CNI Securities Group Limited
中國北方證券集團有限公司

( Licensed or Registered with the Securities and Futures Commission as a licensed corporation / licensed person 〔 CE No.ATM 582 〕
for dealing in securities under Type 1 of Part 1 in Schedule 5 to the Securities and Futures Ordinance and an exchange participant
〔 No.B01886 〕 of The Stock Exchange of Hong Kong Limited.)
( 獲證券及期貨事務監察委員會發牌或註冊的持牌法團 / 持牌人 〔中央編號 CE No.ATM 582 〕可經營證券及期貨條例附表 5
第 1 部份中所指第 1 類受規管活動以及是香港聯合交易所有限公司參與者〔編號 B01886 〕 ) 。

CLIENT AGREEMENT 客戶協議書
(For Main Board and GEM Board 主板及創業板 )

In consideration of your opening and maintaining at my/our request one or more securities trading account(s) (“the Account”) for me/us and your
agreeing to act as my/our agent or broker for the execution of orders for the purchase or sale of securities of every type and description, I/wehereby
agree to effect Transactions as hereinafter defined subject to the following terms and conditions of this Client’s Agreement (“the Agreement”):-
鑒於 貴公司諮詢本人 ( 等 ) 要求開立及持續運作一個證券買賣帳戶 (“ 帳戶 ”) 給本人 ( 等 ) ， ( 以下簽署人 ) ；又鑒於 貴公司同意作為本人 ( 等 ) 的代理
或經紀，執行各式及各類證券買賣指示 (“ 交易 ”) 見下文釋義，本人 ( 等 ) 茲同意根據下列條件進行交易：

1 The Account 帳戶
1.1 I/We confirm that the information provided in the Account Opening Information Form is complete and accurate. I/We will undertake to inform you of any
material changes to that information. You are authorized to conduct credit enquiries on me/us to verify the information provided.
本人(等)確認「開戶資料」表格所載資料均屬完整及正確。倘該等資料有任何重要變更，本人(等)將會通知 貴公司。本人(等)特此授權 貴公司對本人(等)
的財政信用進行查詢，以核實上述表格所載資料。
1.2 You will keep information relating to my/our Account confidential, but may provide any such information to The Stock Exchange of Hong Kong Limited
(“Exchange”), Hong Kong Securities Clearing Company Limited (“the Clearing House”) and Securities and Futures Commission (“SFC”) to comply with their
requirements or requests for information.
貴公司將會對本人(等)帳戶的有關資料予以保密，但 貴公司可以根據香港聯合交易所有限公司(“聯交所”)，香港中央結算有限公司(“中央結算”)及證券期
貨事務監察委員會(“證監會”)的規定或應其要求，將該等資料提供予聯交所及證監會。
1.3 I/We assume full risks of the agents’ (i.e. your) performance and responsibility or suitability of our transactions.
本人(等)會負上由代理人(既 貴公司)替本人進行交易時，該交易的風及其對本人(等)的合適性的責任。

2 Laws and rules 法例及規則
All transactions in securities which you effect on my/our instructions (“Transaction”) shall be effected in accordance with all laws, rules and regulatory directions
applying to you. This includes the rules of SFC and the Exchange and of the Clearing House. All actions taken by you in accordance with such laws, rules and
directions shall be legally binding on me/us. A reference to a laws, rules and regulatory directions includes a reference to it as amended, extended or re-enacted
from time to time.
貴公司按本人(等)的指示而進行的一切證券交易(“交易”)，須根據適用於 貴公司的一切法例、規則和監管指示的規定而進行。這方面的規定包括證監會、
聯交所及中央結算的規則。 貴公司根據該等法例、規則或指示而採取的所有行動均對本人(等)具有法律約束力。本文中提到的法例、規則及指示亦包括
不時修訂、補充或重新制訂的法例、規則或指示。

