Hantec Markets (V) Company Limited

Hantec Markets (V) Company Limited Address: 1276, Kumul Highway, Port Vila, Vanuatu, Republic of Vanuatu

Website: www.hantecvanuatu.com

Phone: +852-2214 4183

Hantec Markets Ltd is a company registered in Vanuatu. It holds Vanuatu Financial Services License Number: 40318

Preparation date: 23 Dec 2020

Version: 1.1



Definitions

Whenever used in this Agreement, unless inconsistent with the subject matter or context, the following words shall have the following meanings:

“Acceptance” has the meaning given in clause 6.2.4 of this Agreement;

“Agreement” means these general terms and conditions, together with all schedules, attachments or other documents attached or referred to herein including the PIS;

“Authorized User” has the meaning given in clause 6.1 of this Agreement;

“Client” means the Client named in this Agreement and/or associated documents, together with its subsidiaries, affiliates, successors and/or assigns, as well as its officers, directors, employees and agents;

“Client Account” means the Client’s trading and dealing account maintained on the Online Platform which records key information (including available trading balance), operates under the terms of this Agreement and allows the Client and the nominated Authorized Users to enter into transactions with HML;

“Client Monies” means all money received by or on behalf of HML from the Client (including Margin Deposit) and all money that is or may become payable to the Client and that is held by or on behalf of HML;

“Contract” means a transaction in which the Client and HML enter into a derivative contract based on the value of an underlying asset or assets (such as a currency or currency pair, a commodity, or an index). Any Contract entered into between HML and the Client is subject to the terms of this Agreement.

“Credit Limit” means the limit on the total amount of credit that HML will provide to the Client;

“Day" means a day on which commercial banks are open for business (including dealings in foreign exchange) in the place specified by HML for that purpose;

“Designated Bank Account” means any bank account operated by or on behalf of HML in any jurisdiction:

• into which Client Monies are or may be paid; or

• where Client Monies are or may be held.

“Force Majeure Event” means events or causes including, but not limited to, the following: an act of God, peril of the sea, unavoidable accident of navigation, war (whether declared or not), sabotage, riot, insurrection, civil commotion, national emergency (whether in fact or law), martial law, fire, flood, cyclone, earthquake, landslide, explosion, power or water shortage, failure of a transmission or communication network, epidemic, quarantine, strike or other labour difficulty or expropriation, restriction, prohibition, law, regulation, decree or other legally enforceable order of a government agency, breakage or accident, change of International, State or Commonwealth law or regulation or any damage of HML's machinery or systems, unless occurring as a result of an act, omission, default or negligence of the Client or HML;

“General Financial Product Advice” or “General Advice” is as defined by HML as varied from time to time;

“HML” means Hantec Markets (V) Company Limited, its subsidiaries, holding companies, successors and/or assigns, as well as its officers, directors, employees and agents;

“HML Website” means the HML website located at www.hantecvanuatu.com.

“Instructions” has the meaning given in clause 6.2.2 of this Agreement;

“Intellectual Property” means the trade marks, designs, patents and copyrights of the parties to this Agreement;

“Internet” means the interconnected system of networks that connects computers around the world, and includes any online trading platform provided by HML;

“Law” means the statutes, regulations and general law of Vanuatu and other jurisdictions as varied or replaced from time to time;

“Margin Call” means an amount that HML may at its sole discretion require the Client to pay, in addition to the Margin Deposit, solely determined by HML;

“Margin Deposit” has the meaning stated in clause 6.8.1 of this Agreement;

“Notice” has the meaning stated in clause 11 of this Agreement;

“Online Platform” has the meaning stated in clause 7.1 of this Agreement;

“Open Position” is where a client has entered into a transaction with HML, and a further transaction is required in order to close the position;

“Personal Financial Product Advice” or “Personal Advice” is as defined in the Corporations Act 2001 (Cth) as varied from time to time;

“Personal information” means information or an opinion about an identified individual, or an individual who is reasonably identifiable:
(a) whether the information or opinion is true or not; and
(b) whether the information or opinion is recorded in a material form or not.;

“Product Information Statement” or “PIS” means the document described as such that is provided by or on behalf of HML from time-to-time (and any varied, supplemented or replaced document from time-to-time);

“Quoting Error” has the meaning stated in clause 6.14.1 of this Agreement;

“Registered Office” means the registered office of HML as notified to the Vanuatu Financial Services Commission;

“Senior Officer” means a director or senior manager of HML;

“Trade Contract Terms” has the meaning stated in clause 6.2.3 of this Agreement;

“Value Date” means either the Day selected by the Client and agreed by HML for the settlement of a Contract or if there is no such Day, then the second Day after the execution of a Contract by the Client.

1. This Agreement

1.1 This is a Master Agreement and sets out the terms and conditions upon which any future contracts between the Client and HML, relating to the provision of General Advice to the Client and/or the execution of Contracts relating to foreign exchange, commodities, indexes.

1.2 This Agreement includes the Hantec Markets (V) Company Limited Account Opening Application, and Product Information Statement (if provided) and HML Supplemental Customer Agreement (if provided) that may have been exchanged and/or executed between the Parties. However, in the event of any inconsistency between this Agreement and other contracts or documents, exchanged and/or executed between the Client and HML, the PIS shall prevail to the extent of the inconsistency, and with respect to any further inconsistency, this Agreement shall prevail.

1.3 In the event of any inconsistency between the English language version of each of the documents described in clause 1.2 above and their translated equivalent in any other language, the English language version shall prevail, to the extent of any inconsistency.

2. Our services and risks

2.1 HML provides General Financial Product Advice and execution-only foreign currency, commodities, and index derivatives trading services. If HML provides General Financial Product Advice to the Client then the Client acknowledges that the advice is general only and does not consider the personal objectives, circumstances or needs of the Client. The Client must consider its own objectives, circumstances or needs, as well as the relevant PIS, before making a decision to use HML’s services. General Financial Product Advice is provided without charge.

2.2 Under no circumstances will HML provide Personal Financial Product Advice to the Client.

2.3 If the client does not fully understand the risks associated with HML’s services, then they should not use HML’s services.

3. Client representations and warranties

3.1 The Client warrants that in the case of an individual or more than one individual, they are of full age and capacity and in the case of a firm or corporation, it is duly constituted and incorporated and possesses the requisite power to enter into this Agreement and all contracts made or to be made, and in any case, this Agreement and such contracts are and will constitute legally binding and enforceable obligations of the Client.

3.2 If the Client enters into this Agreement in its capacity as trustee of a trust, the Client makes the following representations and undertakings:
a) the relevant trust instrument is valid and complies with all applicable Laws;
b) the Client is properly appointed as trustee of the trust;
c) the Client has a right of indemnity from the trust assets in respect of this Agreement and the transactions contemplated by it;
d) the Client will comply with its duties as trustee of the trust;
e) the Client will not do anything which may result in the loss of its right of indemnity from the trust assets;
f) if the Client is replaced or joined as trustee, the Client will make sure the new trustee becomes bound to HML's satisfaction by this Agreement and any other Agreement relating to a transaction contemplated by this Agreement to which the Client is expressed to be a party, or by a document which is identical in effect;
g) the Client will not resettle, set aside or distribute any of the assets of the trust without HML’s written consent unless compelled to do so by the trust instrument; and
h) the Client will not amend or vary the trust instrument without HML’s written consent.
i) if the Client is not the sole trustee of the trust it is a requirement that each and every trustee agrees in writing to be bound by the terms of this Agreement and by any transactions entered into in connection with this Agreement.

3.3 The Client represents and warrants to HML that:
a) Execution and delivery by the Client of this Agreement, and performance of all of the Client’s obligations contemplated under this Agreement, does not violate any Law applicable to the Client;
b) All information provided by the Client to HML is true, correct and complete, and the Client will notify HML promptly of any changes to such information;
c) All information provided by the Client to HML is true in all material respects as at the date of this Agreement or, if later, when the information is provided. Neither that information nor the Client's conduct or the conduct of anyone acting on its behalf in relation to the transactions contemplated by this Agreement, was or is misleading, by omission or otherwise.
d) The Client shall make ongoing disclosure to HML of any matters that may affect the operation of this Agreement or of the ability of the Client to pay Margin Calls or to remain solvent.
e) The Client is not restricted by any applicable Laws from using HML’s Online Platforms.
f) The funds used by the Client are funds that the client is entitled to use, and are not derived from illegal sources.
g) The information on the Online Platforms will not be used for unlawful or unauthorized purposes.

