貴金屬交易客戶協(xié)議中英文

1、貴金屬交易客戶協(xié)議（網(wǎng)上交易）CLIENTAGREEMENTOFBULLIONTRADE（ONLINETRADING）簽署本協(xié)議前，請(qǐng)仔細(xì)閱讀整份協(xié)議。PLEASEREADVERYCAREFULLYTHEWHOLEOFTHISAGREEMENTBEFOREYOUSIGNONIT.本協(xié)議于_日簽訂。協(xié)議的其中一方為香港貴金屬交易所（以下簡(jiǎn)稱交易所）為一家貴金屬交易商，交易所之注冊(cè)辦事處位于香港灣仔軒尼詩(shī)道288號(hào)交易中心28樓，而另一方（客戶）之名稱、地址及詳情則載于附錄一及附錄二中。THISAGREEMENTismadeonthedayof20BETWEENHONGKONGBULLIONEXC

2、HANGE（hereinafterreferredtoas“Exchange”）isatraderofBulliontransaction.Exchangeissituatedat28thFloor,ExchangeCentre,288HennessyRoad,Wanchai,HongKong,andtheClientwhosename,addressanddescriptionaresetoutinAppendix1andAppendix2.注意事項(xiàng)NOTICE客戶應(yīng)該了解在進(jìn)行買賣貴金屬現(xiàn)貨之過程中，是有機(jī)會(huì)獲取利潤(rùn)，但同時(shí)亦有可能遭受虧損，而在不利的買賣情況下，虧損程度甚至?xí)^最初存入

3、的保證金數(shù)額。貴金屬現(xiàn)貨價(jià)格之變動(dòng)會(huì)受到多種不可預(yù)測(cè)及世界性之因素影響。當(dāng)價(jià)格大幅度變動(dòng)時(shí)，市場(chǎng)或有關(guān)監(jiān)管機(jī)構(gòu)可能采取某些行動(dòng)，導(dǎo)致客戶無法及時(shí)結(jié)算虧損的買賣合約。雖然交易所的職員及代表隨時(shí)留意市場(chǎng)之波動(dòng)，但是彼等無法保證彼等之預(yù)測(cè)準(zhǔn)確，亦無法確保虧蝕將不超過某個(gè)限額。PLEASEBEADVISEDTHATTRADINGINBULLIONINVOLVESTHEPOTENTIALFORPROFITASWELLASTHERISKOFLOSSWHICHMAYUNDERADVERSETRADINGCONDITIONSEXCEEDTHEAMOUNTOFINITIALMARGINDEPOSIT.MOVEM

4、ENTSINTHEPRICEOFBULLIONAREINFLUENCEDBYAVARIETYOFFACTORSOFGLOBALORIGINANDDIMENSION,MANYOFWHICHAREUNPREDICTABLE.VOLATILEMOVEMENTSINTHEPRICEOFBULLIONMAYRESULTINACTIONBYTHEMARKETORTHERELEVANTREGULATORYBODYASARESULTOFWHICHACLIENTMAYBEUNABLETOSETTLEADVERSETRADES.ALTHOUGHTHESTAFFANDREPRESENTATIVESOFEXCHANG

5、EAREINCONSTANTTOUCHWITHMARKETMOVEMENTS,THEYMIGHTUNABLETOGUARANTEETHEACCURACYOFTHEIRPREDICTIONSNORCOULDTHEYGUARANTEEANYLOSSSHALLNOTEXCEEDASPECIFIEDFIGURE.交易所透過貴金屬場(chǎng)外交易市場(chǎng)從事投機(jī)、購(gòu)買或賣出貴金屬現(xiàn)貨。而場(chǎng)外交易市場(chǎng)的業(yè)務(wù)并不在有組織的市場(chǎng)交易，所以不需公開喊價(jià)。盡管許多以計(jì)算機(jī)為基礎(chǔ)的系統(tǒng)提供報(bào)價(jià)和實(shí)際價(jià)格，這二者可能因?yàn)槭袌?chǎng)不流動(dòng)性而有所差異。許多電子交易設(shè)施是由以計(jì)算機(jī)為基礎(chǔ)的系統(tǒng)來支持進(jìn)行交易下單、執(zhí)行、匹配的。與所有設(shè)施和

