,包括但不限於:a) NERICO BROTHERS認為客戶指示或通訊由NERICO BROTHERS全權決定為未載述充足詳情或資料以供NERICO BROTHERS行事;b) 客戶戶口內無足夠現金和/或結算金額;c)客戶已經超出在NERICO BROTHERS維持的戶口內的交易限額。
 
4.8 For the mutual protection of the parties hereto, NERICO BROTHERS may electronically monitor or record any of the telephone conversations between the Client and NERICO BROTHERS. Such records or recordings shall remain the sole property of NERICO BROTHERS and may be used or retained by NERICO BROTHERS for legitimate purposes and in such manners and for such periods as NERICO BROTHERS may in its absolute discretion determine.
  基於保障雙方的目的下,NERICO BROTHERS可監聽或收錄客戶與NERICO BROTHERS之電話對話。有關錄音記錄為NERICO BROTHERS獨有的財產,NERICO BROTHERS可使用或保留該些錄音記錄作合法用途,而NERICO BROTHERS可行使其絕對酌情權,決定該錄音記錄之保留方式及保留期。
 
4.9 All Instructions given by the Client are the Client’s own decisions after having exercised the Client’s independent judgment and no reliance has been placed on any advice or information which may have been given by NERICO BROTHERS, its directors, employees or agents or any of them to the Client. Any trading recommendation and market information which may have been communicated by NERICO BROTHERS, its officers or employees or agents or any of them to the Client does not constitute any offer or solicitation to the Client to enter into any transaction. NERICO BROTHERS shall not accept any liability whatsoever in respect of any of such advice recommendation or information irrespective of whether or not such advice recommendation or information is given or communicated at the request of the Client.
  所有客戶的指示均是客戶的決定及每宗交易均依照客戶之獨立判斷及決定,並無依賴NERICO BROTHERS及其職員或僱員或代理人之意見而進行。NERICO BROTHERS及其董事或僱員或代理人向客戶傳遞的任何交易建議和市場訊息並不構成是為客戶達成交易的邀請或請求。NERICO BROTHERS對於NERICO BROTHERS或其董事或僱員或代理人所提出之意見、建議或資料,不會承擔任何責任,無論該等意見、建議或資料是否按客戶要求而提出。
 
4.10 NERICO BROTHERS may at its absolute discretion choose to execute an Instruction of the Client at the Exchange either by itself or indirectly through any other broker appointed by NERICO BROTHERS.
  NERICO BROTHERS行使其絕對酌情權決定由NERICO BROTHERS直接或間接透過經NERICO BROTHERS所委任的任何經紀,在任何交易執行客戶的指示。
 
4.11 NERICO BROTHERS is authorized to perform all or part of its duties under the Agreement through agents engaged by NERICO BROTHERS and to provide such information relating to the Client or to the account of the Client as may be necessary to such agents.
  NERICO BROTHERS獲授權僱用代理人來履行NERICO BROTHERS根據協議所規定的全部或部分責任,並可向有關代理人提供客人或戶口的有關的資料。
 
4.12 The Client shall keep all of the Client Account Codes confidential. The Client shall be bound by and wholly liable to NERICO BROTHERS for, all Instructions given, orders placed or executed with the use of the Client’s Account Codes or any of them even if such use may be unintended unauthorized or wrongful. The Client agrees to immediately notify NERICO BROTHERS in writing when a) it has given an Instruction but has not received an accurate and complete acknowledgement in writing, b) it has received an acknowledgement of an Instruction in writing that it did not place, c) it has become aware of any unauthorized access to its account, and/or d) he has difficulties in accessing the Internet Trading Service.
  客戶應負責保密客戶戶口代碼。客戶應就使用客戶戶口代碼所下的指令和執行的交易對NERICO BROTHERS負責,即使該些使用可能不是有意的、未經授權或錯誤的。客戶同意,倘遇下列情況,應立刻通知NERICO BROTHERS:a) 客戶已發出指示,但未收到該指示的準確及完整的書面確認;b) 客戶收到書面確認,但有關指示並非客戶所發出;c) 客戶發現有人未經授權進入其戶口,及/或d) 客戶使用NERICO BROTHERS互聯網交易服務時遇到困難。
 
4.13 If the Client instructs NERICO BROTHERS to effect any sale or purchase of securities on any stock exchange in a foreign currency, NERICO BROTHERS may convert funds at the Client’s expense into and from such foreign currency at such rate of exchange as NERICO BROTHERS shall in its sole discretion determine with reference to the then prevailing market condition.
  如果客戶指示NERICO BROTHERS以任何外幣在任何交易所進行證券買賣,NERICO BROTHERS可參照當時市場狀況全權酌情決定匯率,在客戶負擔費用的情況下將資金與該外幣進行兌換。
 
5. Margin Dealing Services保證金交易服務
 
5.1 Subject to availability of funds and provision of satisfactory security, NERICO BROTHERS may, in its absolute discretion, grant to the Client credit facilities up to such percentage of the market value of the securities collateral maintained with NERICO BROTHERS in the Account as NERICO BROTHERS may, in its absolute discretion, determine or vary from time to time. Subject to the section, the Client hereby authorizes and instructs NERICO BROTHERS to draw on the credit facilities on behalf of the Client to settle all or any amounts which the Client may owe to NERICO BROTHERS regarding any trading or dealings in any Securities by or on behalf of the Client, and to pay all commissions, costs and expenses including stamp duties payable by the Client.
  除受於可動用的資金額及需提供足夠的抵押的限制外,NERICO BROTHERS有絕對酌情權,按照客戶保持於NERICO BROTHERS的戶口內抵押品的市值的某個百分率,授予客戶信貸通融,而該百分率可不時由NERICO BROTHERS自行酌情決定及更改。根據本條款之規定,客戶於此授權及指示NERICO BROTHERS可從該信貸通融支取款項來抵銷客戶就其或代其所進行的證券買賣或其他交易而所欠下NERICO BROTHERS的全部或部份的債務,及支付客戶應付的所有的佣金,成本及費用並包括印花稅。
 
5.2 The Client shall maintain a level of deposit or margin as determined by NERICO BROTHERS from time to time or required to maintain the ratio as determined in section 5.1 or may be required by the rules and regulations of the Exchange. NERICO BROTHERS may at any time make a deposit or margin call on the Client to make payment of deposit or margin in cash, or by deposit of Securities or otherwise, in such amounts and manner as notified by or agreed with NERICO BROTHERS to meet the margin requirements of the credit facilities granted or which may be required by the Exchange. The Client shall immediately meet all margin calls made by or on behalf of NERICO BROTHERS upon the making of such margin calls.
  客戶需不時維持由NERICO BROTHERS所決定或需要用來維持按照第5.1條所决定的百分率或由交易所的條例及規定所要求的按金水平。NERICO BROTHERS可於任何時間向客戶發出追收按金的要求,以現金、證券或其他方式及NERICO BROTHERS所通知或同意的數額及方式,支付按金,以符合授予的信貸通融所要求或交易所的要求。當NERICO BROTHERS或其他人代NERICO BROTHERS發出那些追收按金的要求時,客戶必須立即符合所有追收按金的要求。
 
5.3 The Client hereby, as the sole beneficial owner, charges in favor of NERICO BROTHERS by way of first fixed charge, all credit balances (including all interest accrued or to be accrued) in the Account or account(s) with NERICO BROTHERS’s Associated Companies, and all Securities that may be held by or on behalf of the Client (including all existing and future rights and benefits attaching thereto and accruing and deriving from the Securities or in respect thereof) upon such terms and conditions as may from time to time be agreed with NERICO BROTHERS (The “Charge”) as a continuing security for the due and punctual payment of all amounts due and the satisfaction of all obligations and liabilities of the Client to NERICO BROTHERS or NERICO BROTHERS’s Associated Companies whether present or future, actual or contingent, primary or collateral, secured or unsecured or several or joint, together with all costs charges and expenses incurred by NERICO BROTHERS in the exercise of such rights.
  客戶以實益擁有人的身份,以第一固定抵押形式(“該抵押”),向NERICO BROTHERS抵押其在NERICO BROTHERS或NERICO BROTHERS之聯營公司開立帳戶內所不時存放的所有款項(包括所有已應付或將來應付之利息),及所有代客戶或以客戶名義持有的證券(包括所有附帶,因而產生或衍生的,現時及將來的權利及權益),並按照與NERICO BROTHERS不時議定之條款作為持續的抵押,以便客戶適當和準時地向NERICO BROTHERS或NERICO BROTHERS之聯營公司償還所有到期款項,並履行對其義務及債務(不論是現時或將來,實質或或有,主義務,主債務還是從義務,從債務,有抵押的還是無抵押的,共同的還是個別的),及因NERICO BROTHERS行使該等權利而引致的所有成本,收費及費用。
 
5.4 The Charge is in addition to any other charges or rights created under the Agreement or otherwise in favor of NERICO BROTHERS. The Charge shall be a continuing security notwithstanding any intermediate payment or settlement of account or satisfaction of the whole or any part of any sums owing by the Client to NERICO BROTHERS and/or NERICO BROTHERS’s Associated Companies and notwithstanding the closing of any of the Client’s account(s) with NERICO BROTHERS and which is subsequently reopened or the subsequent opening of any account(s) by the Client either alone or jointly with others and shall extend to cover all or any sums of monies which shall for the time being constitute the balance due from the Client to NERICO BROTHERS or NERICO BROTHERS’s Associated Companies on any account(s) or otherwise.
  該抵押乃協議所有其他抵押或權利之附加。儘管客戶有中間支付或結算帳款或清償客戶欠NERICO BROTHERS及/或NERICO BROTHERS之聯營公司的全部或部份款項,以及儘管客戶取消其在NERICO BROTHERS開立的帳戶並隨後重新開立,以及儘管隨後開立新的,單獨或與連同其他人士的帳戶,該抵押應為一項持續性的擔保,該抵押將覆蓋客戶目前就有關其任何帳戶中欠付NERICO BROTHERS及/或NERICO BROTHERS之聯營公司的全部或任何結餘款項。
 
5.5 The Charge shall be immediately enforceable upon any default by the Client of any of its obligations under the Agreement but without any notice to the Client. Upon the occurrence of such default, NERICO BROTHERS may, immediately or at any time thereafter, sell all or any of the charged properties at market price, but without prejudice to any other rights that NERICO BROTHERS may have under the Agreement or otherwise. The proceeds of such sale may be applied or transferred to satisfy or discharge all or any indebtedness or liabilities of the Client as NERICO BROTHERS shall in its absolute discretion determine and NERICO BROTHERS shall not accept any liability to the Client whatsoever.
  客戶如違反了協議下的任何義務,NERICO BROTHERS可於不通知客戶的情况下,立即強制執行該抵押。在發生違反事項時,NERICO BROTHERS可於即時或其後任何時間,以市值出售全部或部分已被抵押的財物,但並不會損害NERICO BROTHERS在協議下的或其他的任何權益。任何因出售全部或部分已被抵押的財物而所得之款項,可被NERICO BROTHERS於其行使其絕對之酌情權下,支取或轉移以履行或抵銷客戶之全部或部分的債務或責任,而NERICO BROTHERS並不會因此而向客戶負上任何形式之責任。
 
5.6 The Client represents and warrants that all securities collateral in the Client’s account(s) are legally and beneficially owned by the Client, that the Client has good right to deposit them with NERICO BROTHERS or NERICO BROTHERS’s Associated Companies, that the same are and will remain free from any lien, charge or encumbrance of any kind and are not and shall not be subject to any options, and that any stocks, shares and other securities comprised in the securities collateral are and will be fully paid up. The Client undertakes with NERICO BROTHERS to do and execute (and irrevocably authorizes NERICO BROTHERS to do and execute on the Client’s behalf) any act, deed, document or thing which NERICO BROTHERS may require the Client to do in connection with the implementation, execution and enforcement of any of the provisions and any rights conferred by the Agreement, including without limitation, the execution by the Client of an irrevocable power of attorney appointing NERICO BROTHERS as its lawful attorney to do and execute all such acts, deeds, documents or things on behalf of the Client as it considers necessary or desirable in connection with such implementation, execution and enforcement and the Client agrees to ratify and/or confirm all such acts, deeds, documents and things by NERICO BROTHERS.
  客戶陳述並保證:抵押品乃由客戶合法和實益地擁有;客戶有充份權利將證券存放於NERICO BROTHERS或NERICO BROTHERS之聯營公司;抵押品現時及將來均不會被設定任何種類的留置權、抵押或產權負擔,並且不會受制於任何認購權;而證券抵押品中所包含任何股票,股份及其他證券已及將會繳足款項。客戶向NERICO BROTHERS作出承諾,將應NERICO BROTHERS的要求,會作出及去簽署(並不可撤銷地授權NERICO BROTHERS代表客戶作出及簽署)所有行為、契約、文件或事項來落實、執行及強制執行協議的任何條款及所賦予任何權利,而客戶須作出或簽署的任何行為、契約、文件或事項,包括(但不限於)客戶簽訂一份不可撤銷授權函件,委任NERICO BROTHERS為其合法授權人,可代表客戶作出及簽署NERICO BROTHERS認為有關落實、執行及強制執行一切必需或恰當的有關行為、契約、文件或事項,而客戶同意追認及確認NERICO BROTHERS作出的一切有關行為、契約、文件及事項。
 
5.7 The Client shall not, for so long as he is under any outstanding obligation to NERICO BROTHERS under the Agreement whether present or future, actual or contingent, be entitled to withdraw any cash and/or sell or transfer or otherwise deal with all or any of the securities at any time and from time to time in the Account and NERICO BROTHERS may at its discretion disregard any such Instruction from the Client in respect of such cash and/or securities.
  只要客戶在協議之下對NERICO BROTHERS存在任何未完成的義務,不論是現時或將來,實質或或有的,客戶無權在任何時候或不時從戶口提取任何款項及/或賣出或轉移或處理戶口內的全部或部分證券,而NERICO BROTHERS可以行使其酌情權拒絕接受客戶有關該些款項及/或證券的指示。
 
