互联网证券买卖协议中英文版.doc

互联网证券买卖协议(附加于现金/保证金客户协议书)致： 有限公司香港置地广场公爵大厦 32 楼 3203-04 室。 本人/吾等乃贵公司证券户口_号(户口)之户口持有人，本人/吾 等之证券客户合约于_签订。本人/吾等同意开立一个或多个证券买 卖户口，并同意以本人/吾等名义或代表本人/吾等就证券买卖及相关事宜，通过网上交 易服务运作户口，本人/吾等同意，户口由贵公司透过贵公司的网上交易服务按照证券 客户合约及下列条款及条件(并受其规限)运作：1. 定义及解释1.1 在本协议中,以下词语具有下列涵义：进入密码指密码及户口号码；户 口指本人在贵公司开立的互联网买卖户口，经由网上交易服务运作；网上交易服务指英明根据本协议提供的网上买卖服务，包括电子买卖服 务、英明网址上的任何数据，以及其中的软件；电子买卖服务指本人/吾等发出电子指令的设施，以及网上交易服务提供的 信息服务；指 令指以电子方式买卖证券的买卖指令或其它处理指令；互联网买卖政策指有关网上交易服务运作的政策(经不时修订)；密 码指本人/吾等与账号一并使用的个人密码，据之可进入该服务；证券客户合约指有限公司之现金客户协议书或保证金客户协议 书；英明指有限公司；账号指客户与密码一并使用的个人密码，据之可进入电子买卖服务，以及 其它网上交易服务提供的服务；1.2 单数词语包括众数词语，反之亦然。提到一种性别之处，包括所有性别。人 士一词，包括商号或独资经营、合伙经营、集团及法人公司，反之亦然。2. 网上交易服务2.1 本人/吾等了解，电子买卖服务为一半自动设施，让本人/吾等发出电子指令，并 接收信息服务。2.2 本人/吾等同意使用电子买卖服务，必须遵照本协议条款及证券客户合约。本人/ 吾等使用日后经由网上交易服务提供的其它服务，亦必须遵照本协议条款及客 户协议书。2.3 本人/吾等为户口项下电子买卖服务的唯一获授权使用者。本人/吾等需对进入密 码的保密及使用承担责任。本人/吾等承认及同意，本人/吾等需就使用进入密码 输进电子买卖服务的所有指令负责，而贵公司、贵公司董事、高级职员或雇员 概毋需对本人/吾等、或经由本人/吾等提出申索的任何其它人士(就任何有关处 理、错误处理或遗失任何指示)的申索承担责任。2.4 本人/吾等承认，网上交易服务的所有人权益属贵公司。本人/吾等保证及承诺,本人/吾等不会(亦不会尝试)平扰、修改、拆解、易转、操纵或以其 它方式修改(且亦不会尝试未获授权进入)网上交易服务的任何部份。本人吾等承认，若本 人/吾等在任何时候违反是项保证及承诺，或实公司在任何时候合理怀疑本人/吾 等违反是项保证及承诺，则贵公司可向本人/吾等采取法律行动。本人/吾等承 诺，若本人/吾等知悉任何人士干犯本段上文所述任何行动，则本人/吾等须实时 通知贵公司。2.5 本人/吾等进一步承认及同意，作为使用电子买卖服务发出指令的先决条件，若 有下列情况，本人/吾等需实时通知贵公司：(a)有关户口的指令已经由电子买卖 服务作出，而本人/吾等未收到命令编号；(b)有关户口的指令已经由电子买卖服 务作出，而本人/吾等未收到对指令或其执行的准确认收(不论经硬本、电子或口 头)；(c)本人/吾等收到交易指示的认收(不论经硬本、电子或口头)，但该等交易 指示并非本人/吾等作出，或其它类似的不一致情况；或(d)本人/吾等知悉户口 号码或密码的任何未经授权使用。2.6 本人/吾等了解，贵公司拟备网上买卖政策，列出网上交易服务运作政策及程 序。该政策可经由网址取得，在任何时候均适用。该政策的条款，对本人/吾等 对使用网上交易服务具约束力。若本协议条款与网上买卖政策不一致,以本协议 条款为准。2.7 本人/吾等承认英明网址若提供报价服务，乃由贵公司不时指定的第三方提供者 提供。本人/吾等承认及同意，对本人/吾等在任何方面因报价服务或因本人/吾 等依赖该服务而发生或与之有关的任何损失、费用、支出、损害赔偿或申索贵 公司概毋须承担责任。2.8 本人/吾等了解，就提供信息而言，电子买卖服务只提供由第三方刊发的证券资 料。因市场波动及数据传送过程的延误，该等数据可能并非有关证券或投资的 实时市场报价。本人/吾等了解，虽然贵公司相信该等资料可靠，但没有独立基 准可兹证实(否定)所提供数据的准确及完整性。本人/吾等了解，不应从所提供 的任何证券或投资资料而推断贵公司作出任何推荐或认可。2.9 本人/吾等了解，在电子买卖服务中提供的数据，以现状及可提供基准 提供，贵公司并不保证该等数据的时候、顺序、准确性、足够性或完整性。贵 公司没有就该等数据作出明示或默示保证(包括但不限于可商售性或就某一用途 的适合性而作出的保证)。2.10 本人/吾等接受经由互联网或其它电子方法或设施接受或取得服务以及经由互联 网或其它电子设备或设施沟通或进行交易所带来的风险。3. 户口3.1 本人/吾等承认，本人/吾等只可经由互联网进入户口，本人/吾等承认，若本人/ 吾等在经由互联网接触贵公司时有任何困难，本人/吾等需尝试使用其它方法与 贵公司沟通，并把所遇困难知会贵公司。3.2 开户口时，本人/吾等需在户口申请表上写明本人/吾等就使用该服务而存入首笔 按金的款额。该款额可由本人/吾等亲自以支票、银行本票存入或以电传存入贵 公司的办事处或银行户口。本人/吾等承认贵公司收到户口申请表上所载有效款 项后，方会把进入密码通知本人/吾等。4. 指令经网上交易服务买卖4.1 如因故障、通讯设施传送失败、或通讯媒体不可靠或并非贵公司所能控制或预 期的一或多项原因，以致在传送、收取或执行指令上有所延误贵公司毋须承担 责任。4.2 本人/吾等了解，向传播市场资料的各方提供市场资料的每一参与证券交易所或 组织，对其提供的全部数据申张财产权益。本人/吾等亦了解，任何方概不保证 市场数据或任何其它市场信息的时效、序列、准确或完整性。任何损失或损 害，若因下列原因或由其产生，贵公司或任何传播方概毋须承担任何责任：任 何该等数据、信息或信息不准确、错误、延误或遗漏；或该等数据、信息或信 息传送或交付时的任何不准确、错误、延误或遗漏；或任何该等数据、信息或 信息因贵公司或任何传播方的疏忽行为以致无法履行或提供；或任何不可抗力 事件；或任何其它非贵公司所能控制或任何传播方所能合理控制的其它原因。 本人/吾等只会把股票报价用于自身用途，不会因任何原因向任何其它人士或实 体提供该等数据。4.3 本人/吾等承认，因无法预料的通讯挤塞及其它原因，互联网是存有内在不可靠 性的通讯媒体，而该不可靠性非贵公司所能控制。本人/吾等承认，因该不可靠 性，在传送及接收指令及其它数据时可能有延误，以致执行指令的延误及/或执 行指令的价格与发出指令时的价格不同。本人/吾等进一步承认及同意，任何通 讯均有误解或错误的风险，而该等风险需绝对由本人/吾等承担。本人/吾等承认 及同意，指令一经发出，通常不可取消。5. 境外指令 若本人/吾等在香港以外地方向贵公司发出指令，本人/吾等同意确保及声明，该 等指令严格遵守该等指令发出时所在相关司法辖区的任何适用法律。本人/吾等 进一步同意，本人/吾等有疑问时会咨询相关司法辖区的法律顾问。本人/吾等接 受在香港以外地区发出的指令，可能需向相关当局支付税费，本人/吾等同意支 付该等适用税费。本人/吾等同意，按要求弥偿贵公司因本人/吾等在香港以外地 区发出指令而发生的任何损害、损失、费用、法律程序、要求或申索。6. 风险披露声明 电子交易风险在交易高峰，市场波动，系统升级及维护或其它时间，互联网或 其它电子设施的进入可能会受到限制甚至无法进入。通过互联网或其它电子设 施进行的交易可能会因不可预测的流量堵塞和其它贵公司无法控制的原因而受 到干扰，传输中断，以及传输延误。由于技术上的制约，互联网是一种不完全 可靠的通讯媒介。由于这种不可靠性原因，交易指令及其它信息的传输和接收 可能会有延误，而这会导致交易指令在执行上的延误，或者交易执行的价格已 不同于指令发出时的市场价格。