6、系統(tǒng)一樣，它們有機(jī)會(huì)受到臨時(shí)故障的影響?？蛻羰栈啬承p失的能力可能受限于系統(tǒng)提供者、市場(chǎng)、銀行及/或金融機(jī)構(gòu)設(shè)定的責(zé)任限度，這些限度可能不盡一樣。EXCHANGETHROUGHTHEOTC(OVERTHECOUNTER)BULLIONMARKETTOSPECULATEANDORPURCHASEANDORSELLBULLION.THEOTCBUSINESSISNOTTRADEDONANORGANISEDEXCHANGEANDTHEREFOREDOESNOTREQUIREOPEN-OUTCRY.EVENTHROUGHQUOTATIONSORPRICESAREAFFORDEDBYMANYCOMPUT

7、ER-BASEDCOMPONENTSYSTEMS,THEQUOTATIONSANDPRICESMAYVARYDUETOMARKETLIQUIDITY.MANYELECTRONICTRADINGFACILITIESARESUPPORTEDBYCOMPUTER-BASEDCOMPONENTSYSTEMSFORTHEORDERROUTING,EXECUTIONORMATCHINGOFTRADES.ASWITHALLFACILITIESANDSYSTEMS,THEYAREVULNERABLETOTEMPORARYDISRUPTIONORFAILURE.CLIENTSABILITYTORECOVERCE

8、RTAINLOSSESMAYBESUBJECTTOLIMITSONLIABILITYIMPOSEDBYTHESYSTEMPROVIDER,THEMARKET,THEBANKANDORFINANCIALINSTITUTION.交易所的保證金政策，以及執(zhí)行交易的機(jī)構(gòu)/清算所的政策可能要求客戶提供追加資金以便維持其保證金賬戶?？蛻粲辛x務(wù)滿足這類保證金要求，否則將可能帶來未平倉(cāng)合約的清盤及相應(yīng)的損失。另外交易所還保留拒絕接受定單的權(quán)利或提供市場(chǎng)對(duì)沖。EXCHANGESMARGINPOLICIESANDORTHEPOLICIESOFTHOSEINSTITUTIONS/CLEARINGHOUSESTHRO

9、UGHWHICHTRADESAREEXECUTEDMAYREQUIRETHATADDITIONALFUNDSBEPROVIDEDTOPROPERLYMAINTAINAMARGINCLIENTSACCOUNTANDTHATCLIENTISOBLIGATEDTOIMMEDIATELYMEETSUCHMARGINREQUIREMENTS.FAILURETOMEETREQUIREMENTSMAYRESULTINTHELIQUIDATIONOFANYOPENPOSITIONSWITHARESULTANTLOSS.EXCHANGEALSORESERVESTHERIGHTTOREFUSETOACCEPTAN

10、YORDERORGUARANTEEAMARKETINWHICHTOOFFSET.鑒于：WHEREAS:客戶愿意在交易所開立一個(gè)或多個(gè)賬戶，以供客戶進(jìn)行貴金屬現(xiàn)貨及期權(quán)（包括但是不限于本地倫敦金、本地倫敦銀及港金等）（貴金屬）。而為此目的，客戶要求交易所維持其在交易所處開設(shè)之一個(gè)或多個(gè)賬戶，并執(zhí)行客戶之貴金屬現(xiàn)貨買賣指令。TheClientisdesirousofopeningoneormoreAccountswithExchangeastheClientmaydecidefromtimetotimeforthesale,purchaseandinvestmentinspotbullionorb

11、ullionoptionstraded(includingbutnotlimitedtoLocoLondonGold,LocoLondonSilverandHongKongGold,etc.)(“Bullion”)andhehasrequestedExchangetomaintainanAccountorAccountswithExchangeforhimforsuchpurposeandtoexecutehisorderforsuchBulliontrading.II.交易所同意按下列條款及條件，不時(shí)應(yīng)客戶的要求并由交易所自行決定讓客戶開立一個(gè)或多個(gè)賬戶，并接受及維持該(等)以名稱、號(hào)碼或其

12、它方式開立的賬戶，交易所并同意執(zhí)行由客戶發(fā)出或授權(quán)之所有貴金屬現(xiàn)貨買賣指令。II.ExchangeagreesthatitwillfromtimetotimeattherequestoftheClientandatitssolediscretionallowtheClienttoopenoneormoreAccountswithitandacceptandmaintainsuchAccount(s)tobedesignatedbyname(s),number(s)orotherwise,andwillexecuteallordersgivenorauthorisedbytheClientand

13、providetheservicesoftradingBullionuponthetermsandconditionshereinafterappearing.雙方茲協(xié)議如下：NOWITISHEREBYAGREEDasfollows:1.詞匯釋義1.DEFINITIONSANDINTERPRETATION于本協(xié)議中，除非文議另有所指，否則下列詞語(yǔ)有以下含義：InthisAgreement,unlessthecontextotherwiserequires,thefollowingexpressionsshallbearthefollowingmeaning:本協(xié)議Agreement指本協(xié)議，及

