基金銷售服務協議

Fund Subscription Services Agreement

202203 - V1.0


基金銷售服務協議


基金銷售服務協議「本附件」適用於艾德證券期貨有限公司(「本公司」)提供的基金銷售服務。本附件為業務條款及細則的補充條款並應與以及可能不時修訂的適用於公司提供的服務的任何其他條款和條件一同閱讀。它是協議的組成部分。

 

1. 定義和詮釋:

 

1.1 在本附件中:

 

「交易流程」指本公司與基金或相關基金的基金經理就基金份額的認購、轉換、贖回及其他附帶事項不時約定的任何程式。

 

「基金銷售服務」指本公司根據客戶之指示,就任何基金之任何單位之購買、認購、轉換、轉讓、贖回或出售,以及有關款項或款項之處理,所提供之服務。

 

「投資組合」指本公司不時選擇並通過公司向客戶提供的基金組合。

 

「單位」指基金中的任何股份或單位(包括該基金在獨立基礎上或作為投資組合的一部分而被分配或提供)。

 

2.基金銷售服務業務範圍

 

2.1本公司可以向客戶提供(但無義務提供)基金銷售服務。公司可不時向客戶提供與基金銷售服務相關的其他功能和服務,在這種情況下,客戶應在使用該等功能或服務之前閱讀並同意適用其他條款和條件請參閱艾德證券期貨官網。基金分銷業務以及其他與基金分銷業務相關的附加業務通過基金賬戶、證券賬戶進行。

 

2.2如果客戶進行交易:

     (a) 公司可能招攬或向客戶建議相關基金或投資組合,在這種情況下:

         A. 該等投資產品必須在考慮客戶的財務狀況、投資經驗和投資目標以及本公司自行認為相關的其他因素的情況下合理適合客戶。本協議或任何其他文件中本公司可能要求客戶簽署的任何其他規定,以及本公司可能要求客戶作出的減損本第2.2a)條款的任何聲明均不會減損本第2.2a)條款的規定。

        B. 在不減損第2.2a)條款的規定的前提下,在進行本公司招攬或建議的投資產品交易之前,客戶接受並同意下列各項,本公司有權依賴客戶對以下事項的接受和同意:

                i. 客戶向本公司提供的任何資訊均有效、真實、完整、準確及最新,包括為評估客戶根據第2.2a)條款的規定交易該等投資產品是否適當之目的提供的任何資訊;

                ii. 客戶或投資產品所涉及的情形發生變化,本公司最初向客戶銷售或推介的投資產品,可能不再適合該客戶;

                iii. 本公司不承擔確保其招攬或建議的該等投資產品仍然適合客戶的任何持續責任;

                iv. 客戶做出明智的投資決策,需要了解投資產品的性質、期限及風險,並結合自身情況,包括但不限於財務狀況、產品風險承擔能力和交易損失承擔能力、投資經驗及客戶投資目標等;

                v. 必要時,客戶應就客戶擬投資的投資產品獨立地徵求專業意見

    (b) 客戶可能已與公司進行該等交易,而該等交易未與或在與公司的任何招攬、建議或意見不一致的情況下進行,在此情況下:

        A. 對於客戶未經招攬或建議與本公司達成的任何交易(不包括複雜產品交易)或與本公司的任何建議不一致的任何交易,在進行該等交易之前,客戶接受並同意下列各項,本公司有權依賴客戶對以下事項的接受和同意:

                i. 該等交易由客戶在自行承擔風險及客戶要求的情況下基於自己的判斷而訂立;

                ii. 客戶充分知曉並理解該交易的性質、條款及風險;

                iii. 本公司無需就該等交易對客戶的適合性進行評估或提供意見;

                iv. 客戶已經考慮自身的情況,包括但不限於財務狀況、承擔該筆交易的風險能力和承擔該筆投資產品交易的潛在損失的能力、投資經驗及投資目標;

