證券合同 中英文客戶交易協(xié)議.doc

中英文客戶交易協(xié)議 scope of agreement (協(xié)定的范圍) all transactions and all contracts entered into between snc ?and the customer, shall be governed by the terms of this customer agreement and the terms of any additional written statements of snc ?trading regulations or snc ?additional schedules which may from time to time be set forth or amended by snc ?and which shall thereupon constitute a portion of this customer agreement, except to the extent (if any) that snc ?shall agree or notify the customer in writing that other or additional terms apply. any proposals for, additions to, or modifications of this agreement, absent written agreement by an authorized person employed by snc ?to the contrary, are void and shall have no effect. snc 和客戶之間所有交易和所有合同應(yīng)受本項(xiàng)客戶協(xié)議和任何關(guān)于snc 的交易規(guī)章，或snc 所有的附加條款約束。snc 可能隨時(shí)設(shè)定或更改這些條款而即時(shí)構(gòu)成客戶協(xié)議的一部分。如有必要(如果有的話)，如須采用其他或附加的條款，snc 應(yīng)以書面形式同意或通知客戶。任何對(duì)此協(xié)議的補(bǔ)充或修改建議，如沒有由snc 聘請的授權(quán)人的書面協(xié)議，均為無效。 this agreement refers and extends to a potential dealing relationship between the customer and snc in otc non-deliverable foreign exchange (currencies) on a spot settlement basis as is commonly dealt in the international interbank market, and all other provisions of this agreement notwithstanding, the customer agrees, understands and warrants that the dealing relationship between the customer and snc ?hereunder shall not extend at any time to the dealing, trading, brokering of or advice related to any exchange listed. 這項(xiàng)協(xié)議提及并延伸到客戶和snc 之間潛在交易關(guān)系。此關(guān)系是指在國際銀行間市場，按本協(xié)議規(guī)定的場外即時(shí)外匯交易關(guān)系?？蛻敉狻⒗斫夂驼J(rèn)同其與snc 的交易關(guān)系，在任何時(shí)候都不涉及任何交易所的做市，交易或代理活動(dòng)。 subject to the terms and conditions of this agreement, the full completion of the account setup requirements and acceptance of customers application to open an account with snc , snc ?will open and maintain account(s) in customers name for the purpose of engaging in cash settled transactions with and for customer in currencies markets on a spot settlement basis, and provide such other services and products as snc ?may, in its sole discretion, determine to offer in the future. unless expressly stated otherwise in writing, all contracts and other transactions entered into between snc and customer shall be governed by the terms of this customer agreement, including the risk disclosure statement and snc ?trading policies, to the extent annexed hereto, as amended from time to time. 根據(jù)符此項(xiàng)協(xié)議的條件，從接受客戶的申請snc 開戶到帳戶的全面設(shè)置和完成，snc 須以客戶的名義維護(hù)并為客戶在帳戶從事現(xiàn)金結(jié)算和在貨幣市場上現(xiàn)貨結(jié)算；并在將來提供其他服務(wù)和產(chǎn)品。除非另有書面明文規(guī)定，所有合同及其他snc 與客戶應(yīng)受本客戶協(xié)議，包括風(fēng)險(xiǎn)聲明，snc外匯交易政策，需在必要時(shí)修訂。 risk acknowledgements （風(fēng)險(xiǎn)須知） customer acknowledges and understands that trading and investment in leveraged otc foreign currency contracts is highly speculative, involves an extreme degree of risk, and is generally appropriate only for persons who can assume risk of loss in excess of their margin deposit. customer understands that because of the low margin/high leverage normally available in foreign currency trading, price changes in foreign currency contracts may result in significant losses. such losses may substantially exceed customers investment and margin deposit. by customer directing snc ?to enter into any foreign currency contract, any profit or loss arising as a result of a fluctuation in the exchange rate affecting such currency will be entirely for the customers account and risk. 