3 Transaction 交易
3.1 You will act as my/our agent in effecting Transaction unless you indicate in the statement or confirmation relevant to such Transaction that you are acting as
principal.
除 貴公司(在結單或其他確認單據內)註明以自己本身名義進行交易外， 貴公司將以本人(等)的代理人身份進行交易。
3.2 I/We will notify you when a sale order relates to securities which I/we do not own i.e. involves short selling in compliance of section 170 of Securities and Futures
Ordinance.
倘沽盤是有關非由本人(等)擁有的證券，即涉及賣空交易，本人(等)將會通知 貴公司，以便符合證券及期貨條例第 170 條。
3.3 On all Transaction, I/we will pay your fee, commissions, charges, interest and disbursements incurred by you, as notified to me/us, as well as applicable levies,
trading fee and clearing fee imposed by the SFC, the Exchange and the Clearing House, as the case may be, and all applicable stamp duties. You may deduct such
commissions, charges, levies, trading fee and clearing fee and stamp duties from the Account.
本人(等)會就所有交易支付 貴公司通知本人(等)的佣金、利息和所有收費，繳付證監會、聯交所、中央結算的適用交易徵費、交易費及結算費，並繳納
所有有關的印花稅。 貴公司可以從帳戶中扣除該等佣金、收費、交易徵費、交易費、結算費及印花稅項。
3.4 Unless otherwise agreed, in respect of each Transaction, unless you are already holding cash or securities on my/our behalf to settle the obligation /Margin (in case
I/we select to maintain the account as margin account) of the Transaction, I/we will
就每一宗交易，除另有協議外或除非 貴公司已代表本人(等)持有足夠現金或證券以提供足夠的全數金額或保證金(如本人(等)選擇以保證金形式運作帳戶)
作交收之用，否則本人(等)將會在 貴公司就該項交易通知本人(等)的期限之前,
- pay you cleared funds or deliver to you securities in deliverable form or
向 貴公司交付可即時動用的資金或可以交付的證券，或
- otherwise ensure that you have received such funds or securities
以其他方式確保 貴公司收到此等資金或證券。
- by such time as you have notified me/us in relation to that Transaction. If I/we fail to do so, you may
倘本人(等)未能這樣做， 貴公司可以
- in the case of a purchase Transaction, sell the purchased securities and
(如屬買入交易)出售買入的證券；及
- in the case of a sale Transaction, borrow and/or purchase securities in order to settle the Transaction.
(如屬賣出交易)借入及/或買入證券以進行交易的交收。
3.5 I/we will be responsible to you for any losses and expenses resulting from my/our settlement failures.
本人(等)將會負擔 貴公司因本人(等)未能進行交收而引起的任何損失及開支。
3.6 I/we agree to pay interest on all overdue balance (including interest arising after a judgment debt is obtained against me/us) at such rates and on such other terms as
you have notified me/us from time to time.
本人(等)同意就所有逾期未付款項(包括對本人(等)裁定的欠付債務所引起的利息)，按 貴公司不時通知本人(等)的利及其他條款支付利息。
3.7 In the case of a purchase Transaction, if the selling broker fails to deliver on the settlement date and you have to purchase securities to settle the Transaction, I/we
shall not be responsible to you for the costs of such purchase.
就買入交易而言，倘賣方經紀未能於交收日內交付證券，導致 貴公司須買入證券進行交收，本人(等)毋須為買入該等證券的費用向 貴公司負責。
In case I/we reside or (being a corporation) are incorporated outside Hong Kong, or give Instructions outside Hong Kong, I/we agree to ensure and represent that
such Instructions will have been given in compliance with all applicable laws of the relevant jurisdiction which are applicable to me/us or from which my/ourInstructions are given, and that when in doubt, to consult or obtain legal advice on the relevant jurisdiction.
如本人(等)為香港境外居民或為境外註冊之公司或於香港以外下達交易指令，本人(等)同意所下達之指令，合符所有境外地區的相關法例。如有疑問，
本人(等)會就有關交易，尋求法例意見。