5.8 The Client hereby agrees to pay interest on all amounts due to NERICO BROTHERS under the credit facilities (after as well as before any judgment) at Prime + 3% (per annum) or at such other rates and on such other terms as notified by NERICO BROTHERS from time to time. The Client further agrees that the interest shall be calculated on a daily basis and payable on the last day of each calendar month or upon demand by or on behalf of NERICO BROTHERS.
  客戶同意,因信貸通融而欠下NERICO BROTHERS的所有金額,須按最優惠利率+3%(年利率)或按NERICO BROTHERS不時通知的利率及其它條款,支付利息(在法庭裁決之前或之後)。客戶亦同意利息應以每天計算及於每月月底結算及繳付,或按NERICO BROTHERS或其他人代NERICO BROTHERS,要求時繳付。
 
6 Payment on Demand即時付款
 
  NERICO BROTHERS may request the Client from time to time to deposit sufficient cleared funds in the account before placing any order for the purchase of Securities. The Client shall pay all indebtedness to NERICO BROTHERS when due or on demand and at the request of NERICO BROTHERS shall deposit such cash, securities or otherwise and maintain such security with NERICO BROTHERS as NERICO BROTHERS may deem sufficient and satisfactory.
  客戶在進行交易前按NERICO BROTHERS的要求,不時把NERICO BROTHERS決定的款額以可即時動用資金存入NERICO BROTHERS的戶口內。客戶須在到期時繳付或在收到NERICO BROTHERS通知時立即繳付所有欠款,或按NERICO BROTHERS的要求,把該等現金、證券等存入NERICO BROTHERS的戶口,或按NERICO BROTHERS的要求,提供足夠及滿意的保證。
 
7 Set off, Lien and Combination of Accounts 抵銷、留置及賬戶合併
 
7.1 In addition but without prejudice to any general liens, rights of set-off or other similar rights to which NERICO BROTHERS may be entitled under existing laws or the Agreement, all Securities, receivables including dividends and interests, monies and other properties of the Client (held by the Client either individually or jointly with others) held by or in the possession of NERICO BROTHERS at any time shall be subject to a general lien in favor of NERICO BROTHERS as continuing security, and may be applied, set-off or transferred to satisfy or discharge all or any of the Client’s indebtedness or liability arising from the transactions in connection with all or any of the Account to NERICO BROTHERS or NERICO BROTHERS's Associated Companies.
  除了凡是NERICO BROTHERS依據現時法律或協議享有的一般留置權,抵銷權或其他類似權利,且在不影響前述一般留置權,抵銷權或其他類似權利的前提下,凡NERICO BROTHERS在任何時候持有或在NERICO BROTHERS手中的 (由客戶獨自擁有或與他人共同擁有的) 客戶的任何證券,應收款包括紅利及股息,資金及其他財產,均已以持續擔保方式在其上設定了有利於NERICO BROTHERS之一般留置權,以支付、抵銷或被轉移來履行或解除因交易而產生的客戶對NERICO BROTHERS及NERICO BROTHERS之聯營公司的一切之債務或義務。
 
7.2 In addition but without prejudice to any general liens or other similar rights which NERICO BROTHERS may be entitled under existing laws or the Agreement, NERICO BROTHERS for itself or as agent for any of NERICO BROTHERS’s Associated Companies, may at any time without notice to the Client, combine or consolidate any or all accounts, of any kinds whatsoever and either individually or jointly with others, with NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies and NERICO BROTHERS may apply set-off or transfer any monies, Securities or other properties in any such accounts to satisfy or discharge all or any indebtednesses or liabilities of the Client to NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies, whether such indebtednesses or liabilities are actual or contingent, primary or collateral, secured or unsecured, or joint or several. Where such set-off, consolidation, combination or transfer requires the conversion of one currency into another, such conversion shall be calculated at the rate of exchange conclusively determined by NERICO BROTHERS to be applicable.
  除了凡是NERICO BROTHERS依據現時法律或協議享有的一般留置權或其他類似權利,且在不損害前述一般留置權或其他類似權利的前提下,NERICO BROTHERS為了其自己 (並作為任何NERICO BROTHERS之聯營公司的代理人),在任何時候均可在不通知客戶的情形下,將客戶在NERICO BROTHERS或NERICO BROTHERS之聯營公司處開設之任何性質的任何或所有帳戶 (不論是個人的還是與其他人聯名的) 進行合併或整合,NERICO BROTHERS可以支付、抵銷或轉移任何前述帳戶項下任何資金,證券或其他財產,以履行或解除客戶對NERICO BROTHERS或NERICO BROTHERS之聯營公司的債務或義務,不論該些債務或義務是實有還是或有的,不論是主義務,主債務還是從義務,從債務,不論是有抵押的還是無抵押的,不論是共同的還是個別的。凡該種抵銷、綜合、合併或轉移須將一種貨幣兌換成另一種貨幣,則該兌換須依照NERICO BROTHERS最終決定的兌換率計算。
 
7.3 Without limiting or modifying the general provisions of the Agreement but subject to applicable laws and regulations, NERICO BROTHERS may, without notice, transfer all or any such monies securities or properties interchangeably between any accounts now or hereafter opened in the name of the Client with NERICO BROTHERS in connection with the Agreement and any other accounts of NERICO BROTHERS’s Associated Companies.
  在受適用法律、規例及不限制也不修改協議一般性條文前提下,凡屬任何客戶現在或將來以自己名義在NERICO BROTHERS開設與協議有關的任何帳戶和NERICO BROTHERS之聯營公司任何其他帳戶間可以互換任何或所有的資金、證券或財產,NERICO BROTHERS可不發出通知就予以轉移。
 
8. Default 失責
 
  If, in the opinion of NERICO BROTHERS, the Client has breached any material provision of the Agreement, or any of Client’s representations, warranties or undertakings to NERICO BROTHERS is or becomes incorrect in any material respect, or the Client has defaulted in respect of any transactions with NERICO BROTHERS or NERICO BROTHERS’s Associated Companies; or any warrant or order of attachment or distress or equivalent order is issued against any of the Account with NERICO BROTHERS or NERICO BROTHERS’s Associated Companies; or a petition in bankruptcy is filed against the Client, or an order is made or resolution passed for Client’s voluntary or compulsory winding up; or a meeting is convened to consider a resolution that Client should be so wound up, all amounts owing by Client to NERICO BROTHERS or NERICO BROTHERS’s Associated Companies together with interest will become immediately payable without notice or demand and NERICO BROTHERS will be entitled at its absolute discretion without prejudice to sell or realize all or any part of the Client’s securities or assets held by NERICO BROTHERS or NERICO BROTHERS’s Associated Companies and satisfy all or any of the indebtednesses liabilities or obligations of the Client, towards NERICO BROTHERS or NERICO BROTHERS’s Associated Companies with the net sale proceeds after deducting all fees, commissions, expenses and costs thereof; and/or withdraw or cancel all the Client’s open order instructions; and/or close out all or any of the Client’s open positions; and/or exercise any of NERICO BROTHERS’s rights under the Agreement. NERICO BROTHERS and NERICO BROTHERS’s Associated Companies shall not be liable for any loss whatsoever from taking any of the above actions or that the Client may suffer as a result of any of the matters aforesaid. The price obtained by NERICO BROTHERS in taking any of the above actions shall be conclusive and binding upon the Client.
  若NERICO BROTHERS認為客戶已經違反協議之任何主要條款,或客戶之前向NERICO BROTHERS對任何要項所作之陳述,保証或承諾在任何重大方面為不正確或其後變成不正確,或客戶曾經對透過NERICO BROTHERS或NERICO BROTHERS之聯營公司的交易出現失責,或客戶在NERICO BROTHERS或NERICO BROTHERS之聯營公司開設的戶口遭人發出任何財物扣押令或封查或同等的命令;或針對客戶提出破產申請,或為客戶的自願或強迫清盤作出命令或已通過議案,或已召開會議審議一項指稱客戶應予以清盤的議案的情況下,客戶欠下NERICO BROTHERS或NERICO BROTHERS之聯營公司所有款項,連利息計算在內,並在不需要任何通知或要求下立即清還。而且,NERICO BROTHERS可即時行使絕對酌情權及在不損害其擁有的任何權利的情況下沽售或套現由NERICO BROTHERS或NERICO BROTHERS之聯營公司為客戶保管的全部或部份證券或資產,並將所得的淨出售款項(在扣除所有有關費用、佣金、支出及/或成本)用以抵銷客戶對NERICO BROTHERS或NERICO BROTHERS之聯營公司的全部或部份債務責任或義務。此外,NERICO BROTHERS可取消客戶的任何仍未執行的買賣指示,及/或為客戶平倉,及/或行使NERICO BROTHERS在協議所賦予之任何權利。NERICO BROTHERS或NERICO BROTHERS之聯營公司毋須因客戶之失責而導致NERICO BROTHERS或NERICO BROTHERS之聯營公司在採取上述之行動時,或因上述事宜,而使客戶蒙受任何損失負上責任。NERICO BROTHERS於上述行動所取得的價位為最終的及對客戶有約束力的。
 
9. Communications通訊
 
9.1 All notices, demands, statements and any other communications and documents (collectively “Communications”) required or permitted to be given to the Client may be sent by hand, post, facsimile, telephone or electronic mail to the address, facsimile, telephone numbers or electronic mail address for communications as specified in the Client Information Statement or as notified to NERICO BROTHERS in writing from time to time.
  需要或准許由NERICO BROTHERS給予客戶的所有通知、要求、結單及其他通訊及文件(統稱“通訊”),均可以專人送遞、郵遞、傳真、電話或電子郵件方式送交到客戶在客戶資料聲明指定的或不時以書面通知NERICO BROTHERS的地址、傳真或電話號碼或電子郵件地址。
 
9.2 All Communications shall be deemed to have been received by the Client (i) on the 48th hour after posting domestically if sent by post and (ii) at the time of transmission from NERICO BROTHERS if delivered by facsimile, telephone or electronic mail. No such Communications need to be signed by or on behalf of NERICO BROTHERS.
  所有通訊,(i)若以本地郵遞方式送交,當於發送後48小時後收訖及 (ii)若以傳真、電話或電子郵件方式發出,則當作NERICO BROTHERS傳送之時視為收到。通訊並不需要NERICO BROTHERS的授權簽署。
 
9.3 Notwithstanding anything contained in section 9.2, a demand for payment in cash made by NERICO BROTHERS to the Client orally shall be deemed to have been duly given and to have been duly received by the Client if NERICO BROTHERS has used all practicable endeavors to communicate such demand with the Client by telephone or other means of oral communication but the Client remains unable to be contacted.
  儘管第9.2條所載任何事宜,當NERICO BROTHERS以口頭方式向客戶發出追收現金要求時,若NERICO BROTHERS已盡力以電話或其他口頭方式聯絡客戶,但仍無法聯絡客戶,NERICO BROTHERS仍會被視為已妥善地發出而客戶仍會被視為已妥善地收到該要求。
 
9.4 Every transaction indicated or referred to in all or any of the Communications given by NERICO BROTHERS shall be deemed as conclusive and ratified and confirmed by the Client unless NERICO BROTHERS has received from the Client at its registered office written notice to the contrary within seven days from the time the Communications is given or deemed receipt of the same by the Client, whichever is earlier.
  除非NERICO BROTHERS收到客戶,在NERICO BROTHERS發出任何通訊或客戶被視為收妥該通訊(以較早者為準)的七日內,將書面通知送達其註冊辦事處提出反對,否則該等通訊所顯示或提及的每項交易,將被客戶視為確實、已追認及確認。
 
9.5 NERICO BROTHERS shall in no circumstances be responsible for delays or failures in transmission of Instructions due to breakdown of communication facilities or for any other causes beyond the control of NERICO BROTHERS. The Client’s failure to receive any Communications shall not prejudice the rights of NERICO BROTHERS or relieve the Client’s obligation with respect to such Communications.
  若因通訊設備故障或任何其他NERICO BROTHERS無法合理控制之因由而導致傳送指令之工作有所延誤或失誤,NERICO BROTHERS在任何情況下無須負責。客戶倘未能收到NERICO BROTHERS發送的通訊,並不會因而影響NERICO BROTHERS在該通訊方面的權利和解除客戶在該通訊方面的義務。
 
10. Commission, Charges and Costs佣金、費用與支出
 
10.1 The Client shall pay to NERICO BROTHERS, when due or on demand by NERICO BROTHERS, commissions on purchase, sale and other transactions in connection with the Account, at such rates as NERICO BROTHERS may, from time to time, have determined and notified to the Client. NERICO BROTHERS shall be entitled to debit the Account with all commissions payable by the Client pursuant to this section together with all stamp duties, charges, transfer fees, registration fees, interest, levies, trading fees and other expenses in respect of the transactions or in connection with the Account or any Securities held in the Account or on behalf of the Client.
  客戶同意在到期時交付或在要求下即時交付予NERICO BROTHERS有關戶口所進行的買入、賣出及其它交易而需徵收之佣金,該佣金按NERICO BROTHERS不時決定及通知客戶的收費率計算。NERICO BROTHERS有權從戶口中扣除根據本條款客戶應付的所有佣金,及與該等交易或與戶口或在戶口內,或代客戶所持有,之任何證券有關的一切印花稅、收費、過戶費、登記費、利息、徵費及其它支出。
 
10.2 If the Client enters into a transaction in Securities in a currency other than Hong Kong dollars, the Client shall on demand by NERICO BROTHERS fully reimburse NERICO BROTHERS all exchange losses (if any) and bank charges and all expenses incurred by NERICO BROTHERS in converting any such or other foreign currency into Hong Kong dollars (or vice versa) at the exchange rate prevailing at the time of the relevant transaction.
  客戶用非香港貨幣進行證券買賣,客戶須按NERICO BROTHERS的通知,即時支付NERICO BROTHERS的外匯兌換損失(如有)及銀行服務費及任何因找換外匯成香港貨幣(或反之亦然)所引致的其他費用,找換外匯是以當日有關交易的外匯匯率計算。
 
10.3 NERICO BROTHERS shall, at its absolute discretion, be entitled to solicit, accept and retain any benefits in connection with any transactions effected with any person for the Client pursuant to the provisions of the Agreement, including any commissions, rebates or similar payments received in connection therewith, and rebates from standard commissions charged by NERICO BROTHERS or other agents to their clients.
  NERICO BROTHERS可以行使其絕對酌情權,索取、接受及保留任何為客戶按照協議條款並受其條件約束,與任何人士完成之任何交易有關之利益,包括為此等交易而收取的任何佣金、回佣或類似的款項,以及其他NERICO BROTHERS或其他代理人向其客戶收取的標準佣金內回扣的金錢。
 
