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基金銷售服務協議

Fund Subscription Services Agreement

202203 - V1.0


基金销售服务协议


基金销售服务协议(「本附件」)适用于艾德证券期货有限公司(「本公司」)提供的基金销售服务。本附件为业务条款及细则的补充条款并应与以及可能不时修订的适用于公司提供的服务的任何其他条款和条件一同阅读。它是协议的组成部分。

 

1. 定义和诠释:

 

1.1 在本附件中:

 

「交易流程」指本公司与基金或相关基金的基金经理就基金份额的认购、转换、赎回及其他附带事项不时约定的任何程序。

 

「基金销售服务」指本公司根据客户之指示,就任何基金之任何单位之购买、认购、转换、转让、赎回或出售,以及有关款项或款项之处理,所提供之服务。

 

「投资组合」指本公司不时选择并通过公司向客户提供的基金组合。

 

「单位」指基金中的任何股份或单位(包括该基金在独立基础上或作为投资组合的一部分而被分配或提供)。

 

2.基金销售服务业务范围

 

2.1本公司可以向客户提供(但无义务提供)基金销售服务。公司可不时向客户提供与基金销售服务相关的其他功能和服务,在这种情况下,客户应在使用该等功能或服务之前阅读并同意适用其他条款和条件请参阅艾德证券期货官网。基金分销业务以及其他与基金分销业务相关的附加业务通过基金账户、证券账户进行。

 

2.2如果客户进行交易:

 

(a) 公司可能招揽或向客户建议相关基金或投资组合,在这种情况下:

A. 该等投资产品必须在考虑客户的财务状况、投资经验和投资目标以及本公司自行认为相关的其他因素的情况下合理适合客户。本协议或任何其他文件中本公司可能要求客户签署的任何其他规定,以及本公司可能要求客户作出的减损本第2.2(a)条款的任何声明均不会减损本第2.2(a)条款的规定。

 

B. 在不减损第2.2(a)条款的规定的前提下,在进行本公司招揽或建议的投资产品交易之前,客户接受并同意下列各项,本公司有权依赖客户对以下事项的接受和同意:

 

i. 客户向本公司提供的任何信息均有效、真实、完整、准确及最新,包括为评估客户根据第2.2(a)条款的规定交易该等投资产品是否适当之目的提供的任何信息;

ii. 客户或投资产品所涉及的情形发生变化,本公司最初向客户销售或推介的投资产品,可能不再适合该客户;

iii. 本公司不承担确保其招揽或建议的该等投资产品仍然适合客户的任何持续责任;

iv. 客户做出明智的投资决策,需要了解投资产品的性质、期限及风险,并结合自身情况,包括但不限于财务状况、产品风险承担能力和交易损失承担能力、投资经验及客户投资目标等;

v. 必要时,客户应就客户拟投资的投资产品独立地征求专业意见

 

(b) 客户可能已与公司进行该等交易,而该等交易未与或在与公司的任何招揽、建议或意见不一致的情况下进行,在此情况下:

A. 对于客户未经招揽或建议与本公司达成的任何交易(不包括复杂产品交易)或与本公司的任何建议不一致的任何交易,在进行该等交易之前,客户接受并同意下列各项,本公司有权依赖客户对以下事项的接受和同意:

 

i. 该等交易由客户在自行承担风险及客户要求的情况下基于自己的判断而订立;

ii. 客户充分知晓并理解该交易的性质、条款及风险;

iii. 本公司无需就该等交易对客户的适合性进行评估或提供意见;

iv. 客户已经考虑自身的情况,包括但不限于财务状况、承担该笔交易的风险能力和承担该笔投资产品交易的潜在损失的能力、投资经验及投资目标;

v. 必要时,客户应就该交易征询独立的专业意见。

vi. 本公司未向客户提供咨询服务,因此不承担与该等交易相关的任何咨询谨慎责任或义务;及

vii. 除因本公司故意不当行为或疏忽所引致者外,本公司概不会就客户或任何其它人士就任何该等交易招致或蒙受的任何损失(包括间接或结果性损失)、费用或损害负责。

 

B. 对于客户将与本公司进行的任何复杂产品交易,在未获得本公司的任何招揽或建议的情况下,或者与本公司的任何建议不一致的,在进行该等交易之前,客户接受并同意下列各项,本公司有权依赖客户对以下事项的接受和同意:

 

i. 该等交易由客户在自行承担风险和要求的情况下基于自己的判断进行;

ii. 客户向本公司提供的任何信息(包括为评估非交易所交易的衍生产品的任何交易是否根据操守准则或任何其他监管要求适合客户之目的提供的信息)均为有效、真实、完整、准确及最新的信息;

iii. 客户考虑了自身的情况,包括但不限于财务状况、承担该笔交易的风险能力、承担该笔复杂产品交易的潜在损失能力、投资经验、投资目标等;

iv. 客户充分知晓并理解该交易的性质、条款及风险;

v. 必要时,客户会就这些交易征询独立的专业意见;

vi. 如果与客户或复杂产品相关的情况发生变化,该等复杂产品可能不再适合客户,本公司无持续责任确保客户交易的任何复杂产品仍然适合客户;及

vii. 本公司并无任何义务及责任确保交易所交易的衍生产品的任何该等交易符合客户的需要。本公司义务或职责的该等限制应受限于操守准则及其他适用法规的遵守。

 