14、以附錄形式登載可不時(shí)作出修訂或補(bǔ)充之客戶數(shù)據(jù)聲明(附錄一及附錄二)及客戶及第三者見證人聲明(附錄三)。MeansthisAgreement,ClientInformationStatement(Appendix1andAppendix2)andThirdPartyWitnessStatement(Appendix3)areannexedheretoasamendedorsupplementedfromtimetotime;賬戶Account指依據(jù)第5條款，現(xiàn)時(shí)或?qū)硪钥蛻裘x在交易所開設(shè)之任何買賣賬戶；MeansanytradingAccountnoworinthefutureopenedin

15、thenameoftheClientwithExchangepursuanttoClause5;客戶Client用于本協(xié)議，如客戶為個(gè)人，則包括客戶本人、其遺囑執(zhí)行人及遺產(chǎn)管理人；如客戶屬獨(dú)資經(jīng)營(yíng)商號(hào)，則包括東主、其遺囑執(zhí)行人及遺產(chǎn)管理人，以及其業(yè)務(wù)繼承人；如客戶屬合伙經(jīng)營(yíng)商號(hào)，則包括上述客戶賬戶仍維持之時(shí)商號(hào)之各合伙人，其遺囑執(zhí)行人及遺產(chǎn)管理人、以及此后加入或曾經(jīng)成為商號(hào)合伙人之任何其它人士、其遺囑執(zhí)行人及遺產(chǎn)管理人、以及該合伙商號(hào)之繼承人；如客戶為公司，則包括該公司及其授權(quán)人士代表；MeanswhereverusedshallinthecasewheretheClient(s)is/are

16、individual(s)includetheClient(s)andhis/theirrespectiveexecutor(s)andadministrator(s)andinthecasewheretheClientisasoleproprietorshipfirmincludethesoleproprietorandhisexecutor(s)andadministrator(s)andhisortheirsuccessor(s)inthebusinessandinthecaseofapartnershipfirmincludethepartnerswhoarethepartnersof

17、thefirmatthetimewhentheClientssaidAccountorAccountsarebeingmaintainedandtheirrespectiveexecutor(s)andadministrator(s)andanyotherperson(s)orpersonswhoshallatanytimehereafterbeorhavebeenapartnerofandinthefirmandhis/theirrespectiveexecutor(s)andadministrator(s)andthesuccessor(s)tosuchpartnershipbusines

18、sandwheretheClientisacompanyincludesuchcompanyanditsrepresentative;客戶集團(tuán)公司ClientGroupCompany指客戶及(如客戶為個(gè)人或商號(hào))任何由客戶控制之公司及(如客戶為公司)任何為客戶之控股公司或附屬公司或其控股公司之附屬公司之公司；MeanstheClientand(wheretheClientisanindividualorfirm)anycompanywhichiscontrolledbytheClientand(wheretheClientisacompany)anycompanywhichistheholdi

19、ngcompanyorasubsidiary,orasubsidiaryoftheholdingcompany,oftheClient;控制Control如果屬下列任何一個(gè)情況，則某人士即為控制一間公司：(i)該公司或另一間為其附屬公司之公司之董事慣常按照該人士指令或指事而行事；或(ii)該人士(單獨(dú)或聯(lián)同任何聯(lián)系人士)有權(quán)行使或控制行使該公司或另一間為其附屬公司之公司股東大會(huì)投票權(quán)超過20%；Apersonisin“Controlofacompany,ifoneofthefollowingconditionisapplicable:(i)itisinaccordaneewithsuchper

20、sonsdirectionsorinstructionsthedirectorsofthecompanyorofanothercompanyofwhichitisasubsidiaryareaccustomedtoact;Or(ii)suchperson,eitheraloneorwithanyassociate,isentitledtoexercise,orcontroltheexerciseof,morethan20%ofthevotingpoweratgeneralmeetingsofthecompanyorofanothercorporationofwhichitisasubsidia

21、ry;必須保證金NecessaryMargin指交易所不時(shí)自行決定要求客戶存入的按金。該等保證金須于發(fā)出買賣指令前存入交易所，作為對(duì)所有貴金屬現(xiàn)貨交易的擔(dān)保；MeanssuchlevelofdepositasmayberequiredoftheClientbyExchangeatExchangesdiscretionfromtimetotimetobedepositedwithExchangethetimeoforbeforeatradingorderisplacedbytheClientassecurityforallBulliontransactions;追加保證金VariationMar