而且，通信和个人数据可能会被未经授权的第 三方取得，且在通信上会存在误解或错误的风险，而这些风险将完全由本人/吾 等承担。本人/吾等确认并同意，交易指令一旦发出通常将不可能取消。签署确认 本人/吾等，为下述签署人，兹承认本人/吾等已阅读、知悉、及明白本协议之内容并接受其条 款及条件。日 期.签署页签署人 见证人(1)_X _X客户签署 见证人签署_X _X客户姓名 见证人姓名(2)_X _X客户签署 见证人签署_X _X客户姓名 见证人姓名(3)_X _X客户主任签暑 日期由 有限公司 确认及接纳_授 权签署INTERNET SECURITIES TRADING AGREEMENT(Supplementary to the Cash/Margin Clients Agreement)To: Phoenix Capital Securities LimitedRM 3203-04, 32/F, Edinburgh Tower, The Landmark15 Queens Road CentralHong KongI/We am/are the client holding the securities account(s) with you numbered _ (the“Account”) and refer to my/our Cash/Margin Clients Agreements in respect of the Account dated_. I/We agree that the Account may be to open one or more securities trading account(s) (the “Account) to be operated through Internet Trade Service, in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of Securities, and I/we agree that the Account shall be operated in accordance with and subject to the following terms and conditions in addition to the Securities Clients Agreement:-1. Definition and Construction1.1 In this Agreement, the following terms shall bear the following meanings: Access Codes means together the Password and the User Name; Account means my Internet securities trading account with you operated through theInternet Trade Service;Internet Trade Service means the on-line securities trading service provided by Phoenix Capital under this Agreement comprising the Electronic Trading Service, any information contained in Phoenix Capitals Web Site and the software comprised in them;Electronic Trading Service means the facility which enables me/us to give electronicInstructions and to access the information services provided by the Internet trade;Instruction means any instruction for the buying or selling of or otherwise dealing in anySecurities;Internet Trading Policy means the policy relating to the operation of the Internet TradeService as amended from time to time;Password means my/our personal password used in conjunction with the User Name to gain access to the Service;Clients Agreement means Phoenix Capital s Cash Clients Agreement or Margin ClientsAgreement;Phoenix Capital means Phoenix Capital Securities Limited;User Name means the Clients personal identification used in conjunction with the Password to gain access to the Electronic Trading Service and other services offered by Phoenix Capital.1.2 Words denoting the singular shall include the plural and vice versa, reference to one gender shall include all genders and words denoting person shall include a firm or sole proprietorship, partnership, syndicate and corporation and vice versa.2. Internet Trade Service2.1 I/we understand that the Electronic Trading Service is semi-automated facility which enables me/us to send electronic Instructions and receive information services2.2 I/We agree to use the Electronic Trading Service and any additional services offered through the Internet Trade Service only in accordance with the terms of this Agreement in addition to the Clients Agreement.2.3 I/We shall be the only authorized user of the Electronic Trading Service under the Account. I/We understand and acknowledge that the Internet Trade Service relies on the Access Codes to authenticate me/us as the authorized user for the