2.3公司可能会通过电子方式(包括电子服务)向客户提供与相关基金或投资组合相关的发售文件、通知、通讯或任何其他文件。客户同意使用电子方式(包括电子服务)作为交付上述文件的一种方式。


3.申购和赎回申请及付款

 

3.1认购、购买、赎回、出售或转换任何单位或投资组合的任何指示(无论是全部还是部分)必须通过公司的APP应用程式或公司规定的任何方式以电子方式作出,并随附公司可能不时要求的任何必要文件。

 

3.2所有与单位认购、转换或赎回相关的指示以及由此产生的交易和支付均应遵守交易流程及或公司不时规定的任何其他要求。公司有权无须征询客户的意见,亦无须给予任何理由,无视任何未能符合交易程序的指示或公司的其他要求,或执行该等指示及为符合交易程序或公司不时规定的其他要求而对该等指示作出的必要修改。例如当客户下达指示赎回任何单位,并且由于该指示,基金份额在该指示执行后将剩余0.0001个单位或更少(或公司不时决定的任何其他小数单位)(下称「剩余小数单位」),客户谨此授权公司代表客户赎回任何剩余小数单位,而该交易应被视为原始指示的一部分。对于客户因行使上述酌情权而延迟或未能传送或执行认购、购买、转换、转让、赎回、出售或以其他方式处理任何单位或投资组合的任何指示而可能蒙受或招致的任何损失、损害、费用或开支,本公司概不对客户负责。

 

3.3本公司获授权按照客户或其代表发出或声称发出的任何指示行事。本公司无义务认证、核实任何该等指示的完整性和准确性,或核实发出该等指示的任何人士的身份。

 

3.4本公司有权信赖并执行本公司善意认为属实的任何该等指示,而无须对客户因此而蒙受的任何损失负责。但是,公司有绝对酌情权拒绝按任何该等指示行事而无需任何理由,对于客户因延迟或未能传输或执行认购、购买、转换、转让、赎回、出售或以其他方式处理任何单位或投资组合的任何指示而可能遭受或发生的任何损失、损害、费用或支出,公司不对客户承担任何责任。

 

3.5客户透过特定途径发出指示的权利须始终受制于本公司的酌情权。公司可随时撤销客户无须事先通知而透过特定途径发出指示的权利。公司应在收到客户或任何授权人发出的任何指示后,且在客户向公司支付的购买价格、认购款项或费用后,向相关基金管理人、基金或产品发行人执行该等指示。

 

3.6公司将尽快执行任何指示,但该等指示的执行可能与基金相关发售文件中规定的时间不一致。客户确认,公司可每日或不时地将客户向公司下达的订单与公司其他客户下达的订单合并计算,以便公司向相关基金经理、基金或产品发行人下达该等订单以供执行。

 

3.7受限于账户的持续运作,如果本公司在其不时全权决定的相关基金的交易截止时间前收到有效及完整的指示(连同所有款项、所需的数据及文件),一般将于本公司收到该等指示之日处理该等指示。若在本次交易截止后或香港出现8号(或以上)台风信号或黑色暴雨警告信号当日收到指令(及资金),通常按基金发售文件的约定(或基金管理人、基金或产品发行人等另行确定)于基金的下一交易日执行。客户必须指明选择哪一只基金或投资组合(如适用),以便处理投资指令。如果公司合理地认为有理由延迟或拒绝处理或接受任何指示,公司保留延迟或拒绝处理或接受任何指示的权利。

 

3.8基金的实际买入价(“实际买入价”)和卖出价应在交易生效和结算时确定,本公司或其代表在指示时可能向客户报价或提供的任何数值(“报价”)仅供参考,对本公司不具有约束力。

 

3.9 公司无权代表任何基金管理人、基金或产品发行人接受认购、转换或赎回任何单位的指示(或申请)。公司收到该等指示、必要的付款及任何其他文件并不构成相关基金管理人、基金或产品发行人接受该等指示。

 

3.10 客户确认,任何从本公司收到指令的基金经理、基金或产品发行人均无义务接受该指令的部分或全部。本公司不对基金管理人、基金及产品发行人拒绝或者拖延接受指令而给客户造成的损失(包括投资机会损失)承担保证责任。