客戶確認(rèn)并明白，交易和投資在場外杠桿式外匯合約是有高度投機(jī)性，涉及極端的風(fēng)險(xiǎn)程度，而且通常只適合可承擔(dān)損失超過其保證金風(fēng)險(xiǎn)的人?？蛻衾斫?，由于低保證金/高杠桿作用，進(jìn)行外幣交易時(shí)，外幣匯率收縮引起的價(jià)格變動(dòng)可能導(dǎo)致重大損失。這種損失可能大大超出客戶的投資金額和保證金?？蛻敉ㄟ^snc 進(jìn)入任何外匯合同，由于貨幣的匯率波動(dòng)所造成的利潤或虧損將完全屬于賬戶承擔(dān)的風(fēng)險(xiǎn)。 customer warrants that the customer is willing and able, financially and otherwise, to assume the risk of foreign currency trading, and in consideration of snc ?carrying his/her account(s), customer agrees not to hold snc ?responsible for losses incurred through following its trading recommendations or suggestions or those of its employees, agents or representatives. customer recognizes that guarantees of profit or freedom from loss cannot be given and it is impossible to predict performance in foreign currency trading. customer acknowledges that customer has received no such guarantees from snc ?or from any of its representatives or any introducing broker or other entity with whom customer is conducting his/her snc ?account and has not entered into this agreement in consideration of or in reliance upon any such guarantees or similar representations. all transactions effected for customers accounts and all fluctuations in the market prices of the contracts carried in customers accounts are at customers risk, and customer shall be solely liable therefore under all circumstances. customer represents and warrants that customer is willing and financially able to sustain such losses, and that the trading of spot foreign exchange (currencies) is a suitable investment vehicle for the customer. snc ?is not responsible for delays or partial or total failures in any online (electronic) trading platforms or any communications facility or other causes beyond snc ?reasonable direct control. the customer understands and recognizes that the transactions to be conducted pursuant to this agreement are not conducted on a regulated market or exchange. customer represents that it is aware of the risks inherent in the trading of otc foreign exchange (currencies) and is financially able to bear such risks and withstand any losses incurred. (for a further discussion on the risks of trading foreign exchange please refer to the risk disclosure statement). 客戶權(quán)證，其愿意且能夠在財(cái)務(wù)上承擔(dān)外幣交易的風(fēng)險(xiǎn)；并考慮雖然他/她的帳號(hào)是由snc 開通，如其雇員，代理人或代表提供交易建議，他們對(duì)建議導(dǎo)致的虧損不負(fù)任何責(zé)任?？蛻粢?，在外幣交易中擔(dān)?；虮ＷC免受損失和預(yù)測交易回報(bào)是不可能的。客戶要理解snc 或任何其代表或任何介紹經(jīng)紀(jì)人或其他實(shí)體對(duì)客戶在他/她的snc 外匯賬戶的任何交易也沒有這類的擔(dān)保。在任何情況下，客戶須對(duì)所有所有與帳戶相關(guān)的交易或者因市場價(jià)波動(dòng)引起的風(fēng)險(xiǎn)承擔(dān)全部責(zé)任和風(fēng)險(xiǎn)?？蛻繇氃敢獠⒃诮?jīng)濟(jì)上承擔(dān)交易損失，并同意即時(shí)外匯交易是合適的投資產(chǎn)品。在snc 無法直接控制的情況下，snc 對(duì)任何因網(wǎng)上(電子)交易平臺(tái)或任何通訊設(shè)施或其他原因造成的延時(shí)，部分或完全故障不負(fù)任何責(zé)任。客戶需理解并確認(rèn)依照本協(xié)定進(jìn)行交易與在規(guī)范的市場或交易所進(jìn)行的交易有所不同?？蛻繇氈趫鐾饣螂娮油鈪R交易所涉及到的風(fēng)險(xiǎn)并且具有承擔(dān)虧損的經(jīng)濟(jì)能力。