Account. I/We shall be responsible for the confidentiality and use of the Access Codes. I/We acknowledge and agree that I/we shall be solely responsible for all Instructions entered through the Electronic Trading Service using the Access Code and neither you nor your directors, officers or employees shall have any liability to me/us, or to any other person whose claim may arise through me/us, for any claims with respect to the handling, mishandling or loss of any Instruction.2.4 I/We acknowledge that the Internet Trade Service is proprietary to you. I/We warrant and undertake that I/we shall not, and shall not attempt to, tamper with, modify, decompile, reverse engineer or otherwise alter in any way, and shall not attempt to gain unauthorized access to, any part of the Internet Trade Service. I/We acknowledge that you may take legal action against me/us, if I/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that I/we have breached the same. I/We undertake to notify you immediately if I/we become aware that any of the actions described above in this paragraph is being perpetrated by any other person.2.5 I/We further acknowledge and agree that, as a condition of using the Electronic Trading Service to give Instructions, I/we shall immediately notify you if: (a) an Instruction in respect of the Account has been placed through the Electronic Trading Service and I/we have not received an order number; (b) an Instruction in respect of the Account has been placed through the Electronic Trading Service and I/we have not received an accurate acknowledgement of the Instruction or of its execution (whether by hard copy, electronic or verbal means); (c) I/we have received acknowledgement (whether by hard copy, electronic or verbal means) of a Transaction which I/we did not instruct or any similar conflict; or (d) I/we become aware of any unauthorized use of the User Name or Password.2.6 I/We understand that you shall prepare the Internet Trading Policy setting out the operation policy and procedures of the Internet Trade Service applicable at any time which shall be available at the Internet Trade web site the terms of which shall be binding on me/us in respect of my/our use of the Internet Trade Service. In the event of inconsistencies between the terms of this Agreement and the Internet Trading Policy, the terms of this Agreement shall prevail.2.7 I/We acknowledge that the price quotation service, if any, for securities, available at the Internet Trade web site is provided by a third party provider appointed by you from time to time. I/We acknowledge and agree that you shall not be responsible to me/us for any losses, costs, expenses, damages or claims which I/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.2.8 I/We understand that the Electronic Trading Services may provide, for informational purpose only, data about securities published by third parties. Owing to market volatility and possible delay in the data-transmission process, the data may not be real-time market quotes for the relevant securities or investment. I/We understand that whilst you believe such data to be reliable, there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. I/We understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.2.9 I/We understand that information