浅白语言统现金客户协议书
致：_________／吾等（请填写姓名／名称）_________兹求阁根列条款条件／吾等运作现金证券买卖户口（「户口」）：1．户口 1．1 ／吾等确认「开户资料表格」载资料均属完整正确该等资料变更／吾等会通知阁／吾等特授权阁／吾等信进行查询核实述表格载资料 1．2 阁会／吾等户口关资料予保密阁根联交证监会规定应求该等资料提供予联交证监会2．法例规 阁／吾等指示进行切证券交易（「交易」）须根适阁切法例规监指示规定进行方面规定包括联交香港中央结算限公司（「中央结算公司」）规阁根该等法例规指示采取行动均／吾等具约束力3．交易 3．1 阁（关交易成交单合约单）注明已身名义进行交易外 阁／吾等代理身份进行交易 3．2 沽盘关非／吾等拥证券涉卖空交易／吾等会通知阁 3．3 ／吾等会交易支付阁通知／吾等佣金收费缴付联交征收适征费缴纳关印花税阁户口中扣该等佣金收费征费税项 3．4 宗交易协议外非阁已代／吾等持现金证券供交易交收否／吾等会阁该项交易通知／吾等期限前阁交付实时动资金交付证券方式确保阁收等资金证券／吾等未样做阁（属买入交易）出售买入证券〉（属卖出交易）入／买入证券进行交易交收 3．5 ／吾等会负担阁／吾等未进行交收引起损失开支
3．6 ／吾等意逾期未付款项（包括／吾等裁定欠付债务引起利息）阁时通知／吾等利率条款支付利息 3．7 买入交易言卖方纪未交收日交付证券导致阁须买入证券进行交收／吾等毋须买入该等证券费阁负责4．证券保 4．1 阁寄存妥保证券阁酌情决定：（属注册证券）／吾等名义阁代理名义注册存放阁银行提供文件保设施机构妥保属香港证券该机构应证监会认提供保服务机构 4．2 证券未／吾等名义注册阁收该等证券获派股息利益时须／吾等阁协议记入／吾等户口支付予转账予／吾等该等证券属阁代客户持较数量证券部份／吾等权／吾等占例获该等证券利益 4．3 ／吾等根证券条例第81（3）条书面授权阁：／吾等证券存放银行业机构作阁获垫支贷款抵押品者存放中央结算公司作履行阁结算系统责抵押品贷／吾等证券基目方式放弃／吾等证券持权（交／吾等持／吾等指示放弃持权外）5．代／吾等保现金 代／吾等保现金须适法律时规定存放家持牌银行开立客户信托账户（等现金包括阁交易取须交收转付转付予／吾等现金）6．风险披露声明书 ／吾等知道证券价格必定会波动证券价格皆升跌甚变成毫价值买卖证券定获利存着损失风险／吾等知道证券交阁保存风险例阁持／吾等证券阁力偿债时／吾等取回证券时间会受严重阻延／吾等愿意承担等风险7．般规定 7．1 ／吾等
户口证券均受制阁全面留置权确保／吾等履行阁代／吾等买卖证券产生责 7．2 阁没协议书规定履行／吾等责／吾等权根证券条例成立赔偿基金索偿惟须受赔偿基金时条款制约 7．3 阁业务重变更影响阁／吾等提供服务阁会通知／吾等 7．4 ／吾等确认／吾等已详阅意协议书条款该等条款已／吾等明白语言解释 7．5 协议书受香港特行政区法律辖根香港特行政区法律执行客户姓名：_________ 见证：__________________年____月____日 _________年____月____日附件
现金客户协议补充协议致：_________帐户号码：_________／吾等兹引述贵公司／吾等订立关买卖证券协议（「协议」）补充协议采词语指明外均该协议采界定者含相意义贵公司意／吾等名义开设运作贵公司买卖证券时设立互联网网站服务（「互联网服务」）帐户（「互联网帐户」）／吾等兹意列条款条件运作互联网帐户订立补充协议：1．／吾等意／吾等时获提供互联网服务 （a）作贵公司／吾等买卖证券达指示唯沟通渠道 （b）作贵公司／吾等切关互联网帐户事宜（包括进入互联网帐户传送资料户口报表通知求书文件）进行沟通唯渠道2．／吾等意贵公司利电报传真电话电子邮件／吾等通讯途时知会贵公司号码／吾等寄发通知求书讯息讯息寄发（电报电子邮件方式）传达通讯（电话方式）时确认成功传讯（传真方式）均视已接收贵公司贵公司代表毋需签署关通知付款通知书通讯3．／吾等确认／吾等已阅毕明白关运作操作贵公司网站／吾等提供互
联网服务条款条件进步确认该等条款条件时修改该等条款条件／吾等互联网服务互联网帐户／吾等具约束力4．／吾等确认／吾等互联网服务唯获授权者时补充协议贵公司互联网网站时列载条款条件互联网服务／吾等意会利正手段干预更改进入尝试进入补充协议授权／吾等进入部份外部份5．／吾等意： （a）／吾等互联网服务身份登入密码保守秘密该密码买卖透互联网服务交易证券 （b）透／吾等身份登入密码买卖互联网服务中证券交易／吾等应具约束力视作／吾等进行交易／吾等应透互联网服务作出指令负全责 （c）贵公司互联网网站记录交易容贵公司书面／吾等书面确认属终记录6．／吾等承诺／吾等知悉士未获授权情况登入／吾等身份登入密码互联网服务透互联网服务提供资料时通知贵公司7．／吾等承诺： （a）时透互联网服务方式取分析评市场财务资料（「资料」）贵公司编制取联交贵公司定关连第三者服务供应商 （b）资料版权贵公司关服务供应商第三者拥／吾等承诺供／吾等作非商业途外会形式复制转发发放商业性该等资料 （c）贵公司／资料供应商概资料（包括限准确程度赖程度完整性适时性）／吾等倚赖透互联网服务提供资料该等资料作出决定承担责8．／吾等意支付贵公司互联网服务时收取认购服务费（）9．补充协议附录规定贵公司权毋需通知／吾等情况全权终止／吾等登入互联网服务部份10．／吾等承
诺违反补充协议士／吾等互联网服务提出索偿全面赔偿贵公司贵公司董事高级职员雇员索偿申索诉讼亏损损失成（包括法律费）开支11．／吾等承诺意贵公司贵公司董事高级职员雇员代理毋需互联网服务通讯设备设施障受干扰失灵互联网服务／载资料未获授权情况登入篡改更改贵公司控制预期原（包括限政府证券交易实施限制证券暂停买卖恶劣天气情况震罢工）导致指令传送收讫执行确认出现延误失败／吾等蒙受蒙受损失承担责／吾等透互联网服务贵公司通讯时遇困难／吾等应／吾等方法贵公司通讯12．／吾等承认接纳互联网服务作通讯方式涉风险： （a）互联网通讯公司属通讯资讯提供媒介该方式沟通提供服务安全性性容量视项受贵公司控制素影响包括服务供应商营运该等供应商户设备设施 （b）互联网服务通讯设备设施出现挤塞受扰断线未传送情况传送接收指示资料执行确认指示时发生错误遗漏延误导致指示互联网列出价格执行 （c）互联网服务／部份容会遭擅接入擅行改动修改变更导致资料操控非法盗遗失资料包括／吾等资料13．／吾等确认／吾等已阅读补充协议条款条件／吾等明白语言完全解释补充协议容／吾等接纳补充协议条款条件14．补充协议述者外协议容条款条件应具全面效力生效协议指「协议」指补充协议补充协议（补充协议日期起生效）客户（签字）：_________ 董事（签字）：_________ _________年____月____日 _________年____月____日to_________i ／we _________ request that you to operate a cash securities trading account （the account） for me ／us on the following terms and conditions1 the account （1）i ／we confirm that the information provided in the account opening information form is complete and accurate