                v. 必要時,客戶應就該交易徵詢獨立的專業意見。

                vi. 本公司未向客戶提供諮詢服務,因此不承擔與該等交易相關的任何諮詢謹慎責任或義務;及

                vii. 除因本公司故意不當行為或疏忽所引致者外,本公司概不會就客戶或任何其它人士就任何該等交易招致或蒙受的任何損失(包括間接或結果性損失)、費用或損害負責。

        B. 對於客戶將與本公司進行的任何複雜產品交易,在未獲得本公司的任何招攬或建議的情況下,或者與本公司的任何建議不一致的,在進行該等交易之前,客戶接受並同意下列各項,本公司有權依賴客戶對以下事項的接受和同意:

                i. 該等交易由客戶在自行承擔風險和要求的情況下基於自己的判斷進行;

                ii. 客戶向本公司提供的任何資訊(包括為評估非交易所交易的衍生產品的任何交易是否根據操守準則或任何其他監管要求適合客戶之目的提供的資訊)均為有效、真實、完整、準確及最新的資訊;

                iii. 客戶考慮了自身的情況,包括但不限於財務狀況、承擔該筆交易的風險能力、承擔該筆複雜產品交易的潛在損失能力、投資經驗、投資目標等;

                iv. 客戶充分知曉並理解該交易的性質、條款及風險;

                v. 必要時,客戶會就這些交易徵詢獨立的專業意見;

                vi. 如果與客戶或複雜產品相關的情況發生變化,該等複雜產品可能不再適合客戶,本公司無持續責任確保客戶交易的任何複雜產品仍然適合客戶;及

                vii. 本公司並無任何義務及責任確保交易所交易的衍生產品的任何該等交易符合客戶的需要。本公司義務或職責的該等限制應受限於操守準則及其他適用法規的遵守。

 

2.3公司可能會通過電子方式(包括電子服務)向客戶提供與相關基金或投資組合相關的發售文件、通知、通訊或任何其他文件。客戶同意使用電子方式(包括電子服務)作為交付上述文件的一種方式。

 

3.申購和贖回申請及付款

 

3.1認購、購買、贖回、出售或轉換任何單位或投資組合的任何指示(無論是全部還是部分)必須通過公司的APP應用程式或公司規定的任何方式以電子方式作出,並隨附公司可能不時要求的任何必要文件。

 

3.2所有與單位認購、轉換或贖回相關的指示以及由此產生的交易和支付均應遵守交易流程及或公司不時規定的任何其他要求。公司有權無須徵詢客戶的意見,亦無須給予任何理由,無視任何未能符合交易程序的指示或公司的其他要求,或執行該等指示及為符合交易程序或公司不時規定的其他要求而對該等指示作出的必要修改。例如當客戶下達指示贖回任何單位,並且由於該指示,基金份額在該指示執行後將剩餘0.0001個單位或更少(或公司不時決定的任何其他小數單位)(下稱「剩餘小數單位」),客戶謹此授權公司代表客戶贖回任何剩餘小數單位,而該交易應被視為原始指示的一部分。對於客戶因行使上述酌情權而延遲或未能傳送或執行認購、購買、轉換、轉讓、贖回、出售或以其他方式處理任何單位或投資組合的任何指示而可能蒙受或招致的任何損失、損害、費用或開支,本公司概不對客戶負責。

 

3.3本公司獲授權按照客戶或其代表發出或聲稱發出的任何指示行事。本公司無義務認證、核實任何該等指示的完整性和準確性,或核實發出該等指示的任何人士的身份。

 

3.4本公司有權信賴並執行本公司善意認為屬實的任何該等指示,而無須對客戶因此而蒙受的任何損失負責。但是,公司有絕對酌情權拒絕按任何該等指示行事而無需任何理由,對於客戶因延遲或未能傳輸或執行認購、購買、轉換、轉讓、贖回、出售或以其他方式處理任何單位或投資組合的任何指示而可能遭受或發生的任何損失、損害、費用或支出,公司不對客戶承擔任何責任。