10.4 Trading of Renminbi denominated Securities which are listed on the Exchange買賣於交易所上市人民幣計值證券
  1. If the Client enters into any transaction in Renminbi denominated securities which are listed on the Exchange, the Client shall pay the commission on purchase, sale and other transactions, stamp duties, charges, transfer fees, registration fees, levies, interest, trading fees, clearing fees and other expenses in respect of the transaction (“commission, charges and costs”) to NERICO BROTHERS. If the commission, charges and costs are charged by the Exchange and/or its subsidiaries, the Inland Revenue, the SFC or NERICO BROTHERS or other agents in accordance with the relevant rules and regulation in the currency of Hong Kong Dollar or in currencies other than Renminbi, NERICO BROTHERS is hereby authorized to convert the commission, charges and costs to the currency of Renminbi at the exchange rate prevailing at the time of the relevant transaction. The Client hereby confirms and agrees that NERICO BROTHERS shall be in no circumstance be responsible for any exchange loss (if any) and other expenses arising out of or resulting from the converting commission, charges and costs from Hong Kong Dollar or in currencies other than Renminbi into Renminbi.
    客戶於交易所上市之人民幣計值證券進行買賣時,客戶茲確定及同意有關戶口所進行的買入、賣出及其他交易而需徵收之佣金或一切印花稅、收費、過戶費、登記費、利息、徵費及其他支出等(“佣金、費用與支出”),一切支付予NERICO BROTHERS。客戶並確定及同意若該佣金、費用與支出根據交易所及或其附屬公司、香港稅務局、證監會或NERICO BROTHERS或其他代理人按其相關法規和規則以港幣或以非人民幣的貨幣收取時,NERICO BROTHERS獲客戶授權把該佣金、費用與支出兌換成人民幣,兌換匯率是以當日有關交易的外匯匯率計算。客戶確認及同意NERICO BROTHERS把佣金、費用與支出從港幣或非人民幣的貨幣兌換成人民幣所引起外匯兌換損失或任何其他損失,在任何情形下NERICO BROTHERS無須負責。
  2. NERICO BROTHERS will charge the Client the commission on purchase and sale of the Renminbi denominated securities at a rate different from purchase and sale of Hong Kong Dollar denominated securities and such rate will be notified to the Client from time to time.
    在戶口內買賣人民幣計值證券,NERICO BROTHERS所徵收之佣金率是不同於客戶在戶口內買賣一般港幣計值證券之佣金率,該佣金按NERICO BROTHERS不時決定及通知客戶的收費率計算。
 
11. Custody and Nominee Services保管及代理服務
 
11.1 Any securities which are held in the possession of NERICO BROTHERS for safekeeping may, as soon as reasonably practicable:
由NERICO BROTHERS為保管而持有的任何證券,在合理切實可行的範圍內盡速:-
  1. in the case of registrable securities, be registered in the Client’s name or in the name of NERICO BROTHERS’s associated entity as required by the Client Securities Rules; or
    (如屬可註冊證券) 須依照「客戶證券規則」規定以客戶的名義或以NERICO BROTHERS的聯繫實體名義註冊;或
  2. be deposited into a segregate account, designated as a trust/client account and established and maintained by NERICO BROTHERS or NERICO BROTHERS’s associated entity as required by the Client Securities Rules in Hong Kong for the purpose of holding the client securities with any authorized financial institution, or any approved custodian by SFC, or any intermediaries licensed for dealing in securities.
    存放於NERICO BROTHERS或其聯繫實體,須依照「客戶證券規則」規定在香港開立及維持指定為信託或客戶帳戶的獨立帳戶,該機構應為證監會認可財務機構或核准保管人或獲發牌進行證券交易的其他中介人。
 
11.2 If, in relation to any securities deposited with NERICO BROTHERS but which are not registered in the name of the Client, any dividends or other distributions or benefits accrued in respect of such securities, the Account shall be credited (or payment made to the Client as may be agreed) with the due proportion of such benefits which equals to the proportion of such number or amount of the securities held on behalf of the Client to the total number or amount of the securities so deposited with NERICO BROTHERS.
  客戶寄存於NERICO BROTHERS處而未以客戶姓名註冊之證券,若產生股息或其他的派發或利益,NERICO BROTHERS須根據代表客戶持有之有關證券數目或數額,按比例將該等利益存入客戶口內(或協議向客戶支付有關款項)。
 
11.3 If, in relation to any securities deposited with NERICO BROTHERS but which are not registered in the name of the Client, any losses suffered by NERICO BROTHERS in respect of such securities, the Account may be debited (or payment made by the Client as may be agreed) with the due proportion of such losses which equals to the proportion of such number or amount of the securities held on behalf of the Client to the total number or amount of the securities so deposited with NERICO BROTHERS.
  有關任何寄存於NERICO BROTHERS處而未以客戶姓名註冊之證券,若NERICO BROTHERS須承受任何損失,則根據代表客戶持有之有關證券數目或數額,按比例在戶口內扣除(或協議由客戶支付有關款項)。
 
11.4 The Client irrevocably authorizes NERICO BROTHERS in its absolute discretion (as to timing, price, terms and otherwise) to apply all or any of the monies held on behalf of the Client and/or to dispose of all or any of the securities held by or on behalf of the Client under all or any of the Account with NERICO BROTHERS in discharge, satisfaction or settlement of all or any indebtednesses or liabilities owed by or on behalf of the Client to NERICO BROTHERS, its nominee or any third party, or all or any obligations of the Client under the Agreement.
  客戶不可撤回地授權NERICO BROTHERS可行使其絕對的酌情權(無論是關於時間性,價錢,條款或其他方面)運用代客戶持有之現金,處理代客戶於其戶口內持有之證券,以解除,抵銷或履行客戶或其他人代客戶欠下或負下對NERICO BROTHERS、其代名人或其他第三者的任何債務或責任,或客戶根據協議而須承擔之義務。
 
12. Cash held for Client代客戶保管的現金
 
  Any money held for or on behalf of the Client, other than monies received or receivable by NERICO BROTHERS in respect of transactions or which are paid in for settlement purposes or which are due to be paid to the Client, shall be credited to a client trust account maintained with a licensed bank as required by the Client Money Rules.
  代客戶保管的現金須依照「客戶款項規則」規定,存放於一家持牌銀行所開立的一個客戶信託帳戶內(此等現金不包括NERICO BROTHERS就交易取得,而且須為交收而轉付或應轉付予客戶的現金)
  For the purpose of the Client Money Rules, the Client hereby agrees that NERICO BROTHERS shall be entitled to receive for its own benefits all sums derived by way of interest on all or any of the monies held in the Account for and/or on the account of the Client.
  為符合「客戶款項規則」,客戶茲同意NERICO BROTHERS有權為本身利益收取在戶口中所有為或代客戶持有的全部或部份款項所產生的全部利息款額。
 
13. New Listing of Securities 新上市證券
 
13.1 In the event that the Client request and authorizes NERICO BROTHERS to apply for securities in respect of a new listing and/or issue of securities on the Exchange as his agent and for his benefit or for the benefit of any other person, the Client hereby warrants to and for the Company’s benefit that NERICO BROTHERS have authority to make such application on the Client’s benefit.
  倘若客戶要求並授權NERICO BROTHERS作為客戶的代理人和為客戶或任何其他人士的利益申請於交易所新上市及/或發行的證券,為了NERICO BROTHERS的利益,客戶保證NERICO BROTHERS有權代表客戶作出該等申請。
 
13.2 The Client shall familiarize himself and comply with all the terms and conditions governing the securities of the new listing and/or issue and the application for such new securities set out in any prospectus and/or offering document and the application form or any other relevant document in respect of such new listing and/or issue and the Client agrees to be bound by such terms and conditions in any such transaction the Client may have with NERICO BROTHERS.
  客戶應熟悉並遵從任何招股書及/或發行文件、申請表格或其他有關文件內所載之管轄新上市及/或發行的證券及其申請之全部條款和條件,客戶同意在與NERICO BROTHERS進行的任何交易中受該等條款和條件約束。
 
13.3 The Client hereby gives to NERICO BROTHERS all the representations, warranties and undertakings which an applicant for securities in a new listing and/or issue is required to give (whether to the issuer, sponsors, underwriters or placing agents of the relevant securities, the Exchange or any other relevant regulator or person).
  客戶謹向NERICO BROTHERS作為新上市及/或發行證券申請人(不論是向有關證券的發行人、發起人、承銷人或配售代理人、交易所或任何其他有關監管機構或人士)需要作出的所有陳述、保證和承諾。
 
13.4 The Client hereby further declares and warrants, and authorizes NERICO BROTHERS to disclose and warrant to the Exchange on any application form (or otherwise) and to any other person as appropriate, that any such application made by NERICO BROTHERS as his agent is the only application made, and the only application intended to be made, by the Client or on the Client’s behalf, to benefit the Client or the person for whose benefit the Client is applying. The Client acknowledges and accepts that the aforesaid declaration and warranty will be relied upon by NERICO BROTHERS and by the issuer, sponsors, underwriters or placing agents of the relevant securities, the Exchange or any other relevant regulator or person in respect of any application made by NERICO BROTHERS as the Client’s agent.
  客戶謹進一步聲明和保證,並授權NERICO BROTHERS通過任何申請表格(或以其他方式)向交易所和任何其他適合人士披露和保證,為受益予客戶或客戶在申請中載明的受益人士,NERICO BROTHERS作為客戶代理人作出的任何申請是客戶或NERICO BROTHERS代表客戶作出唯一的申請或打算作出唯一的申請。客戶確認和接受,就NERICO BROTHERS作為客戶代理人作出的任何申請而言,NERICO BROTHERS和有關證券的發行人、發起人、承銷人或配售代理人、交易所或任何其他有關監管機構或人士將會依賴上述聲明和保證。
 
13.5 The Client acknowledges that any application made by an unlisted company which does not carry on any business other than dealing in securities and in respect of which the Client exercises statutory control shall be deemed to be an application made for the benefit of the Client.
  客戶確認,倘若未上市公司除證券買賣外未有從事其他業務而客戶對該公司具法定控制權力,則該公司作出的申請應被視為為客戶的利益而作出的。
 
13.6 The Client recognizes and understands that the legal, regulatory requirements and market practice in respect of applications for securities may vary from time to time as may the requirements of any particular new listing or issue of securities. The Client undertakes to provide to NERICO BROTHERS such information and take such additional steps and make such additional representations, warranties and undertakings as may be required in accordance with such legal, regulatory requirements and market practice as NERICO BROTHERS may in NERICO BROTHERS’s absolute discretion determine from time to time.
  客戶承認和明白,證券申請的法律和監管規定及市場慣例不時變化,而任何一種新上市或發行證券的規定亦會變更。客戶承諾會按NERICO BROTHERS不時絕對酌情決定的法律和監管規定及市場慣例的要求,向NERICO BROTHERS提供資料並採取額外的步驟作出額外的陳述、保證和承諾。
 
13.7 In relation to a bulk application to be made by NERICO BROTHERS or NERICO BROTHERS’s agent on NERICO BROTHERS’s own account and/or on behalf of the Client and/or NERICO BROTHERS’s other clients, the Client acknowledges and agrees:
  有關NERICO BROTHERS或其代理人為NERICO BROTHERS本身及/或客戶及/或為NERICO BROTHERS之其他客戶作出的大額申請,客戶確認和同意:
  1. that such bulk application may be rejected for reasons which are unrelated to the Client and the Client’s application and neither NERICO BROTHERS nor NERICO BROTHERS’s agent shall, in the absence of fraud, negligence or willful default, be liable to the Client or any other person in consequence of such rejection; and
    該大額申請可能會因與客戶和客戶申請無關的理由而遭到拒絕,而在沒有欺詐、疏忽或故意違約的情況下,NERICO BROTHERS和其代理人毋須就該拒絕對客戶或任何人士負上責任;及
  2. to indemnity NERICO BROTHERS in accordance with section 17 if such bulk application is rejected either in circumstances where the representations and warranties have been breached or otherwise because of factors relating to the Client. The Client acknowledges that the Client may also be liable in damages to other persons affected by such breach or other factors.
    倘若該大額申請因陳述和保障被違反或任何與客戶有關的理由而遭到拒 絕,客戶須按第17條向NERICO BROTHERS作出賠償。客戶確認,客戶亦會對其他受上述違反或其他理由影響的人士的損失負上責任。
 
14. Internet Trading Service互聯網交易服務
 
14.1 Unless otherwise specified, this section is made without prejudice to but in addition to all other provisions in the Agreement.
  除非另有說明,本條款之規定乃協議所有其他條款之附加且並不損害該等其他條款。
 
14.2 NERICO BROTHERS may provide the Client with Internet Trading Service upon request by the Client, subject to the provisions in this section, as modified, amended or expanded by any notice, letter, publication or such other document as may be issued by NERICO BROTHERS relating thereto from time to time.
  NERICO BROTHERS在客戶的要求下可根據協議所載條款為客戶提供互聯網交易服務,而上述條款可由NERICO BROTHERS不時發出的通知、信函、出版物或其他文件予以修訂、修改或擴展。
 
14.3 The Client may from time to time instruct NERICO BROTHERS to purchase and/or sell securities in connection with the Account or otherwise deal with securities through the Internet Trading Service.
  客戶可透過互聯網交易服務不時向NERICO BROTHERS發出有關戶口的指示代表客戶買賣或處理證券。
 
14.4 The Client shall be the only authorized user of the Internet Trading Service. The Client shall be wholly and solely responsible for keeping the Client Account Codes issued in relation to the Internet Trading Service by NERICO BROTHERS to the Client, confidential.
  客戶為互聯網交易服務之唯一授權使用者。客戶須獨自及全權地負責將NERICO BROTHERS發給的客戶有關互聯網交易服務的客戶戶口代碼保密。
 