(對(duì)進(jìn)一步關(guān)于外匯交易的風(fēng)險(xiǎn)的討論，請參閱風(fēng)險(xiǎn)聲明)。 ?customers representations and warranties (客戶的事實(shí)陳述和保證) as of the date hereof, the date of each contract and other transaction in customers account and any date on which snc ?risk disclosure statement or trading policies are revised, updated or amended, customer represents and warrants to snc ?and agrees for the benefit of snc ?that: 自每份合同簽訂的日期及在客戶的帳戶中任何交易的日期起，或者對(duì)任何snc 風(fēng)險(xiǎn)聲明或交易規(guī)定的修改日起，對(duì)于所有修改或更新，客戶向snc表明及保證，并站在snc 的利益角度同意以下： customer is of sound mind, legal age (18 in the usa) and legal competence. 客戶是理智，達(dá)到法定年齡(在美國為十八歲)和遵循法律規(guī)定。 customer (if not a natural person) is duly organized and validly existing under the applicable laws of the jurisdiction of its organization. 客戶(如果不是自然人)，是有效存在正式組建并經(jīng)由法律管轄的組織。 execution and delivery of this agreement and all contracts and other transactions contemplated hereunder and performance of all obligations contemplated under this agreement and all contracts and other transactions contemplated hereunder have been duly authorized by customer. 本協(xié)定的所有合同和其他在第二十八條和所有根據(jù)這項(xiàng)協(xié)議的義務(wù)下的合同，所有合同和由授權(quán)的顧客按照第二十八條規(guī)定的義務(wù)下執(zhí)行和實(shí)施的其他交易。 each person executing and delivering this agreement and all contracts and other transactions contemplated hereunder on behalf of customer performing the obligations contemplated under this agreement and any contract and other transaction contemplated hereunder on behalf of customer, has been duly authorized by customer to do so. 每個(gè)人的執(zhí)行和兌現(xiàn)這項(xiàng)協(xié)議，所有合同和其他以第二十八條代表客戶履行合同義務(wù)的交易合同，這項(xiàng)協(xié)議和任何合同和其他交易下，謹(jǐn)代表客戶的利益。 execution and delivery by customer of this agreement and all contracts and other transactions contemplated hereunder, and performance of all of customers obligations contemplated under this agreement and any contract and other transaction contemplated hereunder, will not violate any statute, rule, regulation, ordinance, charter, by-law or policy applicable to customer. ? 客戶根據(jù)本協(xié)定的所有合同和其他交易的情況的執(zhí)行、交付，所有客戶的合同義務(wù)的行為應(yīng)依照這項(xiàng)協(xié)議和任何合同和其他交易的情況，不違反任何法規(guī)、規(guī)則,規(guī)章、條例、章程，法律或政策適用于顧客。 customer has full beneficial ownership of customers account. customer has not granted and will not grant a security interest in customers account with snc ?(other than the security interest granted to snc ?hereunder) to any person without snc ?prior written consent. customer has full beneficial ownership of all collateral and will not grant any security interest in any collateral to any person (other than the security interest granted to snc ?hereunder) without prior written consent of snc . 客戶已擁有客戶帳戶的全部實(shí)益?？蛻粼趕nc 帳戶沒有且而不會(huì)有對(duì)未經(jīng)snc 事先書面同意的任何人給予權(quán)益擔(dān)保(除第二十八條安全利益給予snc )?？蛻魮碛兴械盅旱牡某浞謱?shí)益，也不會(huì)在任何人未經(jīng)snc 事先書面同意的任何抵押中給予任何權(quán)益擔(dān)保(除下文中利益安全給予了snc )。 customer will execute and deliver all documents, give all notices, make all filings and take such other actions as snc , in its sole discretion, deems necessary or desirable to evidence or perfect any security interest in favour of snc ?or to protect snc ?interests with respect to any collateral. 客戶將像snc 一樣自主執(zhí)行和提供所有文件，發(fā)出所有通知，進(jìn)行所有備案和采取其他行動(dòng)。