3.4 The Client acknowledges that HML will enter into the transactions contemplated by this Agreement in reliance on the representations and warranties made by the Client.

3.5 If the Client is comprised of two or more legal persons then a reference to a right or obligation of the Client under this Agreement or under a transaction contemplated by this Agreement confers that right or imposes that obligation, as the case may be, jointly and severally on those persons.

4. Confidentiality

4.1 Privacy Statement

Personal Information collected by HML is treated as confidential and is protected by the Privacy Act (Cth) 1988. HML will only collect Personal Information which is necessary to perform the services contemplated by this Agreement.

4.2 Confidentiality of Information

4.2.1 HML will use reasonable precautions to maintain the confidentiality of information HML receives from the Client and material and/or data the Client provides, creates, inputs or develops in connection with the Client’s use of the HML Services. Nonetheless, because such information, material and/or data may be provided through the Internet or by facsimile transmission, the Client hereby acknowledges and agrees that HML cannot assure that such information, material and/or data will continue to be confidential.

4.2.2 The Client accepts the risk of a third party receiving confidential information concerning the Client and specifically releases and indemnifies HML from any claim arising out of a third party intercepting, accessing, monitoring or receiving any communication from a Client intended to be provided to HML or from HML intended to be provided to the Client.

4.2.3 The Client acknowledges and agrees that HML may disclose the Client’s name and other personal and financial information about the Client, and any relevant details of an Authorised User, to its employees, representatives, officers, agents, and affiliates, as well as to a governmental entity or self -regulatory authority, an Internet service provider or any other third party agent or service provider for any purpose related to offering, providing, administering or maintaining the HML Services, or to comply with applicable Laws.

4.2.4 HML will treat the Client's personal information in accordance with its privacy policy, which the Client may obtain by contacting HML or on the HML Website.

4.2.5 The information provided on HML’s Online Platforms is to be used for the purpose of the Client trading with HML only, and not for any other purposes. Using HML’s Online Platforms does not transfer intellectual property rights to the Clients.

4.3 Money Laundering

4.3.1 In appropriate cases all communications and information concerning the Client held by HML, may be disclosed to and reviewed by law enforcement agencies and regulatory authorities. In addition, the Client agrees to comply with all applicable money laundering and counter terrorism financing Laws, including, but not limited to, the requirement to obtain or provide satisfactory evidence of the identity of any person whom the Client may represent in any transaction entered into with HML.

5. General

5.1 Indemnity and Survival

5.1.1 The Client shall indemnify and hold HML harmless from any and all liabilities, claims, costs, expenses and damages of any nature, including, but not limited to, reasonable legal fees and any fees and expenses incurred in connection with litigation, arising out of or relating to the Client or an Authorized User’s negligence, mistake or willful misconduct, the violation of any Law by the Client, or the breach by the Client of any provision of this Agreement.

5.1.2 The Client also agrees to promptly pay HML for all damages, costs and expenses, including reasonable legal fees and expenses, incurred by HML in the enforcement of any of the provisions of this Agreement. The Client's obligations under this clause shall survive the termination of this Agreement.

5.2 Compliance with Law

5.2.1 This Agreement shall be governed by and construed in accordance with Vanuatu Law. The parties agree to irrevocably submit to the exclusive jurisdiction of the Vanuatu Courts.

5.3 Intellectual Property

5.3.1 At no time shall either party enter into commitments for or in the name of the other party or use their Intellectual Property for any purpose whatsoever. Except as specifically provided for in this Agreement, neither party will: (a) use the other party’s name or Intellectual Property without the prior written approval of the other party; or (b) represent itself as being affiliated with, or authorized to act for, the other party.

5.4 Assignment

5.4.1 Any rights or obligations that the Client may have pursuant to this Agreement shall not be assigned, transferred, sold, or otherwise conveyed, except with the prior written consent of HML. HML may, however, acting reasonably, transfer, assign, subcontract or outsource any rights or obligations it may have pursuant to this Agreement to one or more parties from time-to-time without the consent of the Client. The Client will execute any documents (including a deed of notation) reasonably required by HML to effect such a transfer, assignment subcontract or outsourcing. If the Client does not agree to HML assigning its rights, the Client may terminate this agreement. However, termination in this case does not affect any obligations owed by the Client, or rights of HML with regard to any open Contracts held by the client.

5.5 Amending this Agreement

5.5.1 The terms of this Agreement and any transactions under it, may be amended by HML at any time. HML will provide Notice to the Client of any such amendment. The Client agrees to be bound by the terms of such an amendment on the earlier of: (a) ten Days after HML has posted Notice of the amendment on the HML Website; or (b) on the date of the Client entering any trade contract after the amendment. Any other amendments must be agreed to in writing between HML and the Client. If the client does not consent to the amendment the client can terminate the Agreement and the amendment will not apply retrospectively. Termination in this case does not affect any obligations owed by the Client, or rights of HML with regard to any open Contracts held by the client.

5.5.2 Clause 5.5.1 does not apply to an existing Contract, if the Client would be disadvantaged by the amendment.

6. Operation of client account

6.1 List of Authorized Users

6.1.1 The Client shall provide HML with a list of people authorized to access HML’s services and/or enter into Contracts on the Client’s behalf (each an “Authorized User”) using the Client Account. The Client shall immediately notify HML when any new person becomes an Authorized User or when any existing Authorized User is no longer entitled to be an Authorized User. Upon receiving Notice, the change in Authorized User is effective immediately. However, the notice shall not affect any Contracts already executed.

6.1.2 The Client hereby indemnifies and agrees to hold HML harmless in respect of any loss incurred by an Authorized User entering into any Contract or other transaction contemplated under this Agreement. Any appointment of an Authorized User made pursuant to the clause 6.1.1 shall remain in full force and effect as an appointment in writing required by the Agreement unless and until Notice of cancellation of appointment and/or replacement has been delivered to HML’s registered office.

6.1.3 Until the Client has provided a Notice to HML to the contrary, HML may continue to assume that all existing Authorized Users have authority to execute legally binding transactions with HML. All Instructions given and accepted by an Authorized User will be deemed to be Instructions authorized by the Client and shall be binding upon the Client.

6.2 Formation of Each Contract

6.2.1 When the Client, or an Authorized User, contacts HML by either telephone, face-to-face or via the Internet, HML may, but is not obligated to, ask for or clarify the following information where applicable:
a) a) the Client’s account number;
b) further Client identification details;
c) the Contract type (eg. foreign exchange, currency pair, commodity, or index);
d) whether the Contract is to buy or sell;
e) the number of Contracts; and
f) For Contract orders, the order type, the order price and the order expiry date.

6.2.2 Collectively, though not exhaustively, the information referred to in clause 6.2.1 or any portion thereof constitutes the “Instructions”.

6.2.3 HML will immediately provide the client with, either verbally or via the Internet (including on the Client Account), prices at which the relevant Contract can be purchased or sold. These are the “Trade Contract Terms.”

6.2.4 If the Client, or an Authorized User, then indicates by either telephone, face-to-face or by clicking the relevant button on the Online Platform that they accept the Trade Contract Terms (“Acceptance”), then HML shall have a discretionary right to create a Contract. If HML exercises this right then a Contract is formed between the Client and HML. When a Contract is created the parties shall become bound by the content of the relevant Trade Contract Terms and this Agreement. If HML declines to exercise the right to create a Contract, HML shall not be obliged to give a reason, however, HML shall promptly notify the Client that HML has not created a Contract with the Client.

6.3 Method and Timing of Payment

6.3.1 The Client must not deposit cash into HML’s Designated Bank Account under any circumstances. HML has an absolute discretion as to whether the Client may pay by cheque.

