客户证券保证金代理清算协议书.doc

1、客户证券保证金代理清算协议书第一篇：客户证券保证金代理清算协议甲方受托方：银行乙方委托方：为进步证券市场效率，简化客户证券投资操作流程，进步客户资金平安性，方便客户清算证券交易资金，乙方委托甲方为客户提供证券保证金清算效劳。为明确委托关系中双方的权利和义务，根据证券交易所和证券交易所以下统称证券交易所的资金清算规那么及银行有关结算规定，经甲、乙双方友协商，本着“银行管资金，证券公司管证券”的原那么，就委托代理有关事宜达成如下协议。第一局部委托代理内容第一条乙方委托甲方通过甲方的“客户证券保证金效劳系统”为客户提供：委托证券买卖申报、查询包括：资金、证券、委托、成交记录、即时行情查询、分红派息、

2、资金清算等效劳。第二条乙方与客户之间的清算，由乙方委托甲方代理进展；乙方与证券交易所之间的清算由乙方进展。第三条甲方代理乙方与客户进展资金清算的根据是乙方向甲方提供的客户成交明细数据、现金分红数据和汇总数据等以下统称“清算数据”。第四条甲方与乙方之间的资金清算按以下方法进展：1清算账户户名：账号：开户行：2根据证券交易所证券资金清算的有关规定和清算数据，甲方应向乙方付款时，由甲方于t1日上午10时前把款项划入清算账户；乙方应向甲方付款时，应于t1日上午10时前在清算账户上备足应付款项，由甲方于t1日上午10时从清算账户上扣出应付的款项，乙方由于特殊情况不能于t1日上午10时前在清算账户上备足应

3、付款项时，乙方要提早通知甲方，乙方在清算账户上备足应付款项的时间不得迟于t1日下午2时。第二局部甲方责任第五条根据甲、乙双方约定的数据接口，负责“客户证券保证金效劳系统”银行端的程序开发和所需系统硬件的配置，以及甲方相应的通讯系统建立。第六条为客户提供银行端的 委托和或互联委托系统。第七条负责上述系统的正常运作和日常维护。第八条办理客户“证券保证金效劳”的申请，审核投资者有关证件的真实性，代理乙方与客户签订指定交易等协议书，并定期将乙方所需的客户资料传送给乙方。第九条接收客户证券买卖、撤单委托，并把委托实时地传送给乙方。第十条为客户提供分红派息、资金查询、修改交易密码、暂停恢复撤销证券保证金效

4、劳等，并实时将有关信息传送给乙方。第十一条负责管理客户的资金，控制客户的资金买空行为。第十二条管理乙方在甲方设立的清算专用账户，并根据清算规定和清算数据及时与客户进展资金清算。第三局部乙方责任第十三条根据甲、乙双方约定的数据接口，负责“客户证券保证金效劳系统”证券公司端的程序开发和所需系统硬件的配置，以及乙方相应的通讯系统建立。第十四条为客户提供证券公司端的 委托和或互联委托系统。第十五条负责上述系统的正常运作和日常维护。第十六条负责接收甲方传送的客户证券买卖、撤单等委托，并按规定向证券交易所报盘。第十七条负责及时准确地向甲方反应客户证券交易、权益等有关情况，并于收到证券交易所清算数据后个小时

5、内向甲方提供清算数据。由于乙方提供的上述数据有误而造成客户和甲方的损失，由乙方负责。第十八条负责客户的证券交割，并为客户提供打印证券明细账效劳。第十九条负责管理客户证券账户内证券，控制客户的证券卖空行为。第二十条负责通知甲方证券交易所有关交易规定、收费标准或其他相关事项变更，未能及时通知而造成的甲方和客户损失由乙方负责。第二十一条乙方在甲方开设结算账户并留存足够备付金，如备付金缺乏造成甲方被动垫付资金，其垫付额视同甲方拆借给乙方并按市场拆借利率计付利息。对甲方清算有疑问时应于3个工作日内向甲方书面提出，否那么视为同意甲方清算结果。第四局部双方共同责任第二十二条双方共同向客户宣传、推广此项业务。

6、第二十三条双方都保存客户的资料以及成交记录，负责解答客户的咨询。第二十四条由于证券问题造成客户交易不能正常进展的，由乙方承当责任；由于资金问题造成客户交易不能正常进展的，由甲方承当责任。第二十五条由于甲方审查资料不严或甲方接收、清算处理、数据传送有误导致乙方及客户损失的，由甲方负责；由于乙方接收、数据传送、报盘有误造成甲方及客户损失的，由乙方负责。第二十六条由于不可抗力因素导致的误差或延误，由双方协商解决。第二十七条甲方或乙方及其代表提供应对方的所有件包括纸制件及其他介质件均属机密信息，双方均应妥善保管，保管期限不得低于金融和证券行业规定的最低期限。未经双方同意，任何一方不得向第三方提供。第五