在其認(rèn)為必要或適宜時(shí)，為了有利于snc ，對(duì)任何抵押提供證明或者表示尊重。 customer hereby warrants that regardless of any subsequent determination to the contrary, customer is suitable to trade foreign currency and is a sophisticated foreign exchange investor. 客戶在此保證，不論之后有何相反的決定，客戶是適合進(jìn)行外匯交易，而且是成熟的外匯投資者。 customer has read and understands the risk disclosure statement contained in this agreement. customer will review snc ?risk disclosures, including, without limitation, snc ?risk disclosure statement, each time they are amended. customer will not affect any opening transaction in customers account unless customer understands snc ?revised risk disclosures, and customer agrees that in effecting any opening transaction it is deemed to represent that it has read and understands snc ?revised risk disclosures as in effect at the time of such opening transaction. 客戶已閱讀并了解本協(xié)議的風(fēng)險(xiǎn)聲明。在每次對(duì)snc 風(fēng)險(xiǎn)聲明修訂后，客戶需無限制的重新閱讀聲明內(nèi)容?？蛻舨粫?huì)影響客戶的帳戶中的任何開盤交易的，除非客戶明白snc 風(fēng)險(xiǎn)披露的修改，和客戶同意在實(shí)際開盤交易時(shí)的任何開盤交易進(jìn)行均被視為已經(jīng)閱讀并理解已修改的snc 外匯風(fēng)險(xiǎn)披露。 customer has read and understands the trading policies contained in this agreement, including, without limitation, snc ?trading policies. customer will review snc trading policies, including, without limitation, snc ?trading policies each time they are amended. customer will not affect any opening transaction in customers account unless customer understands snc revised trading policies, and customer agrees that in effecting any opening transaction it is deemed to represent that it has read and understands snc ?revised trading policies as in effect at the time of such opening transaction. 客戶已經(jīng)閱讀并理解載于本協(xié)議的買賣政策，包括但不限于snc 交易政策。客戶將審查snc 買賣政策，其中包括但不限于snc 交易政策每次都被修訂。顧客不會(huì)影響任何開盤交易的客戶的帳戶，除非客戶明白snc 買賣政策的修改，和客戶同意在實(shí)際開盤交易時(shí)的任何開盤交易進(jìn)行均被視為已經(jīng)閱讀并理解已修改的snc 外匯買賣政策。 customer acknowledges that customer has conducted simulated trading using the snc demo trading platform for a period that has allowed the customer to develop a full understanding of the snc ?internet trading platform an online trading system for spot foreign exchange real-time trading. 客戶承認(rèn)曾使用snc 進(jìn)行模擬外匯交易演示平臺(tái)，已經(jīng)允許客戶建立一個(gè)對(duì)snc 外匯網(wǎng)上交易平臺(tái)的全面認(rèn)識(shí)，為即期外匯實(shí)時(shí)交易的網(wǎng)上交易系統(tǒng)。 all information provided by customer to snc , including information regarding customers trading experience and investment sophistication, is true, correct and complete, and customer will notify snc ?promptly of any changes in such information. 所有客戶提供給snc 的外匯信息，包括客戶真實(shí)、正確及完整的交易經(jīng)驗(yàn)和投資的復(fù)雜化，客戶將通知snc 外匯及時(shí)更改這些信息。 trading （交易） 4.1? authorization to trade for customers account subject to the terms of this agreement and all related agreements, including the risk disclosure statement and snc ?trading policies document hereto, the customer account application and any applicable addenda thereto, customer authorizes snc ?to enter, purchase, sell, and clear otc foreign exchange contracts on a spot basis for the customers account in accordance with customers electronic, written or oral instructions received through the snc ?internet trading platform - an online trading system connected directly to the snc ?trade execution desk, via telephone directly to the snc ?trade execution desk, or via any other communicative means available. 