22、gin指在必須保證金因市場(chǎng)價(jià)格的不利波動(dòng)而出現(xiàn)虧損時(shí)，交易所要求客戶填補(bǔ)的保證金。追加保證金額必須是百份之百補(bǔ)足至必須保證金的數(shù)額；MeanssuchadditionaldepositrequiredoftheClientbyExchangeintheeventthattheNecessaryMarginhasbeenimpairedduetoadversepricefluctuationinthemarket.TheamountofVariationMarginrequiredoftheClientshallbetheamountrequiredtorestorethedepositto10

23、0%oftheNecessaryMargin;附加保證金AdditionalMargin指交易所認(rèn)為應(yīng)增收客戶的按金。此等保證金是作為在客戶透過交易所進(jìn)行的任何或所有貴金屬現(xiàn)貨交易時(shí)進(jìn)一步的擔(dān)保；MeanssuchfurtheroradditionaldepositasExchangeshalldeemtobenecessarytopaytoExchangeasfurthersecurityforanyorallBulliontransactionsplacedortobeplacedbytheClientwithExchange;書面InWriting包括書寫、印制、平版印刷、照片、打字，電

24、報(bào)及電傳訊息、圖文傳真?zhèn)魉图叭魏我环N及各種其它可以見到、可以辨別及非暫時(shí)性以轉(zhuǎn)載文字或數(shù)字之形式。而交易所亦可透過其網(wǎng)站地址作出任何公布；Ineludeswriting,printing,lithography,photographs,type-writing,cableandtelexmessages,facsimiletransmissionandanyandeveryothermodeofreproducingwordsorfiguresinavisible,legibleandnon-transitoryformuniessotherwisespecificallydesignated

25、inthisAgreement.Exchangewillalsomaketheannouncementonitswebsiteaddress;中介人Intermediate所有引薦業(yè)務(wù)或客戶給予交易所的人士或組織或公司。Anypersonorpartyorcompanywhorefersorintroducesbusinessand/orClientstoExchange.工作日WorkingDay指交易所之營(yíng)業(yè)日；MeansadayonwhichExchangeisopenforbusiness;網(wǎng)站地址WebsiteAddress交易所之網(wǎng)站地址或交易所公布之官方網(wǎng)站。Exchangesw

26、ebsite HYPERLINK oranyotherwebsitesasamendedfromtimetotimeinExchangesofficialcompanywebsite.標(biāo)題僅為方便參閱或引述之用，并不影響本協(xié)議之涵義及詮釋。HeadingsareinsertedforconvenienceorreferenceonlyandshallnotaffecttheconstructionandinterpretationofthisAgreement.除非另有注明或文義另有規(guī)定外，本協(xié)議內(nèi)述及之條款及附錄乃指本協(xié)議之條款及附錄，述及之法律或法規(guī)包括不時(shí)經(jīng)過修訂、延展或重新頒布之法律或

27、法規(guī)，述及之單數(shù)亦包括復(fù)數(shù)在內(nèi)（反之亦然），男性或女性字眼包括兩種性別在內(nèi)，而述及之人士則包括公司在內(nèi)。UnlessotherwisestatedorthecontextotherwiserequiresreferencesinthisAgreementtoClausesandSchedulesaretoclausesofandschedulestothisAgreement,referencestoastatuteorstatutoryprovisionincludesareferencetoitasamended,extendedorre-enactedfromtimetotime,ref

28、erencestothesingularineludesthepluralandviceversa,wordsimportinganygenderineludeeverygenderandreferencestopersonineludecorporations.適當(dāng)授權(quán)/資格4.DUEAUTHORITY/CAPACITY4.1個(gè)人客戶茲保證本身為成年人及具備足夠資格，而商號(hào)或公司客戶茲保證本身為正式組成及注冊(cè)。客戶同時(shí)保證本身有權(quán)訂立協(xié)議及一切附帶及/或據(jù)此訂立之合約；而在任何情況下，本協(xié)議及該等合約均對(duì)客戶構(gòu)成具有法律約束力及須予履行之義務(wù)。TheClientwarrantsthatint

29、hecaseofbeinganindividual,heisoffullageandcapacityandinthecaseofbeingafirmorcorporation,itisdulyconstitutedandincorporatedandhaspowertoenterintothisAgreementandallcontractsmadeortobemadeincidentaland/orpursuantthereto,andinanycase,thisAgreementandsuchcontractsareandwillconstituteaslegallybindingande