7、局部违约责任第二十八条甲、乙双方任何一方违背本协议规定造成对方损失的，应承当相应违约责任。第二十九条甲、乙双方中任何一方未按本协议第四条的要求履行清算义务时，应赔偿另一方由此造成的全部直接损失。一方不履行清算义务超过个工作日时，另一方有权解除协议。由于不可抗拒力导致未能及时履行清算义务的，不承当违约责任。第六局部附那么第三十条本协议未尽事宜或因国家银行结算制度及证券交易所清算规那么发生变更，经双方协商，可对本协议进展补充或修改，其法律效力同本协议，必要时可另签协议。第三十一条双方在履行协议过程中如有争议，应协商解决，协商不成，任何一方均可提起诉讼。第三十二条本协议有效期年，自双方法定代表人或受

8、权代理人签字并加盖公章之日起生效。有效期满后经双方协商同意可续签。第三十三条本协议一式份，甲、乙双方各执份。甲方盖章：银行乙方盖章：受权签字人签字：受权签字人签字：年月日年月日第二篇：互联证券买卖协议附加於现金保证金客户协议书本人吾等乃贵公司证券户口号“户口”之户口持有人，本人吾等之证券客户合约於签订。本人吾等同意开立一个或多个证券买卖户口，并同意以本人吾等名义或代表本人吾等就证券买卖及相关事宜，通过上交易效劳运作户口，本人吾等同意，户口由贵公司透过贵公司的上交易效劳按照证券客户合约及以下条款及条件并受其规限运作：1定义及解释11在本协议中，以下词语具有以下涵义：“进入密码”指密码及户口号码；

9、“户口”指本人在贵公司开立的互联买卖户口，经由上交易效劳运作；“上交易效劳”指根据本协议提供的上买卖效劳，包括电子买卖效劳，址上的任何资料，以及其中的软件；“电子买卖效劳”指本人吾等发出电子指令的设施，以及上交易效劳提供的资讯效劳；“指令”指以电子方式买卖证券的买卖指令或其他处理指令；“互联买卖政策”指有关上交易效劳运作的政策经不时修订；“密码”指本人吾等与帐号一并使用的个人密码，据之可进入该效劳；“证券客户合约”指公司之现金客户协议书或保证金客户协议书；“”指公司；“帐号”指客户与密码一并使用的个人密码，据之可进入电子买卖效劳，以及其他上交易效劳提供的效劳；12单数词语包括众数词语，反之亦然

10、。提到一种性别之处，包括所有性别。“人士”一词，包括商号或独资经营，合伙经营，集团及法人公司，反之亦然。2上交易效劳21本人吾等理解，电子买卖效劳为一半自动设施，让本人吾等发出电子指令，并接收信息效劳。22本人吾等同意使用电子买卖效劳，必须遵照本协议条款及证券客户合约。本人吾等使用日後经由上交易效劳提供的其他效劳，亦必须遵照本协议条款及客户协议书。23本人吾等为户口项下电子买卖效劳的唯一获受权使用者。本人吾等需对进入密码的保密及使用承当责任。本人吾等成认及同意，本人吾等需就使用进入密码输进电子买卖效劳的所有指令负责，而贵公司，贵公司董事，高级职员或雇员概毋需对本人吾等，或经由本人吾等提出申索的

11、任何其别人士就任何有关处理，错误处理或遗失任何指示的申索承当责任。24本人吾等成认，上交易效劳的所有人权益属贵公司。本人吾等保证及承诺，本人吾等不会亦不会尝试平扰，修改，拆解，易转，操纵或以其他方式修改且亦不会尝试未获受权进入上交易效劳的任何部份。本人吾等成认，假设本人吾等在任何时候违背是项保证及承诺，或实公司在任何时候合理疑心本人吾等违背是项保证及承诺，那么贵公司可向本人吾等采取法律行动。本人吾等承诺，假设本人吾等知悉任何人士干犯本段上所述任何行动，那么本人吾等须即时通知贵公司。25本人吾等进一步成认及同意，作为使用电子买卖效劳发出指令的先决条件，假设有以下情况，本人吾等需即时通知贵公司：a

