互聯(lián)網(wǎng)證券買賣協(xié)議(附加於現(xiàn)金／保證金客戶協(xié)議書)新

1、本人吾等乃貴公司證券戶口 號之戶口持有人，本人吾等之證券客戶合約於簽訂。本人吾等同意開立一個或多個證券買賣戶口，并同意以本人吾等名義或代表本人吾等就證券買賣及相關(guān)事宜， 通過網(wǎng)上交易服務(wù)運作戶口， 本人吾等同意， 戶口由貴公司透過貴公司的網(wǎng)上交易服務(wù)按照證券客戶合約及下列條款及條件運作：1定義及解釋1 1 在本協(xié)議中，以下詞語具有下列涵義：“進入密碼 ”指密碼及戶口號碼；“戶口 ”指本人在貴公司開立的互聯(lián)網(wǎng)買賣戶口，經(jīng)由網(wǎng)上交易服務(wù)運作；“網(wǎng)上交易服務(wù) ”指 根據(jù)本協(xié)議提供的網(wǎng)上買賣服務(wù)，包括電子買賣服務(wù)，網(wǎng)址上的任何資料，以及其中的軟件；“電子買賣服務(wù) ”指本人吾等發(fā)出電子指令的設(shè)施， 以及

2、網(wǎng)上交易服務(wù)提供的資訊服務(wù)；“指令”指以電子方式買賣證券的買賣指令或其他處理指令；“互聯(lián)網(wǎng)買賣政策 ”指有關(guān)網(wǎng)上交易服務(wù)運作的政策；“密碼”指本人吾等與帳號一并使用的個人密碼，據(jù)之可進入該服務(wù)；“證券客戶合約 ”指 公司之現(xiàn)金客戶協(xié)議書或保證金客戶協(xié)議書；“”指公司；“帳號 ”指客戶與密碼一并使用的個人密碼， 據(jù)之可進入電子買賣服務(wù)， 以及其他網(wǎng)上交 易服務(wù)提供的服務(wù)；12 單數(shù)詞語包括眾數(shù)詞語，反之亦然。提到一種性別之處，包括所有性別。 “人士 ” 一詞，包括商號或獨資經(jīng)營，合伙經(jīng)營，集團及法人公司，反之亦然。2網(wǎng)上交易服務(wù)2 1 本人吾等了解，電子買賣服務(wù)為一半自動設(shè)施，讓本人吾等發(fā)出電子

3、指令， 并接收信息服務(wù)。22 本人吾等同意使用電子買賣服務(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。23 本人吾等為戶口項下電子買賣服務(wù)的唯一獲授權(quán)使用者。 本人吾等需對進入 密碼的保密及使用承擔責任。 本人吾等承認及同意， 本人吾等需就使用進入密碼輸進電 子買賣服務(wù)的所有指令負責， 而貴公司，貴公司董事， 高級職員或雇員概毋需對本人吾等， 或經(jīng)由本人吾等提出申索的任何其他人士的申索承擔責任。24 本人吾等承認， 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， 本人吾等不會平擾， 修改，拆解，易轉(zhuǎn)，操縱

4、或以其他方式修改網(wǎng)上交易服務(wù)的任何部份。 本人吾等承認， 若本人吾等在任何時候違反是項保證及承諾， 或?qū)嵐驹谌魏螘r候合理懷 疑本人吾等違反是項保證及承諾， 則貴公司可向本人吾等采取法律行動。 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， 則本人吾等須即時通知貴公 司。25 本人吾等進一步承認及同意， 作為使用電子買賣服務(wù)發(fā)出指令的先決條件， 若 有下列情況，本人吾等需即時通知貴公司：a. 有關(guān)戶口的指令已經(jīng)由電子買賣服務(wù)作出，而本人/吾等未收到命令編號；b. 有關(guān)戶口的指令已經(jīng)由電子買賣服務(wù)作出，而本人/吾等未收到對指令或其執(zhí)行的 準確認收；c. 本人/吾等收到交易指示的

5、認收，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)上買賣政策， 列出網(wǎng)上交易服務(wù)運作政策及程序。 該政策可經(jīng)由網(wǎng)址取得， 在任何時候均適用。 該政策的條款， 對本人/吾等對使用網(wǎng)上交易 服務(wù)具約束力。若本協(xié)議條款與網(wǎng)上買賣政策不一致，以本協(xié)議條款為準。27 本人/吾等承認 網(wǎng)址若提供報價服務(wù)，乃由貴公司不時指定的第三方提供者提供。 本人/吾等承認及同意， 對本人/吾等在任何方面因報價服務(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， 費用，支出，損害賠償或申索貴公司概毋須承擔 責任。2