i ／we will inform you of any changes to that information you are authorized to conduct credit enquiries on me ／us to verify the information provided （2）you will keep information relating to my ／our account confidential but may provide any such information to the exchange and the sfc to comply with their requirements or request for information2 law and rules all transactions in securities which you effect on my ／our instructions （transactions） shall be effected in accordance with all laws rules and regulatory directions applying to you this includes the rules of the exchange and of a the hong kong securities clearing company limited （the clearing house） all actions taken by you in accordance with such laws rules and directions shall be binding on me ／us3 transactions （1）you will act as my ／our agent in effecting transactions unless you indicate （in the contract note for the relevant transaction or otherwise） that you are acting as principal （2）i ／we will notify you when a sale order relates to securities which i ／we do not own ie involves short selling （3）on all transactions i ／we will pay your commissions and charges as notified to me ／us as well as applicable levies imposed by the exchangeand all applicable stamp duties you may deduct such commissions charges levies and duties from the account （4）unless otherwise agreed in respect of each transaction unless you are already holding cash or securities on my ／our behalf to settle the transaction i ／we will pay you cleared funds or deliver to you securities in deliverable form or otherwise ensure that you have received such funds or securities by such time as you have notified me ／us in relation to that transaction if i ／we fail to do so you may in the case of a purchase transaction sell the purchased securities and in the case of a sale transaction borrow and ／or purchase securities in order to settle the transaction （5）i ／we will responsible to you for any losses and expenses resulting from my ／our settlement failures （6）i ／we agree to pay interest on all overdue balances （including interest arising after a judgment debt is obtained against me ／us ） at such rates and on such other terms as you have notified me ／us from time to time （7）in the case of a purchase transaction if the selling broker fails to deliver on the settlement date and you have to purchase securities to settle the transaction i ／we shall not be responsible to you for the costs of such purchase4