 

3.5客戶透過特定途徑發出指示的權利須始終受制於本公司的酌情權。公司可隨時撤銷客戶無須事先通知而透過特定途徑發出指示的權利。公司應在收到客戶或任何授權人發出的任何指示後,且在客戶向公司支付的購買價格、認購款項或費用後,向相關基金管理人、基金或產品發行人執行該等指示。

 

3.6公司將儘快執行任何指示,但該等指示的執行可能與基金相關發售文件中規定的時間不一致。客戶確認,公司可每日或不時地將客戶向公司下達的訂單與公司其他客戶下達的訂單合併計算,以便公司向相關基金經理、基金或產品發行人下達該等訂單以供執行。

 

3.7受限於賬戶的持續運作,如果本公司在其不時全權決定的相關基金的交易截止時間前收到有效及完整的指示(連同所有款項、所需的資料及文件),一般將於本公司收到該等指示之日處理該等指示。若在本次交易截止後或香港出現8號(或以上)颱風信號或黑色暴雨警告信號當日收到指令(及資金),通常按基金發售文件的約定(或基金管理人、基金或產品發行人等另行確定)於基金的下一交易日執行。客戶必須指明選擇哪一檔基金或投資組合(如適用),以便處理投資指令。如果公司合理地認為有理由延遲或拒絕處理或接受任何指示,公司保留延遲或拒絕處理或接受任何指示的權利。

 

3.8基金的實際買入價(“實際買入價”)和賣出價應在交易生效和結算時確定,本公司或其代表在指示時可能向客戶報價或提供的任何數值(“報價”)僅供參考,對本公司不具有約束力。

 

3.9 公司無權代表任何基金管理人、基金或產品發行人接受認購、轉換或贖回任何單位的指示(或申請)。公司收到該等指示、必要的付款及任何其他文件並不構成相關基金管理人、基金或產品發行人接受該等指示。

 

3.10 客戶確認,任何從本公司收到指令的基金經理、基金或產品發行人均無義務接受該指令的部分或全部。本公司不對基金管理人、基金及產品發行人拒絕或者拖延接受指令而給客戶造成的損失(包括投資機會損失)承擔保證責任。

 

3.11 客戶確認:(a)客戶就每筆購買或認購單位或投資組合的指令應向本公司(或本公司指定的其他人士)支付的購買價款、認購款項或費用及本公司收取之費用如平台使用費等,應從客戶指定的賬戶(或本公司不時另行指示的賬戶)中扣除;及(b)本公司就每筆出售、贖回或以其他方式處置單位的指令(無論該等單位是否為投資組合的一部分)而收到的贖回款項,在任何情況下均應按照有關基金募集文件(或基金管理人、基金或產品發行人不時另行決定)規定的交收期,支付或存入客戶指定並經本公司同意的賬戶;及(c)本公司收取之費用如平台使用費等應從客戶指定的賬戶(或本公司不時另行指示的賬戶)中扣除。

 

3.12 如果客戶在任何時間選擇(或本公司不時另行指示)支付本附件第3.11a)及(c)條項下的所需款項的賬戶餘額不足(例如,客戶已指定證券賬戶進行該等付款),客戶不可撤銷地指示並授權本公司在不事先通知客戶的情況下,抵銷或轉賬客戶其他賬戶(例如基金賬戶)的結餘金額,以清償本附件第3.11a)及(c)條項下的任何款項。

 

3.13 客戶進一步同意,對於單位或投資組合的購買或認購,如果賬戶中指定支付的資金不足,或者在公司規定的時間內未收到已清算資金(不含任何扣除或預扣款項),公司保留拒絕或延遲處理任何訂單的權利。

 

