互聯(lián)網(wǎng)證券買(mǎi)賣(mài)協(xié)議（附加於現(xiàn)金／保證金客戶協(xié)議書(shū)）.doc

合同范本/it行業(yè)合同 互聯(lián)網(wǎng)證券買(mǎi)賣(mài)協(xié)議（附加於現(xiàn)金保證金客戶協(xié)議書(shū)） 本人吾等乃貴公司證券戶口_號(hào)（“戶口”）之戶口持有人，本人吾等之證券客戶合約於_簽訂。本人吾等同意開(kāi)立一個(gè)或多個(gè)證券買(mǎi)賣(mài)戶口，并同意以本人吾等名義或代表本人吾等就證券買(mǎi)賣(mài)及相關(guān)事宜，通過(guò)網(wǎng)上交易服務(wù)運(yùn)作戶口，本人吾等同意，戶口由貴公司透過(guò)貴公司的網(wǎng)上交易服務(wù)按照證券客戶合約及下列條款及條件（并受其規(guī)限）運(yùn)作：1定義及解釋11在本協(xié)議中，以下詞語(yǔ)具有下列涵義：“進(jìn)入密碼”指密碼及戶口號(hào)碼；“戶口”指本人在貴公司開(kāi)立的互聯(lián)網(wǎng)買(mǎi)賣(mài)戶口，經(jīng)由網(wǎng)上交易服務(wù)運(yùn)作；“網(wǎng)上交易服務(wù)”指_根據(jù)本協(xié)議提供的網(wǎng)上買(mǎi)賣(mài)服務(wù)，包括電子買(mǎi)賣(mài)服務(wù)，_網(wǎng)址上的任何資料，以及其中的軟件；“電子買(mǎi)賣(mài)服務(wù)”指本人吾等發(fā)出電子指令的設(shè)施，以及網(wǎng)上交易服務(wù)提供的資訊服務(wù)；“指令”指以電子方式買(mǎi)賣(mài)證券的買(mǎi)賣(mài)指令或其他處理指令；“互聯(lián)網(wǎng)買(mǎi)賣(mài)政策”指有關(guān)網(wǎng)上交易服務(wù)運(yùn)作的政策（經(jīng)不時(shí)修訂）；“密碼”指本人吾等與帳號(hào)一并使用的個(gè)人密碼，據(jù)之可進(jìn)入該服務(wù)；“證券客戶合約”指_公司之現(xiàn)金客戶協(xié)議書(shū)或保證金客戶協(xié)議書(shū)；“_”指_公司；“帳號(hào)”指客戶與密碼一并使用的個(gè)人密碼，據(jù)之可進(jìn)入電子買(mǎi)賣(mài)服務(wù)，以及其他網(wǎng)上交易服務(wù)提供的服務(wù)；12單數(shù)詞語(yǔ)包括眾數(shù)詞語(yǔ)，反之亦然。提到一種性別之處，包括所有性別?！叭耸俊币辉~，包括商號(hào)或獨(dú)資經(jīng)營(yíng)，合伙經(jīng)營(yíng)，集團(tuán)及法人公司，反之亦然。2網(wǎng)上交易服務(wù)21本人吾等了解，電子買(mǎi)賣(mài)服務(wù)為一半自動(dòng)設(shè)施，讓本人吾等發(fā)出電子指令，并接收信息服務(wù)。22本人吾等同意使用電子買(mǎi)賣(mài)服務(wù)，必須遵照本協(xié)議條款及證券客戶合約。本人吾等使用日後經(jīng)由網(wǎng)上交易服務(wù)提供的其他服務(wù)，亦必須遵照本協(xié)議條款及客戶協(xié)議書(shū)。23本人吾等為戶口項(xiàng)下電子買(mǎi)賣(mài)服務(wù)的唯一獲授權(quán)使用者。本人吾等需對(duì)進(jìn)入密碼的保密及使用承擔(dān)責(zé)任。本人吾等承認(rèn)及同意，本人吾等需就使用進(jìn)入密碼輸進(jìn)電子買(mǎi)賣(mài)服務(wù)的所有指令負(fù)責(zé)，而貴公司，貴公司董事，高級(jí)職員或雇員概毋需對(duì)本人吾等，或經(jīng)由本人吾等提出申索的任何其他人士（就任何有關(guān)處理，錯(cuò)誤處理或遺失任何指示）的申索承擔(dān)責(zé)任。24本人吾等承認(rèn)，網(wǎng)上交易服務(wù)的所有人權(quán)益屬貴公司。本人吾等保證及承諾，本人吾等不會(huì)（亦不會(huì)嘗試）平擾，修改，拆解，易轉(zhuǎn)，操縱或以其他方式修改（且亦不會(huì)嘗試未獲授權(quán)進(jìn)入）網(wǎng)上交易服務(wù)的任何部份。本人吾等承認(rèn)，若本人吾等在任何時(shí)候違反是項(xiàng)保證及承諾，或?qū)嵐驹谌魏螘r(shí)候合理懷疑本人吾等違反是項(xiàng)保證及承諾，則貴公司可向本人吾等采取法律行動(dòng)。本人吾等承諾，若本人吾等知悉任何人士干犯本段上文所述任何行動(dòng)，則本人吾等須即時(shí)通知貴公司。25本人吾等進(jìn)一步承認(rèn)及同意，作為使用電子買(mǎi)賣(mài)服務(wù)發(fā)出指令的先決條件，若有下列情況，本人吾等需即時(shí)通知貴公司：a有關(guān)戶口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人吾等未收到命令編號(hào)；b有關(guān)戶口的指令已經(jīng)由電子買(mǎi)賣(mài)服務(wù)作出，而本人吾等未收到對(duì)指令或其執(zhí)行的準(zhǔn)確認(rèn)收（不論經(jīng)硬本，電子或口頭）；c本人吾等收到交易指示的認(rèn)收（不論經(jīng)硬本，電子或口頭），但該等交易指示并非本人吾等作出，或其他類似的不一致情況；d本人吾等知悉戶口號(hào)碼或密碼的任何未經(jīng)授權(quán)使用。26本人吾等了解，貴公司擬備網(wǎng)上買(mǎi)賣(mài)政策，列出網(wǎng)上交易服務(wù)運(yùn)作政策及程序。