利达国际金融有限公司.doc

Page 1 of 23 利达国利达国际际金融有限公司金融有限公司 LEADER INTERNATIONAL INVESTMENTS LIMITED 開戶文件檢索表開戶文件檢索表 Checklist For Account Opening 填妥與已簽署的客戶協議書及相應之附錄 必須連同以下文件一同遞交 Completed and executed Client Agreement and appendix must be accompanied by I 個人賬戶 聯名賬戶 For Individual Joint Account 客戶或各聯名賬戶之身份證或護照影印本 並附上簽署 Copy of ID Card Passport of the Client or each of the Joint Account Holders With Signature 通訊地址證明 Proof of contact details 獲授權人士之身份證 護照驗證副本 如適用 Certified True Copy of Identity Card Passport for authorized person if applicable 聯名賬戶持有人附錄 祇適用於聯名客戶 Appendix for Joint Account Holders For Joint Account Client Only II 公司客戶 For Corporate Account 獲授權人之身份證 護照驗證副本 並附上簽署 Certified True Copy of Identity Card Passport for all authorized person With Signature 董事會決議驗證副本 Certified True Copy of Board Resolution 公司註冊證書驗證副本 Certified True Copy of Certificate of Incorporation 公司組織章程大綱細則驗證副本 或 如適用 其他相應公司組織文件 Certified True Copy of Memorandum and Articles of Association or other constitutional documents as applicable 董事登記冊驗證副本 Certified True Copy of Register of Director s 股東登記冊驗證副本 Certified True Copy of Register of Member s 擔保契約 Deed of Guarantee 通訊地址證明 Proof of contact details 擔保人之身份證 護照驗證副本 並附上簽署 Certified True Copy of Identity Card Passport of the Guarantee s With Signature III 本公司所有服务并不提供予香港地区客户及投资者 Page 2 of 23 利达国利达国际际金融有限公司金融有限公司 LEADER INTERNATIONAL INVESTMENTS LIMITED 貴金屬及外匯買賣客戶協議書貴金屬及外匯買賣客戶協議書 PRECIOUS METALS AND FX TRADING CLIENT AGREEMENT 風險披露聲明風險披露聲明 Risk Disclosure Statements 1 客戶應該了解在進行買賣黃金或貴金屬或外匯等現貨的過程中 是有機會獲得利潤 但同時亦有可能遭受虧損 而在不利 的買賣情況下 虧損程度甚至會超過最初存入的保證金數額 黃金或貴金屬或外匯等現貨價格的變動會受到多種不能預測 的世界性因素影響 當價格大幅度變動時 市場或有關監管團體可能採取某些行動 導致客戶無法及時結算虧損的買賣合 約 雖然交易商的職員及代理人對市場變動不斷留意 但他們無法預測利潤或虧損 PLEASE BE ADVISED THAT TRADING IN SPOT GOLD OR SPOT PRECIOUS METALS OR FX OR ANY OTHER SPOT PRODUCTSINVOLVES THE POTENTIAL FOR PROFIT AS WELL AS THE RISK OF LOSS WHICH MAY UNDER ADVERSE TRADING CONDITIONS EXCEED THE AMOUNT OF INITIAL MARGIN DEPOSIT MOVEMENTS IN THE PRICE OF SPOT GOLD OR PRECIOUS METALS OR ANY OTHER SPOT PRODUCTS WOULD BE INFLUENCED BY A VARIETY OF FACTORS OF GLOBAL ORIGIN AND DIMENSION MANY OF WHICH ARE UNPREDICTABLE VIOLENT MOVEMENTS IN THE PRICE OF GLOBAL GOLD OR PRECIOUS METALS OR FX OR ANY OTHER SPOT PRODUCTS MAY RESULT IN ACTION BY A MARKET OR RELEVANT REGULATORY BODY AS A RESULT OF WHICH A CLIENT MAY BE UNABLE TO SETTLE ADVERSE TRADES ALTHOUGH THE STAFF AND AGENTS OF THE DEALER WOULD CLOSELY FOLLOW THE MARKET MOVEMENTS THEY ARE UNABLE TO FORECAST ANY PROFIT OR LOSS 2 請在簽署本協議前 小心閱讀整份協議 PLEASE READ VERY CAREFULLY THE WHOLE OF THIS AGREEMENT BEFORE YOU SIGN ON IT 本協議於 年 月 日簽訂 協議的其中一方為利达国际金融有限公司 其註冊辦事處 或主要營業地點位於 237 Middleton Road Glenside Wellington 6037 New Zealand 而另一方 以下簡稱 客戶 的名稱 地址及詳 情則載於本協議之附錄中 THIS AGREEMENT is made on the day of 20 BETWEEN LEADER INTERNATIONAL INVESTMENTS LIMITED whose registered office is situated at 237 Middleton Road Glenside Wellington 6037 New Zealand hereinafter referred to as the Dealer of the one part and the party whose name address and description are set out in the Schedule hereto hereinafter called the Client of the other part 鑒於鑒於 WHEREAS I 客戶有意在交易商處開立一個或多個賬戶 以供客戶買賣交易商不時提供予客戶買賣之香港 倫敦及其他地方進行交易的 貴金屬現貨及非貴金屬現貨 以下統稱 貴金屬現貨 及 或訂立外匯合約及進行外匯交易 以下統稱 外匯 而為此 目的 客戶要求交易商持其在交易商處開立的一個或多個賬戶 並執行客戶的外匯及貴金屬現貨及外匯買賣指令 The Client is desirous of opening one or more accounts with the Dealer as the Client may participate in the sale and purchase of spot gold spot precious metals and spot base metals traded in Hong Kong London and elsewhere from time to time provided by the Dealer hereinafter collectively referred to as spot precious metals and