6.3.2 Any sums that the Client owes to HML (including a Margin Deposit) must be paid into the Designated Bank Account using one of the following methods:
a) by online bank transfer;
b) by same day bank transfer;
c) by cheque (with HML’s prior written consent); or
d) by international TT transfer.

6.3.3 Any payment to HML in any currency will be at the prevailing market conversion rate at the time the Contract is entered into.

6.3.4 The Client must have sufficient cleared funds deposited in HML’s Designated Bank Account (including sufficient Margin Deposit) before HML will execute any Contracts. HML will indicate to the Client, where applicable, the sum required as the Margin Deposit for each Contract (where applicable).

6.3.5 HML may impose other fees and charges for using its services, by providing Notice to the Client. If the Client does not consent to the charges, it can terminate the Agreement and the charges will not apply to the contract between HML and the client prior to the notice being given by HML.

6.3.6 HML is not responsible for any fees or charges imposed by third party banks or other counterparties, which are incurred by the Client in connection with the use of HML’s services.

6.4 Credit Limits

6.4.1 The Client understands that:
a) HML may grant certain Clients a Credit Limit. A Credit Limit is a pre-agreed amount of Australian dollars or other agreed currency that can be offset against a negative mark to market value on an Open Position, or an amount applicable to unsettled trading losses to some or all Contracts (either individually or in aggregate or both);
b) If the negative mark to market of an Open Position is approaching or has exceeded the Client’s Credit Limit, HML reserves the right to Margin Call the Client an amount entirely at its discretion;
c) HML is not obliged to provide credit to the Client;
d) any Credit Limit set by HML may be reduced or withdrawn at any time by giving Notice to the Client.

6.4.2 The Client acknowledges that if HML acts on an Instruction which would result in a Credit Limit being exceeded:
a) HML is not obliged to advise the Client that the Credit Limit will be exceeded;
b) the Client will continue to be liable to HML for all amounts including those above the Credit Limit; and
c) HML is not obliged to act upon any subsequent Instruction where a Credit Limit might be exceeded.

6.5 Authorization Limits

6.5.1 The Client may inform HML of an authorization limit applicable to some or all Contracts either in general or for particular Authorized Users.

6.5.2 Any authorization limit provided by the Client to HML may be withdrawn by the Client at any time by giving Notice to HML.

6.5.3 HML may, at its own discretion, impose an authorization limit on the Client and/or one or more Authorized Users at any time, by providing Notice before the imposition of the limit.

6.6 Interest Charges on Open Position

6.6.1 In any Open Position held by the Client, HML shall from time to time add an amount to the Client’s Account for interest earned, or subtract from the Client’s account for interest incurred from the Value Date until the position is liquidated, in the following manner:
a) For buying of one currency against the sale of another currency and the currency bought has a higher interest rate than the currency sold, the amount of interest arising therefrom shall be added to the Client’s Account;
b) For selling of one currency against the purchase of another currency and the currency sold has a higher interest rate than the currency bought, interest arising therefrom shall be debited to the Client’s account.
c) For commodities contracts of indices, interest arising from buying or selling commodities or indices shall be added to, or subtracted from, the Client’s account.
d) In the case of a negative interest rate, interest arising therefrom shall be debited to the Client’s account.
e) In all cases, interest shall be at the annual rate to be determined by HML from time to time without Notice.

6.7 Advances and Interest Rate

6.7.1 The Client is required to settle each Contract on the Value Date or on such date as HML may require settlement. In the event of the Client not being able or willing to settle any Contract on the Value Date or on such date as HML shall require settlement, HML may (but without obligation to do so) make an advance to the Client by way of direct settlement of any Contract in whole or in part and the Client undertakes to repay the US dollar equivalent (at the exchange rate or rates as HML shall stipulate) upon demand with interest therein at the rate of 3% per annum above the prime lending rate in the United States for the time being in force, calculated on a daily basis from the date of such advance up to and including the date of repayment in full.

6.7.2 In addition to clause 6.8.1 above, interest at the said rate shall be chargeable on the following items:
a) any part of the Margin Deposit or additional Margin Deposit not paid or deposited in the form of cash; and.
b) any amount due to HML which remains outstanding.

6.7.3 Nothing in this clause 6.8 or other clauses shall be construed as binding HML to make any advance to the Client as aforesaid nor shall it prejudice any of the rights and remedies of HML against the Client or any other persons under this Agreement, the Contracts or otherwise conferred by law, equity or usage.

6.8 Margin Deposit

6.8.1 Before executing a Contract, HML may in its absolute discretion require a deposit of between 0.01% and 100% of the Contract’s value in respect of any anticipated or existing Open Positions which the Client has or will have with HML; (“the Margin Deposit”).

6.8.2 Payment must be made pursuant to clause 6.3 of this Agreement.

6.9 Forced Liquidation

6.9.1 The Client is required to maintain sufficient level of Margin Deposit (as recorded in the Client Account or as otherwise notified by HML). HML reserves its full rights to close out all Open Positions:
a) if at any time the Margin Deposit held by HML is approaching or is no longer sufficient to cover the negative mark to market value of any or all Open Positions that the Client has open with HML; or
b) if at any time the pre-agreed Credit Limit assigned to the client by HML is no longer sufficient to cover the negative mark to market value of any or all Open Positions that the Client has open with HML.

6.9.2 HML shall have the right, at its sole discretion, to determine the mark to market value from time to time.

6.9.3 In addition to other remedies available to HML, if the Client fails to pay an amount when due under this Agreement, HML has the right to terminate (by either buying or selling) any or all of the Client’s Open Positions.

6.10 Set Off Against Monies Owed

6.10.1 In addition to other remedies available to HML, if the Client fails to pay any amount when due under this Agreement, HML may set-off against such amount any amount payable by HML to the Client.

6.10.2 HML is entitled to set-off against any amounts due to it by the Client, any amounts received by HML from or on behalf of the Client including but not limited to moneys received as Margin Deposits or Margin Calls. HML may determine the application of any amounts which are to be set-off at its own discretion.

6.10.3 A Client must not set-off against any amounts the Client owes to HML, any amounts HML owes to the Client.

6.11 Delay

6.11.1 HML will use all reasonable efforts to process the Client’s Contract order on a timely basis. However, HML shall not, in the absence of or wilful misconduct, be liable for delays, damages, failures or errors in the completion of the Contract order.

6.12 Rates

6.12.1 Rate indications from HML are available by telephone, face to face, or via the Online Platform (the “Indication”). The Indication is not binding, and the Client agrees to accept the prices offered by HML when the Contract is executed

6.13 Quoting Error

6.13.1 HML will take reasonable steps to prevent quoting errors from occurring. Should a quoting error occur due to a typographical error or obvious mistake in a quote or indication (the “Quoting Error”), HML is not liable for any damages, claims, losses, liabilities or costs arising from the Quoting Error. HML reserves the right to make the necessary adjustments to correct the Quoting Error. Any dispute arising from a Quoting Error will be resolved on the basis of the fair market value, as determined by HML acting reasonably, of the relevant currency at the time such Quoting Error occurred.

6.14Face to Face

6.14.1 An Authorized User may request HML to accept Instructions, enter into Contracts and make financial dealings by physically visiting HML’s Registered Office. The Client acknowledges and agrees that upon the Acceptance by HML of the Authorized User’s Instructions, the Client shall be bound by those Instructions.

6.15 Telephone

6.15.1 An Authorized User may request HML to accept Instructions and enter into Contracts by telephone. HML may check the authority of the caller by asking the caller for information to confirm the caller’s identity. Upon such check confirming the identity of the caller, HML may assume that the caller has the full authority as previously advised by the Client.

6.15.2 The Client acknowledges and agrees, and will ensure that each Authorized User acknowledges and agrees, that HML may make a recording of any telephone conversation between any person and HML at any time. The recording remains the property of HML. The telephone recording can be used by HML to confirm the terms and conditions of any transaction where there is dispute with a Client as to the Trade Contract Terms of the transaction, and for training and monitoring purposes.