12、有关户口的指令已经由电子买卖效劳作出，而本人吾等未收到命令编号；b有关户口的指令已经由电子买卖效劳作出，而本人吾等未收到对指令或其执行的准确认收不管经硬本，电子或口头；c本人吾等收到交易指示的认收不管经硬本，电子或口头，但该等交易指示并非本人吾等作出，或其他类似的不一致情况；d本人吾等知悉户口号码或密码的任何未经受权使用。26本人吾等理解，贵公司拟备上买卖政策，列出上交易效劳运作政策及程序。该政策可经由址获得，在任何时候均适用。该政策的条款，对本人吾等对使用上交易效劳具约束力。假设本协议条款与上买卖政策不一致，以本协议条款为准。27本人吾等成认址假设提供报价效劳，乃由贵公司不时指定的第三方提供

13、者提供。本人吾等成认及同意，对本人吾等在任何方面因报价效劳或因本人吾等依赖该效劳而发生或与之有关的任何损失，费用，支出，损害赔偿或申索贵公司概毋须承当责任。28本人吾等理解，就提供资讯而言，电子买卖效劳只提供由第三方刊发的证券资料。因市场波动及资料传送过程的延误，该等资料可能并非有关证券或投资的实时市场报价。本人吾等理解，虽然贵公司相信该等资料可靠，但没有独立基准可兹证实否认所提供资料的准确及完好性。本人吾等理解，不应从所提供的任何证券或投资资料而推断贵公司作出任何推荐或认可。29本人吾等理解，在电子买卖效劳中提供的资料，以“现状”及“可提供”基准提供，贵公司并不保证该等资料的时候，顺序，准确

14、性，足够性或完好性。贵公司没有就该等资料作出明示或默示保证包括但不限於可商售性或就某一用处的合适性而作出的保证。210本人吾等承受经由互联或其他电子方法或设施承受或获得效劳以及经由互联或其他电子设备或设施沟通或进展交易所带来的风险。3户口31本人吾等成认，本人吾等只可经由互联进入户口，本人吾等成认，假设本人吾等在经由互联接触贵公司时有任何困难，本人吾等需尝试使用其他方法与贵公司沟通，并把所遇困难知会贵公司。32开户口时，本人吾等需在户口申请表上写明本人吾等就使用该效劳而存入首笔按金的款额。该款额可由本人吾等亲自以支票，银行本票存入或以电传存入贵公司的办事处或银行户口。本人吾等成认贵公司收到户口

15、申请表上所载有效款项後，方会把进入密码通知本人吾等。4指令-经上交易效劳买卖41如因故障，通讯设施传送失败，或通讯媒体不可靠或并非贵公司所能控制或预期的一或多项原因，以致在传送，收取或执行指令上有所延误贵公司毋须承当责任。42本人吾等理解，向传播市场资料的各方提供市场资料的每一参与证券交易所或组织，对其提供的全部资料申张财产权益。本人吾等亦理解，任何方概不保证市场资料或任何其他市场信息的时效，序列，准确或完好性。任何损失或损害，假设因以下原因或由其产生，贵公司或任何传播方概毋须承当任何责任：任何该等资料，资讯或信息不准确，错误，延误或遗漏；或该等资料，资讯或信息传送或交付时的任何不准确，错误，

16、延误或遗漏；或任何该等资料，资讯或信息因贵公司或任何传播方的忽略行为以致无法履行或提供；或任何不可抗力事件；或任何其他非贵公司所能控制或任何传播方所能合理控制的其他原因。本人吾等只会把股票报价用於自身用处，不会因任何原因向任何其别人士或实体提供该等资料。43本人吾等成认，因无法意料的通讯挤塞及其他原因，互联是存有内在不可靠性的通讯媒体，而该不可靠性非贵公司所能控制。本人吾等成认，因该不可靠性，在传送及接收指令及其他资料时可能有延误，以致执行指令的延误及或执行指令的价格与发出指令时的价格不同。本人吾等进一步成认及同意，任何通讯均有误解或错误的风险，而该等风险需绝对由本人吾等承当。本人吾等成认及同

17、意，指令一经发出，通常不可取消。5境外指令假设本人吾等在香港以外地方向贵公司发出指令，本人吾等同意确保及声明，该等指令严格遵守该等指令发出时所在相关司法辖区的任何适用法律。本人吾等进一步同意，本人吾等有疑问时会谘询相关司法辖区的法律参谋。本人吾等承受在香港以外地区发出的指令，可能需向相关当局支付税费，本人吾等同意支付该等适用税费。本人吾等同意，按要求弥偿贵公司因本人吾等在香港以外地区发出指令而发生的任何损害，损失，费用，法律程序，要求或申索。6风险披露声明电子交易风险在交易顶峰，市场波动，系统晋级及维护或其他时间，互联或其他电子设施的进入可能会受到限制甚至无法进入。通过互联或其他电子设施进展的