14.5 The Client shall be wholly and solely responsible for and shall be bound by all Instructions given through the Internet Trading Service. The Internet Trading Service, NERICO BROTHERS’s website, and the software comprised in them, are proprietary to NERICO BROTHERS. The Client shall not, or shall not attempt to, tamper with, modify, decompile, reverse engineer, damage, destroy or otherwise alter in any way, and shall not attempt to gain unauthorized access to, any part of the Internet Trading Service, NERICO BROTHERS’s website, and any of the software comprised in them. NERICO BROTHERS shall be entitled to immediately suspend or terminate all or any of the Internet Trading Service so far as it relates to the Account and/or to immediately close all or any of the Account but without notice to the Client, and/or to take legal action against the Client, if the Client has breached any of the provisions under this section or if NERICO BROTHERS has reason to suspect that the Client has breached the same. The Client undertakes to notify NERICO BROTHERS immediately if the Client becomes aware that any of the actions described above in this paragraph is being perpetrated by any other person.
  客戶對透過互聯網交易服務發出的所有指示自行承擔全部責任,其對客戶具有約束力,互聯網交易服務、NERICO BROTHERS的網頁以及構成上述服務的軟件的產權均為NERICO BROTHERS專有。客戶不會和不會嘗試以任何其他方式更改互聯網交易服務、NERICO BROTHERS的網頁以及構成上述服務的軟件的任何部分,亦不會嘗試在未獲授權的情況下使用上述任何部分服務,網頁或軟件。倘若客戶在任何時間違反本條款或NERICO BROTHERS於任何時間懷疑客戶已有上述違反時,NERICO BROTHERS有權即時暫停或終止有關戶口的所有或部份的互聯網交易服務及/或不須通知客戶即時終止任何和所有戶口及/或對客戶採取法律行動。客戶承諾在知悉任何其他人士從事本段所載任何上述行動時,即時通知NERICO BROTHERS。
 
14.6 Unless otherwise agreed between NERICO BROTHERS and the Client, NERICO BROTHERS shall not comply with any Instructions of the Client until there are sufficient cleared funds, securities in the Account to effect the transactions as instructed by the Client.
  除非戶口有足夠的可即時動用的資金、證券以交收客戶的交易,否則NERICO BROTHERS不會執行客戶的任何交易指示,但NERICO BROTHERS與客戶另訂協議者除外。
 
14.7 NERICO BROTHERS shall not be deemed to have received the Client’s instructions or to have executed the Client’s orders unless and until the Client is in receipt of NERICO BROTHERS’s message acknowledging receipt of the Client’s instructions or confirming execution of the Client’s orders, either electronically or in writing.
  除非及直至客戶已收到NERICO BROTHERS以電子或書面形式發出的資訊,表示收到指示或確認已執行客戶的買賣指令,否則NERICO BROTHERS不得被視為已收指示到或已執行客戶的買賣指令。
 
14.8 As a condition of using the Internet Trading Service to give instructions, the Client shall immediately notify NERICO BROTHERS if:
  作為使用互聯網交易服務發出指示的一項條件,倘若發生下述事項,客戶會即時通知NERICO BROTHERS:
  1. an instruction has been placed through the Internet Trading Service and the Client has not received an instruction number or has not received an accurate acknowledgment of the instruction or of its execution (whether in writing, by electronic means)
    已經透過互聯網交易服務發出指示,但並無收到指示編號或對指示或其執行的準確確認(不論是以書面、還是電子方式作出);
  2. the Client has received acknowledgment (whether in writing, by electronic means) of a transaction which the client did not instruct ;
    收到一項並無發出指示的交易確認(不論是以書面、電子方式作出);
  3. the Client becomes aware of any of the acts prohibited in section 14.5 above being done or attempted by any person;
    獲悉任何人士正在進行或嘗試進行第14.5條所禁止的任何行動;
  4. the Client becomes aware of any unauthorized use of any of the Client Account Codes;
    獲悉有未獲授權而使用客戶戶口代碼的情況;
  5. the Client has difficulties with regard to the use of the Internet Trading Service.
    在使用互聯網交易服務時遇到困難。
 
14.9 The Client should review every order before sending instruction to execute it as it may not be possible to cancel the instruction once sent.
  客戶同意在發出每個指令之前會加以覆核,因為指令一經發出,便可能無法取消。
 
14.10 NERICO BROTHERS shall not be liable for any loss or damage whatsoever the Client or any other person may suffer as a result of using or attempting to use the Internet Trading Service unless such loss or damage is caused by willful default on the part of NERICO BROTHERS. NERICO BROTHERS shall not be responsible for any loss or damage caused whatsoever, either directly or indirectly, by any failure, delay or inaccuracy in the transmission of any information, instructions or orders.
  NERICO BROTHERS不會就客戶或任何其他人士使用或嘗試使用互聯網交易服務可能遭受的任何損失或損害承擔責任,除非該等損失或損害是由於NERICO BROTHERS故意失責違約所導致。NERICO BROTHERS不會因在傳輸任何資料指示或買賣指令過程中的失誤,延誤或錯誤而直接或間接導致的任何損失或損害,承擔責任。
 
14.11 The Client undertakes to indemnify NERICO BROTHERS, on a full indemnity basis, on demand, against any loss or damage whatsoever that NERICO BROTHERS may suffer as a result of the use of Internet Trading Service by or on behalf of he Client save and except to the extent that such loss or damage is beyond the Client’s control.
  客戶承諾對,因其或其他人士代其使用互聯網交易服務可能使NERICO BROTHERS遭受的任何損失或損害,於NERICO BROTHERS要求時如數作出賠償,除非該等損失或損害是在客戶所能控制範疇以外。
 
14.12 If the mode of communication by way of the Internet Trading Service becomes temporarily unavailable, the Client can during such period continue to operate the Account through other modes of communication.
  倘若客戶暫時無法使用互聯網交易服務的電子通訊方法,客戶仍可在此期間內繼續運作有關戶口。
 
14.13 Exchanges and certain associations may assert proprietary interests and rights over all market data they furnish to parties who disseminate such data and agrees not to do any act which would constitute any infringement or encroachment of such interests or rights. NERICO BROTHERS does not guarantee the timeliness, sequence, accuracy or completeness of market data or any market information (including any information provided to the Client through the Internet Trading Services). NERICO BROTHERS shall not be liable in any way for any loss whatsoever arising from or caused by (1) any inaccuracy, error and or omission from any such data, information or message; (2) any delay in the transmission or delivery thereof; (3) any suspension or congestion in communication; (4) any unavailability or interruption of any such data, message or information whether due to any act of NERICO BROTHERS or not; or (5) any matters beyond the control of NERICO BROTHERS.
  交易所和一些機構對其等提供給資料傳送各方之一切市場資料擁有所有權益和權利,並同意不會採取任何可能對上述權益和權利構成侵權或侵犯的行動。NERICO BROTHERS不會保證該等市場資料或任何市場資料(包括透過互聯網交易服務提供給客戶的任何資料)的及時性、次序、準確性或完整性。NERICO BROTHERS對下述事項所引起或造成之任何損失概不承擔任何責任:(1) 任何上述資料、資料或資訊的不準確性、錯誤或遺漏;(2)上述資料、資料或資訊之傳送或交付延誤;(3)通訊中斷或阻塞;(4)不論是否由於NERICO BROTHERS的行為所致之該等資料、資料或資訊的無法提供或中斷;或(5)NERICO BROTHERS無法控制的事宜。
 
14.14 NERICO BROTHERS does not guarantee the availability of the Internet Trading Service. NERICO BROTHERS may in its absolute discretion but without prior notice to the Client suspend restrict or terminate the use of the Internet Trading Service, without affecting the rights and/or obligations of NERICO BROTHERS and the Client incurred prior to such suspension restriction or termination.
  NERICO BROTHERS不保證互聯網交易服務的可用性。NERICO BROTHERS可行使其絕對的酌情權及在不須預先通知客戶的情況下自行暫停,限制或中止互聯網交易服務的使用,而不影響於該暫停,限制或中止使用前,NERICO BROTHERS和客戶的權利及/或義務。
 
15. Client Identity Rule客戶身份規則
 
  If the Client effects transactions for account of his own clients, whether on a discretionary or non-discretionary basis, and whether as agent or by entering into matching transactions as principal with his clients, the Client hereby agrees that, in relation to a transaction where NERICO BROTHERS has received an enquiry from the Exchange and/or the SFC (“Hong Kong Regulators”), the following provisions shall apply:
  若客戶是為其客戶進行交易,不論是否受客戶全權委託、以代理人身份抑或以當事人身份與其客戶進行對盤交易,客戶同意就NERICO BROTHERS接獲交易所及/或證監會(“香港監管機構”)查詢的交易而言,須遵守下列規定﹕
 
15.1 Subject to the provisions below, the Client shall, immediately upon request by NERICO BROTHERS (which request shall include the relevant contact details of the Hong Kong Regulators), inform the relevant Hong Kong Regulators of the identity, address, occupation and contact details of the client for whose account the transaction was effected ( or, in the case of a back to back principal transaction the counterparty with whom the Client is transacting) and (so far as known to the Client) of the person with the ultimate beneficial interest in the transaction. The Client shall also inform the Hong Kong Regulators of the identity, address, occupation and contact details of any third party (if different from the client/the ultimate beneficiary) who originated the transaction.
  在符合下列規定下,客戶須按NERICO BROTHERS要求(此要求應包括香港監管機構的聯絡詳情),立即知會香港監管機構有關所進行交易之帳戶所屬客戶(或,如該交易乃背對背交易,則客戶的交易對手)及(據客戶所知)該宗交易的最終受益人的身份、地址、職業及聯絡資料。客戶亦須知會香港監管機構任何發起有關交易的第三者(如與其客戶/最終受益人不同者)的身份、位址、職業及聯絡資料。
 
15.2 If the Client effected the transaction for a collective investment scheme, discretionary account or discretionary trust:
  若客戶是為集合投資計劃、全權委託帳戶或全權信託進行交易:
  1. the Client shall, immediately upon request by NERICO BROTHERS (which request shall include the relevant contact details of the Hong Kong Regulators), inform the Hong Kong Regulators of the identity, address, occupation and contact details of the person who, on behalf of the scheme, account or trust, instructed the Client to effect the transaction; and
    客戶須按NERICO BROTHERS要求(該要求應包括香港監管機構的聯絡詳情),立即知會香港監管機構有關該計劃、帳戶或信託的身份、地址及聯絡資料及(如適用)有關該名代表該計劃、帳戶或信託向客戶發出交易指示的人士的身份、地址、職業及聯絡資料;及
  2. the Client shall immediately inform NERICO BROTHERS when discretion in respect of any transaction effected for such scheme, account or trust has been overridden and, immediately upon request by NERICO BROTHERS, inform the Hong Kong Regulators of the identity, address, occupation and contact details of the person(s) who gave the instruction in relation to the relevant transaction.
    客戶在其全權委託計劃、帳戶或信託進行投資的權力已予撤銷時,須儘快通知NERICO BROTHERS。在客戶全權委託投資的權力已予撤銷的情況下,客戶須按NERICO BROTHERS要求 , 立即知會有關香港監管機構有關該名/或多名曾向客戶發出有關指示的人士的身份、地址、職業及資料。
 
15.3 Without prejudice to the above, if the Client is aware that his client is acting as intermediary for the underlying clients (“Ultimate Client”), and the Client does not know the identity, address, occupation and contact details of the Ultimate Client, the Client confirms that:
  在不損害以上協議之前提下,若客戶知悉其客戶乃作為其相關客戶之中介人進行交易(“最終客戶”),而客戶並不知道有關交易所涉及的最終客戶之身份、地址、職業及聯絡資料,則客戶須確認如下:
  1. the Client has arrangements in place with his client which entitle the Client to obtain such information from his client immediately upon request and
    客戶須與其客戶作出安排,讓客戶有權在要求時立即向其客戶取得該資料;及
  2. the Client shall, upon request from NERICO BROTHERS, promptly request such information from his client on whose instruction the transaction was effected, and provide the information to the Hong Kong Regulators immediately upon receipt.
    客戶將於NERICO BROTHERS就有關交易提出要求時,立即要求其發出交易指示的客戶提供該資料,及在收到其客戶所提交的資料後即呈交予香港監管機構。
 
15.4 The Client confirms that, where necessary, the Client has obtained all necessary consent or waiver from his own clients or other relevant persons, to the release to the Hong Kong Regulators of the information referred to above.
  客戶確認在有需要的情況下已取得其客戶或其他關聯人士的同意或豁免,提供以上所提及的資料及呈交予香港監管機構。
  The provisions of this section 15 shall continue in effect notwithstanding the termination of the Agreement.
  本第15項條款即使在協議中止後仍繼續生效。
 
16. Standing Authority 常設授權
 
16.1 The Client Money Standing Authority covers money held or received by NERICO BROTHERS in Hong Kong (including any interest derived from the holding of the money which does not belong to NERICO BROTHERS) in one or more segregated account(s) on the Client’s behalf (”Monies”).
  客戶款項常設授權涵蓋NERICO BROTHERS為客戶在香港收取或持有並存放於一個或多個獨立帳戶內的款項(包括因持有並非屬於NERICO BROTHERS的款項而產生之何任利息)(下稱「款項」)。
 
16.2 The Client Securities Standing Authority is in respect of the treatment of the Client’s securities or securities collateral as set out below in the section 16.4.
  客戶證券常設授權是有關處置客戶之證券或證券抵押品,詳列於本第16.4條以下。
 
16.3 The Client authorizes NERICO BROTHERS to:
  客戶授權NERICO BROTHERS:
  1. combine or consolidate any or all segregated accounts, of any nature whatsoever and either individually or jointly with others, maintained by NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies and NERICO BROTHERS may transfer any sum of Monies to and between such segregated account(s) to satisfy the Client’s obligations or liabilities to NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies, whether such obligations and liabilities are actual or contingent, primary or collateral secured or unsecured, or joint or several; and where the transfer requires the conversion of one currency into another, such conversion shall be calculated at the rate of exchange conclusively determined by NERICO BROTHERS to be applicable.
    組合或合併NERICO BROTHERS或NERICO BROTHERS之聯營公司所維持的任何或全部獨立帳戶,此等組合或合併活動可以個別地或與其他帳戶聯合進行,NERICO BROTHERS可將該等獨立帳戶內任何數額之款項作出轉移,以解除客戶對NERICO BROTHERS或NERICO BROTHERS之聯營公司的義務或法律責任,不論此等義務和法律責任是確實、或然的、原有或附帶的、有抵押或無抵押的、共同或分別的;及當該轉移須將一種貨幣兌換成另一種貨幣,則該貨幣須依照NERICO BROTHERS最絡決定的兌換率計算;及
  2. transfer any sum of Monies interchangeably between any of the segregated accounts maintained at any time with NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies.
    從NERICO BROTHERS或NERICO BROTHERS之聯營公司於任何時候維持的任何獨立帳戶之間來回調動任何數額之款項。
 