 

3.11 客户确认:(a)客户就每笔购买或认购单位或投资组合的指令应向本公司(或本公司指定的其他人士)支付的购买价款、认购款项或费用及本公司收取之费用如平台使用费等,应从客户指定的账户(或本公司不时另行指示的账户)中扣除;及(b)本公司就每笔出售、赎回或以其他方式处置单位的指令(无论该等单位是否为投资组合的一部分)而收到的赎回款项,在任何情况下均应按照有关基金募集文件(或基金管理人、基金或产品发行人不时另行决定)规定的交收期,支付或存入客户指定并经本公司同意的账户;及(c)本公司收取之费用如平台使用费等应从客户指定的账户(或本公司不时另行指示的账户)中扣除。

 

3.12 如果客户在任何时间选择(或本公司不时另行指示)支付本附件第3.11a)及(c)条项下的所需款项的账户余额不足(例如,客户已指定证券账户进行该等付款),客户不可撤销地指示并授权本公司在不事先通知客户的情况下,抵销或转账客户其他账户(例如基金账户)的结余金额,以清偿本附件第3.11a)及(c)条项下的任何款项。

 

3.13 客户进一步同意,对于单位或投资组合的购买或认购,如果账户中指定支付的资金不足,或者在公司规定的时间内未收到已清算资金(不含任何扣除或预扣款项),公司保留拒绝或延迟处理任何订单的权利。

 

3.14 本公司获授权根据适用规例采取其认为适当的步骤,向客户提供基金销售服务,包括无须就基金份额代扣及/或缴付任何应缴付的税款或税项,以及根据适用规例的规定向客户(包括你的授权人士及受益人)、客户持有的任何基金份额或投资组合或与该等基金份额或投资组合相关的任何交易,或向本公司的任何关联公司、本公司的任何第三方服务提供商或代理人、基金经理、基金或产品发行人(或其代表)作出要求披露的披露。

 

3.15 客户同意(并应促使任何被授权人)以公司不时规定的方式并采取公司不时规定的步骤和时间向公司提供信息、数据和文件,以使公司或其任何关联公司就任何资金执行指示、开展基金销售服务和/或遵守任何档的任何条款,适用法规和适用市场惯例。

 

4. 投资的权属和登记

 

4.1 如果客户认购基金单位(包括构成投资组合一部分的基金的任何单位),该等单位将以公司的名义或以公司的名义与客户的名义共同登记,或仅以客户的名义登记(视具体情况而定)。本公司将不会是阁下在基金的任何投资的受益人。

 

4.2 不会向客户签发单位证书。客户将被发送一份其认购/获得(或处置)任何单位的确认。

 

5. 报告和投票

 

5.1 受限于适用法规的规定,本公司及托管人均无责任或义务为客户行使认购或取得、接收或持有的任何单位的投票权或其他选择权,除非客户或任何获授权人士以本公司不时规定的形式及时间作出书面指示,且本公司及客户间达成协议的条款、条件、赔偿、费用及收费。

 

5.2 在无该等指示和协议的情况下,公司和托管人有权但无义务行使任何基金的表决权或其他选择权(如有)。在此情况下,客户同意,除非适用法规另有规定,否则本公司和托管人可以免除通知和交付给客户的任何委托书或其他文件的任何责任和义务。

 

6. 终止

 

6.1 在与公司的账户终止或基金销售服务终止时,客户或任何获授权人士将被视为已向公司发出指示,且根据其酌情权:

 

(a) 促使托管人为客户账户持有的任何单位在基金账户终止生效日被赎回或以其他方式处理,或者如果该日不是客户账户的交易日或在该等基金的发售档中规定的最晚交易时间之后,则在下一个交易日(“生效日”)赎回或交易收益(在结清欠公司或其任何关联方的任何未偿还债务、成本和费用后)的任何单位汇给客户和/或结清客户、公司或任何托管人发生的任何负债;

 

(b) 促使托管人为客户账户当时持有的任何单位于生效日直接划拨至客户名下(如适用);及

 

(c) 取消任何未执行的交易。

 

7. 保留收益

 

7.1 根据本附件第3.9a)条的规定,客户授权本公司保留超出垫付款项的任何赎回收益,作为处理和安排执行货币市场基金赎回或转出任何单位的指示的手续费。


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.





美股交易费用更新

应美国金融业监管局要求,由8月1日起美国股票 (不包括 OTC Market)的交易活动费(仅卖出订单收取)已修改为每笔订单最高6.49美元。

如有任何疑问,请致电+852 2655 0338或电邮至cshk@eddidsec.comcs@eddidsec.com 与我们联络。谢谢。