IB代理协议.doc

中介代理人合约introducing agent contractintroducing agent contract中介代理人合约1. introduction绪言1.1 these terms and conditions, including the attached schedules, form the agreement (agreement ) between you, and us, ube services (the broker) and shall govern all dealings between you and us. please sign and return one copy of this agreement to confirm your acceptance of the terms herein.本文之条款和条件，包括所附之附件，即为阁下与ube services (经纪商) 之间签订之合约 (本约) ，规管本公司与阁下之间的所有交易。 请把已签署之一份合约本寄回本公司，以确认阁下接受本约之所有条款。1.2this agreement shall come into force on the date that we acknowledge receipt of the signed copy of this agreement from you (commencement date). 本约应于本公司确认收到阁下签署之合约本之日期生效(生效日期)。2. definitions定义2.1 in this agreement the following terms shall have the following meanings:于本约中，以下用语之定义分别如下：the act means the financial services and markets act2000; 本法 指2000 年金融服务与市场法；applicable regulationsmeans the act, the rules or any other rules of a relevant regulatory authority, the rules of any relevant investment exchange, and any other applicable laws, rules and regulations as in force from time to time and to which this agreement is subject;适用法规指本法，相关规例或本约须受其规范之任何其它相关主 管机关之规例、任何相关投资交易所之规例，以及任何 其它适用之法律、规例与法规；business daymeans a day on which any relevant investment exchange or commercial bank is generally open for business in any of london, new york or tokyo;营业日指任何投资交易所或商业银行于伦敦、纽约或东京之营业日；client agreement means the terms of business between us and a client, to which the client has consented in writing;客户合约 指获客户以书面同意与本公司签订之业务条款；client means a customer who has been or is identified as introduced by you to us and with whom we enter into a client agreement; 客户 指经由阁下向本公司介绍与本公司签订客户合约之客户；services means the services shown in schedule 1 which you will perform under this agreement.服务 指阁下根据本约履行于附件一列出之服务条款。2.2 references to statutory provisions, or to related enactments, orders or instruments are references to those provisions, enactments, orders or instruments as amended or as re-enacted or as their application is modified from time to time. 当提及法律条文、或相关法案、命令或文书时，均指经修订或重新立法或其适用经修订之法律条文、或相关法案、命令或文书。2.3 in this agreement unless the context otherwise requires:于本约中，除非依其前后文另有他义，否则：(a) capitalised terms used herein and not defined herein, shall have the meaning set out in theubeforex rules;使用大写字词但本约中未定义者，均照 ubeforex规例之定义解释；(b) words denoting the singular shall include the plural and vice versa and words denoting a given gender shall include all other genders;单数形之字词应包括复数，反之亦然；某一性别形之字词亦应包括所有其它性别；(c) headings are for convenience only and shall not affect interpretation of this agreementand references to clauses are to clauses of this agreement;标题只供参考之便，不影响本约内容之解释；提及条款时，均指本约之条款；(d) references to persons include references to any person, corporations and to any association or partnership.在提及人时，均包括任何人、公司法人与任何社团或合伙。3. opening of accounts开立帐户3.1 from time to time you may notify us that you wish us to accept a prospective client for the purposes of this agreement. we may, however, in our absolute discretion, refuse without prior notice to accept any prospective client without giving any reason or being liable for any resulting loss. if we agree to accept any person introduced by you, then such person will enter into a client agreement with us and we will open an account in our books in the name of the client, whereupon the client shall be bound by the terms of the client agreement. 阁下可以不时通知本公司当阁下希望本公司接纳一位准客户。然而，本公司在无需事先通知的情况下，有絶对的酌情决定权拒絶接受任何准客户，本公司不需对此作任何理由，对因此而产生之任何损失亦概不负责。若本司接受阁下介绍之客户，接着该客户将与本公司签订客户合约，并以该客户之名义于本公司开立帐户，客户随之将受客户合约之条款约束。