30、nforceableobligationoftheClient.4.2交易所茲保證本身為一間根據(jù)香港法例第32章公司條例正式注冊(cè)之有限責(zé)任公司,并有權(quán)訂立本協(xié)議。ExchangeherebywarrantsthatitisacompanydulyincorporatedwithlimitedliabilityundertheCompaniesOrdinance(Chapter32oftheLawsofHongKong)andhaspowertoenterintothisAgreement.賬戶之操作5.OPERATIONOFACCOUNT5.1客戶茲指示而交易所茲同意以客戶名義開立及維持賬戶，

31、以便按照本協(xié)議之條款及條件出售、購(gòu)買、投資、兌換或以其它方式處理及以一般形式買賣各類貴金屬。TheClientherebyinstructsandExchangeherebyagreestoopenandmaintainAccount(s)inthenameoftheClientforthesale,purchase,investmentin,exchangeorotherwisedisposalofandgenerallytradinginandwithallkindsofBullioninaccordaneewiththetermsandconditionsofthisAgreement.

32、5.2如果客戶將交易授權(quán)或?qū)ζ滟~戶的管理交予中介人，交易所將絕不對(duì)客戶作出的選擇負(fù)責(zé)或?qū)Υ俗鞒鋈魏瓮扑]。交易所不對(duì)有關(guān)交易中介人作出任何聲明或保證；交易所不會(huì)因?yàn)榻灰谞I(yíng)業(yè)代表的行為而對(duì)客戶產(chǎn)生的損失負(fù)責(zé)；交易所不對(duì)交易中介人的運(yùn)作方式作出任何隱含或直接的支持或批準(zhǔn)。如果客戶授權(quán)客戶中間人管理其賬戶，客戶自己承擔(dān)風(fēng)險(xiǎn)。IntheeventthatClientgrantstradingauthorityorcontroloverClientsAccounttoIntermediate,ExchangeshallinnowayberesponsibleforreviewingClientschoic

33、eofsuchIntermediateorformakinganyrecommendationswithrespectthereto.ExchangemakesnorepresentationsorwarrantiesconcerninganyIntermediate;ExchangeshallnotberesponsibleforanylosstoClientoccasionedbytheactionsoftheIntermediate;andExchangedoesnot,byimplicationorotherwiseendorsesorapproveoftheoperatingmeth

34、odsoftheIntermediate.IfClientgivestheIntermediateauthoritytoexerciseanyofClientsrightsoverClientsAccount,ClientdoessoatClientsownrisk.5.3客戶同意并聲明其本身充分了解貴金屬買賣所涉及的風(fēng)險(xiǎn)，并確知其向交易所發(fā)出的指令，可能會(huì)受當(dāng)時(shí)情況影響而無法執(zhí)行（尤其是結(jié)算所持合約而訂立相配合約的指令）?？蛻敉馑信c本合約有關(guān)的損失由其承擔(dān)，交易所毋須對(duì)任何與本合約有關(guān)的損失負(fù)責(zé)，除非該等損失是由于交易所處理失當(dāng)或顯著疏忽所致。TheClientagreesanddecl

35、aresthatheisfullyawareoftheriskinvolvedinBulliontradingandisalsoawarethatordersplacedwithExchange,mayduetotheprevailingcircumstances,failtobeexecuted（includingbutnotlimitedtoanordertosettleanexistingcontractbyenteredintoamatchingcontract）.TheClientagreesalllossesincurredinanycontractinsuchcircumstan

36、cesshallbebornebytheClient.Exchangeshallnotbeliableforanylossincurredinanycontract,uniesssuchlossordamagearisesfromwilfulmisconductorgrossnegligeneeonthepartofExchange.財(cái)務(wù)審查6.FINANCIALCHECK6.1客戶茲以不可撤回方式授權(quán)交易所對(duì)客戶進(jìn)行信用查詢或?qū)彶?，以確定客戶之財(cái)政狀況及投資目標(biāo)。而客戶亦同意交易所的雇員或其代表獲得不可撤回之授權(quán)可隨時(shí)聯(lián)絡(luò)任何人士（包括但是不限于客戶之往來銀行或經(jīng)紀(jì)或任何信用貸款評(píng)審機(jī)構(gòu)）以

37、查核客戶資料聲明內(nèi)所載之任何資料。如果客戶以書面形式向交易所作出請(qǐng)求，客戶可被允許復(fù)印上述記錄，費(fèi)用完全由客戶承擔(dān)。TheClientherebyirrevocablyauthorisesExchangetoconductacreditenquiryorcheckontheClientforthepurposeofascertainingthefinancialsituationandinvestmentobjectivesoftheClient.AndtheClientalsoagreesthatExchangesemployeeorotherrepresentativeis/arehere