3.14 本公司獲授權根據適用規例採取其認為適當的步驟,向客戶提供基金銷售服務,包括無須就基金份額代扣及/或繳付任何應繳付的稅款或稅項,以及根據適用規例的規定向客戶(包括你的授權人士及受益人)、客戶持有的任何基金份額或投資組合或與該等基金份額或投資組合相關的任何交易,或向本公司的任何關聯公司、本公司的任何第三方服務提供者或代理人、基金經理、基金或產品發行人(或其代表)作出要求披露的披露。

 

3.15 客戶同意(並應促使任何被授權人)以公司不時規定的方式並採取公司不時規定的步驟和時間向公司提供資訊、資料和文件,以使公司或其任何關聯公司就任何資金執行指示、開展基金銷售服務和/或遵守任何檔的任何條款,適用法規和適用市場慣例。

 

4. 投資的權屬和登記

 

4.1 如果客戶認購基金單位(包括構成投資組合一部分的基金的任何單位),該等單位將以公司的名義或以公司的名義與客戶的名義共同登記,或僅以客戶的名義登記(視具體情況而定)。本公司將不會是閣下在基金的任何投資的受益人。

 

4.2 不會向客戶簽發單位證書。客戶將被發送一份其認購/獲得(或處置)任何單位的確認。

 

5. 報告和投票

 

5.1 受限於適用法規的規定,本公司及託管人均無責任或義務為客戶行使認購或取得、接收或持有的任何單位的投票權或其他選擇權,除非客戶或任何獲授權人士以本公司不時規定的形式及時間作出書面指示,且本公司及客戶間達成協議的條款、條件、賠償、費用及收費。

 

5.2 在無該等指示和協議的情況下,公司和託管人有權但無義務行使任何基金的表決權或其他選擇權(如有)。在此情況下,客戶同意,除非適用法規另有規定,否則本公司和託管人可以免除通知和交付給客戶的任何委託書或其他文件的任何責任和義務。

 

6. 終止

 

6.1 在與公司的賬戶終止或基金銷售服務終止時,客戶或任何獲授權人士將被視為已向公司發出指示,且根據其酌情權:

 

(a) 促使託管人為客戶賬戶持有的任何單位在基金賬戶終止生效日被贖回或以其他方式處理,或者如果該日不是客戶賬戶的交易日或在該等基金的發售檔中規定的最晚交易時間之後,則在下一個交易日(“生效日”)贖回或交易收益(在結清欠公司或其任何關聯方的任何未償還債務、成本和費用後)的任何單位匯給客戶和/或結清客戶、公司或任何託管人發生的任何負債;

 

(b) 促使託管人為客戶賬戶當時持有的任何單位於生效日直接劃撥至客戶名下(如適用);及

 

(c) 取消任何未執行的交易。

 

7. 保留收益

 

7.1 根據本附件第3.9 a)條的規定,客戶授權本公司保留超出墊付款項的任何贖回收益,作為處理和安排執行貨幣市場基金贖回或轉出任何單位的指示的手續費。


 

Fund Subscription Services Agreement

 

This Fund Subscription Services Agreement (“this Appendix”) governs Eddid Securities and Futures Limited’s (“the Company”) provision of Fund Subscription Services. It supplements, and should be read together with, the Terms and Conditions any other terms and conditions governing the services provided by the Company, as they may be amended from time to time.

 

1. Definitions and Interpretations

 

1.1 In this Appendix:-

 

Dealing Procedures” means any procedures agreed between the Company and the Fund or the fund manager of the relevant Fund from time to time to govern the subscription, switching and redemption of Units therein and other incidental matters.

 

Fund Subscription Services” means services provided by the Company in connection with the purchase, subscription, switching, transfer, redemption or sale of any Unit in any Fund, and the dealing with any relating proceeds or moneys in accordance with the Client’s instructions.

 

Portfolio” means a portfolio of Funds selected by the Company and made available through the Company to the Client from time to time.