3.2 if you are a corporate body which qualifies as a market counterparty or wholesale intermediate customer with proper financial licensing in your home country an omnibus account may be established. if this is the case your company signs a single agreement with us and opens a single omnibus account from which all your clients would hold a fraction of the overall pooled funds. in this case your clients would sign only your account not ours and their identity would remain private. 若阁下是法人团体并具备市场对手的资格或是于阁下之国家持有合规金融牌照，阁下可以设立一个综合帐户。若是这样贵公司与本公司签订单一合约及开立一个综合帐户，而阁下之所有客户将持有全部汇集基金之一部分，这样阁下之客户将只与阁下就帐户签订合约而 非本公司之合约，他们各自身分将会保持机密。3.3 you are independent of us and you shall have no authority to bind us in any way unless specifically contemplated herein or agreed by us in writing. your services hereunder shall not be exclusive and we shall be entitled at any time to appoint any other person or entity to provide services to us in any jurisdiction, whether or not similar to the services to be provided by you hereunder.阁下是独立于本公司，除非于本约中明确说明或是经本公司书面同意，阁下将不会有权力以任何方法约束本公司。阁下于下文的服务条款将不会是专有的，而本公司有权可于任何 时间于任何司法管辖权委任其它人士或实体为本公司提供服务，不管是否跟下文服务条款 中阁下向本公司提供之服务相似。4. regulatory matters监管事宜4.1 for the purposes of the rules and in carrying out your instructions on behalf of the client, you agree that we shall treat the client as our client. we will classify the client in accordance with the rules.为了遵守相关规例及阁下代表客户执行指示之目的，阁下同意本公司将会把客户看待为本公司之客户。本公司将会根据相关规例将客户分类。4.2 if giving any instructions on behalf of the client, you warrant that you have been duly appointed and given power of attorney to act on behalf of the client to act in accordance with this agreement.如阁下代表客户作出指示，阁下因而保证阁下已经正式获委任及授予代理人之权力根据本约代表客户行事。4.3 you confirm that:阁下确认：(a) you have obtained all necessary authorisations (including, without limitation, any regulatory or governmental consents, approvals or licences) to enable you to enter into and perform your obligations under this agreement and you undertake to maintain such authorisations, licences and consents during the term of this agreement; 阁下已经取得全部必需之许可(包括不限于任何监管或政府同意、认可或牌照) 赋予阁下订立及履行根据本约之义务，以及于本约有效期间持续拥有上述许可、牌照及认可；(b) your activities in introducing prospective clients to us will not require us to obtain any authorisation, licence or consent from any regulatory authority to carry on regulated activities of the kind contemplated under this agreement in any relevant jurisdiction or to promote our services to such prospective clients; 阁下介绍客户予本公司之活动，将无需本公司根据本约预期进行之任何受监管活动类别或向此等准客户推销本公司之服务，向任何有关司法管辖权之监管机构取得任何许可、牌照或同意；(c) you will notify us immediately of any actual or potential contravention of any such legal or regulatory requirement and we are entitled to assume that all necessary authorisation, licence or consent remains in effect until you notify us otherwise;阁下会立即通知本公司任何实际或可能违反任何该等法律或监管规定，而本公司有权假定所有必须之许可、牌照或同意持续有效，直至阁下通知本公司；(d) you will notify us immediately if any actual or proposed judgement, order, disciplinary sanction is imposed upon or entered against you or any other action or claim is taken against you (including without limitation any pending litigation), in relation to your activities under the applicable regulations which has, or may have, in our reasonable opinion, a material adverse effect on your reputation or financial standing; 阁下会立即通知本公司若任何实际或提出之裁判、命令、纪律之制裁或申诉或是任何其它对阁下作出诉讼之行动或索赔(包括不限于任何悬而未决之诉讼)。