38、byirrevocablyauthorisedatanytimetocontactanyone,includingbutnotlimitedtotheClientsbankerorbrokersoranycreditratingagency,toverifyanyinformationprovidedintheClientInformationStatement.UponrequestmadeinwritingbyClienttoExchange,ClientshallbeallowedtoreviewanyrecordsmaintainedbyExchangerelatingtoClient

39、screditstanding.Clientshallalsobeallowed,atClientssolecostandexpense,tocopysuchrecords.客戶向交易所保證所披露的財(cái)務(wù)訊息準(zhǔn)確地表達(dá)了客戶目前的財(cái)務(wù)情況?？蛻暨M(jìn)一步聲明并保證在確定其凈值時(shí)，資產(chǎn)與負(fù)債已被仔細(xì)計(jì)算，并將負(fù)債從資產(chǎn)中扣減來確定客戶在財(cái)務(wù)訊息中提供的凈值。客戶聲明并保證在確定資產(chǎn)價(jià)值時(shí)，客戶包括了現(xiàn)金及或現(xiàn)金等值品和可流通證券，自有房產(chǎn)(不包括主要住宅)，人壽保險(xiǎn)的現(xiàn)金價(jià)值及其它有價(jià)資產(chǎn)?？蛻袈暶鞑⒈ＷC在確定負(fù)債時(shí)，客戶包括了應(yīng)付銀行的本票(擔(dān)保或非現(xiàn)擔(dān)保)，應(yīng)付親屬的本票，應(yīng)付房產(chǎn)抵押貸款，(不包

40、括基本住所)其它債券。客戶聲明并保證在確定其流動(dòng)資產(chǎn)時(shí)，客戶僅包括能迅速(一天時(shí)間以內(nèi))變現(xiàn)的資產(chǎn)。客戶聲明并保證其已非常仔細(xì)地考慮了客戶資產(chǎn)中可為風(fēng)險(xiǎn)資本的部分?？蛻舯ＷC及聲明風(fēng)險(xiǎn)資本是指如此金額的資金，即客戶愿意將其投入風(fēng)險(xiǎn)之中，且即使損失也不會(huì)對(duì)客戶的生活方式帶來任何改變。如果客戶的財(cái)務(wù)狀況發(fā)生變化以致降低客戶的凈值、流動(dòng)資產(chǎn)及/或風(fēng)險(xiǎn)資本，客戶同意立即告知交易所。ClientrepresentsandwarrantsthatthefinancialinformationdisclosedtoExchangeisanaccuraterepresentationofClientscurre

41、ntfinancialcondition.ClientfurtherrepresentsandwarrantsthatindeterminingtheClientsnetworth,assetsandliabilitieswerecarefullycalculatedthenliabilitiesweresubtractedfromassetstodeterminethevaluethattheClienthasincludedinthefinancialinformationasnetworth.Clientrepresentsandwarrantsthatindeterminingthev

42、alueofassets,Clientincludedcashandorcashequivalents,marketablesecurities,realestateowned(excludingprimaryresidence),thecashvalueoflifeinsuranceandothervaluableassets.ClientrepresentsandwarrantsthatindeterminingthevalueofLiabilities.Clientincludednotespayabletobanks(securedandunsecured),notespayablet

43、orelatives,realestatemortgagespayable(excludingprimaryresidence)andotherdebts.ClientrepresentsandwarrantsthatindeterminingClientsLiquidassetsClientincludedonlythoseassetsthatcanbequickly(withinonedaystime)convertedtocash.ClientrepresentsandwarrantsthatClienthasverycarefullyconsideredtheportionofClie

44、ntsassetswhichClientconsiderstoberiskcapital.ClientwarrantsandrepresentsthatriskcapitalistheamountofmoneyClientiswillingtoputatriskandiflostwouldnot,inanyway,changeClientslifestyle.ClientagreestoimmediatelyinformExchangeifClientsfinancialconditionchangeinsuchawaytoreduceClientsnetworth,liquidassetsa

45、ndorriskcapital.買賣7.TRADING7.1客戶茲聲明客戶是為自己進(jìn)行買賣。7.1TheClientherebydeclaresthatheistradingonhisownbehalf.7.2交易所可以與客戶部分或全部的買賣指令進(jìn)行對(duì)盤及/或下達(dá)市場(chǎng)。交易所獲授權(quán)按照客戶的口頭、書面或計(jì)算機(jī)指令向?qū)κ址饺玢y行、機(jī)構(gòu)或資深參與者為客戶賬戶進(jìn)行場(chǎng)外買賣。除非客戶以書面形式作出反對(duì)，否則交易所獲授權(quán)跟交易所認(rèn)為適合之對(duì)手方如銀行、機(jī)構(gòu)或資深參與者執(zhí)行所有訂單。ExchangemaytakeoppositepositiontomatchtheClientspartialorentir