4 Order and Order Recording 買賣指示及電話記錄買賣指示
4.1 You may accept instructions from me/us for order of Transaction by telephone or in writing sent by facsimile or by post. You may also accept instructions in your
prescribed order form signed by me/us in your presence. In all cases, you shall time-stamp such instructions in the order as they are received.
貴公司可接納本人(等)用電話、圖文傳真或郵遞方式發出之書面指示買賣證券。 貴公司亦可接納本人(等)親臨 貴公司辦公室填寫 貴公司的買賣證券指
示表格。全部的指示， 貴公司將以其次序前後蓋上時間印章。
4.2 I/we declare that you shall not be liable for delay in acting or for any inaccuracy, interruption, error or delay or failure in transmission of my/our instructions by
facsimile unless there is fraud or wilful default on your part.
本人(等)聲明，除非 貴公司欺詐或蓄意失責，否則 貴公司無須因延遲執行，或本人(等)透過圖文傳真方式發出的指示在傳送上出現誤差、干擾、出錯、
延遲或未能傳達而負責。
4.3 In the event of receipt of conflicting instructions you may refuse to act on any of the instructions until you have received unequivocal instructions.
倘若 貴公司收到互相抵觸的指示時， 貴公司可拒絕執行任何此等指示，直至接到明確的指示為止。
4.4 You may, in your absolute discretion, refuse to accept instructions without giving any reason therefor, but shall not in any circumstances whatsoever be liable for
loss of profit, damages, liability, cost or expenses suffered or incurred by me/us arising out of such refusal.
貴公司有絕對酌情權決定拒絕本人(等)的指示而無須對此作出解釋，並且無須在任何情況下對此拒絕所引致本人(等)失去的盈利、損失、經濟責任、支
出或費用作出負責。
4.5 You may record telephone conversation in connection with receiving orders and instructions through your telephone recording system. I/we acknowledge that
such records are your sole property and it will be accepted as final and conclusive evidence of the orders or instructions given in case of disputes.
本人(等)同意 貴公司可由 貴公司的電話錄音系統記錄電話交談中有關買賣指示。本人(等)承認該記錄由 貴公司擁有，並接受如有糾紛時，此錄音為最
後及最終之証據。
4.6 Where a discrepancy occurs between instructions given by telephone or facsimile and any other means, including any subsequent written confirmation, your record
of the telephone instruction or facsimile instructions shall prevail.
凡經電話或圖文傳真發出的指示，與後來以書面發出的指示在意義上有差異時，則須以 貴公司的電話錄音或收到的圖文傳真指示記錄為準。

5 Client Identity/Ultimate Beneficiary 客戶身份/ 最終受益人
5.1 Subject to the provisions herein, I/we shall, in respect of transaction in which I/we are not acting as principal, immediately upon demand by you inform SFC and/or
the Exchange of the identity, address and contact details of
在符合本協議書中條文的規定下，凡有關本人(等)並非以主事人或最終受益人之身份進行的交易，本人(等)將應 貴公司的要求即時向證監會及/或聯交所
提供受益人下列資料：
(i) the person or entity ultimately responsible for originating the instruction in relation to the relevant transaction; and
最終負責引發有關交易的指示的人士或實體的身份、地址及聯絡詳情；及
(ii) the person or entity that stands to gain the commercial or economic benefit of the relevant transaction and/or bear its commercial or economic risk,
會獲取有關交易的商業或經濟利益或須承擔其商業或經濟風險的人士或實體的身份、地址及聯絡詳情。
and, in case of an entity, the investment fund or account, the manager of that entity, the investment fund or account.
並且，如實體者是投資基金或帳戶，則提供該投資基金或帳戶的經理人資料。
5.2 I/We hereby declare that if I/we are not the true owner/ultimate beneficiary or originator of instructions of the Account, I/we will complete Schedule “A” as
attached to the Account Opening Information.
本人(等)茲聲明如若本人(等)非是帳戶的主事人或最終受益人，本人(等)須填寫開戶資料的附錄“A”。