provided in the Electronic Trading Services is provided on an as is, as available basis and you do not guarantee the timeliness, sequence, accuracy, adequacy or completeness of such information. You give no express or implied warranties(including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information.2.10 I/We accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the Internet or other electronic means or facilities for the purpose of the Internet Trade Service.3. The Account3.1 I/We acknowledge that I/we may only access the Account through the Internet and I/we agree that should I/we experience any problems in reaching you through the Internet, I/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty I/we am/are experiencing.3.2 When opening the Account, I/we shall state in the account application the amount of my/our initial deposit of funds in the Account for the use with the Internet Trade Service. Such amount shall be paid to your offices or bank account either by cheque, bankers draft or telegraphic transfer. I/We acknowledge that the Access Codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.4. Instructions- dealings through the Internet Trade Service4.1 You shall not be responsible for delays in the transmission, receipt or execution of Instructions due to either transmission of communication facilities, or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.4.2 I/We understand that each participating Securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. I/We also understand that no party guarantees the timeliness, sequence, accuracy or completeness of market data or any other market information. Neither you nor any disseminating party shall be liable in any way for any loss or damage arising from or caused by any inaccuracy, error or delay in or omission from any such data, information or message, or the transmission or delivery of the same, non-performance or interruption of any such data, message or information due to any negligent act of you or any disseminating party, or to any force majeure event, or any other cause beyond your control or the reasonable control of any disseminating party. I/We shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.4.3 I/We acknowledge that the Internet is, due to unpredictable traffic congestion and other reasons, an inherently unreliable medium of communication and that such unreliability is beyond your control. I/We acknowledge that, as a result of such unreliability, there may be delays in the transmission and receipt of Instructions and other information and that this may result in delays in the execution of Instructions and/or the execution of Instructions at prices different from those prevailing at the time the Instructions were given. I/We further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. I/We acknowledge and agree that Instruction may not be cancelled after it has been given.5. Instructions Outside Hong KongIf I/we give any Instruction to you outside Hong Kong, I/we agree to ensure and represent that such Instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my Instruction is given, and I/we further agree that I/we shall, when in doubt, consult legal advisers and other professionals of the relevant jurisdiction. I/We accept that there may be taxes or charg