46、etradingordersand/ortransfertheorderstomarket.ExchangeisauthorisedtopurchaseandorsellOTCinaccordaneewithClientsoralorwrittenorcomputerinstructionsforClientsAccount(s)withacounterpartybankorinstitutionsorparticipants.7.3如事前獲交易所批準(zhǔn)，交易所之任何雇員及其代表可以為本身利益訂立買賣合約。EmployeesandotherrepresentativesofExchange,su

47、bjecttopriorwrittenapprovalofExchangebywayofapolicyofpersonaltradingbystaffestablishedundertheRules,maybeallowedtotradecontractsontheirownAccounts.7.4客戶發(fā)出的任何指令，可能在有關(guān)的市場(chǎng)直接執(zhí)行，或可能透過與任何人士或在任何市場(chǎng)進(jìn)行買賣以執(zhí)行之，亦可能透過任何代辦人、經(jīng)紀(jì)或往來人士或公司間接執(zhí)行而毋須通知客戶。AnyorderfromtheClientmaybeexecuteddirectlyattherelevantmarketorwithan

48、ypersonormarketorindirectlythroughanyagent,broker,anycorrespondentpersonorcompanywithouttheneedofnotifyingtheClient.7.5客戶確知貴金屬現(xiàn)貨買賣價(jià)格因機(jī)構(gòu)而異，而且分秒變動(dòng)，并承認(rèn)即使按照公布的價(jià)格，亦可能無法成交。因此，客戶茲同意，接受交易所不時(shí)開報(bào)的價(jià)格為當(dāng)時(shí)能取得的最佳價(jià)格。TheClientrecognisedthatBulliontradingpricemayvaryfrominstitutiontoinstitutionandfromminutetominuteand

49、thatitmayproveimpossibletoeffecttradesevenatadvertisedprices.ThustheClientagreestoacceptthatsuchpriceasExchangemayofferhimfromtimetotimeisthebestpricethenavailable.7.6客戶在此承認(rèn)并同意下述情況有可能出現(xiàn)，即與交易所相關(guān)的某一營(yíng)業(yè)人員、董事、關(guān)聯(lián)機(jī)構(gòu)、關(guān)聯(lián)人、雇員、其代表、銀行或銀行雇員、交易商及交易所本身可能是客戶賬戶所進(jìn)行的交易的對(duì)手當(dāng)事人或經(jīng)紀(jì)?？蛻粼诖送膺M(jìn)行上述交易，僅有的限制是有關(guān)執(zhí)行買賣定單的銀行、機(jī)構(gòu)、交易所或交易

50、委員會(huì)的任何可能的條例或規(guī)定,或其它監(jiān)管機(jī)構(gòu)的任何可能的限制與條件。Clientherebyacknowledgesandagreesthatasituationmayarisewherebyanofficer,director,affiliate,associate,employee,otherrepresentative,bank,bankemployeeortraderassociatedwithExchange,orExchangeitself,maybetheopposingprincipalorbrokerforatradeenteredforClientsAccount.Clie

51、ntherebyconsentstoanysuchtransaction,subjecttothelimitationsandconditions,ifany,containedintheRules,orRegulationsofanybank,institution,exchangeorboardoftradeuponwhichsuchbuyorsellordersareexecuted,andsubjecttothelimitationsandconditions,ifany,containedinanyapplicableRegulationofanyotherregulatoryage

52、ncy.7.7客戶應(yīng)遵守及接受交易所不時(shí)規(guī)定或更改之一切規(guī)則、所需求之保證金金額、交易事實(shí)、落單時(shí)間表及/或其它有關(guān)貴金屬買賣之事項(xiàng)。TheClientshallobserveandacceptallrules,margindepositrequirements,tradingfacts,tradingrules,timetable(s)forplacingorder(s)and/orothermattersrelatingtoBulliontradingasprescribedbyExchangefromtimetotime.一切有關(guān)任何交易或合約之稅項(xiàng)、征稅、費(fèi)用或其它支銷及開支，概由客戶