7. Online Transaction Platform

7.1 If the Client uses HML’s online transaction systems (the “Online Platforms”), the Client confirms and accepts the following:
a) The Client will be able to enter into Contracts at the rates and/or prices quoted on the Online Platform.
b) All transactions must be completed using the logins and passwords allocated to the Client by HML and valid entry of such a login and password will constitute an authorization by the Client to complete the Contract specified irrespective of whether the login and password are entered by an Authorized User.
c) The Client must ensure that the logins and passwords are kept secure and confidential. The Client must also ensure that each Authorized User to whom a login and password is provided, will keep them secure and confidential. The Client will advise HML immediately if the Client has any reason to believe that the login and passwords allocated to the Client have not been kept secure and confidential.
d) The Client must ensure that no unauthorized person is able to use the logins and passwords. As part of this obligation the Client must ensure that each Authorized User quits the Internet browser after using the Online Platform.
e) HML may at any time without Notice to the Client suspend, withdraw or deny access to the Online Platform for any reason including but not limited to security, quality of service, failure by the Client to pay an amount when due or breach by the Client of any provision of this Agreement.

8. Deduction of Intermediary/Receiving Bank Fees

8.1 In some circumstances a number of intermediaries may be involved in payment transaction and may deduct a charge. The receiving bank may also take a charge. These charges cannot always be calculated in advance, and the Client will be liable for these expenses.

8.2 HML will not be liable for losses that result from fees under clause 8.1 being levied. HML will use its best endeavors to ensure that all fees associated with a transaction are disclosed in the Trade Contract Terms. However, due to the complexity of the international foreign exchange markets this may not always be possible. If it is important that an exact amount of a particular currency arrives, please advise HML accordingly and HML may be able to pre-cover any undefined charges. The Client should ensure that they clearly discuss third party fees and charges when providing a HML representative with Instructions for a transaction.

9. Circumstances Beyond Our Control

9.1 If HML is unable to perform its obligations under this Agreement or a Contract because of factors beyond its control or because of a Force Majeure Event, HML will notify the Client as soon as is reasonably practicable and will use reasonable endeavors to secure the return of any money paid by the Client in respect of which HML has been unable to discharge its obligations under this Agreement.

9.2 Market Disturbance

9.2.1 HML may give a notice (“a Disturbance Notice”) to the Client at any time if it forms the view that market conditions in the relevant market for the underlying asset are seriously disturbed.

9.2.2 This includes circumstances where, in HML's opinion, the underlying asset is not available (for example, deposits in the currency concerned are not available) in the ordinary course of business to HML in the relevant market or because of national or international financial, political or economic circumstances, or because of exchange controls.

9.2.3 When a Disturbance Notice is given, HML's obligations will be suspended while it and the Client negotiate alternative arrangements. If both parties reach agreement before the Value Date, those alternative arrangements will apply. If they do not reach agreement within that period, each will be released from its obligations under the relevant transaction.

10. Client Money

10.1 The Client agrees that:
a) all Client Monies deposited in the Designated Bank Accounts, or that are otherwise held by or on behalf of HML, are held on HML’s own account and not on account of the Client;
b) neither HML nor any other person is holding Client Monies in the Designated Bank Account as a trustee of the Client or in any fiduciary capacity with respect to the Client;
c) as between HML and the Client, the Client is a creditor of HML with respect to any Client Monies held by or on behalf of HML; and
d) HML may aggregate Client Monies in a Designated Bank Account with money paid into the Designated Bank Account by other clients.

10.2 Without limiting clause 10.1, the Client agrees and confirms that HML will retain any interest accrued from time to time on the Client Monies in a Designated Bank Account.

10.3 Without limiting clause 10.1, the Client authorizes, directs, and empowers HML to withdraw, apply or otherwise utilize the Monies:
a) in order to meet obligations (the “Obligations”) incurred by HML in connection with Contracts. Obligations may include an obligation to make payments to a Related Entity or a wholesale liquidity provider in connection with liabilities HML incurs when the Client and other clients place Contracts with HML. Liabilities in this sub-clause include but are not limited to minimum floating margin requirements imposed by a Related Entity or wholesale liquidity provider, or other hedging requirements;
b) in order to enforce other rights that HML has under this Agreement including in the PIS; and
c) for any other reason allowed by Law.

10.4 Without limiting clause 10.1, the Client agrees and confirms that:
a) When HML uses the Client Monies for a lawful purpose as set out in this clause 10 or for any other lawful purpose stipulated under this Agreement, the Client Monies continue to be held on HML’s account at all times,
b) If the Client has an open Contract, and HML is entitled to make a deduction for any reason as set out in this Agreement or the PIS, that deduction may occur immediately from the Client Monies. Conversely, if the Client has an open Contract and HML is required to apply a credit to the Client Trading Account for any reason as set out in this Agreement or the PIS, that credit will typically be recorded in the Client Account within 1 hour of the Client’s position being closed.

11. Notices

11.1 Any notice or other writing required or permitted to be given under this Agreement or for the purposes of this Agreement (”Notice”) shall be in writing and shall:
a) If to the Client, be sent by prepaid registered mail or delivered by hand to the address of the Client set out in this Agreement, or such other address the Client designates in writing, or by HML posting a Notice to the HML Website; and (i) if posted on the HML Website, Notice is deemed to have been given 3 Days after the Notice was posted on the HML Website; or (ii) if the Notice was sent to the address of the Client, the Notice is deemed to have been given on the Day after the Notice was sent, unless delivered by hand in which case the Notice is deemed to have been given on delivery.
b) If to HML, be sent by prepaid registered mail or delivered by hand to the address of HML set out in this Agreement, or such other address as HML designates in writing, and such Notice is deemed to have been given on the Day after the Notice was sent, unless delivered by hand in which case the Notice is deemed to have been given on delivery.

11.2 Any Notice given or made under this Agreement may also be sent by email if:
a) the Notice is sent to the email address last notified by the intended recipient to the sender; and
b) the sender keeps an electronic or printed copy of the Notice sent.

11.3 A Notice sent by email will be deemed to have been given on the first to occur of:
a) receipt by the sender of an email acknowledgement from the recipient’s information system showing that the Notice has been delivered to the email address stated above;
b) the time that the Notice enters an information system which is under the control of the recipient; or
c) the time that the Notice is first opened or read by an employee or officer of the recipient.

12. Termination

12.1 This Agreement may be terminated immediately by the Client or HML by Notice to the other in writing. However, termination by either party shall not affect any Contract or other transaction previously entered into and shall not relieve either party of any outstanding obligations arising out of this Agreement, nor shall it relieve the Client of any obligations arising out of any Contract entered into prior to such termination.

12.2 In the event that HML is made aware of or has reason to believe any of the following:
a) that the Client has provided false or misleading information to HML; or
b) that the Client has participated or is participating or has assisted or is assisting in money laundering or terrorist financing; or
c) that the Client is being officially investigated by law enforcement and/or regulatory agencies;

then HML, at its sole discretion, may terminate this Agreement immediately by Notice to the Client, and HML shall be relieved of any obligations set out in this Agreement or arising out of the transactions contemplated by this Agreement, including any obligations arising out of any Contract already entered into with HML.

13. Limitation of Liability

13.1 HML will use all reasonable endeavors to execute Contracts or make payments to the Client or to any third party specified by the Client, in accordance with the timing specified in the Client’s Instructions. However, HML shall not be liable under any circumstances for any direct, indirect or consequential loss (including any loss of profits) incurred as a result of a delay in funds reaching the Client’s nominated account.

13.2 No parties licensing the Online Platforms to HML are liable for the accuracy or completeness of the information or software provided, or for delays, interruptions or omissions, nor any lost profits, indirect, special or consequential damages to the Client. Nor are these parties responsible for the use of the Trading Platforms or related documentation which are not in compliance with the Law.

13.3 Nothing in this Agreement is intended to limit or exclude any liability HML may owe the Client under any statutory rights the Client may have.

14. Dispute Resolution

14.1 Except to the extent that this clause is inconsistent with the requirements of any legislative or regulatory regime, the dispute resolution process set out in this clause shall apply. The parties must use all their reasonable endeavors to resolve any dispute arising in connection with this Agreement or any transactions there under.

