保证金账户 MARGIN ACCOUNT 公司开户申请书 …

保证金账户 MARGIN ACCOUNT 公司开户申请书 OSHKL_FORM_C_MARGIN-S-xx1香港中环德辅道中68号万宜大厦24楼2404-2407室Unit2404-240724/F68Des VoeuxRoad Central,Hong Kong电话Tel: (852)35191188传真Fax: (852)22599188证监会持牌法团编号CE No.:AVD362保证金账户MARGIN ACCOUNT公司开户申请书Corporate Aount Application Form选择网上交易帐户Inter trading:YESNO客户号码Aount No.:日期Date:A.公司资料Company Information1公司名称Company Name2公司性质Nature ofBusiness3注册日期及地方Date andPlace ofIncorporation4授权股本Authorized Capital5发行股本Paid-up Capital6注册证书号码Certificate ofIncorporation No.7商业登记号码Business RegistrationNo.8注册地址Registered address9主要辨事处地址Principal businessaddress10办公室电话Business PhoneNo.11传真号码Fax No.12电邮地址E-mail address13主要股东Major Shareholders姓名Name地址Address百分比(%)Percentage姓名Name地址Address百分比(%)Percentage姓名Name地址Address百分比(%)Percentage姓名Name地址Address百分比(%)Percentage14董事Directors姓名Name身份证号码/护照ID.Card/Passport地址Address姓名Name身份证号码/护照ID.Card/Passport地址Address姓名Name身份证号码/护照ID.Card/Passport地址Address姓名Name身份证号码/护照ID.Card/Passport地址Address姓名Name身份证号码/护照ID.Card/Passport地址Address B.财政状况Financial Situation1根据最近审计的账目，盈利/亏损数额Profit/loss aftertax based on the latest audited aounts as atLess than少于HK$500,000HK$500,001-HK$1,000,000HK$1,000,001-HK$3,000,000Over多于HK$3,000,0002根据最近的审计账目，净资产Net AssetbasedonthelatestauditedaountsasatLess than少于HK$1,000,000HK$1,000,001-HK$5,000,000HK$5,000,001-HK$10,000,000Over多于HK$10,000,000C.投资经验Investment Experience1客户是否已有下列投资经验Does theclient havethe followinginvestment experience香港上市股票HK ListedStocks香港期货和期权HK Futures&Options金银Bullion外汇及商品Forex&Commodity其他Others_2投资目的Investment Objective稳健Conservative收益Ine资本增长Capital Gain对冲Hedging投机Speculation3投资经验年期Years ofExperience inInvestment没有Nil一至五年1-5years五至十年5-10years超过十年Over10years OSHKL_FORM_C_MARGIN-S-xx2D.银行资料Bank Reference银行帐户纪录(只供存款用途)BANK ACCOUNTRECORD(For fundsdeposit only)除客户另行指示外，客户的款项将会被转入下列银行账户Unless otherwiseinstructed byClient,all fundspayable toClient willbe creditedto the following bankaount银行Bank账户名称Aount Name分行Branch帐户号码Aount Number账户类别Aount Type(s)储蓄Saving往来Current其他Others E.确认收取帐户电子结单E-Statements CollectionConfirmation本人/吾等同意交易确认通知和帐户结单将透过电邮递送至我的电邮地址Client agreedthat tradingconfirmations andStatements tobe sentto E-MAIL address(如与A栏提供之电邮地址不同,if anydifference inPersonal Information)F.获授权人仕Authorized Persons本公司现授权下列人士代表本公司以书面或口头发出与本账户有关的指示The following person(s)is orare authorizedon behalf of the Company togive writtenand/or oralinstructions姓名Name身份证/护照号码ID.Card/Passport No.职位Position联络电话Tel.No.签名式样Specimen Signature1234G.客户声明Client Statement1公司是否相关账户的最终收益所有者Is the Company theultimate beneficial owner(s)in relationto theAount?是Yes否No账户的最终实益拥有人是The ultimatebeneficialowner(s)is/are姓名Name护照/身份证号码/签发地点Passport/ID No./Place ofissue地址Address2贵公司是否有任何董事或股东是根据证监条例登记之持牌法团之雇员？Is thereany of the Companys directoror shareholderan employeeof alicensed corporationunder theSecurities andFutures Ordinance?