safekeeping of securities （1）any securities which are held by you for safekeeping may at your discretion（in the case of registrable securities） be registered in my ／our name or in the name of your nominee or be deposited in safe custody in a designated account with your bankers or with any other institution which provides facilities for the safe custody of documents in the case of securities in hong kong such institution shall be acceptable to the sfc as a provider of safe custody services （2）where securities are not registered in my ／our name any dividends or other benefits arising in respect of such securities shall when received by you be credited to my ／our account or paid or transferred to me ／us as agreed with you where the securities form part of a larger holding of identical securities held for your clients i ／we shall be entitled to the same share of the benefits arising on the holding as my ／our share of the total holding （3）you do not have my／our written authority under section 81（3） of the securities ordinance to deposit any of my／our securities with a banking institution as collateral for an advance or loan made to you or with the clearing house as collateral for the discharge of your obligations under the clearing system borrow or lend any of my／our securities otherwise part with possession （except to me ／us or on my／our instructions） of any of my／our securities for any purpose5 cash held for me ／us any cash held for me ／us other than cash received by you in respect of transactions and which is onpaid for settlement purposes or to me ／us shall be credited to a client trust account maintained with a licensed bank as required by applicable laws from time to time6 risk disclosure statement i ／we acknowledge that the price of securities can and does fluctuate and any individual security may experience upwards or downwards movements and may even become valueless there is an inherent risk that losses may be incurred rather than profit made as a result of buying and selling securities i ／we also acknowledge that there may be risks in leaving securities in your safekeeping for example if you are holding my ／our securities and you become insolvent i ／we may experience significant delay in recovering the securities these are risks that i ／we are prepared to accept7 general （1）all securities held for my ／our account shall be subject to a general lien in your favour for the performance of my ／our obligations to you arising in respect of dealing in securities for me
／us （2）if you fail to meet your obligations to me ／us pursuant to this agreement i ／we shall have a right to claim under the compensation fund established under the securities ordinance subject to the terms of the compensation fund from time to time （3）you will notify me ／us of material changes in respect of your business which may affect the services you provide to me ／us （4）i ／we confirm that i ／we have read and agree to the terms of this agreement which have been explained to me ／us in a language that i ／we understand （5）this agreement is governed by and may be enforced in accordance with the laws of the special administrative region of hong kongsigned by _________ in the presence of _________date_________ date_________