 

Units” means any shares or units in a Fund (including where such Fund is distributed or made available on a standalone basis or as part of a Portfolio).

 

2. Scope of Fund Subscription Services

 

2.1 The Company may (but is not obliged to) provide to the Client the Fund Subscription Services. Additional functions and services in connection with the Fund Subscription Services may be provided by the Company to the Client from time to time, in which case additional terms and conditions may apply which the Client should read and agree to before using those functions or services, please refer to the Company’s official website. The Fund Subscription Services and any additional services in connection with the Fund Subscription Services shall be provided through the Fund Account and/or the Securities Account.

 

2.2  Where the Client enters into a Transaction:

 

(a) the Company may have solicited the sale of or recommended to the Client the relevant Fund or Portfolio, in which case:

A. If the Company solicits the sale of or recommends any Investment Products to the Client, such Investment Products must be reasonably suitable for the Client having regard to the financial situation, investment experience and investment objectives of the Client, and such other factors (which the Company in its sole discretion considers to be relevant). No other provision in the Agreement or any other document that the Company may ask the Client to sign and no statement that the Company may ask the Client to make derogates from this Clause 2.2(a).

 

B. Without derogating from Clause 2.2(a), before entering into a transaction in Investment Products solicited or recommended by the Company, the Client accepts and agrees to the following, and the Company shall be entitled to rely on the Client’s acceptance of and agreement to the following:

 

i. any information that the Client provides to the Company, including for the purpose of assessing whether it would be suitable for the Client to deal in such Investment Products in accordance with Clause 2.2(a), is valid, true, complete, accurate and up-to-date;

ii. if the circumstances relating to the Client or the Investment Products change, such Investment Products which the Company initially solicited the sale of or recommended to the Client may no longer remain suitable to the Client;

iii. the Company bears no ongoing responsibility to ensure that such Investment Products which it has solicited or recommended remains suitable to the Client;

iv. in order to make an informed investment decision, the Client would need to understand the nature, terms and risks of such Investment Products; and consider its own circumstances, including but not limited to the financial situation, ability to assume the risks of such investment products and bear the potential losses from trading in such investment products, investment experience and investment objectives of the Client; and

v. where necessary, the Client shall seek independent professional advice about the Investment Products that the Client intends to deal in; and/or

 

(b) the Client may have entered into such Transaction with the Company, without or in circumstances where it is inconsistent with any solicitation, recommendation or advice from the Company, in which case:.

A. For any transaction that the Client enters into with the Company (excluding transactions in Complex Products) without any solicitation or recommendation or which is inconsistent with any advice from the Company, before entering into such transaction, the Client accepts and agrees to the following, and the Company shall be entitled to rely on the Client’s acceptance of the following:

 

i. such transaction is entered into by the Client solely at its own risk and request of the Client and is based on its own judgment;

ii. the Client is fully aware of and understands the nature, terms and risks of such transaction;

iii. the Company is not required to assess or advise on the suitability of such transaction for the Client;

iv. the Client has considered its own circumstances, including but not limited to its financial situation, ability to assume the risks of such transaction and bear the potential losses from trading in such Investment Products, investment experience and investment objectives;

v. where necessary, the Client shall seek independent professional advice concerning such transaction;

vi. the Company does not provide advisory services to the Client and therefore does not assume any advisory duty of care or obligation in relation to such transaction; and

vii. unless caused by the Company's wilful misconduct or negligence, the Company is not liable for any loss (including indirect or consequential loss), cost or damage of any kind incurred or suffered by the Client or any other person with respect to any such transaction.