or entering into foreign exchange contract and dealing in foreign exchange hereinafter referred to as FX and has requested the Dealer to maintain an account or accounts with the Dealer for him for such purpose and to execute his order for such spot precious metals and FX trading II 交易商同意按下列條款及條件 不時應客戶的要求並由交易商自行決定讓客戶開立一個或多個賬戶 並接受及保持該以名 稱 號碼或其他方式授權的所有外匯及貴金屬現貨及外匯買賣指令 The Dealer agrees that it will from time to time at the request of the Client and at its sole discretion allow the Client to open one or more accounts with it and accept and maintain such account s to be designated by name s number s or otherwise and will execute directly or indirectly all orders given or authorized by the Client for the sale and purchase of spot precious metals and FX upon the terms and conditions hereinafter appearing 雙方茲協定如下雙方茲協定如下 NOW IT IS HEREBY AGREED as follow 1 字詞釋義字詞釋義 DEFINITION OF TERMS A 客戶 一詞用於本協議時 如客戶為個人 則包括客戶本人 其遺囑執行人及遺產管理人 如客戶為獨資經營商 號 則包括東主 其遺囑執行人及遺產管理人 如客戶為合夥經營商號 則包括客戶賬戶保持有效時各合夥人 其 遺囑執行人及遺產管理人 以及此後加入或曾經成為合夥人的任何人士 其遺囑執行人及遺產管理人 如客戶為公 司 則包括該公司及其繼承人 The Client wherever used shall in the case where the client s is are individual s include the client s and his their respective executor s and administrator s and in the case where the client is sole proprietorship firm include the sole proprietor and his respective executor s and administrator s and in the case of a partnership firm include the partners who are the partners of the firm at the time when the client s said account are being maintained and their respective executor s and administrator s and any other person or persons who shall at any time hereafter be or have been a partner of and in the firm and his their respective executor s and administrator s and the and where the client is a company include such company and its successor s B 基本保證金 指交易商不時自行決定要求客戶存入的按金 該等保證金須於發出買賣指令時或之前存入交易商 Page 3 of 23 作為對所有貴金屬現貨及外匯交易的擔保 Necessary Margin means such level of deposit as may be required of the Client by the Dealer at the Dealer s discretion from time to time to be deposited with the Dealer at the time of or before a trading order is placed by the Client as security for all spot precious metals and FX transactions C 追加保證金 指在基本保證金因市場價格的不利波動而出現虧損時 交易商要求客戶要補付的保證金 追加保證 金額必須是百分之百補足至基本保證金的數額 Variation Margin means such additional deposit required of the Client by the Dealer in the event that the Necessary Margin has been impaired due to adverse price fluctuation in the market The amount of Variation Margin required of the Client shall be the amount required to restore the deposit to 100 of the Necessary Margin D 附加保證金 指交易商認為應增收客戶的按金 此等保證金是作為客戶透過交易商進行的任何或所有貴金屬現貨 及外匯交易時的進一步擔保 Additional Margin means such further or additional deposit as the Dealer shall deems to be necessary to be paid by the Client as the further security for any or all spot precious metals and FX transactions placed or to be placed by the Client with the Dealer E 授權代理人 指客戶按本協議第 D 條委任的一個或多個授權代理人 Authorized Agent means an authorized agent or agents appointed by the Client in pursuance to paragraph 3D of this Agreement 2 資格資格 CAPACITY A 個人客戶茲保證本身已屆成年及具行為能力 而商號或公司客戶茲保證本身是正式組成及註冊 客戶同時保證本身 有權訂立本協議及一切買賣合約 而在任何情況下 本協議及該等買賣合約對客戶構成法律約束力及可執行的責任 The Client warrants that in the case of an individual he is of full age and capacity and in the case of a firm or corporation it is duly constituted and incorporated and has power to enter into this Agreement and all contracts made or to be made and in any case this Agreement and such contracts are and will constitute legal binding and enforceable obligation of the Client B 客戶茲保證他乃戶口的最終實益持有人 The Client warrants