14.2 If the parties fail to resolve a dispute within 5 Days of one party giving Notice to the other of the dispute, either party may, by giving Notice to the other, refer the dispute to the parties' Senior Officers (where the Client is an individual no such referral is applicable) who, each party must ensure, must co-operate in good faith to resolve the dispute as amicably as possible within 10 days of the dispute being referred to them.

14. 3 If the Senior Officers (or individual and the HML Senior Officer) fail to resolve the dispute within 10 days of the dispute being referred to them, the parties must, at the written request of either party and within 10 days of receipt of the request, refer the dispute to mediation in accordance with, and subject to, the Institute of Arbitrators and Mediators Vanuatu Rules for the Mediation of Commercial Disputes. The costs of the mediator shall be met equally by the parties. If the dispute or difference is not settled within 30 days of the submission to mediation (unless such period is extended by Agreement of the parties), it shall be submitted to arbitration in accordance with, and subject to, the Institute of Arbitrators Vanuatu Rules for the Conduct of Commercial Arbitrations.

Hantec Markets (V) Company Limited

地址: 1276, Kumul Highway, Port Vila, Vanuatu, Republic of Vanuatu

網址:www.hantecvanuatu.com

電話: +852-2214 4183


金融服務牌照號碼: 40318

編製日期: 2020年12月23日

版本: 1.1


釋義

於本協議內不論在任何情況下,除與主體事項或文義有任何歧義,下列詞彙應具有以下涵義:

「接納」指具有本協議第6.2.4條所賦予的涵義。

「協議」指此類通用條款及條件,連同所有附表、附件,或本協議附帶或提述的其他文件;

「授權用戶」指具有本協議第6.1條所賦予的涵義。

「客戶賬戶」指客戶的HML賬戶,可根據本協議的條款操作 ,並批准客戶及指定授權用戶與HML進行交易;

「信貸限額」指HML將向客戶提供的信貸總額上限;

「客戶」指名列本協議或相關文件的客戶,連同其附屬公司 、聯繫公司、繼承人及/或承讓人,以及其行政人員、主管 、僱員及代理;

「合約」指一項客戶與HML所訂立的基於標的資產的價值(可以是貨幣,貨幣對,商品或指數)的金融衍生產品合約之交易。HML與客戶簽訂的任何合約都受本協議的條款的約束。

「營業日」指HML所指定地點的商業銀行營業(包括外匯交易)的日期,而該地點則由HML就有關目的而指定;

「不可抗力事件」指包括但不限於下列事件或因素:天災、海難、不可避免的航行事故、戰爭(無論是否已宣戰)、蓄意破壞、暴動、叛亂、民眾騷亂、全國緊急狀態(無論是事實上或法律上)、軍法統治、火災、水災、暴風、地震、山泥傾瀉、爆炸、缺電或缺水、傳遞或通訊網絡故障、傳染 病 、隔離、罷工或其他勞工糾紛或政府徵用、政府機構作出的限制、禁止、法例、規例、判令或其他法律強制命令、破損或意外、國際、州分或聯邦法例或規例的變動或HML的體制或系統的任何破壞(除非是由於客戶或HML的行為、遺漏、失責或疏忽而發生);

「一般理財產品建議」或「一般建議」指HML所述的涵義,該涵義有時會不時變化。

「HML」指Hantec Markets (V) Company Limited、其附屬公司、控股公司、繼承人及/或承讓人,以及其行政人員、主管、僱員及代理;

「HML網站」指網址為www.hantecvanuatu.com的HML網站;

「指示」指具有本協議第6.2.2條所賦予的涵義;

「知識產權」指本協議訂約方所擁有的商標、設計、專利及版權;

「互聯網」指連接世界各地電腦的網絡互連系統,並包括HML所提供的任何網上交易平台;

「法律」指瓦努阿圖的法規,條例和一般法律,法律不時變化。

「催繳保證金」指HML可按其絕對酌情要求客戶所支付為保證金之外的金額,數額完全由HML釐定;

「保證金」指具有本協議第6.8.1條所述的涵義;

「通知」指具有本協議第11條所述的涵義;

「網上平台」指具有本協議第7.1條所述的涵義;

「未平倉合約」指當客戶與HML已進行交易,但如要平倉則需要進行另一項交易;

「個人理財產品建議」或「個人建議」指HML所述的涵義,該涵義不時變化。

「個人資料」指經不時修訂的1993年隱私法(Privacy Act 1993)所界定的涵義;

「產品信息聲明」或「PIS」指HML所述的涵義,該涵義有時會有所不同。

「報價錯誤」指具有本協議第6.14.1條所述的涵義;

「註冊辦事處」指已知會瓦努阿圖金融服務委員會的HML註冊辦事處;

「高級職員」指HML和/或客戶公司所述的涵義的首席執行官,董事總經理或高級職員;

「交易合約條款」指具有本協議第6.2.3條所述的涵義。

「交割日期」指由客戶選定並經HML同意作為結算合約的營業日,或倘並無有關營業日,則為客戶訂立合約後的第二個

1. 本協議

1.1 本協議為主協議,並載列有關條款及條件。日後客戶與HML簽訂的任何合約關於提供一般建議及/或履行有關外匯,商品,指數的合約都是基於本協議的條款及條件。

1.2 本協議包含HML的開戶申請表、產品信息聲明 (如有提供) 及HML客戶補充協議 (如有提供),這些文件於訂約方之間可能已交換及/或已執行。然而,倘本協議與客戶和HML之間已交換及/或已執行的其他合約或文件有任何歧義,概以產品信息聲明為準,關於其他進一步的歧義,概以本協議為準。

1.3 本協議與上述1.2條所列出文件之其他語言翻譯版本與英文版本內容倘有歧義,概以英文版本為準。

2. 本公司的服務及風險

2.1 HML提供一般金融產品建議及只負責執行外匯、商品和指數,及衍生工具的交易服務。倘HML向客戶提供一般金融產品建議,則客戶應確認該建議僅作為一般用途,而並無考慮到客戶的個人目標、具體情況或需要。客戶在決定使用HML的服務前,必須考慮其本身目標、具體情況或需要,以及詳細閱讀有關的產品信息聲明。我們對一般金融產品建議不收取任何費用。

2.2 HML絕不會在任何情況下向客戶提供個人金融產品建議。

2.3 倘客戶並未充分理解與HML的服務相關的風險,則不應使用HML服務。

3. 客戶陳述及保證

3.1 客戶保證,倘作為個人或一位個別人士以上,則其應已屆成年及適當身份,而倘作為公司或法團,則其應適當組建及註冊成立,並擁有訂立本協議及所有已訂立或將訂立合約的必要權力,而於任何情況下,本協議及該等合約構成並將構成對客戶具有法律約束力及可強制執行的責任。

3.2 倘客戶根據其作為信託受託人的身份訂立本協議,則客戶應作出下列陳述及承諾:
a) 有關信託文據為有效並符合本協議第5.2條所界定的 所有適用法例;
b) 客戶獲正式委任為信託的受託人
c) 客戶有權就本協議及根據本協議擬進行交易自信託 資產獲得賠償;
d) 客戶將遵守其作為信託受託人的責任;
e) 客戶不會進行任何可能導致其自信託資產獲得賠償 的權力受損的事情;
f) 倘客戶的受託人身份被取代或有其他人加入成為受 託人,則在HML滿意的情況下,客戶將確保新受託 人受到本協議及與根據本協議擬進行交易相關的任 何其他協議(客戶表明為有關協議的訂約方)或受 到具有相等效力的文件約束。
g) 在未獲HML的書面同意前,客戶將不會重新結算、 撥出或分派任何信託資產,惟受到信託文據強制行 事者除外;及
h) 在未獲HML的書面同意前,客戶將不會修訂或修改 信託文據。
i) 倘客戶並非信託的唯一受託人,則各受託人必須以 書面方式同意受本協議的條款及就本協議訂立的任 何交易所約束。