本協(xié)議相關(guān)的條款和所有的承諾，包括snc 外匯風(fēng)險(xiǎn)披露聲明和snc 交易政策文件，客戶帳戶申請書和任何適用的增編，客戶授權(quán)snc 外匯進(jìn)行交易。在現(xiàn)貨的基礎(chǔ)上按照客戶的電子、書面或口頭指示為客戶的賬戶，通過snc 外匯網(wǎng)上交易平臺(tái)網(wǎng)上交易系統(tǒng)直接與snc 連接應(yīng)用，可以透過電話或其他通信手段直接連接到snc 外匯交易服務(wù)臺(tái)，明確場外外匯買賣合約 customer agrees to be responsible for any transaction instruction received by snc either electronically via the snc ?internet trading platform (or similar product), or orally over the telephone.? before executing a transaction, snc will require the customer at least? to provide user name and password authorization electronically via a login procedure or if contacted via the telephone, orally via an identification procedure.? correct information will authenticate the customer and allow the customer to conduct transactions in the authorized snc account for that authentication. 客戶同意對(duì)snc 通過snc 網(wǎng)上交易平臺(tái) (或類似產(chǎn)品)，或電話收到的任何交易指令負(fù)責(zé)。在執(zhí)行一項(xiàng)交易前，snc 會(huì)請求客戶要至少提供經(jīng)電子授權(quán)登錄的用戶名和密碼，如果是通過電話聯(lián)系，以口頭通過鑒定程序。正確的資料將認(rèn)證客戶，并授予其有在snc 帳戶進(jìn)行交易的權(quán)利。 if customers account is a joint account, snc is authorized to act on the instructions of any one owner without further inquiry, with regard to trading in the account and/or the disposition of any and all assets in the account. snc shall have no responsibility for further inquiry into such apparent authority and no liability for the consequences of any actions taken or failed to be taken by snc ?and any of its employees in reliance on any such instructions or on the apparent authority of any such authorized person(s). 如果客戶的賬戶是一個(gè)聯(lián)名賬戶，snc 有權(quán)在沒有作進(jìn)一步調(diào)查下，識(shí)演任何戶主的角色，買賣和/或處置任何和所有資產(chǎn)帳戶。對(duì)于交易賬戶. snc 不承擔(dān)對(duì)這種表見權(quán)力的進(jìn)一步探討，并這類表見授權(quán)，不對(duì)snc 和其信賴的任何雇員，按指示或按任何授權(quán)的表見代理人，采取或未能采取的任何行動(dòng)的后果負(fù)責(zé)。 ? 4.2 pricing information（定價(jià)信息） snc ?will make available, by posting on the snc ?internet trading platform- an online trading system, or by customer electronically contacting any alternative designated by snc, by telephoning the snc ?dealing execution desk, or by any other communicative means available to snc ?and its customers, bid and ask prices at which snc ?is prepared to enter foreign currency contracts with authorized customers. each bid or ask price shall be for a spot contract with a specified date and for a specific foreign currency pair.? snc makes no warranty expressed or implied; that bid and ask prices shown represent prevailing bid and ask prices in the interbank market.? in addition, although snc reasonably expects to make available continuous prices during business hours, because of a number of factors including but not limited to technology failures, communication system delays, lack of interbank liquidity or high market volatility, snc makes no warranties that dealing prices and liquidity will be available continuously to customers either electronically or via the telephone or by any other communication devise. snc 將通過snc 網(wǎng)上交易平臺(tái)一網(wǎng)上交易系統(tǒng)，或由客戶通過其他任何snc 和其客戶指定的方式，撥到snc 或其他任何snc 和其客戶協(xié)定的交易執(zhí)行服務(wù)臺(tái)，snc 在已設(shè)立的外匯合同與授權(quán)客戶出價(jià)和詢價(jià)。