 

B. For any transaction that the Client will enter into with the Company in a Complex Product, without any solicitation or recommendation from the Company or which is inconsistent with any advice from the Company, before entering into such transaction, the Client accepts and agrees to the following, and the Company shall be entitled to rely on the Client’s acceptance of the following:

 

i. such transaction is entered into by the Client at its own risk and request and is based on its own judgment;

ii. any information that the Client provides to the Company, including for the purpose of assessing whether any transaction in a Non-Exchange Traded Derivative Product would be suitable for the Client in accordance with the Code or any other regulatory requirement, is valid, true, complete, accurate and up-to-date;

iii. the Client has considered its own circumstances, including but not limited to its financial situation, ability to assume the risks of such transaction and bear the potential losses from trading in such Complex Product, investment experience and investment objectives;

iv. the Client is fully aware of and understands the nature, terms and risks of such transaction;

v. where necessary, the Client will seek independent professional advice concerning such transactions;

vi. if circumstances relating to the Client or the Complex Product change, such Complex Product may no longer remain suitable for the Client, and the Company has no ongoing responsibility to ensure that any Complex Product that the Client has transacted in remains suitable for it; and

vii. the Company owes and assumes no obligation whatsoever to ensure that any such transaction in an Exchange-Traded Derivative Product is suitable to the Client. Such limitation of the Company's obligation or duty is subject to compliance with the Code and other Applicable Regulations.

 

2.3 The Company shall make available to the Client via electronic means (including via the Electronic Services), the offering documents, notices, communications or any other documents in connection with the relevant Funds or Portfolios. The Client consents to the use of such electronic means (including the Electronic Services) as a mode of delivery of the abovementioned documents.

 

3. Subscription and Redemption Applications and Payment

 

3.1 Any Instruction to subscribe for or purchase, redeem, sell or switch any Unit or Portfolio (whether in whole or in part) must be made electronically through the Company’s mobile application or any manner as prescribed by the Company, accompanied by any required documentation as may be required by the Company from time to time.

 

3.2 All Instructions and the resulting transactions and payment in relation to the subscription, switching or redemption of Units shall be subject to the Dealing Procedures and/or any other requirements as prescribed by the Company from time to time. The Company is entitled, without reference to the Client and without giving any reason, either ignore any Instruction that fails to comply with the Dealing Procedures or such other requirements of the Company, or to execute such Instruction with such modifications to it as may be necessary to comply with the Dealing Procedures or such other requirements of the Company from time to time. For instance, should the Client place an Instruction to redeem any Units and, as a result of such Instruction, there will remain a balance of 0.0001 Unit or less (or any other fractional Unit as determined by the Company from time to time) following the execution of such Instruction (“Remaining Fractional Units”), the Client hereby authorises the Company to redeem any Remaining Fractional Units on behalf of the Client, which transaction shall be deemed to be a part of the original Instruction. The Company will not be responsible to the Client for any losses, damages, costs or expenses that the Client may suffer or incur arising from or in connection with any delay or failure in transmitting or effecting any Instruction to subscribe, purchase, switch, transfer, redeem, sell or otherwise deal with any Units or Portfolios in connection with exercising such discretion.

 

3.3 The Company is authorised to act on any Instruction given or purportedly given by or on behalf of the Client. The Company does not have any obligation to authenticate, verify the completeness and accuracy of any such Instruction or verify the identity of any person giving such Instruction.

 

3.4 The Company shall be entitled to rely and act on any such Instruction which the Company in good faith believes to be genuine, and shall not be responsible for any loss which the Client may incur as a result. However, the Company has absolute discretion to refuse to act upon any such Instruction without reason, and the Company will not be responsible to the Client for any losses, damages, costs or expenses that the Client may suffer or incur arising from or in connection with any delay or failure in transmitting or effecting any Instructions to subscribe, purchase, switch, transfer, redeem, sell or otherwise deal with any Units or Portfolios.

 

3.5 The Client’s right to give Instructions via a particular channel shall at all times be subject to the discretion of the Company. The Company may at any time revoke the Client’s right to give Instructions through a particular channel without prior notice. The Company shall execute any Instructions placed by the Client or any Authorised Person by placing it with the relevant fund manager, Fund or product issuer upon receipt of the Instruction and payment of the purchase price, subscription moneys or expenses payable by the Client to the Company.