是Yes否No有关持牌法团名称是The nameof therelated licensedcorporation is3公司是否有董事或股东是东方证券香港有限公司或其联营公司的雇员/代理人？Is thereany of the Companys directoror shareholdersan employeeor agentof Orient Securities Hong Kong Limitedor itsassociated panies?是Yes否No职员/代理人的名称Name ofemployee/agent关系Relationship4客户的公司集团内任何成员是否本公司客户？Is thereany memberof yourGroup ofCompanies aclient ofOrient Securities Hong Kong Limited?是Yes否No账户名称Aount Name账户编号Aount No.5公司有否股东是本公司的孖展客户而又单独或与配偶共同控制本公司的公司孖展客户35%或以上股票权Any of your shareholders,either aloneor withhis/her spousein controlof35%or moreof yourvoting rightsof apany whichis marginclient ofOrient SecuritiesHong KongLimited?是Yes否No账户名称Aount Name账户编号Aount No.OSHKL_FORM_C_MARGIN-S-xx3H.客户确认及承诺Client Declarationand Acknowledgement关于风险披露声明及提供准确数据的确认Acknowledgement regardingRisk Disclosure Statement andAuracy ofInformation Provided本人/吾等声明及承认I/We declareand acknowledgethat1本人/吾等承认已收到一份条款及守则，完全明白内容，并同意受其约束I/We acknowledgedreceipt ofa copyof theTerms and Conditions,fully understandall of them and agree tobe boundby them and2有关方面已按照本人/吾等选择的语言(英文或中文)向本人/吾等提供条款及守则及相关之风险披露声明；The Terms and Conditionsand risk disclosure statementwere provided to me/us in a languageof my/our choice(English orChinese)and3本人/吾等承认已收到一份风险披露声明之副本及已获邀阅读风险披露声明、提出问题及征求独立意见(如本人/吾等有此意愿)；I/We acknowledgedreceipt ofriskdisclosure statement andcircular relating to personaldata(privacy)ordinance andwas/were invitedto read the riskdisclosurestatement,to ask questions and take independent advice if I/We wishand4本人/吾等承认载于本客户数据表中的数据是真实和准确的。 东方证券(香港)有限公司获授权随时联络任何人，包括客户的银行、经纪或任何信用调查机构，藉以核实本客户数据表中所提供的数据。 The informationcontained inthis client information formis trueand aurate.Orient Securities(Hong Kong)Limited isauthorised atany timeto contactanyone,including clients banks,brokers orany creditagency,for thepurpose ofverifying theinformation providedon thisclientinformationform.保证金账户Margin Aount依据证券及期货条例，若客户维持一个保证金账户，该客户同意将存放于本公司之抵押品由协议签订日起计，为期十二个月，授权本公司Under theSecurities andFutures Ordinance,in thecase wherethe Clientmaintain aMargin Aount,the Clienthereby authorize,andagreethat inrespect of the Collateraldeposited withthe Companyby theClient andfor theperiod of12months fromthe dateof executionof thisAgreement,the Companyshall beentitled to:1将任何有关证券抵押品存放于认可财务机构，作为提供予本公司的财务通融的抵押品或Deposit any of theCollateral withan authorizedfinancial institutionas collateralfor anyfinancial aommodation provided to theCompany;or2依据证券借贷协议运用任何有关证券抵押品或Apply any of theCollateral pursuant to a securities borrowing and lending agreement;or3将任何有关证券抵押品存放于(i)认可结算所或(ii)另一获香港证券及期货事务监察委员会发牌或注册进行证券交易的中介人，作为解除本公司在交收上的义务和清偿本公司在交收上的法律责任的抵押品。 Deposit theCollateral with(i)a recognized clearing houseof(ii)another intermediary licensed or registered withthe SFCfor dealing in securitiesas collateralfor thedischarge andsatisfaction of theCompanys settlement obligations and liabilities.