該政策可經(jīng)由網(wǎng)址取得，在任何時(shí)候均適用。該政策的條款，對(duì)本人吾等對(duì)使用網(wǎng)上交易服務(wù)具約束力。若本協(xié)議條款與網(wǎng)上買(mǎi)賣(mài)政策不一致，以本協(xié)議條款為準(zhǔn)。27本人吾等承認(rèn)_網(wǎng)址若提供報(bào)價(jià)服務(wù)，乃由貴公司不時(shí)指定的第三方提供者提供。本人吾等承認(rèn)及同意，對(duì)本人吾等在任何方面因報(bào)價(jià)服務(wù)或因本人吾等依賴該服務(wù)而發(fā)生或與之有關(guān)的任何損失，費(fèi)用，支出，損害賠償或申索貴公司概毋須承擔(dān)責(zé)任。28本人吾等了解，就提供資訊而言，電子買(mǎi)賣(mài)服務(wù)只提供由第三方刊發(fā)的證券資料。因市場(chǎng)波動(dòng)及資料傳送過(guò)程的延誤，該等資料可能并非有關(guān)證券或投資的實(shí)時(shí)市場(chǎng)報(bào)價(jià)。本人吾等了解，雖然貴公司相信該等資料可靠，但沒(méi)有獨(dú)立基準(zhǔn)可茲證實(shí)（否定）所提供資料的準(zhǔn)確及完整性。本人吾等了解，不應(yīng)從所提供的任何證券或投資資料而推斷貴公司作出任何推薦或認(rèn)可。29本人吾等了解，在電子買(mǎi)賣(mài)服務(wù)中提供的資料，以“現(xiàn)狀”及“可提供”基準(zhǔn)提供，貴公司并不保證該等資料的時(shí)候，順序，準(zhǔn)確性，足夠性或完整性。貴公司沒(méi)有就該等資料作出明示或默示保證（包括但不限於可商售性或就某一用途的適合性而作出的保證）。210本人吾等接受經(jīng)由互聯(lián)網(wǎng)或其他電子方法或設(shè)施接受或取得服務(wù)以及經(jīng)由互聯(lián)網(wǎng)或其他電子設(shè)備或設(shè)施溝通或進(jìn)行交易所帶來(lái)的風(fēng)險(xiǎn)。3戶口31本人吾等承認(rèn)，本人吾等只可經(jīng)由互聯(lián)網(wǎng)進(jìn)入戶口，本人吾等承認(rèn)，若本人吾等在經(jīng)由互聯(lián)網(wǎng)接觸貴公司時(shí)有任何困難，本人吾等需嘗試使用其他方法與貴公司溝通，并把所遇困難知會(huì)貴公司。32開(kāi)戶口時(shí)，本人吾等需在戶口申請(qǐng)表上寫(xiě)明本人吾等就使用該服務(wù)而存入首筆按金的款額。該款額可由本人吾等親自以支票，銀行本票存入或以電傳存入貴公司的辦事處或銀行戶口。本人吾等承認(rèn)貴公司收到戶口申請(qǐng)表上所載有效款項(xiàng)後，方會(huì)把進(jìn)入密碼通知本人吾等。4指令經(jīng)網(wǎng)上交易服務(wù)買(mǎi)賣(mài)41如因故障，通訊設(shè)施傳送失敗，或通訊媒體不可靠或并非貴公司所能控制或預(yù)期的一或多項(xiàng)原因，以致在傳送，收取或執(zhí)行指令上有所延誤貴公司毋須承擔(dān)責(zé)任。42本人吾等了解，向傳播市場(chǎng)資料的各方提供市場(chǎng)資料的每一參與證券交易所或組織，對(duì)其提供的全部資料申張財(cái)產(chǎn)權(quán)益。本人吾等亦了解，任何方概不保證市場(chǎng)資料或任何其他市場(chǎng)信息的時(shí)效，序列，準(zhǔn)確或完整性。任何損失或損害，若因下列原因或由其產(chǎn)生，貴公司或任何傳播方概毋須承擔(dān)任何責(zé)任：任何該等資料，資訊或信息不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或該等資料，資訊或信息傳送或交付時(shí)的任何不準(zhǔn)確，錯(cuò)誤，延誤或遺漏；或任何該等資料，資訊或信息因貴公司或任何傳播方的疏忽行為以致無(wú)法履行或提供；或任何不可抗力事件；或任何其他非貴公司所能控制或任何傳播方所能合理控制的其他原因。本人吾等只會(huì)把股票報(bào)價(jià)用於自身用途，不會(huì)因任何原因向任何其他人士或?qū)嶓w提供該等資料。43本人吾等承認(rèn)，因無(wú)法預(yù)料的通訊擠塞及其他原因，互聯(lián)網(wǎng)是存有內(nèi)在不可靠性的通訊媒體，而該不可靠性非貴公司所能控制。本人吾等承認(rèn)，因該不可靠性，在傳送及接收指令及其他資料時(shí)可能有延誤，以致執(zhí)行指令的延誤及或執(zhí)行指令的價(jià)格與發(fā)出指令時(shí)的價(jià)格不同。本人吾等進(jìn)一步承認(rèn)及同意，任何通訊均有誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而該等風(fēng)險(xiǎn)需絕對(duì)由本人吾等承擔(dān)。本人吾等承認(rèn)及同意，指令一經(jīng)發(fā)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貴公司發(fā)出指令，本人吾等同意確保及聲明，該等指令嚴(yán)格遵守該等指令發(fā)出時(shí)所在相關(guān)司法轄區(qū)的任何適用法律。本人吾等進(jìn)一步同意，本人吾等有疑問(wèn)時(shí)會(huì)諮詢相關(guān)司法轄區(qū)的法律顧問(wèn)。本人吾等接受在香港以外地區(qū)發(fā)出的指令，可能需向相關(guān)當(dāng)局支付稅費(fèi)，本人吾等同意支付該等適用稅費(fèi)。