Disclosure of Transaction Related Information
交易相关资料披露 Disclosure of Transaction Related Information
披露交易相关资料适用于当艾德证券期货有限公司(「艾德证券期货」)分销以下的投资产品予 客户及或替客户买卖以下的投资产品时。The disclosure of transaction related information is applicable when Eddid Securities and Futures Limited (“ESFL”) distributes the following investment products to clients and/or buy/sell the following investment products on behalf of clients.
1. 身份 Capacity
A. 交易所买卖产品 Exchange Traded Products
艾德证券期货将作为客户代理人执行其交易指示以买卖交易所买卖产品。ESFL shall be acting as an agent of customers for executing orders in exchange traded products.
B. 债务证券及其配售 Debt Securities and Debt Securities Placement
艾德证券期货将以客户代理人身份与客户进行场外债务证券买卖及其配售。ESFL shall be acting as an agent when dealing in over-the-counter debt securities and entering into debt securities placing transactions with customers.
C. 杠杆式外汇交易 Leveraged Foreign Exchange
艾德证券期货将以主事人身份与客户进行场杠杆式外汇交易。ESFL shall be acting as a principal when entering into over-the-counter leveraged foreign exchange contracts with customers.
D. 新股认购服务 Initial Public Offer (“IPO”)
艾德证券期货将作为客户代理人进行新股认购服务。ESFL shall be acting as an agent of customers who subscribe to IPOs.
E. 上市证券分包销交易 Listed Securities Sub-Underwriting Transactions
艾德证券期货将担任以背对背基准的主事人，与客户进行分包销交易。ESFL shall be acting as a back-to-back principal when entering into sub-underwriting transactions with customers.
F. 上市证券配售 Listed Securities Placement
艾德证券期货将作为客户代理人进行上市证券配售。ESFL shall be acting as an agent of customers when entering into listed securities placing transactions.
G. 非上市基金 Unlisted Unit Trusts
艾德证券期货将作为客户代理人进行非上市基金认购、转换或赎回服务。ESFL shall be acting as an agent of customers who subscribe to, switch or redeem units in unlisted unit trusts.
2. 联属关系 Affiliation
A. 基金产品 Funds products
艾德证券期货与产品发行人的聯系: 没有；Affiliation of ESFL to the product issuer: NO
B. 其他投资产品 Other investment products
艾德证券期货可分销由艾德证券期货或其他艾德控股集团成员为产品发行人所委任 的代理人。客户应参考订立交易时有关艾德证券期货与所购买投资产品的相关产品发 行人的联属关系（如有）的销售披露。ESFL may distribute investment products which are issued by product issuers with agent(s) appointed by the product issuer being ESFL or other Eddid Holdings group companies. Customers may refer to the disclosure at the point of sale for information about the affiliation between ESFL and the relevant product issuer for the investment products purchased (if any).
3. 独立性 Independence
每遇以下情况，艾德证券期货将并非独立中介：ESFL will not be an independent intermediary whenever:
A. 艾德证券期货及／或其他艾德控股集团成员公司将就相关艾德证券期货向其客户（i） 分销包括交易所买卖产品、非上市基金及债务证券或（ii）进行包括新股认购、配售 及分包销的交易而收取由其他人士提供的费用、佣金或任何其他金钱或非金钱收益； 及／或 ESFL and/or other Eddid Holdings group companies receive fees, commissions, or any other monetary or non-monetary benefits from any party in return for ESFL (i) distributing investment products (including exchange traded products, unlisted unit trusts and debt securities) to customers; or (ii) offering its customers to participate in transactions (including IPO, placement and sub-underwriting transactions); and/or
B. 由艾德证券期货分销如上文 3(A)(i)所述的产品是由艾德证券期货或其他艾德控股集 团成员公司发行；或艾德证券期货或其他艾德控股集团成员公司在如上文 3(A)(ii)所述 的交易中担任任何角色。Such investment products being distributed by the relevant ESFL as mentioned in 3(A)(i) above are issued by ESFL or other Eddid Holdings group companies; OR ESFL or other Eddid Holdings group companies have any role in such transactions mentioned in 3(A)(ii) above.
否则，除上述 3(A)及 3(B)所列情况从而可能损害相关艾德证券期货的独立性，(使其偏向 任何特定投资产品（或其类别）、任何交易、任何执行平台或任何产品发行人)，艾德证券 期货将是独立中介。Otherwise than in the circumstances set out in 3(A) and 3(B) above (which are likely to impair the independence of ESFL to favour any particular investment product (or class thereof), any transaction, any execution venue or any product issuer), ESFL will be an independent intermediary.