关于互联网证券买卖协议及风险披露声明的确认Acknowledgement regardingInter Securities Trading Agreement and Risk Disclosure Statement本人/吾等声明及承认I/We declareand acknowledgethat1本人/吾等承认已收到一份互联网证券买卖协议，完全明白内容，并同意受其约束;I/We acknowledgedreceipt ofa copyof theTermsandConditions,fully understandall of themandagree tobe boundby themand2有关方面已按照本人/吾等选择的语言(英文或中文)向本人/吾等提供互联网证券买卖协议及相关之风险披露声明;The InterSecuritiesTradingAgreementandRisk DisclosureStatement wereprovidedto me/us ina languageof my/our choice(English orChinese)and3本人/吾等承认已收到一份风险披露声明之副本及已获邀阅读风险披露声明、提出问题及征求独立意见(如本人/吾等有此意愿);I/We acknowledgedreceipt ofRisk DisclosureStatement andwas/were invitedto readthe Risk DisclosureStatement,to askquestions andtake independent advice ifI/We wish.公司授权人签署及公司印章Authorized Signaturewith Company Chop姓名Name日期Date I.见证人Witness见证人姓名Name ofWitness见证人签署Signature ofWitness见证人职业Oupation ofWitness J.持牌代表声明Declaration byLicensed Representative本人，_(持牌代表姓名，请用正楷填写)，确认已经以客户选择的语言(英文或中文)提供了载于条款及守则内的风险披露声明，并且本人已经邀请客户阅读该风险披露声明，提出有关问题及征求独立的意见。 (如客户有此意愿)I,_(Print nameof Licensed Representative)confirm thatI haveprovided theRiskDisclosureStatement asset outin TermsandConditionsinalanguage(English orChinese)oftheClients choiceand thatI haveinvited theClient toreadtheRiskDisclosureStatement,askquestionsandtakeindependentadvice.(If theClient wishes)(请用正楷填写Please pletein blockletters)持牌代表姓名Name ofLicensed Representative中央编号CE No持牌代表签署Signature ofLicensedRepresentative经由东方证券(香港)有限公司承认及接纳注意事项Note Acknowledgedand AeptedBy Orient Securities(Hong Kong)Limited1请贵公司提供以下文件之核实副本A Certifiedtrue copyofthefollowing corporatedocuments tobe providedherewith:-通过在东方证券(香港)有限公司开设账户的董事会决议案(或请填写董事会决议摘录)Board Resolutionto openan aount with OrientSecuritiesHong KongLimited(Please pleteExtract ofBoard Resolution)2请附上最近三个月内之地址证明文件。 邮政信箱恕不接受。 -公司注册证书Certificate ofIncorporation-商业登记证Business RegistrationCertificate-公司组织章程及细则Memorandum andArticles ofAssociation-最近期之财政报告Latest FinancialStatements-董事及授权人士之身份证ID.Card ofall directorsand authorizedpersons2请附上最近三个月内之地址证明文件。 邮政信箱恕不接受。 Please enclosethe addressproof datedwithin thelatest threemonths.P.O.Boxes are not aepted.3不能以第三者支票交收。 Third-party chequescannot beused tosettle anytrading transaction.授权签名/公司印章Authorized Signatory/CompanyChop日期Date OSHKL_FORM_C_MARGIN-S-xx4董事会决议摘录(公司客户)Extract ofBoard Resolution(Corporate Client)客户名称Client Name_(本公司Company)(本公司)于_年_月_日在(地点)_正式召开董事会会议，并决议事项如下Extract ofMinutes ofa Meetingof DirectorsoftheCompany heldat_on_,thefollowingresolutions werepassed bythe Boardof Directors.出席者Present:_出席者Present:_出席者Present:_出席者Present:_先生/女士为是次会议之主席。 Mr./Ms._took thechair ofthe Meeting.于东方证券(香港)有限公司开立帐户Opening Aountwith OrientSecurities(Hong Kong)Limited于会上通过下列决议案IT ISRESOLVED THAT:1.本公司向经纪开立证券交易帐户(帐户)Open aSecurities tradingaountwithOrientSecurities(Hong Kong)Limited(theAount)2.