 

3.6 The Company will effect any Instruction as soon as practicable, however, the execution of such Instruction may not coincide with the timeframe stipulated in the relevant offering documents of the Fund. The Client acknowledges that orders placed by the Client with the Company may be aggregated and consolidated either daily or from time to time by the Company together with orders placed by the Company’s other clients for the purpose of placement of such orders by the Company with the relevant fund manager, Fund or product issuer for execution.

 

3.7 Subject to the continuing operation of an Account, an Instruction will generally be processed on the day of receipt by the Company of such Instruction if a valid and complete Instruction (together with all monies, required information and documents) is received by the Company before the dealing cut off times for the relevant Fund as specified by the Company in its sole and absolute discretion from time to time. If an Instruction (and monies) is received after this dealing cut off time or on a day when a typhoon Signal No. 8 (or above) or black rainstorm warning has been issued in Hong Kong, execution will be done usually on the next dealing date of the Fund in accordance with the terms of the offering documents of the Fund (or as otherwise determined by the relevant fund manager, Fund or product issuer). The Client must specify the choice of the Fund or Portfolio (where appropriate) in order for the Instruction to be processed. The Company reserves the right to delay or refuse to process or accept any Instruction, if in its reasonable opinion, there are grounds for doing so.

 

3.8 The actual bid price (the “Actual Bid Price”) and offer price of a Fund shall be determined at the time when the transaction is effected and settled and any figures which may be quoted or provided to the Client by the Company or its representatives at the time of Instruction (the “Quoted Price”) are for reference only and are not binding on the Company.

 

3.9 The Company has no authority to accept Instructions (or applications) for subscription, switching or redemption of any Unit for and on behalf of any fund manager, Fund or product issuer. Receipt of such Instructions and the requisite payment and any other documentation by the Company shall not amount to acceptance of the Instruction by the relevant fund manager, Fund or product issuer.

 

3.10 The Client acknowledges that any fund manager, Fund or product issuer who receives an Instruction from the Company is not obliged to accept such order in part or whole. The Company shall have no responsibility nor liability for ensuring that the relevant Fund manager, Fund or product issuer allots the Units or for any losses (including any loss of investment opportunity) which the Client may suffer or incur as a result of any refusal to accept or delay in accepting such Instruction by the fund manager, Fund or product issuer.

 

3.11 The Client acknowledges that (a) the purchase price, subscription moneys or expenses payable by the Client to the Company (or another person as specified by the Company) in relation to each order to buy or subscribe for Units or Portfolios shall be debited from an Account designated by the Client (or otherwise directed by the Company from time to time); and (b) any redemption proceeds received by the Company in relation to each order to sell, redeem or otherwise dispose of the Units (whether such Units are part of a Portfolio or not) shall, in any event, be paid or credited to an Account designated by the Client and agreed by the Company in accordance with the settlement periods stipulated in the offering documents of the relevant Funds (or otherwise determined by the Fund manager, Fund or product issuer from time to time) ; and (c) the fees charged by the Company such as platform usage fees shall be debited from an Account designated by the Client (or otherwise directed by the Company from time to time).

 

3.12 If at any time there is insufficient balance in the Account that the Client has elected (or otherwise directed by the Company from time to time) to make the required payments under Clause 3.11(a) and (c) of this Appendix (for example, the Client has designated the Securities Account to make such payments), the Client irrevocably directs and authorises the Company to, without prior notice to the Client, set-off or transfer any sum standing to the credit of the Client’s other Account (for example, the Fund Account), towards the satisfaction of any payments to be made under Clause 3.11(a) and (c) of this Appendix.

 

3.13 The Client further agrees that for purchases or subscriptions of Units or Portfolios, the Company reserves the right to reject or delay the processing of any orders if there are insufficient funds in the Account designated for payment or if cleared funds (free of any deductions or withholdings) are not received by such time as prescribed by the Company.