16.4 The following terms covers the securities or securities collateral received or held by NERICO BROTHERS on Client’s behalf. Unless otherwise defined, all the terms used hereunder shall have the same meanings as defined in the Securities and Futures Ordinance and the Securities and Futures (Client Securities) Rules as amended from time to time.
  以下條文是關於NERICO BROTHERS代表客戶接收或持有的證券或證券抵押品。除另有說明外,下列條文的所有用語應具有經不時修訂的《證券及期貨條例》及《證券及期貨(客戶證券)規則》所定義的相同意思。
  The Client authorizes NERICO BROTHERS to 客戶授權NERICO BROTHERS:
  1. apply any of the Client’s securities or securities collateral pursuant to a securities borrowing and lending agreement;
    依據證券借貸協議運用客戶的任何證券或證券抵押品;
  2. deposit any of the Client’s securities collateral with an authorized financial institution as collateral for financial accommodation provided to NERICO BROTHERS; or
    將客戶的任何證券抵押品存放於認可的財務機構,作為提供予NERICO BROTHERS的財務通融的抵押品;或
  3. deposit any of the Client’s securities collateral with
    將任何客戶的證券抵押品存放於:
    1. a recognized clearing house; or
      一家認可的結算所; 或
    2. another intermediary licensed or registered for dealing in securities,
      獲發牌或獲註冊進行證券交易的另一中介人,
      as collateral for the discharge and satisfaction of NERICO BROTHERS settlement obligations and liabilities.
      作為NERICO BROTHERS履行交收義務與責任的抵押品。
  4. apply or deposit any of the Client’s securities collateral in accordance with sections 16.4(i), 16.4(ii) and/or 16.4(iii) above if NERICO BROTHERS provides financial accommodation to the Client in the course of dealing in securities and also provides financial accommodation to the Client in the course of any other regulated activity for which NERICO BROTHERS is licensed or registered.
    如NERICO BROTHERS在進行證券交易及NERICO BROTHERS獲發牌或獲註冊進行的任何其它受規管活動的過程中向客戶提供財務通融,即可按照上述第16.4(i)、第16.4(ii)及/或第16.4(iii)條所述運用或存放任何客戶的證券抵押品。
 
16.5 NERICO BROTHERS may do any of the things in section 16.3 & 16.4 without giving to the client notice.
  NERICO BROTHERS可毋須通知客戶而進行上述16.3及16.4各項。
 
16.6 A third party may have rights on the Client’s securities or securities collateral, which NERICO BROTHERS must satisfy before the Client’s securities or securities collateral can be returned to the client.
  客戶的證券或證券抵押品可能受制於第三者之權利,NERICO BROTHERS必須先行了結有關留置權或押記,方可將客戶的證券或證券抵押品歸還客戶。
 
16.7 The Client also acknowledges that客戶同時確認:
 
  1. the Client has been informed of the repledging practice of NERICO BROTHERS or NERICO BROTHERS’s Associated Companies and the Client has provided NERICO BROTHERS with a standing authority to repledge the Client’s securities or securities collateral, and
    此賦予NERICO BROTHERS之客戶款項常設授權並不損失NERICO BROTHERS或NERICO BROTHERS之聯營公司可享有有關處理該等獨立帳戶內款項的其它授權或權利; 及
  2. the Client Money Standing Authority is given without prejudice to other authorities or rights which NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies may have in relation to dealing in Monies in the segregated accounts; and
    客戶款項常設授權不影響NERICO BROTHERS或NERICO BROTHERS之聯營公司在獨立帳戶內款項處理的權利;
  3. the Client Securities Standing Authority shall not affect NERICO BROTHERS’s right to dispose or initiate a disposal by NERICO BROTHERS’s associate entity of the Client’s securities or securities collateral in settlement of any liability owed by or on behalf of the Client to NERICO BROTHERS, the associated entity or a third person
    客戶證券常設授權不影響NERICO BROTHERS為解除由客戶或代客戶對NERICO BROTHERS、NERICO BROTHERS之有聯繫實體或第三者所負的法律責任,而處置或促使NERICO BROTHERS的有聯繫實體處置客戶之證券抵押品的權利。
 
16.8 Each of the Client Money Standing Authority and the Client Securities Standing Authority is valid for a period of 12 months from the date of the Agreement, subject to renewal by the Client or deemed renewal under the Client Money Rules or Client Securities Rules (as the case may be) referred to in section 16.10.
  受第16.10條指明按照客戶款項規則或客戶證券規則由客戶續期或當作已被續期所制約下,客戶款項常設授權及客戶證券常設授權的有效期為十二個月,自協議之日起計有效。
 
16.9 Each of the Client Money Standing Authority and the Client Securities Standing Authority may be revoked by giving NERICO BROTHERS written notice to NERICO BROTHERS’s address specified in the Account Opening Form or such other address which NERICO BROTHERS may notify the Client in writing for the purpose. Such notice shall take effect upon the expiry of 14 days from the date of NERICO BROTHERS’s actual receipt of such notice.
  客戶可以根據列明於帳戶開立表格內的NERICO BROTHERS地址或該等NERICO BROTHERS為此目的可能以書面方式通知的其它地址,發出書面通知,分別撤回客戶款項常設授權及客戶證券常設授權。該等通知之生效日期為NERICO BROTHERS真正收到該等通知後之14日起計。
 
16.10 Each of the Client Money Standing Authority and the Client Securities Standing Authority shall be deemed to be renewed on a continuing basis without the Client’s written consent if NERICO BROTHERS issues the Client a written reminder at least 14 days prior to the expiry date of the relevant authority, and the Client does not object to such deemed renewal before such expiry date.
  NERICO BROTHERS若在客戶款項常設授權及客戶證券常設授權的有效期屆滿14日之前,向客戶發出書面通知,提醒客戶有關的常設授權即將屆滿,而客戶沒有在該等常設授權屆滿前反對該等常設授權續期,客戶款項常設授權及客戶證券常設授權應當作在不需要客戶書面的同意下按持續的基準已被續期。
 
17. Liability and Indemnities法律責任及彌償
 
17.1 The Client shall indemnify NERICO BROTHERS and its officers, employees and agents in full against any loss, cost, claim, liability or expense whatsoever arising out of or connected with any breach by the Client of the Client’s obligations in the Agreement including, any costs (including legal costs) reasonably and necessarily incurred by NERICO BROTHERS in collecting any indebtedness due to NERICO BROTHERS or in connection with the closure of the Account.
  客戶承諾全面地償付NERICO BROTHERS及其職員、僱員及代理人任何因客戶違背其在協議之責任而引致或涉及之任何損失、費用、索償、責任或開支;包括NERICO BROTHERS於收取欠款或因結束現金帳戶而在合理及需要之情況下引起之任何費用。
 
17.2 The Client shall indemnify NERICO BROTHERS and its officers, employees and agents in full against all actions, suits, proceedings, claims, demands, costs and expenses (including legal costs on Solicitor and Client basis and any interests and commission payments) which may be taken or made against NERICO BROTHERS pursuant to or in connection with any of the Account, the Client’s properties of any kinds and forms held by NERICO BROTHERS, the Agreement or the performance of its obligations hereunder or which may be incurred by NERICO BROTHERS in connection with any claims by it for monies payable to NERICO BROTHERS. Without limiting the foregoing, the Client hereby agrees on demand to indemnify NERICO BROTHERS against:
  客戶須全面地償付NERICO BROTHERS及其職員、僱員及代理人,可能因有人根據客戶戶口、NERICO BROTHERS擁有的客戶的任何種類和任何形式的財產、協議或履行協議的義務而可能招致的所有行動、訴訟、起訴、索賠、要求、費用和支出(包括律師費、客戶的法律費和任何有關的利息和佣金)的所需款項。在不限制上述條件的情況下,客戶同意賠償NERICO BROTHERS:
 
  1. any taxes (including all present and future taxes, levies, imposts or duties whatsoever and wheresoever imposed) for which NERICO BROTHERS is or may be liable or accountable in connection with the Client’s securities, properties of any forms, the Agreement or the performance of its obligations hereunder provided that this indemnity shall not extend to tax on or attributable to NERICO BROTHERS’s fee income hereunder or for which a deduction or withholding has been made by NERICO BROTHERS.
    當NERICO BROTHERS負有或可能負有因客戶持有證券、任何形式的財產、協議或履行協議責任的任何稅項(包括現在及將來一切稅項、費用、關稅或無論何事何地徵收的稅款),但不包括NERICO BROTHERS費用收益的應付款項,或NERICO BROTHERS已作扣減或預繳的稅項。
  2. any liabilities hereunder resulting from the fact that the Client’s securities of any kinds and forms are registered in the name of NERICO BROTHERS or its nominee or sub-custodian, or as a result of any indemnities properly given by NERICO BROTHERS to a nominee or a sub-custodian to whom NERICO BROTHERS shall have delegated the performance of its duties hereunder against liabilities incurred by such nominee or sub-custodian in the performance of such duties.
    因客戶任何種類和任何形式的證券以NERICO BROTHERS或其任命人或次保管人名義登記而引起的債務,或NERICO BROTHERS委託其任命人或次保管人執行協議責任,並根據彼等可能承擔的債務,給予適當賠償保證而引致的債務。
 
17.3 Neither NERICO BROTHERS nor any of its officers, employees or agents shall have any liability whatsoever (whether in negligence or otherwise) for any loss, expense or damage suffered by the Client as a result of:
  NERICO BROTHERS,其任何職員,僱員或代理人在法律上均不負責(不管是疏忽或其他責任)客戶因以下事件而蒙受之任何損失,開支或損害﹕
 
  1. NERICO BROTHERS acting or relying on any instruction given by the Client whether or not such instruction was given following any recommendation, advice or opinion given by NERICO BROTHERS or by any of its officers, employees or agents; or
    NERICO BROTHERS遵行或倚賴客戶發出的任何指示,即使客戶是聽取NERICO BROTHERS或其任何職員、僱員或代理人之推薦、忠告或意見後發出該等指示;或者
  2. any conditions or circumstances which are beyond the reasonable control of NERICO BROTHERS, its officers, employees and agents, including but not limited to any delay in the transmission of orders due to disruption, breakdown, failure or malfunction or transmission of communication facilities, failure of electronic or mechanical equipment, telephone or other interconnection problems, unauthorized use of Client Account Codes, prevailing fast market conditions, governmental agency or exchange actions, theft, war (whether declared or not), severe weather, earthquakes and strikes; or
    出現不受NERICO BROTHERS,其任何職員,僱員及代理人合理控制之條件或情況,此等條件或情況包括但並不限於,通訊設備中斷、故障、失靈或障礙引致之買賣指示傳送延誤,電子、機械設備、電話故障或其他連接問題,未獲授權使用客戶戶口代碼,市場持續急劇變化,政府機構或交易所的行動,盜竊,戰爭(不論宣戰與否),惡劣天氣,地震以及罷工;或者
  3. NERICO BROTHERS exercising or refraining from exercising or delaying the exercise of all or any of its rights conferred by the provisions of the Agreement; or
    NERICO BROTHERS可行使,不行使或延遲行使協議條款授予的任何或全部權利;或者
  4. any conversion of one currency to another pursuant to, in relation to or arising from the Agreement.
    根據,就或因為協議而將某一貨幣兌換成另一貨幣。
 
17.4 Without limiting the generality of section 17.3 above, neither NERICO BROTHERS nor any of its officers, employees or agents shall have any liability whatsoever (whether in negligence or otherwise) for any loss, expense or damage suffered by the Client arising out of or alleged to arise out of or in connection with any inconvenience, delay or loss of use of the Internet Trading Service or any delay or alleged delay in acting or any failure to act on any instruction given by the Client to NERICO BROTHERS, even if NERICO BROTHERS has been advised of the possibility of such loss expense or damage.
  在不限制上述第17.3條概括性之前提下,NERICO BROTHERS、其任何職員、僱員或代理人均不在法律上負責(不管是疏忽或其他責任)客戶蒙受的任何損失,開支或損害,即出於或指稱出於或涉及互聯網交易服務之不便,延遲或未能運作而產生的損失,開支或損害,或NERICO BROTHERS在執行客戶下達的買賣指示出現延遲或被指稱出現延遲,或未能執行該等指示而產生的損失,開支或損害,即使NERICO BROTHERS曾獲勸告可能會出現上述損失,開支或損害。
 
17.5 The Client undertakes to indemnify and keep fully indemnified NERICO BROTHERS in respect of any costs, claims, demands, damages and expenses whatsoever which may be reasonably suffered or incurred by NERICO BROTHERS directly or indirectly arising out of or in connection with any transaction entered into by NERICO BROTHERS as agent on behalf of the Client or otherwise whatsoever or howsoever arising out of anything done or omitted to be done by NERICO BROTHERS in accordance with the provisions of the Agreement or pursuant to any Client’s instruction or communication. The Client also agrees to pay promptly to NERICO BROTHERS all damages, costs and expenses (including legal expenses on a full indemnity basis) incurred by NERICO BROTHERS in the enforcement of any of the provisions of the Agreement.
  客戶承諾就NERICO BROTHERS可能直接或間接合理地蒙受或承擔的任何費用,索償,要求,損害和開支,彌償NERICO BROTHERS和使之獲得全面的彌償,前述各項指的是那些由於或涉及NERICO BROTHERS以客戶代理人身份進行的任何交易或由於NERICO BROTHERS依照協議條款或客戶任何的指示或傳達之意願作出或未有作出的事情而引起的任何費用,索償,要求,賠償和開支。客戶亦同意即時支付NERICO BROTHERS因強制執行協議任何條款而遭致的所有賠償,費用和開支(包括按全數彌償基準計出的法律費)。
 
17.6 Where any written instruction or any other written communication from the Client is given by facsimile, the Client hereby authorizes NERICO BROTHERS to accept such facsimile transmission from the Client as the original instruction or communication from the Client, and the Client shall fully indemnify NERICO BROTHERS on demand against all loss, damage, interests, costs, expenses whatsoever NERICO BROTHERS may incur, or suffer as a result of or arising from NERICO BROTHERS’s acceptance, reliance on or acting upon such instruction or communication. The Client acknowledges that any instruction or communication to NERICO BROTHERS shall be sent or delivered or communicated (as the case may be) to an address or location as notified by NERICO BROTHERS from time to time.
  當客戶之書面指示或其他書面通訊是透過傳真機傳送的,客戶特此授權NERICO BROTHERS接受該等由客戶發出之傳真訊息乃為客戶之正本指示或通訊。而NERICO BROTHERS因接受、依賴、執行該等指示或通訊而令NERICO BROTHERS招致或遭受任何損失、損害,需繳付利息、成本及額外開支,客戶願意一概承擔。客戶明白任何發給NERICO BROTHERS之通知及通訊、須投遞到、送遞到或傳送到(任何適用之情況)NERICO BROTHERS不時通知客戶之地址或位置。
 