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致：_________／吾等（请填写姓名／名称）_________兹求阁根列条款条件／吾等运作现金证券买卖户口（「户口」）：1．户口 1．1 ／吾等确认「开户资料表格」载资料均属完整正确该等资料变更／吾等会通知阁／吾等特授权阁／吾等信进行查询核实述表格载资料 1．2 阁会／吾等户口关资料予保密阁根联交证监会规定应求该等资料提供予联交证监会2．法例规 阁／吾等指示进行切证券交易（「交易」）须根适阁切法例规监指示规定进行方面规定包括联交香港中央结算限公司（「中央结算公司」）规阁根该等法例规指示采取行动均／吾等具约束力3．交易 3．1 阁（关交易成交单合约单）注明已身名义进行交易外 阁／吾等代理身份进行交易 3．2 沽盘关非／吾等拥证券涉卖空交易／吾等会通知阁 3．3 ／吾等会交易支付阁通知／吾等佣金收费缴付联交征收适征费缴纳关印花税阁户口中扣该等佣金收费征费税项 3．4 宗交易协议外非阁已代／吾等持现金证券供交易交收否／吾等会阁该项交易通知／吾等期限前阁交付实时动资金交付证券方式确保阁收等资金证券／吾等未样做阁（属买入交易）出售买入证券〉（属卖出交易）入／买入证券进行交易交收 3．5 ／吾等会负担阁／吾等未进行交收引起损失开支
3．6 ／吾等意逾期未付款项（包括／吾等裁定欠付债务引起利息）阁时通知／吾等利率条款支付利息 3．7 买入交易言卖方纪未交收日交付证券导致阁须买入证券进行交收／吾等毋须买入该等证券费阁负责4．证券保 4．1 阁寄存妥保证券阁酌情决定：（属注册证券）／吾等名义阁代理名义注册存放阁银行提供文件保设施机构妥保属香港证券该机构应证监会认提供保服务机构 4．2 证券未／吾等名义注册阁收该等证券获派股息利益时须／吾等阁协议记入／吾等户口支付予转账予／吾等该等证券属阁代客户持较数量证券部份／吾等权／吾等占例获该等证券利益 4．3 ／吾等根证券条例第81（3）条书面授权阁：／吾等证券存放银行业机构作阁获垫支贷款抵押品者存放中央结算公司作履行阁结算系统责抵押品贷／吾等证券基目方式放弃／吾等证券持权（交／吾等持／吾等指示放弃持权外）5．代／吾等保现金 代／吾等保现金须适法律时规定存放家持牌银行开立客户信托账户（等现金包括阁交易取须交收转付转付予／吾等现金）6．风险披露声明书 ／吾等知道证券价格必定会波动证券价格皆升跌甚变成毫价值买卖证券定获利存着损失风险／吾等知道证券交阁保存风险例阁持／吾等证券阁力偿债时／吾等取回证券时间会受严重阻延／吾等愿意承担等风险7．般规定 7．1 ／吾等
户口证券均受制阁全面留置权确保／吾等履行阁代／吾等买卖证券产生责 7．2 阁没协议书规定履行／吾等责／吾等权根证券条例成立赔偿基金索偿惟须受赔偿基金时条款制约 7．3 阁业务重变更影响阁／吾等提供服务阁会通知／吾等 7．4 ／吾等确认／吾等已详阅意协议书条款该等条款已／吾等明白语言解释 7．5 协议书受香港特行政区法律辖根香港特行政区法律执行客户姓名：_________ 见证：__________________年____月____日 _________年____月____日附件
现金客户协议补充协议致：_________帐户号码：_________／吾等兹引述贵公司／吾等订立关买卖证券协议（「协议」）补充协议采词语指明外均该协议采界定者含相意义贵公司意／吾等名义开设运作贵公司买卖证券时设立互联网网站服务（「互联网服务」）帐户（「互联网帐户」）／吾等兹意列条款条件运作互联网帐户订立补充协议：1．／吾等意／吾等时获提供互联网服务 （a）作贵公司／吾等买卖证券达指示唯沟通渠道 （b）作贵公司／吾等切关互联网帐户事宜（包括进入互联网帐户传送资料户口报表通知求书文件）进行沟通唯渠道2．／吾等意贵公司利电报传真电话电子邮件／吾等通讯途时知会贵公司号码／吾等寄发通知求书讯息讯息寄发（电报电子邮件方式）传达通讯（电话方式）时确认成功传讯（传真方式）均视已接收贵公司贵公司代表毋需签署关通知付款通知书通讯3．／吾等确认／吾等已阅毕明白关运作操作贵公司网站／吾等提供互
联网服务条款条件进步确认该等条款条件时修改该等条款条件／吾等互联网服务互联网帐户／吾等具约束力4．／吾等确认／吾等互联网服务唯获授权者时补充协议贵公司互联网网站时列载条款条件互联网服务／吾等意会利正手段干预更改进入尝试进入补充协议授权／吾等进入部份外部份5．／吾等意： （a）／吾等互联网服务身份登入密码保守秘密该密码买卖透互联网服务交易证券 （b）透／吾等身份登入密码买卖互联网服务中证券交易／吾等应具约束力视作／吾等进行交易／吾等应透互联网服务作出指令负全责 （c）贵公司互联网网站记录交易容贵公司书面／吾等书面确认属终记录6．／吾等承诺／吾等知悉士未获授权情况登入／吾等身份登入密码互联网服务透互联网服务提供资料时通知贵公司7．／吾等承诺： （a）时透互联网服务方式取分析评市场财务资料（「资料」）贵公司编制取联交贵公司定关连第三者服务供应商 （b）资料版权贵公司关服务供应商第三者拥／吾等承诺供／吾等作非商业途外会形式复制转发发放商业性该等资料 （c）贵公司／资料供应商概资料（包括限准确程度赖程度完整性适时性）／吾等倚赖透互联网服务提供资料该等资料作出决定承担责8．／吾等意支付贵公司互联网服务时收取认购服务费（）9．补充协议附录规定贵公司权毋需通知／吾等情况全权终止／吾等登入互联网服务部份10．／吾等承
诺违反补充协议士／吾等互联网服务提出索偿全面赔偿贵公司贵公司董事高级职员雇员索偿申索诉讼亏损损失成（包括法律费）开支11．／吾等承诺意贵公司贵公司董事高级职员雇员代理毋需互联网服务通讯设备设施障受干扰失灵互联网服务／载资料未获授权情况登入篡改更改贵公司控制预期原（包括限政府证券交易实施限制证券暂停买卖恶劣天气情况震罢工）导致指令传送收讫执行确认出现延误失败／吾等蒙受蒙受损失承担责／吾等透互联网服务贵公司通讯时遇困难／吾等应／吾等方法贵公司通讯12．／吾等承认接纳互联网服务作通讯方式涉风险： （a）互联网通讯公司属通讯资讯提供媒介该方式沟通提供服务安全性性容量视项受贵公司控制素影响包括服务供应商营运该等供应商户设备设施 （b）互联网服务通讯设备设施出现挤塞受扰断线未传送情况传送接收指示资料执行确认指示时发生错误遗漏延误导致指示互联网列出价格执行 （c）互联网服务／部份容会遭擅接入擅行改动修改变更导致资料操控非法盗遗失资料包括／吾等资料13．／吾等确认／吾等已阅读补充协议条款条件／吾等明白语言完全解释补充协议容／吾等接纳补充协议条款条件14．补充协议述者外协议容条款条件应具全面效力生效协议指「协议」指补充协议补充协议（补充协议日期起生效）客户（签字）：_________ 董事（签字）：_________ _________年____月____日 _________年____月____日to_________i ／we _________ request that you to operate a cash securities trading account （the account） for me ／us on the following terms and conditions1 the account （1）i ／we confirm that the information provided in the account opening information form is complete and accurate