that he is the ultimate beneficial owner in relation to this Account C 客戶茲確認 貴金屬現貨及外匯買賣極之反覆無常 而儘管客戶可能曾經聽取或被視為曾經聽取交易商 其代理人 或職員的意見 但客戶訂立之一切買賣合約 均視為客戶本身的決定 客戶須獨自承擔一切風險 交易商並不保證 任何聲明或意見的真確性 客戶不應依賴此等聲明或意見 客戶亦確知 交易商的職員無權代表交易商作任何聲明 或提供任何意見 而交易商的行政人員及職員所提供的意見只屬個人意見 客戶須憑本身的判斷作出任何決定 不 應依賴該等意見 在任何情況下 客戶均不能就由於信賴該等意見而造成的任何損失 要求提供意見者或其他任何 人負責 The Client hereby acknowledged that trading in spot precious metals and FX is extremely volatile and that in respect of all and any contracts he shall be deemed to have entered into the same upon his own judgment and at his sole risk notwithstanding that he may have taken advice from or been deemed to have been advised by the Dealer its agent or staff The Dealer does not guarantee the accuracy of such advice the Client shall not rely on such advice The Client acknowledges that he is further aware that none of the agents and staff of the Dealer is authorized on behalf of the Dealer to give any representation or advice and that if such advice be given the same is only a personal opinion of the person giving it and the Client will exercise his own judgment in making his own decision and in no event shall rely on it and shall in no event hold the person giving the advise or any other person liable for any loss resulting from the Client s reliance upon such advice D 交易商茲保證本身為一家根據澳門法例正式註冊成立的有限責任公司 The Dealer hereby warrants that it is a company duly incorporated with limited liability under the law of Macau 3 賬戶之操作賬戶之操作 OPERATION OF ACCOUNT A 客戶有權自行決定選擇下列 a 一種方式 或 a b 兩種方式操作其賬戶 The Client may elect at his sole discretion either a or a b of the following modes of operation of his account s a 客戶自行發出指令 操作其賬戶 to operate the account s by giving orders himself b 客戶根據本協議的規定 委託交易商或一名代理人操作其賬戶 to operate the account s by appointing the Dealer or a person appointed by him in accordance with this Agreement B 客戶若根據第 3A b 條 選擇委任交易商或其他人士為其代理人操作其賬戶 客戶須自行擬備委任通知書 提交予 交易商 本協議附錄一載有該委任通知書的式樣 客戶可參考該式樣擬備委任通知書 客戶茲確認 該通知書僅供 參考 客戶在自行擬備及簽署委任通知書前 有權自行徵詢獨立法律意見 客戶亦確知 交易商並無藉本協議任何 部份 對客戶作出本協議第 3A 條中的選擇作出任何誘使 影響或意見 交易商聲明及客戶茲確認 本協議附錄一 所載的委任通知書式樣 並不構成本協議之一部分 In the event that the Client elects to operate the account s in accordance with paragraph 3A a or b hereof the Client shall prepare his notice of appointment and submit the same to the Dealer The sample of the notice of appointment was set out in Appendix 1 to this Agreement The Client can prepare his own notice of appointment by reference to the sample The Client hereby acknowledged that the sample set out in Appendix 1 is for reference only Before the Client prepares and signs the notice of appointment the Client acknowledges that the Client is entitled to seek independent legal advice The Client further acknowledges that the Dealer does not induce influence or advise the Client in making his election under paragraph 3A by any part of this Agreement The Dealer declares and the Client acknowledges that the sample of notice of appointment set out in Appendix 1 to this Agreement shall not form any part of this Agreement Page 4 of 23 C 如客戶選擇根據第 3A b 條委任交易商為其正式授權代理人 代理操作其賬戶 則交易商將受命擔任客戶的代理人 客戶並同意授權交易商 有權以客戶的名義代表客戶 操作客戶的賬戶 以及有權決定簽署貴金屬現貨及外匯買賣 指令確認書 如有需要的話 客戶茲批准及確認交易商以客戶代理人身份所發出的所有貴金屬現貨及外匯買賣指 令 If the Client elects to appoint the Dealer as his duly authorized agent to operate his account s in accordance with paragraph 3A b hereof such appointment shall constitute the Dealer to be the Client s attorney and agent whereby the Dealer is entitled to operate the account s of the Client in the Client s name and on the Client s behalf and to sign the confirmation of orders for the sale and or purchase of spot precious