17.7 The Client undertakes to perform such acts, sign and execute all such agreements or documents whatsoever as may be required by NERICO BROTHERS for the performance or implementation of the Agreement.
  客戶承諾會履行,簽署和簽立一切NERICO BROTHERS為協議之履行或執行而要求的行為,協議或任何文件。
 
17.8 If the Client suffers pecuniary loss by reason of NERICO BROTHERS’s default, the liability of the Investor Compensation Fund established under the Securities and Futures Ordinance will be restricted to valid claims as provided for in the Ordinance and will be subject to the monetary limits specified in the Ordinance and accordingly there can be no assurance that any pecuniary loss sustained by reason of such a default will necessarily be recouped from the Investor Compensation Fund in full, in part or at all.
  如果客戶因NERICO BROTHERS的失責遭受了金錢的損失,投資者賠償基金責任只限於條例所規定的有效索償內,並將會受到條例規定的金額限制,因而不會保證任何因該失責所招致的金錢損失可以從投資者賠償基金中全部或部分得到補償。
 
18. Suspension and Termination of Account暫止或終止
 
18.1 NERICO BROTHERS reserves the rights at any time and from time to time, without having to give any reason or explanation therefor, to suspend, or terminate in accordance with the provisions of the Agreement, the operation of all or any of the Account and/or any services to the Client under the Agreement.
  NERICO BROTHERS保留權利,可於任何時間不時根據協議的條款,暫停或終止戶口的營運及/或根據協議向客戶提供的服務,並毋須給予任何理由或解釋。
 
18.2 The rights and obligations of the Client and NERICO BROTHERS in respect of the Account under the Agreement may be terminated by written notice given at any time by the Client to NERICO BROTHERS (or vice versa) and the termination shall only take effect on the 5th day after the receipt or deemed receipt of the written notice, whichever is the earlier, but without prejudice to any rights, powers or duties of NERICO BROTHERS or the Client in connection with the Account prior to the receipt of such notice, and such rights, powers, or duties shall continue to be governed by the provisions of the Agreement.
  客戶及NERICO BROTHERS對有關戶口之權利或義務,客戶均可於任何時間向NERICO BROTHERS(反之亦然)發出書面通知將其終止,而該權利或義務的終止將於收到該通知或被視為收到該通知(以較早者為準)後的第五(5)天生效,且收訖有關通知之前不損NERICO BROTHERS或客戶對有關戶口的任何權利、權力或責任,及上述權利、權力及責任,將會繼續受協議的條款約束。
 
19. Amendment修改
 
  To the extent as required and permitted by law, NERICO BROTHERS may from time to time amend any of the terms and conditions of this Agreement without prior notice to or approval from the Client and such amendments shall come into effect immediately upon the Client’s receipt or deemed receipt of NERICO BROTHERS's notification of such amendments. If the Client does not accept any such amendments, the Client shall have the option to terminate the Agreement by giving a written notice to NERICO BROTHERS in accordance with the provisions of the Agreement but without any right of recourse against NERICO BROTHERS.
  在法律容許之範圍內,NERICO BROTHERS可不時修訂協議之任何條件及細則,毋須事前通知客戶或取得客戶批准,該等修訂於客戶接獲或被視作接獲NERICO BROTHERS之通告時立即生效。倘客戶不接受NERICO BROTHERS通知之任何修訂,客戶將有權選擇以書面形式根據協議的條款通知NERICO BROTHERS終止協議,但不可對NERICO BROTHERS作出任何追究。
 
20. Miscellaneous一般規定
 
20.1 The Agreement shall be governed by and construed in accordance with the Hong Kong laws and its provisions shall be continuous; shall govern, individually and collectively, all accounts which the Client may open or held with NERICO BROTHERS; and shall enure to the benefit of, and bind NERICO BROTHERS, NERICO BROTHERS’s successors and assigns, whether by merger, consolidation or otherwise, as well as the heirs, executors, administrators, legatees, successors, personal representatives and assigns of the Client and the parties hereto agree to submit to the non-exclusive jurisdiction of the courts of Hong Kong. Each provision in the Agreement is severable and distinct from the other provisions. If at any time one or more of such provisions is or becomes invalid or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired.
  協議及其執行,應受香港法律管轄和解釋;條款亦必須持續有效,效力覆蓋客戶在NERICO BROTHERS開設或重新開設的個別及全部帳戶,並對NERICO BROTHERS、其業權繼承人與承讓人 (不論通過合併或其他方式) 及客戶的繼承人,遺囑執行人、遺產管理人、遺產承受人、遺產繼承人,法定代表及承讓人得益及具有約束力。客戶茲服從香港法院非唯一的審判權。如法庭判決協議某些字眼、句子、條款或段落不能執行或違法,協議其餘部份仍可執行及合法。
 
20.2 A failure or delay in exercising any right, power or privilege in respect of the Agreement by NERICO BROTHERS shall not operate as a waiver. A single or partial exercise of any right, power or privilege by NERICO BROTHERS shall not preclude any subsequent or further exercise of that right, power or privilege.
  縱然NERICO BROTHERS錯過或延誤行使根據協議的任何權利,權力或特權,並不會構成放棄行使該些權利,權力或特權。NERICO BROTHERS在每次或部份行使根據協議的任何權利,權力或特權時,並不會排除NERICO BROTHERS日後或進一步行使該些權利,權力或特權。
 
20.3 The Agreement supersedes all previous agreements representations and arrangements, if any, between the Client and NERICO BROTHERS in relation to the account(s) with NERICO BROTHERS.
  協議取代了在此之前NERICO BROTHERS與客戶有關帳戶的所有協議,商議和安排。
 
20.4 The Chinese version of the Agreement is for reference only. If there is any inconsistency between the Chinese and the English versions of the Agreement, the provisions of the English version shall prevail.
  協議的中文本只供參考之用。如協議中文本與英文本內容有衝突,一概以英文本為準。
 
20.5 None of the rights or obligations of the Client hereunder shall be assignable in any manner without the prior written consent of NERICO BROTHERS. NERICO BROTHERS may, however, assign or transfer all or any of its rights and/or obligations herein subject to the Client being given prior written notice of the same.
  在未得NERICO BROTHERS的事前的書面同意前,客戶不得將協議的任何權利或義務作出任何形式的轉讓。但NERICO BROTHERS則可於給予客戶事前的書面通知後,轉讓或轉移協議的所有或部份的權利及/或義務。
 
21. Dispute爭議
 
  Any controversy between NERICO BROTHERS and the Client shall be settled by arbitration in accordance with the provisions of the arbitration rules of the board of arbitration (if any) of the organized market or board of trade or exchange upon which the transaction giving rise to such controversy was effected or (without limitation to the foregoing) in any other arbitral forum, provided that NERICO BROTHERS only, in the sole discretion of NERICO BROTHERS, may at any time before the hearing of the arbitration give notice to the Client in writing that NERICO BROTHERS veto either the arbitral forum or the arbitration of such controversy. The sole obligation of either NERICO BROTHERS or the Client under any claims in court of law by the other shall be to pay such sum as may be awarded under arbitration pursuant to this clause, except where NERICO BROTHERS shall have vetoed such arbitration. Any award resulting from such arbitration shall be final, and a judgment upon the award rendered may be entered in any court having jurisdiction.
  NERICO BROTHERS和客戶之間產生的任何爭議,必須由產生該爭議的交易所受制的有組織市場或交易委員會的仲裁委員會,按仲裁條例的規定通過仲裁解決或(不限制上述方式的情況下)在任何其他的仲裁法庭內解決,但NERICO BROTHERS必須給予可以自行在仲裁聆訊前的任何時候以書面形式通知客戶,否決該仲裁法庭或該爭議的仲裁的權利。除非NERICO BROTHERS否決了該仲裁,否則另一方在法庭提起的索償,NERICO BROTHERS或客戶唯一的義務就是支付在本條款下經仲裁裁決的金額。該仲裁產生的任何裁決都應是最終的,裁決的任何判決都可列入任何有司法管轄權的法院。
 
APPENDIX 1附件一
 
RISK DISCLOSURE STATEMENTS AND DISCLAIMER 風險披露聲明及免責聲明
 
The following risk disclosure statements are provided pursuant to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission of Hong Kong
以下的風險披露聲明是根據《證券及期貨事務監察委員會持牌人或註冊人操守準則》的要求予以提供:
1. RISK OF SECURITIES TRADING證券交易的風險
  The prices of securities fluctuate, sometimes dramatically. The price of a security may move up or down, and may become valueless. It is as likely that losses will be incurred rather than profit made as a result of buying and selling securities
  證券價格有時可能會非常波動。證券價格可升可跌,甚至變成毫無價值。買賣證券未必一定能夠賺取利潤,反而可能會招致損失。
 
2. RISK OF MARGIN TRADING 保證金買賣的風險
  The risk of loss in financing a transaction by deposit of collateral is significant. You may sustain losses in excess of your cash and any other assets deposited as collateral with the licensed or registered person. Market conditions may make it impossible to execute contingent orders, such as “stop-loss” or “stop-limit” orders. You may be called upon at short notice to make additional margin deposits or interest payments. If the required margin deposits or interest payments are not made within the prescribed time, your collateral may be liquidated without your consent. Moreover, you will remain liable for any resulting deficit in your account and interest charged on your account. You should therefore carefully consider whether such a financing arrangement is suitable in light of your own financial position and investment objectives.
  籍存放抵押品而為交易取得融資的虧損風險可能極大。你所蒙受的虧損可能會超過你存放於有關持牌人或註冊人作為抵押品的現金或任何其他資產。市場情況可能使備用交易指示,例如“止蝕”或 “限價”指示無法執行。你可能會在短時間內被要求存入額外的保證金款額或繳付利息。假如你未能在指定的時間內支付所需的保證金款額或利息,你的抵押品可能會在未經你的同意下被變現。此外,你將要為你的賬戶內因此而出現的任何短欠數額及需繳付的利息負責。因此,你應根據本身的財政狀況及投資目標,仔細考慮這種融資安排是否適合你。
 
3. RISK OF TRADING GROWTH ENTERPRISE MARKET STOCKS買賣創業板股份的風險
  Growth Enterprise Market (“GEM”) stocks involve a high investment risk. In particular, companies may list on GEM with neither a track record of profitability nor any obligation to forecast future profitability. GEM stocks can be very volatile and illiquid.
  創業板股份涉及很高的投資風險。尤其是該等公司可在無需具備盈利往績及無需預測未來盈利的情況下在創業板上市。創業板股份可能非常波動及流通性很低。
  You should make the decision to invest only after due and careful consideration. The greater risk profile and other characteristics of GEM mean that it is a market more suited to professional and other sophisticated investors.
  你只應在審慎及仔細考慮後,才作出有關的投資決定。創業板市場的較高風險性質及其他特點,意味著這個市場較適合專業及其它熟悉投資技巧的投資者。
  Current information on GEM stocks may only be found on the internet website operated by The Stock Exchange of Hong Kong Limited. GEM Companies are usually not required to issue paid announcements in gazetted newspapers.
  有關創業板股份的最新資料只可以在香港聯合交易所有限公司所操作的互聯網站上找到。創業板上市公司一般毋須在憲報指定的報章刊登付費公告。
  You should seek independent professional advice if you are uncertain of or have not understood any aspect of this risk disclosure statement or the nature and risks involved in trading of GEM stocks.
  假如你對本風險披露聲明的內容或創業板市場的性質及在創業板買賣的股份所涉風險有不明白之處,應尋求獨立的專業意見。
 
4. RISKS OF CLIENT ASSETS RECEIVED OR HELD OUTSIDE HONG KONG在香港以外地方收取或持有的客戶資產的風險
  Client assets received or held by the licensed or registered person outside Hong Kong are subject to the applicable laws and regulations of the relevant overseas jurisdiction which may be different from the Securities and Futures Ordinance (Cap.571) and the rules made therein. Consequently, such client assets may not enjoy the same protection as that conferred on client assets received or held in Hong Kong.
  持牌人或註冊人在香港以外地方收取或持有的客戶資產,是受到有關海外司法管轄區的適用法律及規例所監管的。這些法律及規例與《證券及期貨條例》(第571章)及根據該條例制訂的規則可能有所不同。因此,有關客戶資產將可能不會享有賦予在香港收取或持有的客戶資產的相同保障。
 