6、8 本人/吾等了解， 就提供資訊而言， 電子買賣服務(wù)只提供由第三方刊發(fā)的證券資 料。因市場波動及資料傳送過程的延誤， 該等資料可能并非有關(guān)證券或投資的實時市場報價。 本人/吾等了解， 雖然貴公司相信該等資料可靠， 但沒有獨立基準可茲證實所提供資料的準 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 推薦或認可。29 本人/吾等了解， 在電子買賣服務(wù)中提供的資料， 以“現(xiàn)狀”及“可提供 ”基準提供， 貴公司并不保證該等資料的時候，順序， 準確性，足夠性或完整性。 貴公司沒有就該等資料 作出明示或默示保證。2 10 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

7、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)施溝通或進行交易所帶來的風險。3戶口31 本人/吾等承認， 本人/吾等只可經(jīng)由互聯(lián)網(wǎng)進入戶口， 本人/吾等承認，若本 人/吾等在經(jīng)由互聯(lián)網(wǎng)接觸貴公司時有任何困難， 本人/吾等需嘗試使用其他方法與貴公司 溝通，并把所遇困難知會貴公司。32 開戶口時， 本人/吾等需在戶口申請表上寫明本人/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/吾等承認貴公司收到戶口申請表上所載有效款項後， 方會把進入密 碼通知本人/吾等。4指令 經(jīng)網(wǎng)上交易服務(wù)買賣41 如因故障， 通訊設(shè)

8、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責任。42 本人/吾等了解， 向傳播市場資料的各方提供市場資料的每一參與證券交易所或 組織， 對其提供的全部資料申張財產(chǎn)權(quán)益。 本人/吾等亦了解， 任何方概不保證市場資料或 任何其他市場信息的時效，序列，準確或完整性。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任何責任：任何該等資料，資訊或信息不準確，錯誤， 延誤或遺漏；或該等資料，資訊或信息傳送或交付時的任何不準確，錯誤，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

9、為以致無法履行或提供；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/吾等只會把股票報價用於自身用途， 不會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， 因無法預(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，因該不可靠性，在傳送 及接收指令及其他資料時可能有延誤， 以致執(zhí)行指令的延誤及/或執(zhí)行指令的價格與發(fā)出指 令時的價格不同。 本人/吾等進一步承認及同意， 任何通訊均有誤解或錯誤的風險， 而該等 風險需絕對由本人/吾等承擔。本人/吾等承認及同意，指令一經(jīng)發(fā)出，通

10、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 令嚴格遵守該等指令發(fā)出時所在相關(guān)司法轄區(qū)的任何適用法律。 本人吾等進一步同意， 本 人吾等有疑問時會諮詢相關(guān)司法轄區(qū)的法律顧問。 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)當局支付稅費，本人吾等同意支付該等適用稅費。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，費用， 法律程序，要求或申索。6風險披露聲明 電子交易風險在交易高峰， 市場波動， 系統(tǒng)升級及維護或其他時間， 互聯(lián)網(wǎng)或其他電子 設(shè)施的進入可能會受到限制甚至無法進入。 通過互聯(lián)網(wǎng)或

11、其他電子設(shè)施進行的交易可能會因 不可預(yù)測的流量堵塞和其他貴公司無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有延誤， 而這會導致交易指令在執(zhí)行上的延誤， 或者交易 執(zhí)行的價格已不同于指令發(fā)出時的市場價格。 而且， 通信和個人資料可能會被未經(jīng)授權(quán)的第 三方取得， 且在通信上會存在誤解或錯誤的風險， 而這些風險將完全由本人吾等承擔。 本 人吾等確認并同意，交易指令一旦發(fā)出通常將不可能取消。簽署確認 本人吾等，為下述簽署人，茲承認本人吾等已閱讀， 知悉，及明白本協(xié)議之內(nèi)容并 接

12、受其條款及條件?？蛻簦?客戶主任： 年月 日 年月 日 見證人： 年月日 附件 i/we am/are the client holding the securities account(s) with you numbered (theaccount) and refer to my/our cash/margin client s agreements in respect of the account dated. i/we agree that the account may be to open one or more securities trading account(s) (t

13、he account) to be operated through internet trade service， in my/our name or on my/ourbehalf for the purpose of and in connection with the sale and purchase of securities， and i/weagree that the account shall be operated in accordance with and subject to the following terms and conditions in additio