18、交易可能会因不可预测的流量堵塞和其他贵公司无法控制的原因此受到干扰，传输中断，以及传输延误。由於技术上的制约，互联是一种不完全可靠的通讯媒介。由於这种不可靠性原因，交易指令及其他资讯的传输和接收可能会有延误，而这会导致交易指令在执行上的延误，或者交易执行的价格已不同于指令发出时的市场价格。而且，通信和个人资料可能会被未经受权的第三方获得，且在通信上会存在误解或错误的风险，而这些风险将完全由本人吾等承当。本人吾等确认并同意，交易指令一旦发出通常将不可能取消。签署确认本人吾等，为下述签署人，兹成认本人吾等已阅读，知悉，及明白本协议之内容并承受其条款及条件。客户签字：客户主任签字：年月日年月日见证人

19、签字：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/marn 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) (the “account”) to be operat

20、ed through inter trade serve，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 follog terms and conditions in addition to the securities client"

21、s agreement:i/we am/are the client holding the securities account(s) with you numbered (the “account”) and refer to my/our cash/marn 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) (the “account”) to be op

22、erated through inter trade serve，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 follog terms and conditions in addition to the securities client&q

23、uot;s agreement:- 1.definition and construction 1.definition and construction 1.1in this agreement，the follog terms shall bear the follog meanings: 1.1in this agreement，the follog terms shall bear the follog meanings: “ access codes” means together the password and the user name; 1“ access codes” me

24、ans together the password and the user name; 2“ account” means my inter securities trading account with you operated through the inter trade serve; “ account” means my inter securities trading account with you operated through the inter trade serve; “inter trade serve” means the on-line securities t

25、rading serve provided by under this agreement prising the electron trading erve，any information contained in web site and the software prised in them; 3“inter trade serve” means the on-line securities trading serve provided by under this agreement prising the electron trading erve，any information co

26、ntained in web site and the software prised in them; 4“electron trading serve” means the facility whh enables me/us to ve electron instructions and to access the information serves provided by the inter trade; “electron trading serve” means the facility whh enables me/us to ve electron instructions

27、and to access the information serves provided by the inter 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“inter trading poly” m

28、eans the poly relating to the operation of the inter trade serve as amended from time to time; “inter trading poly” means the poly relating to the operation of the inter trade serve as amended from time to time; “password” means my/our personal password used in conjunction with the user name to gain

29、 access to the serve; 7“password” means my/our personal password used in conjunction with the user name to gain access to the serve; 8“client"s agreement” means cash client"s agreement or marn client"s agreement; “client"s agreement” means cash client"s agreement or marn cli

30、ent"s agreement; “” means securities limited; 9“” means securities limited; 10“user name” means the client"s personal identifation used in conjunction with the password to gain access to the electron trading serve and other serves offered by phoeni capital.“user name” means the client"

31、;s personal identifation used in conjunction with the password to gain access to the electron trading serve and other serves offered by phoeni capital.1.2words denoting the singular shall include the plural and ve versa， reference to one gender shall include all genders and words denoting person sha

32、llinclude a firm or sole proprietorship，partnership，syndate and corporation and ve versa.1.2words denoting the singular shall include the plural and ve versa， reference to one gender shall include all genders and words denoting person shallinclude a firm or sole proprietorship，partnership，syndate an

33、d corporation and ve er trade serve 2.inter trade serve 2.1i/we understand that the electron trading serve is semi-automated facility whh enables me/us to send electron instructions and receive information serves.2.1i/we understand that the electron trading serve is semi-automated facilit

34、y whh enables me/us to send electron instructions and receive information serves.2.2i/we agree to use the electron trading serve and any additional serves offered through the inter trade serve only in accordance with the terms of this agreement in addition to the client"s agreement.2.2i/we agre

35、e to use the electron trading serve and any additional serves offered through the inter trade serve only in accordance with the terms of this agreement in addition to the client"s agreement.2.3i/we shall be the only authorized user of the electron trading serve under the account.i/we understand

36、 and acknowledge that the inter trade serve relies on the access codes to authentate 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 entere

37、d through the electron trading serve using the access code and neither you nor your directors，offers 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 s