5. RISK OF PROVIDING AN AUTHORITY TO REPLEDGE YOUR SECURITIES COLLATERAL ETC. 提供將你的證券抵押品等再質押的授權書的風險
  There is risk if you provided the licensed or registered person with an authority that allows it to apply your securities or securities collateral pursuant to a securities borrowing and lending agreement, repledge your securities collateral for financial accommodation or deposit your securities collateral as collateral for the discharge and satisfaction of its settlement obligations and liabilities.
  向持牌人或註冊人提供授權書,容許其按照某份證券借貸協議書使用你的證券或證券抵押品、將你的證券抵押品再質押以取得財務通融,或將你的證券抵押品存放為用以履行及清償其交收責任及債務的抵押品,存在一定風險。
  If your securities or securities collateral are received or held by the licensed or registered person in Hong Kong, the above arrangement is allowed only if you consent in writing. Moreover, unless you are a professional investor, your authority must specify the period for which it is current and be limited to not more than 12 months. If you are a professional investor, these restrictions do not apply.
  假如你的證券或證券抵押品是由持牌人或註冊人在香港收取或持有的,則上述安排僅限於你已就此給予書面同意的情況下方行有效。此外,除非你是專業投資者,你的授權書必須指明有效期,而該段有效期不得超逾12個月。若你是專業投資者,則有關限制並不適用。
  Additionally, your authority may be deemed to be renewed (i.e. without your written consent) if the licensed or registered person issues you a reminder at least 14 days prior to the expiry of the authority and you do not object to such deemed renewal before the expiry date of your then existing authority.
  此外,假如你的持牌人或註冊人在有關授權的期限屆滿前最少14日向你發出有關授權將被視為已續期的提示,而你對於在現在有授權的期限屆滿前以此方式將該授權延續不表示反對,則你的授權將會在沒有你的書面同意下被視為已續期。
  You are not required by any laws to sign these authorities. But an authority may be required by licensed or registered persons, for example, to facilitate margin lending to you or to allow your securities or securities collateral to be lent to or deposited as collateral with third parties. The licensed or registered person should explain to you the purposes for which one of these authorities is to be used.
  現時並無任何法例規定你必須簽署這些授權書。然而,持牌人或註冊人可能需要授權書,以便例如向你提供保證金貸款或獲准將你的證券或證券抵押品借出予第三方或作為抵押品存放於第三方。有關持牌人或註冊人應向你闡釋將為何種目的而使用授權書。
  If you sign one of these authorities and your securities or securities collateral are lent to or deposited with third parties, those third parties will have a lien or charge on your securities or securities collateral. Although the licensed or registered person is responsible to you for securities or securities lent or deposited under your authority, a default by it could result in the loss of your securities or securities collateral.
  倘若你簽署授權書,而你的證券或證券抵押品已借出予或存放於第三方,該等第三方將對你的證券或證券抵押品具有留署權或作出押記。雖然有關持牌人或註冊人根據你的授權書而借出或存放屬於你的證券或證券抵押品須對你負責,但上述持牌人或註冊人的違責行為可能會導致你損失你的證券或證券抵押品。
  A cash account not involving securities borrowing and lending is available from most licensed or registered persons. If you do not require margin facilities or do not wish your securities or securities collateral to be lent or pledged, do not sign the above authorities and ask to open this type of cash account.
  大多數持牌人或註冊人均提供不涉及證券借貸的現金賬戶。假如你毋需使用保證金貸款,或不希望本身證券或證券抵押品被借出或遭抵押,則切勿簽署上述的授權書,並應要求開立該等現金賬戶。
 
6. RISK OF TRADING NASDAQ-AMEX SECURITIES AT THE STOCK EXCHANGE OF HONG KONG LIMITED 在香港聯合交易所有限公司買賣納斯逹克―美國證券交易所證券的風險
  The securities under the Nasdaq-Amex Pilot Program (“PP”) are aimed at sophisticated investors. You should consult the licensed or registered person and become familiarized with the PP before trading in the PP securities. You should be aware that the PP securities are not regulated as a primary or secondary listing on the Main Board or the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited.
  按照納斯達克―美國證券交易所試驗計劃(試驗計劃)之下的證券是為熟悉投資技巧的投資者而設的。你在買賣該項試驗計劃的證券之前,應先諮詢有關持牌人或註冊人的意見和熟悉該項試驗計劃。你應知悉,按照該項試驗計劃證券並非以香港聯合交易所有限公司的主板或創業板作第一或第二上市的證券類別加以監管。
 
7. 7. RISK OF PROVIDING AN AUTHORITY TO HOLD MAIL OR TO DIRECT MAIL TO THIRD PARTIES提供代存郵件或將郵件轉交第三方的授權書的風險
  If you provide the licensed or registered person with an authority to hold mail or to direct mail to third parties, it is important for you to promptly collect in person all contract notes and statements of your account and review them in detail to ensure that any anomalies or mistakes can be detected in a timely fashion.
  假如你向持牌人或註冊人提供授權書,允許他代存郵件或將郵件轉交予第三方,那麼你便須盡速親身收取有關於你賬戶的成交單據及結單,並加以詳細閱讀,以確保可及時察到任何差異或錯誤。
  Note for licensed or registered persons 持牌人或註冊人注意事項
  The licensed or registered person should confirm with the Client at least on an annual basis whether that Client wishes to revoke the authority. For the avoidance of doubt, it will be acceptable for the licensed or registered person to send a notification to the Client before the expiry date of the authority and inform the Client that it is automatically renewed unless the Client specifically revokes it in writing before the expiry date.
  持牌人或註冊人應至少每年與客戶確認到底該客戶是否希望撤銷該項授權。為了清楚說明起見,持牌人或註冊人只需在該項授權屆滿的日期之前通知有關客戶,指明除非客戶在委託授權屆滿的日期前以書面明確地撤銷該項授權,否則該項授權便會自動續期。
 
8. ADDITIONAL TRADING RISKS其他買賣風險
 
  1. Deposited cash and property – You should familiarize yourself with the protections given to money or other property you deposit for domestic and foreign transactions, particularly in the event of a firm insolvency or bankruptcy. The extent to which you may recover your money or property may be governed by specific legislation or local rules. In some jurisdictions, property which had been specifically identifiable as you own may be pro-rated in the same manner as cash for purposes of distribution in the event of a shortfall.
    存放的現金及財產 - 如果你為在本地或海外進行的交易存放款項或其他財產,你應瞭解清楚該等款項或財產會獲得那些保障,特別是在有關商號破產或無力償還債時的保障。至於能追討多少款項或財產一事,可能須受限於具體法例規定或當地的規則。在某些司法管轄區,收回的款項或財產入有不足之數,則可認定屬於你的財產將會如現金般按比例分配予你。
  2. Commission and other charges – Before you begin to trade, you should obtain a clear explanation of all commission, fees and other charges for which you may be liable. These charges will affect your net profit (if any) or increase your loss.
    佣金及其它收費 - 在開始交易之前,你先要清楚瞭解你必須繳付的所有佣金,費用或其他收費。這些費用將直接影響你可獲得的淨利潤(如有)或增加你的虧損。
  3. Transactions in other jurisdictions – Transactions on markets in other jurisdictions, including markets formally linked to a domestic market, may expose you to additional risk. Such markets may be subject to regulations which may offer different or diminished investor protection. Before you trade, you should enquire about any rules relevant to your particular transactions in those jurisdictions. Your local regulatory authority will be unable to compel the enforcement of the rules of regulatory authorities or markets in other jurisdictions where your transactions have been effected. You should ask for details about the types of redress available in both your home jurisdiction and other relevant jurisdictions before you start to trade.
    在其他司法管轄區進行交易 - 在其他司法管轄區的市場(包括與本地市場有正式連繫的市場)進行交易,或會涉及額外的風險。根據這些市場的規例,投資者享有的保障程度可能有所不同,甚或有所下降。在進行交易前,你應先行查明在那些司法管轄區有關你將進行的該項交易的所有規則。你本身所在地的監管機構,對於你已執行的交易所在地的所屬司法管轄區的監管機構或市場,將不能迫使他們執行有關的規則。有鑒於此,在進行交易前,你應先查詢你本身地區所屬的司法管轄區及其他有關司法管轄區可提供那種補救措施的詳情。
  4. Currency risks – the profit or loss in transactions in foreign currency-denominated assets (whether they are traded in your own or another jurisdiction) will be affected by fluctuations in currency rates where there is a need to convert from the currency denomination of the assets to another currency.
    貨幣風險 - 以外幣計算的資產買賣所帶來的利潤或招致的虧損(不論交易是否在你本身所在的司法管轄區或其他地區進行),均會在需要將資產的貨幣單位兌換成另一個種時受到匯率波動的影響。
 
9. RISK ASSOCIATED WITH ELECTRONIC COMMUNICATION電子通訊相關的風險
  The Internet or other electronic communication system, due to unpredictable traffic congestion and other reasons, may not be reliable medium of communication and that such unreliability is beyond the control of the licensed or registered person. This may give rise to situations including delays in transmission and receipt of your instructions or other information, delays in execution or execution of your instructions at prices different from those prevailing at the time your instructions were given, misunderstanding and errors in any communication between you and the licensed or registered person and so on. Whilst the licensed or registered person will take every possible step to safeguard its systems, Client information, accounts and assets held for the benefit of its Clients, you accept the risk of conducting transactions via electronic communication systems.
  基於互聯網或其他電子通訊系統可能遇到未可預計的網路擠塞情況及其它原因,因此電子通訊系統可能並非是可靠的通訊途徑,而這種不可靠性並非持牌人或註冊人所能控制。這可能會導致下列情況,包括: 在傳送或收取你的指示或其他資料時有所延誤、延誤執行買賣盤或有關買賣盤以有別於你落盤時的市價執行、你與持牌人或註冊人進行通訊時出現誤解及錯誤等等。儘管持牌人或註冊人將會採取一切可行的步驟去保障其系統、顧客資料、賬戶及為客戶利益而持有的資產,你接納透過電子通訊系統進行交易所涉及的風險。
 
10. RISK ASSOCIATED WITH DERIVATIVE PRODUCTS TRADED ON HONG KONG EXCHANGES AND CLEARING LIMITED(“HKEx”) 在香港交易及結算所有限公司(「香港交易所」)買賣的衍生產品所附帶的風險
 
  1. Derivative product investors are subject to the default risk of the product issuer. If the product issuer becomes insolvent and defaults on its obligations under the derivative product, the investors may not receive any payment from the product issuer and will lose their entire investment in the derivative product.
    衍生產品投資者需承受產品發行人之失責風險。倘若產品發行人破產及未能履行其對衍生產品的責任,投資者可能無法從產品發行人取回任何款項,並損失全數於衍生產品投資的金額。
  2. The prices of derivative products may fall as rapidly as they may rise and may become valueless. The prices of derivative products may not match their theoretical price owing to external influences like market supply and demand factors. Their actual traded prices accordingly can be higher or lower than their theoretical prices.
    衍生產品的價格可急升亦可急跌,更可能變成毫無價值。衍生產品的價格可能因外來因素如市場供求而有別於理論價。因此衍生產品的實際買賣價可能高於或低於理論價。
  3. The HKEx requires derivative product issuers to appoint a liquidity provider for derivative products, who will provide two way quotes to facilitate trading of the derivative product. If the liquidity provider defaults or ceases to perform its role, investors may not be able to buy or sell the product until a new liquidity provider is appointed and performs.
    香港交易所要求衍生產品發行人為衍生產品委任一名流通量提供者,為衍生產品提供兩邊開盤方便買賣。若有流通量提供者失責或停止履行其職責,投資者或就不能進行買賣,直至有新的流通量提供者獲委任並履行其職責為止。
  4. Investors trading derivative products with underlying assets not denominated in Hong Kong dollar are subject to exchange rate risk. Currency rate fluctuations will adversely impact the underlying asset value as well as the derivative product price. Furthermore, if the relevant foreign currency is subject to exchange control, investors will need to convert the local currency into the relevant foreign currency for investing in that derivative product and it remains possible that investors may not receive the relevant foreign currency on redemption or sale of that derivative product.
    若投資者所買賣之衍生產品的基礎資產並非以港幣為單位,投資者需面對外匯風險。貨幣兌換率的波動可對基礎資產價值及衍生產品價格造成負面影響。此外,如相關外幣受外匯管制,投資者則須將本地貨幣兌換成相關外幣以投資於該衍生產品,衍生產品獲贖回或出售,投資者亦可能不會收回相關外幣。
  5. Uncollateralized derivative products are not asset-backed. In the event of the product issuer’s bankruptcy, investors can lose their entire investment in the derivative product. Investors should carefully read the listing/offering documents to determine if a derivative product is uncollateralized.
    非抵押衍生產品並没有資產作擔保。倘若產品發行商破產,投資者可損失全數於衍生產品投資的金額。要確定衍生產品是否非抵押衍生產品,投資者須細閱該產品之上市/銷售文件。
  6. Callable Bull / Bear Contracts (“CBBCs”) and Derivative Warrants (“DWs”) are leveraged products. The prices of CBBCs and DWs fluctuate and may dramatically and swiftly change in value to a much greater extent than the underlying assets. Assuming all other factors remain unchanged, the prices of CBBCs and DWs will decrease over time as they approach their expiry dates and they should not be held as long term investments. CBBCs and DWs have expiry dates and can become valueless after their expiry.
    牛熊證及衍生權證屬於槓桿產品。相對其基礎資產,牛熊證及衍生權證價格可能會以更大程度顯著及快速地改變。若其他情況不變,牛熊證及衍生權證愈接近到期日價格會愈低,因此不應作為長線投資。牛熊證及衍生權證設有到期日,而在到期日後更可變成毫無價值。
  7. CBBCs have mandatory call feature and are therefore subject to early termination, upon which investors can lose all of their investments.
    牛熊證設有強制收回機制,因此有可能被提前終止而投資者則可損失全部投資。
  8. Tracking error refers to the difference between the performance of an Exchange Traded Fund (“ETF”) and its underlying benchmark. Tracking errors can arise owing to factors like the impact of transaction expenses and fees incurred to the ETF, changes in the composition of the underlying benchmark and changes of the type of ETF. Besides, an ETF may be traded at discount or premium to its net asset value. The price discrepancy is caused by supply and demand factors, and may be likely to emerge during periods of high market volatility and uncertainty. This phenomenon may also be observed for ETFs which track specific markets or sectors that are subject to direct investment restrictions.
    追蹤誤差指交易所買賣基金的表現與相關基準的表現差距,追蹤誤差出現可以是由於不同因素出現如交易所買賣基金的交易費及其他費用、相關基準改變組合或交易所買賣基金種類改變。此外,交易所買賣基金的價格可能會高於或低於其資產淨值,當中原因可以是供求因素的問題,在市場大幅波動兼變化不定期間尤其多見,專門追蹤一些對直接投資設限的市場/行業的交易所買賣基金亦可能有此情況。
 