3.3 客戶向HML陳述及保證:
a) 客戶簽署及交付本協議,並履行本協議所述的所有客戶責任,以及不得違反適用於客戶的任何國家的法例;
b) 客戶向HML提供的所有資料均屬真實、正確及完整,且有關資料倘有任何更改,客戶將立即通知HML;
c) 客戶向HML提供的所有資料於本協議日期或於稍後提供資料時,在各重大方面均屬真實。有關資料或客戶的行為或代表客戶根據本協議所擬進行交易之任何人的行為並無屬於因疏忽或其他原因而曾經或目前導致誤導。
d) 客戶應向HML持續披露影響本協議操作或客戶支付催繳保證金或維持償債能力的任何事項。
e) 客戶使用HML的網上平台不受任何適用的法律之限制。
f) 客戶所使用的資金必須是其合法擁有的,與及不是自非法來源獲得。
g) 網上平台的信息不會被用於非法或未經授權的目的。

3.4 客戶確認,HML將依據客戶作出的陳述及保證,訂立根據本協議所擬進行的交易。

3.5 倘客戶由兩個或以上的法人組成,則客戶根據本協議或根據本協議所擬進行交易而產生的權利或義務的職權範圍,將視乎情況而將有關權利或義務以共同或個別方式由該等人士享有或承擔。

4. 保密性

4.1 隱私聲明
HML所收集的個人資料將受到保密處理,並根據1993年隱私法而受到保障。HML只會收集為履行本協議所擬進行服務所需的個人資料。

4.2 資料的保密性

4.2.1 HML將採取合理預防措施,對HML從客戶收到的資料及客戶就使用HML服務而提供、產生、輸入或建立的材料及/或數據維持保密性。但由於有關資料、材料及/或數據可能通過互聯網或傳真傳送而提供,故客戶就此確認及同意HML不能確保有關資料、材料及/或數據將會繼續得到保密。

4.2.2 客戶承擔第三方收到有關客戶的保密資料而產生的風險,並明確免除及保障由於第三方截取、取用、監察或收到客戶有意向HML提供或HML有意向客戶提供的任何通訊而對HML產生的任何索償。

4.2.3 客戶確認及同意HML可能因有關提出、提供、管理或維持HML服務或遵守適用法例的任何目的,因而向其僱員、代表、行政人員、代理及聯繫公司,以及政府部門或自行監管機構、互聯網服務供應商或任何其他第三方代理或服務供應商披露客戶的名稱及有關客戶的其他個人及財務資料,以及授權用戶的任何有關詳細資料。

4.2.4 HML將根據其隱私政策處理客戶的個人資料,客戶 可聯絡HML或於HML網站取得有關隱私政策。

4.2.5 HML的網上平台所提供的信息僅用於HML與客戶交易的目的,而不是用於任何其他目的。使用HML的網上平台並未將知識產權轉移至客戶。

4.3 洗錢活動

4.3.1 在適當情況下,HML所持有關客戶的所有通訊及資料均可向執法機關及監管機構披露並受其檢查。此外,客戶同意遵守所有適用的防止洗錢及反恐融資法例,包括但不限於要求取得或提供充分證據,以了解可能由客戶所代表與HML訂立任何交易的任何人士身份。HML同時致力遵守《2009年反洗錢及打擊恐怖活動融資法》。

5. 一般事項

5.1 彌償及有效期

5.1.1 客戶應彌償及保障HML免受任何性質的任何及所有債務、索償、費用、開支及損害賠償,包括但不限於合理的法律費用及因訴訟而產生或因客戶或授權用戶的疏忽、錯誤或蓄意不當行為、客戶違反任何國家的法例、或客戶違反本協議任何規定而產生或與其相關的任何費用及開支。

5.1.2 客戶亦同意立即向HML支付就HML因執行本協議的任何規定而產生的所有損害賠償、費用及開支,包括合理的法律費用及開支。客戶於本條款的義務在本協議終結後繼續生效。

5.2 遵守法例

5.2.1 本協議將受瓦努阿圖法例規管並根據瓦努阿圖法例闡釋。訂約方同意不可撤回地服從瓦努阿圖法庭的專屬司法管轄權。

5.3 知識產權

5.3.1 各訂約方不得於任何時間以任何目的代表其他訂約方或以其他訂約方的名義作出承擔或使用其知識產權。除非本協議明確規定,否則各訂約方不得:(a)未經其他訂約方事先書面批准而使用該名其他訂約方的名義或知識產權;或 (b)自行聲稱與其他訂約方有聯繫或經該名其他訂約方授權行事。

5.4 轉讓

5.4.1 除非獲得HML的事先書面同意,否則客戶根據本協議享有或承擔的任何權利或義務不得轉讓、轉移、出售或以其他方式傳遞。然而,HML可無需客戶同意,而將其根據本協議享有或承擔的任何權利或義務轉移予另一訂約方。這樣的轉移,僅會在一個合理的人不預期HML的客戶會遭受損失的情況下進行。客戶將應HML的合理要求而簽署任何文件(包括約務更替契約)以使此項轉移生效。如果客戶不同意HML轉移它的權利,客戶可終止本協議。然而,在這種情況下終止本協議,並不改變因客戶在HML 持有的任何未結清的合約所應承擔的義務或HML應享有的權利。

5.5 對本協議的修改

5.5.1 本協議及根據本協議進行的任何交易的條款均可由HML不時修改。HML將就任何有關修改向客戶作出通知。客戶同意於下列日期之中的較早日期受到有關修改的條款所約束:(a)HML於HML網站已張貼修改通知後十日;或 (b)於修改後由客戶訂立任何交易合約的日期。任何其他修改必須經由HML及客戶的書面同意。如果客戶不同意修訂,客戶可以終止該協議,此改變將不具有追溯力。在這種情況下終止本協議,並不改變因客戶在HML持有的任何未結清的合約所應承擔的義務或HML應享有的權利。

5.5.2 如果此修改將對客戶產生不利影響,則第5.5.1不適用現有合約。

6. 操作客戶賬戶

6.1 授權用戶名單

6.1.1 客戶應向HML提供獲授權代表客戶使用HML的服務及/或訂立合約的人士(各自稱為「授權用戶」)的名單。當有任何人士新增成為授權用戶或任何現有授權用戶不再身為授權用戶時,客戶應立即通知HML。HML在收到通知後,授權用戶的變動將即時生效。然而,有關通知不得影響任何已簽署的合約。

6.1.2 客戶謹此彌償及同意保障HML免受因授權用戶訂立任何合約或根據本協議所擬進行的其他交易而產生的任何損失。根據第6.1.1條所作出對授權用戶的任何委任,將根據本協議的規定以書面委任後保持十足效力,直至取消委任及/或替任的通知送達HML的註冊辦事處為止。

6.1.3除非客戶向HML發出相反的通知,否則HML可繼續假設所有現有授權用戶均獲授權與HML訂立具有法律約束力的交易。授權用戶發出及接受的所有指示將被視為經客戶授權的指示,故對客戶具有約束力。

6.2 每份合約的建立

6.2.1 當客戶或授權用戶以電話、親身或通過互聯網聯絡HML時,則HML在適用情況下,可以但並無責任要求提供或說明下列資料:
a) 客戶的賬戶號碼;
b) 客戶的其他識別詳細資料;
c) 合約類型(例如外匯、貨幣對,商品或指數);
d) 合約的性質是購買抑或出售;
e) 合約數量;及
f) 如為合約訂單,則為訂單類型、訂單價格及訂單到期日。

6.2.2 雖未完全列出,但此項資料參考第6.2.1條或其任何部分共同構成「指示」。

6.2.3 HML將立即以口頭或通過互聯網向客戶提供可供買賣的有關合約的價格,有關安排即為「交易合約條款」。

6.2.4 倘客戶或授權用戶通過電話、親身或點擊網上平台的相關按鈕,從而表示接納交易合約條款(「接納」),則HML將擁有建立合約的酌情權利。倘HML行使該項權力,則客戶與HML之間即建立合約。當合約建立後,訂約方將受有關交易合約條款及本協 議的內容所約束。倘HML拒絕行使權利以建立合約,則HML並無責任提供理由,但HML將立即通知客戶,以表明HML與客戶並無建立合約。