每次出價(jià)或詢價(jià)應(yīng)為有具體日期的某一特定外幣組合的現(xiàn)貨合同。snc 不擔(dān)保明示或暗示，顯示在銀行間市場的報(bào)價(jià)和詢價(jià)報(bào)價(jià)為無效的出價(jià)或詢價(jià)。此外，雖然snc 有理由預(yù)期在交易時(shí)間內(nèi)定一個(gè)持續(xù)有效的價(jià)格，但由于若干因素，包括但不僅僅是技術(shù)故障、通訊系統(tǒng)的延誤、銀行間缺少流動(dòng)資金或較大市場波動(dòng)，snc 不擔(dān)保客戶通過電子或電話或其他任何通信方式下得到的交易價(jià)格和流動(dòng)性可持續(xù)有效。 ? 4.3 execution of orders (下單的執(zhí)行) all contracts made and entered into between customer and snc hereunder will be entered into by snc ?as principal.? snc ?will reasonably attempt to execute all orders that it may, in its sole discretion, accept from customer for the purchase or sale of contracts in accordance with the customers electronic, written or typed, or oral instructions. however, snc shall not be responsible for any loss or damage caused, directly or indirectly, by any events, actions or omissions beyond the reasonable direct control of snc , including, without limitation, loss or damage resulting, directly or indirectly, from any delays or inaccuracies in the transmission of orders and/or information due to a breakdown in or failure of any transmission or communication facilities. 所有客戶和snc 簽訂的合同，將被snc 錄入。snc 將合理地嘗試執(zhí)行的所有命令，它可在其自行斟酌，接受客戶以電子、書面、打字或口頭知識(shí)的買賣合同。然而，snc 不應(yīng)對(duì)受到任何事件、超出snc 合理直接控制的行為或不行為，直接或間接造成的損失或損害承擔(dān)任何責(zé)任，其中包括但不僅僅是，因任何傳輸或通訊設(shè)施損壞或失敗直接或間接造成任何傳遞訂單和/或信息的拖延或不準(zhǔn)確。 customer acknowledges, understands and agrees that all market orders and non-market orders such as limit orders, stop-loss orders, one cancels the other orders, or any other non-market order transmitted and accepted by a snc representative, are accepted by snc ?and undertaken on a “best-efforts basis” in accordance with the relevant provisions of the trading policies, as amended from time to time. the customer acknowledges, however, that due to market conditions or other circumstances, snc ?may be unable to execute the order at the market or specified level and the customer agrees that snc ?will bear no liability for failure to execute such orders.? this includes but is not limited to all orders that are entered over a weekend or holiday period when snc is closed for business.? in such circumstances, orders will be executed on a “best-efforts basis” once the market is reopened on the next snc business day. customer acknowledges that execution may not be immediate or at the price dictated by the opening level due to imbalances in orders, market conditions, market liquidity or other circumstances.? snc shall have no responsibility for delays in the transmission of orders due to disruption, market conditions, failure or mal of communications facilities and shall not be liable for any claims, losses, damages, costs or expenses, including attorneys fees, to any person or entity as a result of its negligence. 客戶承認(rèn)、理解并同意，所有市場訂單和非市場訂單，如限價(jià)單、止損訂單、一放取消另一方訂單，或任何其他受snc 的代表傳播和接受的非市場訂單，都被snc 所接受和在盡最大努力的基礎(chǔ)上按照有關(guān)規(guī)定、營運(yùn)政策、不時(shí)修正、客戶確認(rèn)開展。但是，由于市場條件或其它情況，snc 可能無法在市場或客戶指定水平上執(zhí)行。客戶需同意，snc 將不承擔(dān)任何這些命令執(zhí)行失敗的責(zé)任。這包括但不僅僅是所有在一個(gè)周末或假期期間，snc 停止交易時(shí)入場的訂單。在這種情況下，當(dāng)市場在未來snc 的交易日重新開放時(shí)，訂單將在盡最大努力的基礎(chǔ)上被執(zhí)行。客戶明確，由于訂單不平衡、市場條件、市場流動(dòng)資金或其他情況，執(zhí)行不一定是即時(shí)的或在規(guī)定的價(jià)格水平上。snc 不對(duì)在發(fā)送訂單過程中，因擾亂、市場條件、通訊