根据适用法规有关阁下之活动依我们合理之见解，或会对阁下之信誉或财务状况造成关键性不利之影响；(e) you have, prior to execution of this agreement, fairly disclosed to us all information (including, without limitation, any material information relating to your regulatory standing and details of any material difficulties previously encountered by you in the provision to clients of such similar services as those contemplated in this agreement) which may reasonably be considered material to us in deciding whether to deal with you and/or any client or in determining the basis on which our services should be provided; 阁下必须于履行本约前向本公司完全地揭露所有资料(包括不限于任何有关阁下监 管状况，以及之前任何阁下就客户条款而言，对如同本约预期进行之活动相似之服 务曾遇到任何重大困难之详情)，而此等资料可能是本公司合理地决定是否与阁下及/或任何客户交易或决定本公司应提供服务之准则；(f)in the event of any disputes or complaints from ibs client or inside the agent, ubeforex will freeze up relevant accounts and conduct corresponding investigation and then impose proper disciplinary measures on such agents and also ubeforex has the rights to further cancel the qualifications of ib. 在代理商的任何客户或代理商内部产生投诉或纠纷的情况下，ubeforex将冻结相关账户并进行核查，对出现问题的代理商将给予相应处理，并保留取消代理资格的权利。(g) all information supplied by you to us (including, without limitation, information relating to any client or its account) is true, complete and accurate in all material respects and you will advise us forthwith of any material change to information previously provided; 所有由阁下向本公司提供之数据(包括但不限于有关任何客户或其帐户之数据)在所 有要项上均为正确、完整及准确，若任何已提供之数据有任何重要更改，阁下将立即通知本公司；(h) you will comply with all applicable legal and regulatory requirements in each jurisdiction in which you carry on business. 阁下将会遵从阁下进行业务之各个司法管辖权所有适用之法律及监管规定。notwithstanding the termination of this agreement, you will indemnify us against any loss or liability suffered by us as a result of any contravention of any such legal or regulatory requirement. 尽管本约终止，阁下将对所有因违反任何上述法律及监管规定而导致本公司之任何损失或责任给予补偿与免责保障。4.4 we will deal directly with clients that sign our agreements but may in our absolute discretion dealwith you directly. for market counterparties, that are fully regulated counterparties licensed in your home territory to deal with clients an omnibus account maybe opened for you to deal with your clients. we will give to you and the client all information, disclosures, explanations and documents which we are required to provide under the rules or any applicable regulations.本公司将直接与本公司签订合约之客户交易，然而本公司拥有全权酌情决定直接与阁下交易。就市场对手而言，只要持有其国家之合规牌照与客户交易，阁下可开立一个综合帐户与客户交易。本公司将会根据相关规例及其它适用法规向阁下及客户提供所有信息披露说明及文件。4.5 we are entitled to assume, without enquiry, that any information which you give to us about the client is complete and accurate and that it remains so unless we are advised otherwise by you. 本公司在没有咨询的情况下有权假定阁下向本公司提供有关客户之资料为完整及准确，直 至接获阁下之通知。4.6 you will confirm to us in writing whether or not you have conducted such enquiries as may be appropriate to comply with rules and any other legal or regulatory requirements relating to money laundering regulations to which you may be subject. 阁下将向本公司以书面确认阁下有否进行适当的调查以遵从相关条例，以及任何其它有关 洗钱条例之法律或监管规定的管制。4.7 in certain circumstances, we may require further information about the clients and/or we may apply our own identification/verification procedures.you shall comply with all reasonable requests or instructions notified to you by us from time to time.upon such requests or instructions you agree to provide us with any relevant information which you may have concerning persons introduced to us by you so as to ensure that we can comply with our obligations to verify the identity of clients under the uk anti-money laundering regulations and with our responsibilities under the act and all other applicable regulations with respect to such clients. your oblig ations to us contained in herein shall survive the termination of this agreement. you will notify us immediately when you become aware of any changes in the information which you have provided to us in relation to any client. 