38、hall be the only authorized user of the electron trading serve under the account.i/we understand and acknowledge that the inter trade serve relies on the access codes to authentate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access co

39、des.i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electron trading serve using the access code and neither you nor your directors，offers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/

40、us，for any claims with respect to the handling， mishandling or loss of any instruction.2.5i/we further acknowledge and agree that， as a condition of using the electron trading serve to ve instructions， i/we shall immediately notify you if: 2.5i/we further acknowledge and agree that， as a condition o

41、f using the electron trading serve to ve instructions， i/we shall immediately notify you if: 1an instruction in respect of the account has been placed through the electron trading serve and i/we have not received an order number;a.an instruction in respect of the account has been placed through the

42、electron trading serve and i/we have not received an order number;b.an instruction in respect of the account has been placed through the electron trading serve and i/we have not received an accurate acknowledgement of the instruction or of its eecution (whether by hard copy， electron or verbal means

43、); 2an instruction in respect of the account has been placed through the electron trading serve and i/we have not received an accurate acknowledgement of the instruction or of its eecution (whether by hard copy， electron or verbal means); 3i/we have received acknowledgement (whether by hard copy， el

44、ectron or verbal means) of a transaction whh i/we did not instruct or any similar conflt; or c.i/we have received acknowledgement (whether by hard copy， electron or verbal means) of a transaction whh i/we did not instruct or any similar conflt; or 2.6i/we understand that you shall prepare the inter

45、trading poly setting out the operation poly and procedures of the inter trade serve lable at any time whh shall be available at the inter trade web site the terms of whh shall be binding on me/us in respect of my/our use of the inter trade serve.in the event of inconsistencies between the terms of t

46、his agreement and the inter trading poly， the terms of this agreement shall prevail.4i/we bee aware of any unauthorized use of the user name or password.2.6i/we understand that you shall prepare the inter trading poly setting out the operation poly and procedures of the inter trade serve lable at an

47、y time whh shall be available at the inter trade web site the terms of whh shall be binding on me/us in respect of my/our use of the inter trade serve.in the event of inconsistencies between the terms of this agreement and the inter trading poly， the terms of this agreement shall prevail.2.7i/we ack

48、nowledge that the pre tation serve， if any， for securities， available at the inter trade web site is provided by a third party provider ointed by you from time to time.i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， epenses， damages or claims whh i/we may

49、suffer as a result of or in connection with any aspect of the te serve including my/our reliance on such serve.2.7i/we acknowledge that the pre tation serve， if any， for securities， available at the inter trade web site is provided by a third party provider ointed by you from time to time.i/we ackno

50、wledge and agree that you shall not be responsible to me/us for any losses，costs， epenses， damages or claims whh i/we may suffer as a result of or in connection with any aspect of the te serve including my/our reliance on such serve.2.9i/we understand that information provided in the electron tradin

51、g serves is provided on an ""as is“， ""as available” basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or pleteness of such information.you ve no epress or implied warranties (including but not limited to warranties of merchantability or fitness for a par

52、tular use) with respect to such information.2.9i/we understand that information provided in the electron trading serves is provided on an ""as is“， ""as available” basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or pleteness of such information.you ve n

53、o epress or implied warranties (including but not limited to warranties of merchantability or fitness for a partular use) with respect to such information.2.10i/we accept the risks of receiving or gaining access to serves through and munating and conducting transactions over the inter or other elect

54、ron means or facilities for the purpose of the inter trade serve.3.the account 2.10i/we accept the risks of receiving or gaining access to serves through and munating and conducting transactions over the inter or other electron means or facilities for the purpose of the inter trade serve.3.the accou

55、nt 3.1i/we acknowledge that i/we may only access the account through the inter and i/we agree that should i/we eperience any problems in reaching you through the inter， i/we shall attempt to use alternative methods to munate with you and inform you of the diffulty i/we am/are eperiencing.3.1i/we ack

56、nowledge that i/we may only access the account through the inter and i/we agree that should i/we eperience any problems in reaching you through the inter， i/we shall attempt to use alternative methods to munate with you and inform you of the diffulty i/we am/are eperiencing.4.instructions- dealings

57、through the inter trade serve 4.instructions- dealings through the inter trade serve 5.instructions outside hong kong 5.instructions outside hong kong if i/we ve any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been ven in pliance with any

58、lable law of the relevant jurisdtion from whh my instruction is ven， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdtion.i/we accept that there may be taes or charges payable to relevant authorities in respect to any instruction ven outside hong kong ， and i/we agree to pay such taes or charges as possible.6.risk disclosure statement if i/we ve any instruction t