 

3.14 The Company is authorised to take such steps as it may consider expedient to enable it to provide Fund Subscription Services to the Client including the right to withhold and/or make payment of any taxes or duties payable on or in respect of the Units without any liability thereof and to disclose information about the Client (including your authorised persons and beneficiaries), any Units or Portfolios held by the Client or any transactions in connection thereto in accordance with the Applicable Regulations or to any of the Company’s Affiliates, any third party service providers or agents of the Company, a fund manager, a Fund or product issuer (or its representatives) upon request.

 

3.15 The Client agrees to (and shall procure that any Authorised Person to) provide the Company with such information, materials and documents in such manner and take such steps and by such time as prescribed by the Company from time to time so as to enable the Company or any of its Affiliates to effect an Instruction, perform the Fund Subscription Services and/or to comply with any term of any document in respect of any Funds, Applicable Regulations and the applicable market practice.

 

4. Title and Registration of Investments

 

4.1 If the Client subscribes for Units in a Fund (including any Units in a Fund that forms a part of a Portfolio), the Units will be registered in the name of the Company or jointly in the name of the Company and in the Client’s name, or in the Client’s name only (as the case may be). The Company will not be the beneficiary of any of your investments in a Fund.

 

4.2 No Unit certificates will be issued to the Client. The Client will be sent a confirmation of its subscription/acquisition (or disposal) of any Unit.

 

5. Reports and Voting

 

5.1 Subject to the requirements of the Applicable Regulations, the Company and the custodian shall have no duty or obligation to exercise the voting rights or other elective rights of any Units subscribed or acquired, or received or held for the Client, except upon the prior written Instructions of the Client or any Authorised Person in such form and by such time as prescribed by the Company from time to time, and then only upon such terms, conditions, indemnities, fees and charges as agreed upon between the Company and the Client.

 

5.2 In the absence of such Instructions and agreements, the Company and the custodian shall be entitled to, but not obliged to, exercise the voting rights or other elective rights of any Fund (if any). Under such circumstance, the Client agrees that the Company and the custodian may be exempted from any duty and obligation in respect of notification and delivery of any proxy or other document issued to the Client, unless otherwise provided in the Applicable Regulations.

 

6. Termination

 

6.1 Upon termination of the Account with the Company or termination of the Fund Subscription Services, the Client or any Authorised Person will be deemed to have given the Company instructions to, at its discretion:

 

        (a) cause any Units then held by the custodian for the Client's account to be redeemed or otherwise dealt with on the effective date of termination of the Fund Account, or if that day is not a dealing day or is after the latest time for dealing as specified in the offering document of such Fund, on the next dealing day ("Effective Date") and for the redemption or dealing proceeds thereof (after settling any outstanding liabilities, costs and expenses owed to the Company or any of its Affiliates) to be remitted to the Client and/or settle any liability incurred by the Client, the Company or any custodian;

 

        (b) cause any Units then held by the custodian for the account of the Client to be transferred by the custodian on the Effective Date directly into the Client’s name (if applicable); and

 

        (c) cancel any unexecuted transactions.

 

7. Proceeds Retention

 

7.1 Pursuant to Clause 3.9(a) of this Appendix, the Client authorises the Company to retain any redemption proceeds in excess of the Advance as a handling fee for processing and arranging for the execution of an Instruction to redeem or transfer out any Unit in a money market fund.



公告
客戶年度盡職審查

根據香港證監會《打擊洗錢及恐怖分子資金籌集指引》,持牌法團定期爲客戶進行「客戶盡職審查」。一如過去多年安排,艾德證券期貨於本年初向部分持不活躍賬戶之客戶發出「客戶年度盡職審查」通知,提示客戶於14日內登入「Eddid ONE」確認相關資料。

 

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