在某种情况下，本公司可能进一步要求有关客户之信息及/或本公司可能应用本公司之识别 及核实程序。阁下应遵行所有本公司不时向阁下通知之合理要求或指示。在收到上述要求 或指示后，阁下同意向本公司提供所有有关阁下向本公司介绍之客户之相关资料，以保证 本公司可履行公司之义务，依据英国反洗钱条例查证客户之身分以及本公司根据本法及所 有其它对上述客户适用法规之责任。阁下就包含于本约中对本公司之义务，于本约终止后 仍然持续有效。当阁下发现之前向本公司提供有关任何客户资料有任何变更，阁下将立刻 通知本公司。5. services to be provided to clients向客户提供之服务5.1 we will provide our services on an execution-only basis in respect of all transactions including securities, currencies, margined and other contingent liability transactions in futures, options, contracts for differences or foreign exchange and associated transactions (“transactions”). we may arrange for those transactions to be carried and cleared and such other services as we may specifically agree with the client from time to time. 本公司将会提供有关所有交易包括证券、货币、保证金或期货、期权、价差合约或外汇之 其它关联交易(“交易”)的服务均以作基础。本公司或会安排该等交易予以执行及 清算及其它本公司会不时明确地与客户同意之服务。5.2 unless specifically agreed between us and the client in writing, we will not provide the client with any services which involve the giving of advice by us. for the avoidance of doubt, we shall have no liability or responsibility for (i) any investment, advisory, arranging or other services provided by you or (ii) any transaction or business arranged or otherwise effected by you for or with the client which does not involve us. you do not (in the absence of any written agreement to the contrary) have any authority from us to give investment advice or provide discretionary or other services in our name or on our behalf. 除了本公司与客户具体地以书面同意外，本公司将不会向客户提供任何包含本公司提供建 议之服务。为避免疑虑，本公司不会负上下列之任何义务或责任：(i)任何投资、建议、安 排或其它由阁下提供之服务或(ii)任何交易或业务安排或在其它方面受阁下影响或阁下与客 户之间不涉及本公司之事宜。阁下(除非有本公司以书面授权者外)没有从本公司获得任何 授权以本公司之名义或代表本公司给予交易建议或提供全权委托或其它服务。6. your obligations阁下之责任6.1 you shall perform the services including without limitation your obligations under this agreement and otherwise conduct your business and affairs in accordance with such professional and ethical standards as are widely regarded as being best practice and in accordance with applicable regulations. you shall not take any steps which would cause us to fail to observe the standard of behaviour reasonably expected of persons in our position. 阁下必须履行服务条款，包括但不限于阁下依据本约及除此之外根据广泛地被视为最佳守 则之专业及道德准则以及根据适用法规经营阁下之业务及事务。阁下不可采取任何手段致 本公司不能监测本公司合理地要求之行为规格。6.2 all instructions and orders concerning each clients account shall be transacted by the client or an established agent provided with power of attorney. instructions or orders received via our trading platform or telephone dealing will be carried out during our normal business hours allowing us sufficient time to act upon them. you agree that acceptance of an instruction to withdraw or amend an existing order is always subject to us receiving the instruction in time for the appropriate action to be taken. 关于每位客户帐户之所有指示及委托必须经由客户或获客户书面授权委托之代理人处理。 经由交易平台或电话接获之指示或委托将于本公司之正常营业时间完成及确保本公司有足 够的时间处理。阁下同意本公司接受取消指示或更改既有委托皆依据本公司有否足够时间采取适当行动。6.3 subject to any restrictions contained in this agreement, you shall provide the services or such other services which may from time to time in our reasonable opinion becomes necessary and which are notified in writing by us to you. 依本约之限制下，阁下须提供服务或本公司不时以本公司合理之意见认为必需及以书面通知阁下之该等其它服务。