i ／we will inform you of any changes to that information you are authorized to conduct credit enquiries on me ／us to verify the information provided （2）you will keep information relating to my ／our account confidential but may provide any such information to the exchange and the sfc to comply with their requirements or request for information2 law and rules all transactions in securities which you effect on my ／our instructions （transactions） shall be effected in accordance with all laws rules and regulatory directions applying to you this includes the rules of the exchange and of a the hong kong securities clearing company limited （the clearing house） all actions taken by you in accordance with such laws rules and directions shall be binding on me ／us3 transactions （1）you will act as my ／our agent in effecting transactions unless you indicate （in the contract note for the relevant transaction or otherwise） that you are acting as principal （2）i ／we will notify you when a sale order relates to securities which i ／we do not own ie involves short selling （3）on all transactions i ／we will pay your commissions and charges as notified to me ／us as well as applicable levies imposed by the exchangeand all applicable stamp duties you may deduct such commissions charges levies and duties from the account （4）unless otherwise agreed in respect of each transaction unless you are already holding cash or securities on my ／our behalf to settle the transaction i ／we will pay you cleared funds or deliver to you securities in deliverable form or otherwise ensure that you have received such funds or securities by such time as you have notified me ／us in relation to that transaction if i ／we fail to do so you may in the case of a purchase transaction sell the purchased securities and in the case of a sale transaction borrow and ／or purchase securities in order to settle the transaction （5）i ／we will responsible to you for any losses and expenses resulting from my ／our settlement failures （6）i ／we agree to pay interest on all overdue balances （including interest arising after a judgment debt is obtained against me ／us ） at such rates and on such other terms as you have notified me ／us from time to time （7）in the case of a purchase transaction if the selling broker fails to deliver on the settlement date and you have to purchase securities to settle the transaction i ／we shall not be responsible to you for the costs of such purchase4