6.3 付款方式及時間

6.3.1 在任何情況下,客戶均不得將現金存入HML的賬戶。就客戶是否可以支票付款,HML擁有絕對酌情權。

6.3.2 客戶結欠HML的任何數額必須以下列其中一種方式支付:
a) 以網上銀行轉帳;
b) 以當日銀行轉帳;
c) 以支票;或
d) 以國際電匯轉賬。

6.3.3 以任何貨幣向HML支付任何款項將按合約訂立時的主要市場兌換率計算。

6.3.4 HML在履行任何合約前,客戶必須於HML的指定賬戶存入足夠的已過賬資金。HML將向客戶指明每份合約所需的保證金數額(如適用)。

6.3.5 HML可透過通知客戶而就使用其服務收取其他費用及收費。如果客戶不同意該收費,可以終止本協議,而在接獲HML的收費通知前的交易合約將不會被收取該費用。

6.3.6 對於客戶因使用HML的服務而被第三方銀行或其他交易對手收取任何費用或收費,HML不會對此承擔責任。

6.4 信貸限額

6.4.1 客戶理解到:
a) HML可向若干客戶授出信貸限額。信貸限額為預先同意的美金或其他協定貨幣的金額,而該限額可與按市值計價的未平倉交易負數值抵銷,或適用於部分或所有合約(單獨或合計或兩者皆可)未結算交易虧損的金額;
b) 倘按市值計價的未平倉交易負數值接近或已經超過客戶的信貸限額,則HML保留權利,以便完全根據其酌情權,要求客戶支付催繳保證金。
c) HML並無責任向客戶提供信貸;
d) HML可於任何時間透過向客戶發出通知後,減少或撤回任何已訂立的信貸限額。

6.4.2 客戶確認,倘HML根據指示行事而將會導致超過信貸限額,則:
a) HML並無責任提示客戶,表示信貸限額將會超過;
b) 客戶將會繼續就所有金額而向HML承擔責任,包括超過信貸限額的金額;及
c) 倘出現可能超過信貸限額的情況時,則HML並無責任就任何其後的指示行事。

6.5 授權限制

6.5.1 客戶可告知HML適用於部分或所有合約的授權限制,而有關限制可適用於全體或特定授權用戶。

6.5.2 客戶向HML提供的任何授權限制均可由客戶向HML發出通知而隨時撤回。

6.5.3 HML可根據其酌情權,隨時對客戶及/或一名或多名授權用戶實施授權限制,惟於實施限制前須發出通知。

6.6 未平倉交易的利息開支

6.6.1 在客戶所持的任何未平倉交易中,HML將不時按下列方式,將客戶自交割日期至清算日期所賺取的利息計入客戶的賬戶,或將所產生的利息從客戶的賬戶扣除:
a) 有關買入一種貨幣及賣出另一種貨幣,而買入貨幣的利率高於賣出貨幣的利率,由此產生的利息將計入客戶的賬戶;
b) 有關賣出一種貨幣及買入另一種貨幣,而賣出貨幣的利率高於買入貨幣的利率,由此產生的利息將從客戶的賬戶扣除。
c) 有關商品指數合約,由買賣商品或指數產生的利息將計入客戶的賬戶或從客戶的賬戶扣除。
d) 倘出現負利率的情況,由此產生的利息將從客戶的賬戶扣除。
e) 在所有情況下,利息將根據HML不時釐定的年率計算,HML不會就此作出通知。

6.7 墊款及利率

6.7.1 客戶須於交割日期或HML可能要求結算的有關日期結算每份合約。倘客戶無法或願於交割日期或HML將要求結算的有關日期結算任何合約,則HML可以(但並無責任)通過結算任何合約的全部或部分金額的方式而向客戶提供墊款,而客戶承諾按要求償還等額的美元(按HML指定的一個或多個匯率計算),連同按高於當時生效的美國優惠貸款利率年息3%的利率計算的利息,自墊款日期開始直至全數償還日期(包括該日)按日計算。

6.7.2 除上述6.8.1條外,下列項目將收取按上述利率計算的利息:
a) 未以現金形式支付或存入的保證金或追加保證
b) 金的任何部分;及

6.7.3 結欠HML而尚未支付的任何金額。第6.8條或其它條例均不應闡釋為對HML根據上述條款向客戶提供墊款具有約束力,或影響HML根據本協議、合約,或根據法例、衡平法或慣例以其他方式賦予HML針對客戶或任何其他人士的任何權利及補救措施。

6.8 保證金

6.8.1 HML於簽署合約前,可按其絕對酌情權就客戶目前或將會於HML建立的任何預計或現有未平倉交易,要求相等於合約價值的0.01%至100%的保證金(「保證金」)。

6.8.2 款項必須根據本協議第6.3條支付。

6.9 強制平倉

6.9.1 客戶須保持足夠水平的保證金。HML保留對所有未平倉交易進行強制平倉的全部權力:
a) 倘於任何時間,HML所持保證金接近或不再足夠彌補客戶於HML所開立任何或全部按市值計價的未平倉交易負數值;或
b) 倘於任何時間,HML分配予客戶的預先協定信貸限額不足夠彌補客戶於HML所開立任何或全部按市值計價的未平倉交易負數值。

6.9.2 HML將有權按其唯一酌情權,不時釐定按市值計價 的價值。

6.9.3 除可供HML使用的其他補救措施外,倘客戶未能支 付根據本協議到期應付的金額,則HML有權(通過 購買或出售)終止客戶的任何或全部未平倉交易。

6.10 抵銷結欠款項

6.10.1 除可供HML使用的其他補救措施外,倘客戶未能支付根據本協議到期應付的任何金額,則HML可以將此金額抵銷HML應向客戶支付的任何金額。

6.10.2 HML有權以應獲客戶支付的任何金額,抵銷HML從客戶收取或代表客戶收取的任何金額,包括但不限於作為保證金或催繳保證金收取的款項。HML可按其酌情權決定任何將予抵銷金額的用途。

6.10.3 客戶不得將欠HML的任何金額與HML結欠客戶的任何金額相互抵銷。

6.11 延誤

6.11.1 雖然HML將以合理盡力的方式及時處理客戶的合約訂單,然而,在並無蓄意不當行為的情況下,則HML將無需對完成合約訂單的延誤、損害賠償、失效或錯誤承擔責任。

6.12 收費

6.12.1 HML可透過電話、親身或通過網上平台提供收費參考水平(「參考水平」)。參考水平並無約束力,而客戶簽署合約時即同意接受HML提出的價格。

6.14 報價錯誤

6.13.1 HML將採取合理的步驟防止出現報價錯誤。如因植字錯誤或在報價或參考水平中出現明顯錯誤而引起的報價錯誤(「報價錯誤」),HML無需因報價錯誤而產生的任何損害賠償、索償、損失、負債或費用承擔責任。HML保留權利為改正報價錯誤作出必要調整。因報價錯誤而產生的任何糾紛,將按公平市值的基礎解決,而該公平市值則由HML以合理行事的方式,根據該報價錯誤發生時的有關貨幣市值釐定。

6.15 親身

6.14.1 授權用戶可親自前往HML的註冊辦事處,要求HML接受指示、訂立合約及進行財務交易。客戶確認及同意當HML接納授權用戶的指示後,客戶即受該等指示約束。

6.15 電話

6.15.1 授權用戶可致電HML的註冊辦事處,要求HML接受指示、訂立合約及進行財務交易。HML可詢問致電者的身份資料作身份確認。在身份確認後,HML則假設致電者擁有先前建議的全部權限。

6.15.2 客戶確認及同意 為確保每位授權用戶確認及同意,HML會以錄音的方式紀錄任何客戶與HML的電話對話。電話錄音屬HML財產。HML可以使用電話錄音與客戶處理交易糾紛,確認就貿易合同條款有爭議的任何交易的條款和條件, 及用於培訓和監控目的。