metals and FX as the Dealer may deem fit if necessary and the Client hereby undertake to ratify and confirm all such sale and or purchase orders for spot precious metals and FX which the Dealer shall place as such attorney and agent of the Client D 如客戶選擇根據第 3A b 條委任一名交易商之外的其他人士為其買賣代理人 以下簡稱 授權代理人 則不論授 權代理人是否交易商的僱員 授權代理人將受命擔任客戶的代理人 並可全權操作客戶在交易商處開立的賬戶 交 易商有權並據此獲指示 接納由授權代理人發出的有關操作客戶賬戶的指令或指示 客戶茲批准及確認授權代理人 以客戶代理人身份為客戶賬戶進行的一切買賣 In the event that the Client elects in accordance with paragraph 3A b to appoint a person other than the Dealer whether in the employ of the Dealer or not as his trading agent the Authorized Agent such appointment shall constitute the Authorized Agent to be the attorney and agent of the Client with full power to operate accounts of the Client maintained with the Dealer and the Dealer is entitled and hereby instructed to accept orders or instructions given by the Authorized Agent for the operation of the Client s account s and the Client hereby undertakes to ratify and confirm all and any transactions which the Authorized Agent shall make as such attorney and agent of the Client in respect of the account s of the Client E 客戶同意即使授權代理人可能是受僱於交易商 授權代理人仍是客戶的代理人 授權代理人向客戶作出的任何聲明 或保證 不構成交易商的任何聲明或保證 客戶亦同意交易商無須對授權代理人的任何行為或疏忽負責 It is expressly agreed by the Client that the Authorized Agent is the agent of the Client despite the fact that such Authorized Agent may be in the employ of the Dealer Any representation or warranty made or to be made by the Authorized Agent to the Client shall not constitute any representation or warranty of the Dealer Further it is expressly agreed by the Client that the Dealer shall not be responsible for any act deed or omission committed by such Authorized Agent F 上述第 3D 條所述的授權代理人無權代表交易商接受任何向交易商支付的款項 客戶應直接向交易商支付所有款項 必須直接向交易商支付 並應索取由交易商發出的正式付款收據 上述授權代理人亦無權代表客戶接受付款 除非 客戶以書面發出其他指示 否則所有按本協議該支付的款項 必須指明支付予客戶 Such Authorized Agent in paragraph 3D hereof has no authority from the Dealer to accept payment to himself for and on behalf of the Dealer All payment payable to the Dealer by the Client must be made to the Dealer directly and an official receipt from the Dealer for such payment shall be obtained for such payment Further such Authorized Agent has no authority to accept payment on behalf of the Client All payment payable to the Client under this Agreement shall be made to the Client s name unless specifically instructed by the Client in writing otherwise G 根據上述各條款所作的任何選擇或委任應全面有效 直至撤銷委任或更改選擇的書面通知送達本協議所載交易商的 註冊地址或主要營業地點 撒銷委任或更改選擇的書面通知應於交易商實際接獲書面通知及確認後才立即生效 Any election or appointment made pursuant to the aforesaid paragraphs shall remain in full force and effect unless and until written notice of revocation of appointment or change of election has been delivered to the Dealer at the Dealer s registered address or principal place of business as stated in this Agreement and such revocation or change of election shall take immediate effect upon actual receipt of such notice and confirmation by the Dealer H 客戶可以參考本協議附錄二所規定的式樣 擬備並向交易商送交新的委任通知書 以重新委任他人取代原來委任的 授權代理人 直至交易商實際接獲及確認由客戶發出的重新委任通知書為止 交易商有權繼續接納由原來委任的授 權代理人所發出的指令及指示 按此條款委任出新的授權代理人後 本協議包括第 A 至 H 條的規定 將全面適 用於新任授權代理人 The Client may appoint another person to substitute and replace the appointed Authorized Agent by preparing and delivering to the Dealer a fresh notice of appointment by reference to the form set out in Appendix II hereof The Dealer is entitled to accept orders and instructions from the originally appointed Authorized Agent until the actual receipt and confirmation of a fresh notice of appointment from the Client by the Dealer Upon the appointment