safekeeping of securities （1）any securities which are held by you for safekeeping may at your discretion（in the case of registrable securities） be registered in my ／our name or in the name of your nominee or be deposited in safe custody in a designated account with your bankers or with any other institution which provides facilities for the safe custody of documents in the case of securities in hong kong such institution shall be acceptable to the sfc as a provider of safe custody services （2）where securities are not registered in my ／our name any dividends or other benefits arising in respect of such securities shall when received by you be credited to my ／our account or paid or transferred to me ／us as agreed with you where the securities form part of a larger holding of identical securities held for your clients i ／we shall be entitled to the same share of the benefits arising on the holding as my ／our share of the total holding （3）you do not have my／our written authority under section 81（3） of the securities ordinance to deposit any of my／our securities with a banking institution as collateral for an advance or loan made to you or with the clearing house as collateral for the discharge of your obligations under the clearing system borrow or lend any of my／our securities otherwise part with possession （except to me ／us or on my／our instructions） of any of my／our securities for any purpose5 cash held for me ／us any cash held for me ／us other than cash received by you in respect of transactions and which is onpaid for settlement purposes or to me ／us shall be credited to a client trust account maintained with a licensed bank as required by applicable laws from time to time6 risk disclosure statement i ／we acknowledge that the price of securities can and does fluctuate and any individual security may experience upwards or downwards movements and may even become valueless there is an inherent risk that losses may be incurred rather than profit made as a result of buying and selling securities i ／we also acknowledge that there may be risks in leaving securities in your safekeeping for example if you are holding my ／our securities and you become insolvent i ／we may experience significant delay in recovering the securities these are risks that i ／we are prepared to accept7 general （1）all securities held for my ／our account shall be subject to a general lien in your favour for the performance of my ／our obligations to you arising in respect of dealing in securities for me
／us （2）if you fail to meet your obligations to me ／us pursuant to this agreement i ／we shall have a right to claim under the compensation fund established under the securities ordinance subject to the terms of the compensation fund from time to time （3）you will notify me ／us of material changes in respect of your business which may affect the services you provide to me ／us （4）i ／we confirm that i ／we have read and agree to the terms of this agreement which have been explained to me ／us in a language that i ／we understand （5）this agreement is governed by and may be enforced in accordance with the laws of the special administrative region of hong kongsigned by _________ in the presence of _________date_________ date_________
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