本人吾等同意，按要求彌償貴公司因本人吾等在香港以外地區(qū)發(fā)出指令而發(fā)生的任何損害，損失，費(fèi)用，法律程序，要求或申索。6風(fēng)險(xiǎn)披露聲明電子交易風(fēng)險(xiǎn)在交易高峰，市場(chǎng)波動(dòng)，系統(tǒng)升級(jí)及維護(hù)或其他時(shí)間，互聯(lián)網(wǎng)或其他電子設(shè)施的進(jìn)入可能會(huì)受到限制甚至無(wú)法進(jìn)入。通過(guò)互聯(lián)網(wǎng)或其他電子設(shè)施進(jìn)行的交易可能會(huì)因不可預(yù)測(cè)的流量堵塞和其他貴公司無(wú)法控制的原因而受到干擾，傳輸中斷，以及傳輸延誤。由於技術(shù)上的制約，互聯(lián)網(wǎng)是一種不完全可靠的通訊媒介。由於這種不可靠性原因，交易指令及其他資訊的傳輸和接收可能會(huì)有延誤，而這會(huì)導(dǎo)致交易指令在執(zhí)行上的延誤，或者交易執(zhí)行的價(jià)格已不同于指令發(fā)出時(shí)的市場(chǎng)價(jià)格。而且，通信和個(gè)人資料可能會(huì)被未經(jīng)授權(quán)的第三方取得，且在通信上會(huì)存在誤解或錯(cuò)誤的風(fēng)險(xiǎn)，而這些風(fēng)險(xiǎn)將完全由本人吾等承擔(dān)。本人吾等確認(rèn)并同意，交易指令一旦發(fā)出通常將不可能取消。簽署確認(rèn)本人吾等，為下述簽署人，茲承認(rèn)本人吾等已閱讀，知悉，及明白本協(xié)議之內(nèi)容并接受其條款及條件?？蛻簦ê炞郑篲客戶主任（簽字）：_年_月_日_年_月_日見(jiàn)證人（簽字）：_ _年_月_日附件i/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:i/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 construction 1.definition and construction 1.1in this agreement，the following terms shall bear the following meanings: 1.1in this agreement，the following terms shall bear the following meanings: access codes means together the password and the user name; （1） access codes means together the password and the user name; （2） account means my internet securities trading account with you operated through the internet trade service; account means my internet securities trading account with you operated through the internet trade service; internet trade service means the on-line securities trading service provided by _ under this agreement comprising the electronic trading ervice，any information contained in _ web site and the software comprised in them; （3）internet trade service means the on-line securities trading service provided by _ under this agreement comprising the electronic trading ervice，any information contained in _ web site and the software comprised in them; （4）electronic trading service means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade; electronic trading service means the facility which enables me/us to give electronic instructions 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 any securities; （5）instruction means any instruction for the buying or selling of or otherwise dealing in any securities; （6）internet trading policy means the policy relating to the operation of the internet trade service as amended from time to time; internet trading policy means the policy relating to the operation of the internet trade service 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; （7）password means my/our personal password used in conjunction with the user name to gain access to the service; （8）clients agreement means _ cash clients agreement or margin clients agreement; clients agreement means _ cash clients agreement or margin clients agreement; _ means _ securities limited; （9）_ means _ securities limited; （10）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. 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. 1.2words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shallinclude a firm or sole proprietorship，partnership，syndicate and corporation and vice versa. 1.2words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shallinclude a firm or sole proprietorship，partnership，syndicate and corporation and vice versa. 2.internet trade service 2.internet trade service 2.1i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services. 2.1i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services. 2.2i/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. 2.2i/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. 2.3i/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. 2.3i/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. 2.4i/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. 2.4i/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. 2.5i/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: 2.5i/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: （1）an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number;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); （2）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); （3）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 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. 2.6i/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. （4）i/we become aware of any unauthorized use of the user name or password. 2.6i/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. 2.7i/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. 2.7i/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. 2.8i/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. 2.8i/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. 2.9i/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. 2.9i/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. 2.10i/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 account 2.10i/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 t