7. 網上交易平台

7.1.客戶如使用HML的網上交易系統(「網上平台」),即表示客戶確認並接受下列各項:
a) 客戶將能夠按網上平台所報的匯率和/或價格進行交易。
b) 所有交易必須使用HML分配予客戶的登入名稱及密碼完成,而以上述登入名稱及密碼的有效進入,將構成客戶對完成所指定合約的授權,而不論該登入名稱及密碼是否由授權用戶輸入。
c) 客戶必須確保登入名稱及密碼獲得妥善保管及保密。客戶亦必須確保,每位獲悉登入名稱及密碼的授權用戶將其妥善保管及保密。若客戶有任何理由相信分配予客戶的登入名稱及密碼未獲妥善保管及保密,則應立即通知HML。
d) 客戶必須確保概無任何未經授權人士能夠使用登入名稱及密碼。作為此項義務的一部分,客戶必須確保每位授權用戶於使用網上平台後關閉互聯網瀏覽器。
e) HML可因任何理由隨時暫停、撤銷或拒絕接入網上平台,而無須向客戶發出通知,上述理由包括但不限於保安、服務質素、客戶並無支付到期應付的款項,或客戶違反本協議的任何規定。

8. 扣除中介機構/ 收款銀行的費用

8.1 在某些情況下,付款交易有可能涉及多個中介機構,因此可能會扣除費用。收款銀行亦有可能收取費用。此等費用未必一定可以提前計算,而客戶須負責支付該等費用。

8.2 根據第8.1條HML將不會對該等被徵收費用所導致的損失承擔責任。HML將盡其最大努力,確保已於交易合約條款中信息與交易相關的所有費用。然而,由於國際外匯市場運作複雜,要作出披露未必一定可能。如有必要計算某種特定貨幣的準確金額,則敬請就此通知HML,而HML或能夠提前支付任何未指明的費用。客戶在向HML代表發出交易指示時,應確保雙方清楚說明各項第 三方費用及收費。

9. 超出我們能力控制範圍的情況

9.1 若HML因超出其能力控制範圍的因素或不可抗力事件,而不能履行其根據本協議或合約的義務,則HML將在合理可行的情況下盡快通知客戶,並盡其合理努力確保退回因HML未能根據本協議履行其責任而由客戶支付的任何款項。

9.2 市場干擾

9.2.1 HML如認為標的資產的相關市場的市場狀況受到嚴重干擾,則可隨時向客戶發出通知(「干擾通知」)。

9.2.2 干擾情況包括HML認為,於HML的日常業務過程中,在相關金融市場上無法取得有關貨幣,或因國內或國際的金融、政治或經濟狀況或外匯管制,導致取得上述標的資產變得並不可行。

9.2.3 當干擾通知在發出後,HML的責任將會暫時終止,而HML會與客戶磋商其他安排。若雙方於交割日期前達成協議,則該等其他安排將生效。若雙方未能於該期間內達成協議,則雙方根據相關交易的各自責任將獲解除。

10. 客戶資金

10.1 客戶同意HML可將客戶存入其賬戶的資金(「資金」)連同其他客戶的資金,一併撥入單一指定賬戶中,並依照法律所要求妥善保管。

10.2 客戶允許HML保有資金所孳生的任何利息,並在法律允許的前提下用於合理投資。

10.3 客戶授意HML支取,使用或以其他方式利用客戶資金,包括:
a) HML為了履行合同的義務("義務”)。該義務可能包括因應HML與客戶交易所產生的責任,而付款給相關實體或大額資金提供商。在這個子條款中提到的責任,包括但不限於相關實體或大額資金提供商所要求的最低的浮動保證金,或其他對沖的要求。
b) HML依照本協議或產品信息聲明執行其他權利,或
c) 為法律所允許的任何其他原因。

10.4 客戶同意,HML因本協議第10條所列出的合法原因使用客戶資金時,該款項將不再屬於客戶,也並不構成與客戶之間的任何貸款或推定信任。

10.5 如果客戶有一未平倉合約,此時依照本協議或PIS所列出的任何理由,HML有權扣減客戶款項,扣減可立即發生,該款項將屬於HML。相反,如果客戶有一未平倉合約,此時依照本協議或PIS所列出的任何理由,HML需增補客戶資金。增補資金一般將於客戶倉位關閉的1小時內計入客戶賬戶。

11.通知

11.1 根據本協議或就本協議必須或批准發出的任何通知或其他文件(「通知」)均應以書面形式發出,並應:
a) 若收件人為客戶,以預付郵資掛號郵件或專人送遞的方式,送抵本協議所載的客戶地址或客戶以書面形式指定的其他地址,或由HML於HML網站上張貼通知的形式發出;及
(i) 若於HML網站上張貼,則通知被視為於HML網站上張貼起計3天後發出;或
(ii) 若通知被送抵至客戶的地址,則通知被視為已於通知送出後的營業日發出,惟於專人送遞的情況下,則通知被視為已於送交時發出。
b) 若收件人為HML,以預付郵資掛號郵件或專人送遞的方式,送抵本協議所載的HML地址或HML以書面形式指定的其他地址,且該等通知被視為已於通知送出後的營業日發出,惟於專人送遞的情況下,通知被視為已於送交時發出。

11.2 根據本協議發出或作出的任何通知亦可以電郵方式送出,惟:
a) 通知是送出至預期收件人最後告知發件人的電郵地址;及
b) 發件人保存所送出通知的電子或列印副本。

11.3 以電郵方式送出的通知將被視為已於下列最早發生的事項時發出:
a) 發件人接獲來自收件人的資訊系統的電郵回執,表明通知已送抵上述電郵地址;
b) 通知進入受到收件人控制的資訊系統時;或
c) 通知首次被收件人的僱員或行政人員開啟或閱讀時。

12.終止

12.1 本協議可由客戶或HML以書面方式向另一方發出通知而立即終止。然而,任何一方提出終止均不應影響先前訂立的任何合約或其他交易,且不應免除任何一方因本協議而產生且尚未履行的任何責任,亦不應免除客戶於上述終止前因訂立任何合約而產生的任何責任。

12.2 若HML得悉或有理由相信出現下列任何事項:
a) 客戶曾向HML提供虛假或有誤導性的資料;或
b) 客戶曾參與或現正參與或曾協助或現正協助洗錢或為恐怖份子提供資金;或
c) 客戶現正接受執法機關及/或監管機構的正式調查;

則HML可按其唯一酌情權,透過向客戶發出通知而立即終止本協議,且HML應獲免除本協議所載或根據本協議所擬進行交易而產生的任何責任,包括因與HML已經訂立的任何合約而產生的任何責任。

13. 責任限制

13.1 HML將盡一切合理努力,根據客戶指示所指定的時間, 執行合約或向客戶支付款項或向客戶指定的任何第三方支付款項。然而,HML在任何情況下,均不會對資金撥入客戶的指定賬戶時出現延誤而導致的任何直接、間接或連帶損失(包括損失任何盈利)承擔責任。

13.2 HML的網上平台提供商並不對所提供的信息或軟件的準確性,完整性或延誤,中斷,遺漏,結果導致客戶利潤損失或受到任何間接的,特殊的或隨之而發生的損害承擔責任。也不對客戶非法使用網上交易平台或相關文件負債。

13.3 本協議中概無任何規定有意限制或免除HML根據客戶可能擁有的任何法定權利而可能須向客戶承擔的任何責任。

14. 解決糾紛

14.1 除非本條與任何法律或監管制度的規定出現不符,否則本條載列的解決糾紛程序將適用。雙方須盡一切合理努力解決因本協議或根據本協議進行的任何交易而產生的任何糾紛。

14.2 若雙方無法於其中一方就糾紛向另一方發出通知起計5天內解決有關糾紛,則任何一方均可透過向另一方發出通知,將有關糾紛轉介至雙方的高級職員解決(如客戶為個人,則有關轉介規定並不適用),但雙方須確保彼此的高級職員於獲轉介糾紛日期起計10天內,盡可能以友好方式真誠解決有關糾紛。

14.3 若高級職員(或個人與HML高級職員)無法於獲轉介糾紛的日期起計10天內解決有關糾紛,則雙方必須按任何一方的書面要求,並於接獲有關要求的日期起計10天內,將有關糾紛轉介至第三方仲裁及調解機構。



註: 中英文版本之內容如有歧義,概以英文版本為準。