现特授权以下_位人仕(下称获授权人仕)有权代表本公司就开立上述交易帐户一事向上述相关公司签署并提交履行文件，并且建立、签署和履行就与上述有关公司维持上述交易帐户之任何其他协议书、担保书、授权书、抵押文件、确认书、解除文件，转让文件或其他文件并有权代表本公司就上述交易帐户给予上述相关公司书面指示购入、出售及处理任何有关产品。 That any_ofthefollowingperson(Authorized Persons)be and*is/are hereby authorized for and onbehalfofour Companyto execute and deliverthe Documents,and tomake,executeanddeliver anyother agreements,guarantees,authorizations,security documents,acknowledgements,releases,assignments orother documents,including anywritten instructionsin relationto theTrading Aount(s)to therelevant Companyto buy,sell anddeal inand withall kindsof relevantproducts.1姓名Name香港身份证/护照号码HKID.Card/Passport No.签名式样Specimen Signature2姓名Name香港身份证/护照号码HKID.Card/Passport No.签名式样Specimen Signature3姓名Name香港身份证/护照号码HKID.Card/Passport No.签名式样Specimen Signature4姓名Name香港身份证/护照号码HKID.Card/Passport No.签名式样Specimen Signature3.当本公司变更任何上列的获授权人仕时，定当以书面通知上述相关公司上述相关公司将按其书面通知内容办理，直至另获新通知为止。 That the Relevant Company be informedfrom timeto timeby noticein writingof anychange in the abovelist ofauthorized Personsand that theRelevantCompanybeentitled toreply uponsuch noticeuntil receiptof suchfurther notice.4.提呈本会议之开户文件手册予以通过及批准，并授权授权签字人仕签署该开户文件手册及其他有关开立账户所须之一切文件。 The abovepersons beauthorized tosign andconfirm ouraeptance to the termsset outintheAountApplicationForm andexecute othernecessary documentsrelatingtothe openingoftheAount.由于再无其他议案，主席宣布散会。 There beingno otherbusiness,the Chairmandeclared themeeting closed.主席Chairman OSHKL_FORM_C_MARGIN-S-xx5保证?证券账户客户必须签署此授权书Margin securitiesaount clientsmust signthis Form致:东方证券(香港)有限公司OrientSecurities(HongKong)Limited香港中环德辅道中68号万宜大厦24楼2404-2407室2404-2407,24/F,Man YeeBuilding,68Des VoeuxRoad Central,HongKong敬启者Dear Sir/Madam有关常设授权书Re:Standing Authority本常设授权书是有关一?由贵公司代表本人/吾等购入或持有之证券。 This letterof standingauthority coversall securitiespurchased orheld byyou onmy/our behalf.本常设授权书，根据证券及期货(客户证券)规则第7条的规定，授权贵公司1.依据证券借贷协议运用任何本人/吾等的证券或证券抵押品；2.将任何本人/吾等的证券抵押品存放于认可财务机构，作为提供予贵公司的财务通融的抵押品；及/或3.将任何本人/吾等的证券抵押品存放于认可结算所或另一获发牌或获注册进?证券交?的中介人，作为解除贵公司在交收上的义务和清偿贵公司在交收上的法?责任的抵押品，而无须通知本人/吾等。 This letterauthorizes you to:-1.apply anyof my/our securitiesor securitiescollateral toasecuritiesborrowingandlendingagreement;2.deposit anyof my/our securitiescollateral withan authorizedfinancial institutionas collateralfor financialaommodationprovidedto you;and/or3.deposit anyof my/our securitiescollateral witha recognizedclearing house or anotherintermediarylicensed orregistered for dealingin securitiesas collateralfor thedischarge andsatisfaction of your settlementobligations andliabilities,without noticeto me/us,pursuanttoSection7oftheSecurities andFutures(Client Securities)Rules.本人/吾等明白认可结算所或其它获发牌或获注册进?证券交?的中介人，将因应贵公司在交收上的责任及债务而对本人/吾等的证券抵押品设定为第一固定押记。 