14、n to the securities client s agreement:i/we am/are the client holding the securities account(s) with you numbered (theaccount) and refer to my/our cash/margin client s agrecetmoefnthtseinacrceosupnt dated. i/we agree that the account may be to open one or more securities trading account(s) (the acco

15、unt) to be operated through internet trade service， in my/our name or on my/ourbehalf for the purpose of and in connection with the sale and purchase of securities， and i/weagree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to th

16、e securities client - s agreement:1. definition and construction1. definition and constructionin this agreement ， the following terms shall bear the following meanings:in this agreement ， the following terms shall bear the following meanings: access codes means together the password and the user nam

17、e; access codes means together the password and the user name; 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 m

18、eans 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;internet trade service means the on-line securities trading service provided by under this agreement compri

19、sing the electronic trading ervice ， any information contained in web site and the software comprised in them;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 ser

20、vice 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;instruction means any instruction for the buying or

21、selling of or otherwise dealing in anysecurities;internet trading policy means thepolicy relating to the operationof the internet tradeservice as amended from time to time;internet trading policy means thepolicy relating to the operationof the internet tradeservice as amended from time to time;passw

22、ord means my/our personalpassword used in conjunction with theuser name togain access to the service;password means my/our personalpassword used in conjunction with theuser name togain access to the service;clientasgreementmeans cashclient asgreementormarginclient sagreement;clientasgreementmeans ca

23、shclient asgreementormarginclient sagreement;II means _securities limited;II means _securities limited;username meansthe client psersonal identificationused in conjunction with thepassword to gain access to the electronic trading service and other services offered by phoenixcapital.user name means t

24、he client spersonal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words den

25、oting person shall include a firm or sole proprietorship ， partnership ， syndicate and corporation and vice versa.words 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 proprietorshi

26、p ， partnership ， syndicate and corporation and vice versa.2. internet trade service2. internet trade servicei/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.i/we understand that the el

27、ectronic trading service is semi-automated facility whichi/weenables me/us to send electronic instructions and receive information services.agree to use the electronic trading service and any additional services offeredthrough the internet trade service only in accordance with the terms of this agre

28、ement in addition to the client s agreement.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 client s agreement.i/we shall be the only authorized user of the

29、electronic trading service under the /weunderstand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the /we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall

30、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 th

31、e handling ， mishandling or loss of any instruction.i/we shall be the only authorized user of the electronic trading service under the /weunderstand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the /we shall be responsibl

32、e 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/

33、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.i/we acknowledge that the internet trade service is proprietary to you. i/we warrant andundertake that i/we shall not ， and shall not attempt to ， tam

34、per 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

35、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.i/we acknowledge that the internet trade service is proprietary to

36、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

37、 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

38、any other person.i/we further acknowledge and agree that ， as a condition of using the electronic tradingservice to give instructions ， i/we shall immediately notify you if:i/we further acknowledge and agree that ， as a condition of using the electronic trading service to give instructions ， i/we sh

39、all immediately notify you if: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 or

40、der 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);an instruction in respect of the account has

41、 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);i/we have received acknowledgement (whether by hard copy ， electronic or verbal means) of a transactio

42、n which i/we did not instruct or any similar conflict; orc. 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/we become aware of any unauthorized use of the user name or password.i/we underst

43、and 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 tr

44、ade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.i/we become aware of any unauthorized use of the user name or password.i/we understand that you shall prepare the internet trading policy settin

45、g 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 term

46、s of this agreement and the internet trading policy， the terms of this agreement shall prevail.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 acknowle

47、dge 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.i/we acknowledge that the price quotation service ， if any，

48、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 conne

49、ction with any aspect of the quote service including my/our reliance on such service.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-transmi

50、ssion 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 bereliable ， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third par

51、ties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.i/we understand that the electronic trading services may provide ， for informationalpurpose only ， data about securities published by third parti

52、es. 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

53、 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.i/we understand that information provided in the electronic trading service

54、s is providedon an isas， aavasilable 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 t

55、o such information.i/we understand that information provided in the electronic trading services is providedon an isas， aavasilable basis and you do not guarantee the timeliness ， sequence， accuracy， adequacy or completeness of such information. you give no express or impliedwarranties (including but

56、 not limited to warranties of merchantability or fitness for a particular use) with respect to such information.i/we accept the risks of receiving or communicating and conducting transactions over facilities for the purpose of the internet trade service.3. the accounti/we accept the risks of receivi

57、ng orgaining access to services through andthe internet or other electronic means orgaining access to services through andcommunicating and conducting transactions overthe internetor other electronic means orfacilities for the purpose of the internet trade service.3. the accounti/we acknowledge that

58、 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.i/we acknowledge that i/we may only access the account thr