of a substitute or replacement Authorized Agent under this paragraph the provisions of this Agreement including the paragraph 3A to 3H shall apply in full force and effect to the substitute or replacement Authorized Agent 4 指令及代理人指令及代理人 ORDERS AND AGENT A 客戶向交易商發出的所有指令 必須清楚明確 而所有指令均須遵守本地或其他有關市場當時存在或生效的所有章 程 規則 條例 習慣 慣例 裁定及詮釋 同時亦須遵守當時適用的所有法律 規則及條例 否則所有指令均作 無效 All orders must be given by the Client to the Dealer in clear and unambiguous terms and all orders shall not be valid unless the same shall be in compliance with all constitution rules regulations customs usages rules and interpretations from time to time existing or in force in the local or other markets concerned and in compliance with all laws rules and regulations then applicable thereto B 客戶或其授權代理人可藉口頭 以電話或實際接洽 或藉交易商所指定的互聯網站或其他交易商不時指定的方式發 出指令 客戶茲同意 交易商有權在收到指令時 以任何交易商指定的方式 包括但不限於核對交易商向客戶發出 的交易戶口及密碼 以核實客戶或其授權代理人身份 除非獲交易商書面同意或認可 否則指令一經發出 一概 不可撤銷或撤回 Orders to execute contracts may be given orally whether by telephone or actual meeting by the website specified by the Dealer or any other method prescribed by the Dealer from time to time and whether by the Client or his Authorized Agent The Client agrees that the Dealer is entitled to verify the identity of the Client or his Authorized Agent by any means prescribed by the Dealer including but not limited to confirming the dealing account and password of the Client issued by the Dealer and orders once given shall not be revoked or withdrawn without the written consent or confirmation of the Page 5 of 23 Dealer C 客戶同意並聲明其本身充份了解貴金屬現貨及外匯買賣所涉及的風險 並確知其向交易商發出的指令 可能會受當 時情況影響而無法執行 包括但不限於結算所持合約而訂立相配合約的指令 而任何合約在此等情況下所招致的 損失 均須由客戶承擔 客戶亦同意交易商毋須對任何合約招致的損失負責 又如此等損失是因執行客戶指令的方 式或時間所致 交易商亦毋須負責 The Client agrees and declares that he is fully aware of the risks involved in trading in spot precious metals and FX and is also aware that orders placed with the Dealer may depending on the then prevailing circumstances fail to be executed including but not limited to an order to settle an existing contract by entering into a matching contract and all losses incurred in any contract in such circumstances shall be borne by the Client The Client further agrees that the Dealer shall not be liable for any loss incurred in any contract or by reason of the manner or timing of execution of any order given by the Client D 交易商的結算單將確認 A statement by the Dealer confirming that a 客戶指令及 或 an order has been received from the Client and or b 代客戶執行合約後所發出的確認書及交易商發出而由其授權職員簽署對賬單 將被視為決定性的憑證 如交 易商及客戶對客戶指令及交易有任何爭議 一切皆以交易商所保存的紀錄為準及為決定性的憑證 a contract has been executed for the account of the Client and any statement of account prepared by the Dealer and signed by its authorized officer shall be conclusive evidence thereof In the event that any dispute arises in respect of the order and transaction of the Client between the Dealer and the Client the records preserved by the Dealer shall be final and conclusive evidence thereof E 不論在任何時間 交易商均無義務接受任何指令或任何合約 包括但不限於任何相配合約或用以全部或部份結算所 持合約的任何合約 The Dealer is under no obligation whatsoever at any time to accept any order or to enter into any contract including but not limited to any matching contract or any contract to settle any existing contract in whole or in part F 交易商茲承諾 不管此條款的上述規定 交易商會盡力執行所有客戶發出的指令 但須視乎當時的市場情況而定 Notwithstanding the foregoing provisions in this clause the Dealer hereby undertakes to use its best endeavours to execute all orders received from the Client subject however to the then prevailing circumstances of the market at the relevant time 5 結算及保證金結算及保證金 SETTLEMENT AND MARGINS A 客戶須向交易商存入保證金 金額由交易商不時指定 而存入的貨幣須為交易商所接受者 若存