11. ADDITIONAL RISK OF TRADING IN RENMINBI (“RMB”)-DENOMINATED SECURITIES 人民幣計價證券交易的額外風險
 
  1. Investment risk投資風險
    Like any securities investment, the prices of RMB securities may fluctuate, sometimes dramatically. The price of a RMB security may move up or down, and may become valueless. It is as likely that losses will be incurred rather than profit made as a result of buying and selling RMB securities. Investors may also suffer a loss even if RMB appreciates against Hong Kong dollars or other currencies.
    與任何證券投資一樣,人民幣證券價格有時可能會非常波動。人民幣證券價格可升可跌,甚至變成毫無價值。買賣人民幣證券未必一定能夠賺取利潤,反而可能會招致損失。即使人民幣相對港幣或其他貨幣升值,投資者亦可能遭受損失。
  2. Currency risk貨幣風險
    Investing in RMB securities involves currency risk. RMB is not yet freely convertible in Hong Kong, and is subject to foreign exchange controls and restrictions. Particularly, conversion of RMB through banks in Hong Kong is subject to certain restrictions. It may be difficult for investors to convert RMB into Hong Kong dollars or other currencies or vice versa at any specific time, and conversion will be subject to conversion costs.
    投資人民幣證券涉及貨幣風險。人民幣現時並非可自由兌換,並受限於外匯管制及限制。尤其,經香港銀行進行人民幣兌換須受一定限制。投資者有可能難以在某時間將人民幣兌換港元或其他外幣,反過來亦然;而兌換亦有兌換成本。
    In addition, the value of RMB against Hong Kong dollars or other foreign currencies may be affected by a wide range of factors. There is no guarantee that RMB will not depreciate. A depreciation of RMB may result in a decrease in the market value of the RMB securities and the realization price of the RMB securities. For non-RMB based investors who are trading in RMB securities, they may also sustain loss in the event that they subsequently convert any RMB proceeds back to Hong Kong dollars or other base currencies.
    此外,人民幣相對於港元或其他外幣的價值可受到諸多因素的影響。並無保證人民幣不會貶值。人民幣一旦貶值,會導致人民幣證券的市值以及人民幣證券變現價格的降低。不以人民幣為基準貨幣的投資者如進行人民幣證券交易,可能還會在其以後將交易所得的人民幣款項兌換回港元或其他基準貨幣時遭受損失。
    There are also significant restrictions on the remittance of RMB into and out of the PRC. If the issuer of the RMB securities is not able to remit RMB to Hong Kong or make distributions in RMB due to exchange controls or other restrictions, the issuer may make distributions (including dividends and other payments) in other currencies. Investors may therefore be exposed to additional foreign exchange risk.
    人民幣匯入及匯出中國境外受到很大的限制。如由於外匯管制或其他限制措施,人民幣證券的發行人不能將人民幣匯入香港或不能以人民幣做出分配,則該發行人可能會以其他貨幣做出分配(包括股息及其他支付)。投資者可能會因而承受額外的外匯風險。
  3. Liquidity risk流動性風險
    The liquidity and trading price of RMB securities may be adversely affected by the limited availability of RMB outside the PRC and the restrictions on the conversion of RMB. These factors may affect the amount of liquidity in RMB for investors and accordingly adversely affect the market demand for RMB securities.
    由於中國境外可獲得的人民幣有限,人民幣的兌換又受到限制,人民幣證券的流動性和交易價格可能受到不利影響。這些因素可對投資者的人民幣流動性造成影響,因而給人民幣證券的市場需求造成不利影響。
    In addition, RMB securities are a new type of investment product in Hong Kong and there is no assurance that there will be a liquid secondary market in RMB securities. Investors may therefore not be able to dispose of the RMB securities at such prices, in such amounts and/or at such times at which they would wish to, or which they may otherwise be able to in respect of Hong Kong dollar denominated securities listed on The Stock Exchange of Hong Kong Limited. As a result of such liquidity risk, the trading price may not fully reflect the intrinsic value of the RMB securities.
    此外,人民幣證券在香港屬於新投資產品,並無保證人民幣證券會有一個流動性充分的二級市場。因此投資者可能無法按其希望的價格、數量及/或時間,或者無法按照其能夠出售在香港聯合交易所有限公司上市的港元計價證券的價格、數量及/或時間,出售人民幣證券。由於此種流動性風險,交易價格可能並不完全反映人民幣證券的內在價值。
  4. Other risks其他風險
    The above represents only some of the risks generally associated with trading in RMB securities. RMB securities are also exposed to risk that are inherent in all investments such as default risk, counterparty risk, credit risk, market risk, interest rate risk etc. (where applicable). An investor should read the relevant prospectus or offering document for detailed information about the proposed offer and risk associated with the relevant RMB security and consider if the investment is suitable in light of his/her financial position, risk profile and other circumstances before deciding whether to invest in the relevant RMB security. Where in doubt, investors should consult their legal, financial or other professional adviser before making any investment decision.
    以上陳述只提及交易人民幣證券一般常見的風險。人民幣證券亦涉及其他任何投資的固有風險,例如違約風險、交易對手風險、信貸風險、市場風險、利率風險等(如適用)。投資者在決定是否投資於有關人民幣證券之前‧應先閱讀有關招股章程或銷售文件,以瞭解該建議發售之詳細資料及有關人民幣證券涉及的風險,並應就本身的財務、風險概況及其他狀況,詳細考慮投資有關人民幣證券是否切合本身特定的投資需要。如有任何疑問,投資者應在作出有關投資決定前向其法律、財務或其他專業顧問尋求建議。
 
DISCLAIMER免責聲明
The Stock Exchange of Hong Kong Limited endeavours to ensure the accuracy and reliability of the Information provided but does not guarantee its accuracy or reliability and accepts no liability (whether in tort or contract or otherwise) for any loss or damage arising from inaccuracies or omissions.
香港聯合交易所有限公司盡力確保所提供之資料準確及可靠,但不保證該等資料之準確性或可靠性,亦不對任何因資料不確或遺漏所引致之損失或損害承擔任何責任(不論是民事侵權行為責任或合約責任或其他責任)。
  基於互聯網或其他電子通訊系統可能遇到未可預計的網路擠塞情況及其它原因,因此電子通訊系統可能並非是可靠的通訊途徑,而這種不可靠性並非持牌人或註冊人所能控制。這可能會導致下列情況,包括: 在傳送或收取你的指示或其他資料時有所延誤、延誤執行買賣盤或有關買賣盤以有別於你落盤時的市價執行、你與持牌人或註冊人進行通訊時出現誤解及錯誤等等。儘管持牌人或註冊人將會採取一切可行的步驟去保障其系統、顧客資料、賬戶及為客戶利益而持有的資產,你接納透過電子通訊系統進行交易所涉及的風險。
 
APPENDIX 2附件二
 
NOTICE TO CLIENTS RELATING TO PERSONAL DATA (PRIVACY) ORDINANCE (THE “ORDINANCE”) 個人資料(私隱)條例(「條例」)客戶通知
 
This notice sets out the data policies of Nerico Brothers Limited (“NERICO BROTHERS”). The provisions of this Notice form part of the Account Terms and Conditions and/or the Agreement and/or arrangements that a Client enters into with NERICO BROTHERS. If any inconsistency is found, the provisions of this Notice shall prevail.
本通告列載NERICO BROTHERS環球投資有限公司(“NERICO BROTHERS”)的資料政策。本通告的條文構成客戶所持有的NERICO BROTHERS帳戶的條款及細則及/或客戶與NERICO BROTHERS訂立的協議或安排的一部份。如有任何岐義,概以本通告的條文為準。
 
1. From time to time, it is necessary for clients to supply Nerico Brothers Limited (“NERICO BROTHERS”) with data in connection with the opening or continuation of accounts and the establishment or continuation of credit facilities or provision of financial products brokerage, nominee and investment advisory service. At the same time, some of the data are collected pursuant to laws, regulations, rules or codes binding on NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies.
  客戶需不時地向NERICO BROTHERS環球投資有限公司(“NERICO BROTHERS”)提供與開設或維持帳戶、開設或維持貸款融資或者與金融產品經紀、股票託管和投資諮詢服務有關的資料。同時,有一部份資料是根據對NERICO BROTHERS或NERICO BROTHERS之聯營公司具約束力的法律、規定、規則或守則加以收集的。
 
2. 2. Failure to supply such data may result in NERICO BROTHERS being unable to open or continue accounts or establish or continue credit facilities or provide financial products brokerage, nominee and investment advisory services.
  如客戶未能提供該等資料,可能導致NERICO BROTHERS無法代理客戶開設或維持帳戶,或開設或維持貸款融資,或提供金融產品經紀、股票託管和投資諮詢服務。
 
3. It is also the case that the data are collected from clients in the ordinary course of the continuation of the business relationship.
  所有資料均以維持正常業務聯繫的需要而向客戶收集的。
 
4. The purpose for which data relating to a client may be used are as follow
  與客戶有關的資料主要有如下用途:
 
  1. the daily operation of the services and credit facilities provided to clients;
    為客戶提供日常運作服務和貸款融資服務;
  2. conducting credit checks;
    進行信貸檢查;
  3. ensuring ongoing credit worthiness of customers;
    確保客戶的信用維持良好;
  4. assisting other financial institutions to conduct credit checks;
    協助其他財務機構進行信貸檢查;
  5. designing financial services or related products for clients’ use;
    根據客戶的需要設計有關的財務服務或相關產品;
  6. determining the amount of indebtedness owed to or by clients;
    確定欠付客戶或客戶欠付的債務款項;
  7. collection of amount outstanding from clients and those providing security for clients’ obligation;
    向客戶或為客戶責任提供擔保的人士收回虧欠的款項;
  8. (viii) meeting the requirements to make disclosure under the requirements of any laws, regulations, rules, codes binding on NERICO BROTHERS or any NERICO BROTHERS’s Associated Companies; and
    根據對NERICO BROTHERS或NERICO BROTHERS之聯營公司具約束力的法律、規定、規則或守則的要求作出披露; 及
  9. purposes ancillary or relating thereto.
    其他附帶或相關用途。
  10. Use of data in direct Marketing
    在直銷推廣中使用資料


    NERICO BROTHERS intends to use the client’s data in direct marketing and NERICO BROTHERS requires client’s consent (which includes an indication of no objection) for that purpose. If client does not wish NERICO BROTHERS to use his/her data for use in direct marketing, client may exercise his/her opt-out right by notifying NERICO BROTHERS at any time and without charge. (To opt-out, please send your request to our customer services with your account number, phone number or other contact information by email enquiry@nericobrothers.com , fax (852) 3101-4007 or post to Rm 1101, 11/F, Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong)
    NERICO BROTHERS擬把客戶的資料用於直銷推廣,而NERICO BROTHERS為該用途須獲得客戶同意(包括表示不反對)。如客戶不希望NERICO BROTHERS將其資料用於直銷推廣用途,客戶可隨時通知NERICO BROTHERS以行使其拒絕直銷推廣的權利,此安排並不收取任何費用。(如選擇拒絕直銷推廣,請以書面形式將閣下的意願連同閣下的帳戶號碼、聯絡電話等資料通知我們客戶服務部,電郵地址: enquiry@nericobrothers.com 、傳真:(852) 3101-4007、郵寄地址:香港銅鑼灣希慎道33號利園一期11樓1101室。)
 
5. Data held by NERICO BROTHERS relating to a client will be kept confidential but NERICO BROTHERS may provide such information to the following parties within or outside Hong Kong to the extent permitted by law:-
  NERICO BROTHERS持有的客戶資料將會保密,NERICO BROTHERS僅會於法律允許範圍下向下列香港以內或以外人士提供客戶資料:
 
  1. any agent, contractor or third party service provider who provides administrative, telecommunications, computer, payment or financial products clearing, printing or other services to NERICO BROTHERS in connection with the operation business;
    向NERICO BROTHERS提供與業務活動有關的管理、電訊、電腦、款項或金融產品結算、印刷或其他服務的任何代理人、合約商或者第三方服務提供者;
  2. any other companies within NERICO BROTHERS’s Associated Companies , including the parent company;
    NERICO BROTHERS之聯營公司內的任何其他公司,包括母公司;
  3. any other person under a duty of confidentiality to NERICO BROTHERS including a company of NERICO BROTHERS’s Associated Companies which has undertaken to keep such information confidential;
    遵守NERICO BROTHERS保密原則的任何其他人,包括已承諾將上述資料保密的NERICO BROTHERS之聯營公司;
  4. any financial institution with which the client has or proposes to have dealings;
    客戶與之有業務往來或即將有業務往來的金融機構;
  5. any actual or proposed assignee of NERICO BROTHERS or participant or sub-participant or transferee of NERICO BROTHERS’s right in respect of the client;
    NERICO BROTHERS的任何實際或建議承讓人,或者與客戶相關的NERICO BROTHERS之權益參與人或次參與人或轉讓人;
  6. any other person when we are compelled to make disclosure under the requirements of any laws binding on NERICO BROTHERS or any of NERICO BROTHERS’s Associated Companies;
    根據對NERICO BROTHERS或NERICO BROTHERS之聯營公司具約束力的法律要求必須向其作出披露的任何其他人士;
  7. any person with the Client’s express or implied consent;
    經客戶明示或默示同意的任何人士;
  8. any person in the event that NERICO BROTHERS’s interests require disclosure;
    NERICO BROTHERS因本身利益需要而必須對其作出披露的任何人士;
 
6. In the course of performing our duties, NERICO BROTHERS may, as permitted by law, match, compare, transfer or exchange any personal data provided by the Client, or hereafter obtained, for these or any other purposes by NERICO BROTHERS, with data held by government bodies, other regulatory authorities, corporations, organizations or individuals in Hong Kong or overseas for the purpose of verifying those data.
  在履行本身的業務活動過程中,NERICO BROTHERS可能在法律允許的範圍內,把客戶所提供的或NERICO BROTHERS其後為此目的或其他目的所獲得的客戶個人資料與香港及海外的政府機構、其他監管機構、公司、組織或個人所持的資料進行校對、比較、轉換或交換,以便確認該等資料的可靠性。
 
7. Under and in accordance with the terms of the Ordinance, any individual :
  在符合條例之條款的情況下及按照條例的條款,任何人士:
 
  1. Has the right to check whether NERICO BROTHERS holds data about him/her and the right of access to such data;
    有權查詢NERICO BROTHERS是否持有他/她的資料並有權取得該等資料;
  2. Has the right to require NERICO BROTHERS to correct any data relating to him/her which in inaccurate; and
    有權要求NERICO BROTHERS更改有關他/她的不正確資料; 及
  3. Has the right to ascertain NERICO BROTHERS’s policies and practices in relation to data and to be informed of the kind of personal data held by NERICO BROTHERS.
    有權查詢NERICO BROTHERS擁有該些資料的政策和應用範圍,並可了解NERICO BROTHERS所持有的私人資料的種類。
 
8. In accordance with the terms of the Ordinance, NERICO BROTHERS has the right to charge a reasonable fee for the processing of any data access request.
  在符合條例之條款情況下,本集團有權對資料查詢人士收取合理的費用。
 
9. The person to whom requests for access to data or correction of data or for information regarding policies and practices and kinds of data held are to be addressed is as follows
  任何人士如欲查詢資料或更正資料或查詢有關政策和應用範圍以及私人資料的種類等資料,請隨時致函
 
  The Data Protection Officer資料保護主任
Nerico Brothers Limited

Rm 1101, 11/F, Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong
香港銅鑼灣希慎道33號利園一期11樓1101室