4. 复杂产品 Complex Products
投资者应对复杂产品保持审慎。请注意如该复杂产品获证券及期货事务监察委员会（「证 监会」）认可，亦不表示得到证监会的正式推介或证明，也并非产品商业优点或表现的保 证。产品的过去表现（如有）并不是未来表现的指标。除非阁下完全明白并愿意承担产品 所涉风险，包括（在一些情况下）阁下的损失可能超出已投资金额的风险，否则切勿投资。 Investors should exercise caution in relation to complex products. Note that if a complex product is authorized by the Securities and Futures Commission (“SFC”) this does not imply an official recommendation or endorsement by the SFC nor does it guarantee the commercial merits of the product or its performance. Past performance, if any, of a product is not indicative of future performance. Do not invest in a complex product unless you fully understand and are willing to assume the risks associated with it, including (in some cases) the risk that you may lose more than the invested amount.
如欲进一步了解某产品的特点及所涉风险，请参考发行人为该产品提供的发行文件或信息 （如有）。但请注意证监会不会审议未获认可的产品之相关文件，建议阁下应对该投资保 持审慎。此外，阁下亦可细阅艾德证券期货的业务条款及细则内之风险披露声明，以更进 一步了解产品的所涉风险。To learn more about a particular product’s features and associated risks, please refer to the offering documents or other information provided by the issuer (if any) for that product; however, please note that the SFC does not review materials of products it has not authorized and you are advised to exercise caution in relation to any offer. You can also learn more about associated risks by reading the Risk Disclosure Statement in ESFL’s Terms and Conditions.
以下列表并非详尽无遗，旨在举例说明被艾德证券期货分类为"复杂"的投资产品：Set out below is a non-exhaustive list of examples of investment products ESFL has classified as “complex”:
A. 具有一项或多项以下特点组成的债务证券（包括（但不限于）属永久证券或次级证券、 具有浮息（如可上调或下调利率）或延迟派付利息条款、可延迟到期日、或属可转换 或可交换性质或具有或然撇减或损失吸收特征，或具备非单一信贷支持提供者及结构 的债务证券）；Debt Securities with one or more special features (including, but not limited to, perpetual or subordinated bonds, or those with variable (e.g. step-up or step-down) or deferred interest payment terms, extendable maturity dates, or those which are convertible or exchangeable or have contingent write down or loss absorption features, or those with multiple credit support providers and structures);
B. 外汇孖展；Leveraged Foreign Exchange;
C. 合成 ETFs 和杠杆及反向 ETFs；Synthetic ETFs & Leveraged and Inverse ETFs;
D. 认股证和牛熊证；及 Warrants & Callable Bull/Bear Contracts; and
E. 期货和期权。Futures & Options.
5. 披露金钱及非金钱收益 Disclosure of monetary and non-monetary benefits
A. 非上市基金 Unlisted Unit Trusts
艾德证券期货从产品发行人或其代理收取佣金，每次认购时是最高至投资金额的 5%, 每年是最高至有关基金产品的资产价值的 0.6%。有关的佣金数额可能不时变动，须视 乎交易的性质及大小，市场需求及市况而定。ESFL receives commission from the product issuer or its agent up to 5% of investment amount upon each subscription and up to 0.6% of asset value annually for the relevant funds products. The amount of such commission may vary from time to time depending on the nature and size of transaction, market demand and condition.
B. 其他投资产品 Other investment products 当艾德证券期货与客户进行配售或进行分包销或债券交易，艾德证券期货或其代理可 能从产品发行人或任何代理收取费用或佣金或产生其他交易利润。ESFL or its agent may receive a fee or commission from the product issuer or any agent or otherwise make a trading profit when entering into placement or sub-underwriting or bonds transactions with the clients.
艾德证券期货可能在有关为客户进行交易中从产品发行人或其代理人收取利益，而利益是 不可量化的，包括但不限于证券优惠售价，现金回扣或非金钱形式的货物及服务。ESFL may receive benefits in connection with transactions effected for clients from product issuers or their agents which are not quantifiable at the point of sale, including selling concession, cash rebates or goods and services in the form of soft dollars.
6. 客户可获得收费及费用折扣的条款及细则 Terms and Conditions under which Customers may Receive a Discount of Fees and Charges
在某些情况下，艾德证券期货可能以其酌情权在个别个案基准下考虑给予客户收费及费用 上的折扣；而在决定是否适合给予客户折扣前，艾德证券期货将会考虑很多因素，包括但 不限于交易规模、市况及成本等。In certain circumstances, ESFL may in its discretion consider to give the clients a discount on the fees and charges payable by the clients on a case-by-case basis. In determining whether it is appropriate to give a discount to any client, ESFL will consider a number of factors, including but not limited to transaction size, market condition and costs.
艾德证券期货为香港证监会认可的持牌法团（中央编号： BHT550），持有第1/2/3/4/5/9类受规管活动牌照，亦是香港交易所参与者（OTP-C 经纪代号：0974及0977）。