I/We understandthattherecognizedclearinghouseorthe intermediarylicensedorregisteredfordealinginsecurities willhave afirst fixedcharge overmy/our securitiescollateral tothe extentofyoursettlementobligationsandliabilities.本授权书并?涉及就贵公司借、贷或存放本人/吾等任何证券而须支付或收取的任何代价。 任何代价均须由本人/吾等与贵公司另?签约订明。 This standingauthority doesnot coverany considerationI/we mustpay orbe paidfor yourborrowing,lending,or depositinganyofmy/our securities.Any considerationmust beset ina separateagreement betweenus.贵公司须向本人/吾等负责偿还有关根据本授权书而作出借、贷或存放之证券。 You areaountable tome/us forthe returnof anysecurities borrowed,lent,or depositedunder thisauthority.本人/吾等明白本人/吾等的证券可能受制于第三者之权?，贵公司可于全?抵偿该等权?后，方将本人/吾等的证券退回本人/吾等。 I/We understandthat athird partymay haverights to my/our securities,which youmust satisfybefore my/our securitiescan bereturned tome/us.本常设授权书以本函件日期起计十二个月内有效，并可于下?情况予以续期，每次续期的有效期为十二个月本人/吾等以书面形式同意续期；或贵公司于授权有效期届满前?少于十四日向本人/吾等发出书面通知，而本人/吾等于授权有效期届满前未有提出反对续期。 本人/吾等有权随时以三十天书面通知贵公司撤销此常设授权书。 This authorityis validforaperiod ofup to12months fromthe datehereof andmay berenewed forsubsequent periodsof12months eitherwith my/our writtenconsent orifI/we am/are givena written notice fromyou atleast14days priortotheexpiry ofsuch authorityand donot objecttotherenewal ofsuch authoritybefore itsexpiry.This authoritymay berevoked atany timeon giving30days priorwrittennoticeto you.本函件已全部向本人/吾等解释清楚，并已被提醒可寻求独?意?。 本人/吾等明白本函件的内容。 This letterhas beenfully explainedtome/us and I/we havebeen advisedto seekindependentadvice,andI/we understandthe contentsof thisletter.公司授权人签署及公司印章Authorized Signaturewith CompanyChop公司名称Company Name:客户号码Aount NumberOSHKL_FORM_C_MARGIN-S-xx6电话传真电邮指示之授权Telephone,Fax&Email Instruction电话、传真及电邮指示之授权及赔偿事宜AUTHORIZATION ANDINDEMNITY INRESPECT OFTELEPHONE,FAX&E-MAIL INSTRUCTION本人/吾等(客户姓名:_帐户号码:_)仅此授权你们按本人/吾等之付款/转账指示接受任何口头或书面指示，不论该等指示是以电话、传真传递或电邮方式，并授权你们按照指示采取行动，本人/吾等于你们公司账户内之款项支付予或转账至本人/吾等于_银行之帐户(帐户号码:_)。 你们依照任何声称由本人/吾等或本人/吾等之授权代表(们)如上述以电话、传真传递或以电邮方式所作出之口头或书面指示(合称付款/转账指示)而完成之交易，不论有否已获本人/吾等授权，知悉或同意，对本人/吾等须具约束力。 I/We(Client Name(s):_Aount No.:_)herebyauthorizeyoutoaept andact on(but youarenotobliged soto do)any instruction,oral orwritten,whether by telephone,facsimile transmissionor e-mail regardingpayment ortransfer offunds fromanyofmy/our aount(s)with youtomy/our aountName ofthe Bank_Aount No.:_upon my/our Payment/Transfer Instruction.Any transactioneffected byyou onthe basisof instructions,oral orwritten,given orpurported toby givenby me/us ormy/our AuthorizedRepresentative(s)bytelephone,facsimile transmissionor e-mail asaforesaid(collectively referredto asPayment/Transfer Instructions)shall bebinding uponme/us whethermade withor withoutmy/our authority,knowledge orconsent.本人/吾等于此承诺会应你们要求，并按你们认为需要之该种方式及于指定时间内，签署因你们依照上述付款/转账指示完成任何交易后，而需要完成授权手续之该等文件。 I/We herebyundertaken toupon yourequest suchdocuments as you mayrequire toplete theauthorization ofany