53、全部承擔(dān)，而客戶須保障交易所完全毋須支付此等款項(xiàng)。Alltaxes,levies,chargesorotherexpensesandoutgoingsinrespectofanytransactionorcontractshallbebornesolelybytheClientwhoshallindemnifyExchangeinfullagainstpaymentofthesame.7.9客戶可從其保證金賬戶中提取款項(xiàng)，但是須以書面通知交易所其提款意愿。交易所收到通知后將在兩個(gè)工作日內(nèi)安排付款予客戶?？蛻籼崛≈铐?xiàng)不得超過上述賬戶之結(jié)存減去必需保證金及交易所接獲客戶書面通知當(dāng)天客戶未平倉(cāng)合約

54、之浮動(dòng)虧損總額。TheClientmaymakewithdrawalsfromhismarginAccount(s)bygivingExchangeanoticeinwritingofhisintentiontowithdrawandpaymentwillbearrangedtotheClientwithin2WorkingDaysafterreceiptofsuchnotice.TheamounttobewithdrawnbytheClientmustnotexceedthecreditbalaneeinthesaidAccountlesstheNecessaryMarginandtheam

55、ountoftheClientsgrossfloatinglosscalculatedonhisopenpositions/contractsatthedatetheClientswrittennoticeisreceivedbyExchange.7.10客戶可以透過書面或口頭(以電話或?qū)嶋H接洽)或電傳發(fā)出執(zhí)行合約之指令。未得交易所書面同意或確認(rèn)，指令一經(jīng)發(fā)出即不得撤銷或撤回。交易所有權(quán)信賴及以誠(chéng)信態(tài)度合理相信乃由客戶所發(fā)出之任何指示、指引、通知或其它通訊，而客戶同意就交易所因信賴上述事項(xiàng)而引致之虧損、費(fèi)用及支銷(包括但是不限于法律費(fèi)用及或帳務(wù)管理公司之費(fèi)用)向交易所作出賠償保證及保障交易所不

56、會(huì)因此蒙受損失。Orderstoexecutecontractsmaybegiveninwritingororally(whetherbytelephoneoractualmeeting)orbytelexandwhetherbytheClient,oncegivenmaynotberescindedorwithdrawnwithoutthewrittenconsentorconfirmationofExchange.Exchangeshallbeentitledtorelyonanyinstructions,directions,noticesorothercommunicationwhic

57、hExchangereasonablybelievesingoodfaithtobefromtheClientandtheClientagreestoindemnifyExchangeandholdExchangeharmlessfromandagainstlosses,costsandexpenses(includingbutnotlimitedtolegalcostsand/ordebtcollectionfee)sufferedorincurredbyExchangeinrelianeethereon.(a)透過專用交易電話線由交易所與客戶于業(yè)務(wù)過程中之所有電話談話，將會(huì)被交易所操作之中

58、央錄音系統(tǒng)錄音。(a)AlltelephoneconversationsbetweenExchangeandtheClientinthecourseofbusinessviaspecifictradingtelephonelineswillberecordedonacentralisedtaperecordingsystemoperatedbyExchange.客戶可要求交易所給予一個(gè)特定私人密碼(私人密碼)作為登入交易平臺(tái)或識(shí)別身份之用途。客戶承諾將交易密碼絕對(duì)保密，并對(duì)任何意外或故意或未經(jīng)許可向任何第三者泄露交易密碼負(fù)上全部責(zé)任。任何人士如能向交易所提供該交易賬戶的交易密碼，此人士將被視為

59、已授權(quán)并對(duì)客戶具有不可推翻的約束力。客戶確認(rèn)交易密碼有被未經(jīng)授權(quán)人士盜用或作未經(jīng)授權(quán)用途之風(fēng)險(xiǎn)，并同意完全承擔(dān)該等風(fēng)險(xiǎn)及全面賠償交易所因該等風(fēng)險(xiǎn)而引致之一切后果。客戶如獲悉或懷疑交易密碼經(jīng)泄露予任何未經(jīng)授權(quán)之人士或有任何未經(jīng)授權(quán)之指示被發(fā)出，則須立即通知交易所。Aspecificpersonalidentificationnumber(the“PIN”)forloginthetradingplatformoridentificationpurposewillbeassignedbyExchangetotheClient.TheClientundertakestokeepthePINinstri

60、ctsecrecyandshallbefullyresponsibleforanyaccidental,intentionalorwithoutpermissiontodisclosethereoftoanythirdperson.AnypersonwhocanprovidethePINtoExchangeshallbedeemedtobeauthorisedfortherelevantAccountandbindingupontheClient.TheClientacknowledgesthattherearerisksofthePINbeingabusedbyunauthorisedper