6.4 you shall:阁下必须：(a) not take or omit to take any action which you know or ought reasonably to know is reasonably likely to prejudice or to bring into disrepute in any manner our business or reputation or that of any of our associates;不得作出或遗忘作出任何阁下了解或应该合理地了解可能损害或导致破坏本公司或 任何关联企业声誉之行为；(b) not knowingly do or commit (or permit to be done or committed) any act, matter or thing that you know or ought reasonably to know is reasonably likely to put us in breach of any of the provisions of the client agreement or applicable regulations; 不得故意作出或触犯(或允许作出或触犯)任何阁下了解或应该合理地了解可能使本公司违反任何客户合约或适用法规条款之行动、事件或事情；(c) not make any representation or warranty concerning us except as authorised by us;除了获得本公司授权，否则不作出任何关于本公司之陈述或保证；(d) not, in your capacity as introducer, incur any liability on our behalf or in any way pledge or offer our credit or accept or enter into any contract binding upon us; 不得以作为介绍人之资格代表本公司引发任何负债或以任何方式保证给予或提供本 公司之信贷或签订任何对本公司有约束力之合约；(e) at all times act in good faith for and towards us.于任何时候代表或对本公司以诚信原则行事。6.5 you shall not at any time hold any assets belonging to clients or money which is or is to be treated as client money under the rules unless otherwise agreed with us. 除非本公司另有同意，阁下于任何时候不可持有任何属于客户之资产或资金或根据相关规例被视为客户之资金。6.6 you shall provide to us a copy of each client agreement entered into between you and any client provided that the agreement refers to transactions to be carried out by us (this includes but is not limited to spread or fee agreements). 阁下必须向本公司提供每份阁下与每一客户签订涉及由本公司为其执行交易(包括但并不限 于价差或服务费合约)之合约复印件。6.7 you shall provide us with your annual audited financial statements within three months of the end of your accounting reference period. 阁下必须于阁下当年之会计年度结束后三个月内向本公司提供阁下之年度经审核财务报表。6.8 throughout the period of this agreement, you will make available such suitable personnel (including, upon our reasonable request, a senior officer) both during the normal business hours and outside normal business hours in the case of emergency as shall be reasonably necessary to enable us to perform our obligations hereunder and to monitor and make available information relevant to all documentation prepared by us for the purpose of processing relevant transactions and dealing with any queries arising there from, and shall also make available such other facilities of liaison, co-ordination and co-operation as shall reasonably be necessary to facilitate the efficient carrying out of our obligations envisaged under this agreement. 于本约有效期内，阁下必须于正常营业时间及非营业时间期间提供合适之人士（包括根据 本公司合理之要求，一名高级职员）作联系，合理地让本公司于发生突发事件时能够履行 本公司依本约之义务及监控和提供所有由本公司为了处理有关交易及任何因此产生的疑问 所编制之文件，以及必须提供此等其它必需之联系、协调及合作设施以促进本公司有效地 完成根据本约之义务。6.9 you shall, save to the extent necessary to effect introductions hereunder and to perform your obligations under this agreement (and notwithstanding any termination of this agreement), keep all information relating to us or our services strictly confidential and shall not disclose the same to any other person or seek to utilise the same in order to obtain any commercial advantage over us for yourself or any other person or entity. 阁下除了必须依本约介绍客户及履行阁下根据本约之责任(即使本约终止后)，亦必须保留 所有关于本公司及本公司服务之信息絶对机密及不可披露予他人，或企图利用此等信息为 阁下或其它任何人士或实体获得任何商业利益。7. our obligations本公司之责任7.1 we shall provide to you relevant marketing literature and documentation relating to our services.you shall procure that no marketing literature or documentation other than those directly translated from existing english based literature or approved by us in advance shall be utilised in relation to the introduction of prospective clients. 本公司须为阁下提供有关本公司服务之市场推广印刷品及文件。阁下必须责成除了本公司 从英文文献直接翻译或经本公司事先批准，其它印刷品及文件不可利用作介绍准客户。7.2 we shall:本公司必须：(a) upon accepting an order for execution, use reasonable endeavours duly to execute such order in accordance with its