6 Safekeeping of Securities 證券的保管
6.1 Any securities which are held by you for safekeeping may, at your discretion
寄存 貴公司妥為保管的任何證券， 貴公司可以酌情決定：-
- in the case of registrable securities, be registered in my/our name or in the name of your nominee; or
(如屬可註冊證券)以本人(等)的名義或以 貴公司的代理人名義登記；或
- be deposited in safe custody in a designated account with the Clearing House or your bankers or with any other institution approved by the SFC, which provides
facilities for the safe custody of documents. In the case of securities in Hong Kong Special Administrative Region, such institution shall be acceptable to the SFC
as a provider of safe custody services.
存放於 貴公司在中央結算、往來銀行或其他經由證監會提供文件保管設施的機構內所特定的帳戶妥為保管。如屬香港的證券，該機構應為證監會認可
的提供保管服務機構。
6.2 Where securities are not registered in my/our name, any dividends or other benefits arising in respect of such securities shall, when received by you , be credited to
my/our Account or paid or transferred to me/us, as agreed with you. Where the securities form part of a larger holding of identical securities held for your clients,
I/we shall be entitled to the same share of the benefits arising on the holding as my/our share of the total holding.
倘證券未以本人(等)的名義登記， 貴公司於收到該等證券所獲派的任何股息或其他利益時，須按本人(等)與 貴公司的協議存記入本人(等)的帳戶或支付
予或轉賬予本人(等)。倘該等證券屬於 貴公司代客戶持有較大數量的同一證券的一部份，本人(等)有權按本人(等)所佔的比例獲得該等證券的利益。
6.3 You now have my/our written authority(“Client Securities Standing Authority”) under section 148 of the Securities and Futures Ordinance to: -
本人(等)現根據【證券及期貨條例】第 148 條以書面授權 貴公司：
- deposit any of my/our securities with a banking institution as collateral for an advance or loan made to you, or with the Clearing House as collateral for the
discharge of your obligations under the clearing system,
將本人(等)的任何證券存放在銀行業機構，作為 貴公司所獲墊支或貸款的抵押品，或者存放在中央結算，作為履行 貴公司在結算系統下之責任的
抵押品；
- borrow or lend any of my/our securities , and/or
借貸本人(等)的任何證券；及
- deposit any of my securities collateral with HKSCC as collateral for the discharge and satisfaction of the Company’s settlement obligations and liabilities.
I/we understands that HKSCC will have a first fixed charge over my/our securities to the extent of your obligations and liabilities.
將任何本人(等)的證券抵押品存於任何其他的認可結算所或任何其他獲發牌或獲註冊進行證券交易的中介人，作為解除 貴公司在交收上的義務和
清償 貴公司在交收上的法律責任的抵押品
- Apply or deposit any of the my/our securities collateral in accordance with the above 3 authorization if you provides financial accommodation to me/us in
the course of dealing in securities and also provides financial accommodation to my/us in course of any other regulated activity for which you are
licensed or registered.
如 貴公司在進行證券交易及 貴公司獲發牌或獲註冊進行的任何其他受規管活動的過程中向本人(等)提供財務通融，即可按照上述三項受權所述運
用或存於任何本人(等)的證券抵押品。
6.3.1 Each of the above specified Client Securities Standing Authority is valid for a period of 12 months from the date of this Agreement, subject to renewal by
me/us or deemed renewal under the Client Money Rules or Client Securities Rules (as the case may be) referred to in Clause 6.3.3
上述授權受第 6.3.3 條指明按照客戶證券規則由客戶續期或當作已被續期所制約下，客戶證券常設授權的有效期為十二個月，自本栛議書之日
起計有效。
6.3.2 Each of the Client Securities Standing Authority may be revoked by giving the Company written notice addressed to the Customer Service Officer at your
address specified in this agreement or such other address which you may notify me/us in writing for this purpose. Such notice shall take effect upon the
expiry of 14 days from the date of your actual receipt of such notice.
本人(等)可以向 貴公司客戶服務部列明於賬戶開立表格內的公司地址或該等本公司為此目可能以書面方式通知的其他地址，發出書面通知，撤
回客戶證券常設授權。該等通知之生效日期為 貴公司真正收到該等通知後之 14 日起計。
6.3.3 I/we understand that each of the Client Securities Standing Authority shall be deemed to be renewed on a continuing basis without my/our written consentif you issue me/us a written reminder at least 14 days prior to the expiry date of the relevant authority, and I/we do not object to such deemed renewal
before such expiry date.
本人(等)明白 貴公司若在客戶證券常設授權的有效期屆滿 14 日之前，向本人(等)發出書面通知，提醒本人(等)有關的常設授權即將屆滿，而本
人(等)沒有在該等常設授權屆滿前反對該等常設授權續期，客戶證券常設授權應當作不需要 本人(等)的書面同意下按持續的基準已被續期。
6.4 You are not bound to deliver securities belonging to me/us bearing serial numbers identical with those transferred to me/us so long as the securities delivered are of
the same class, nominal amount and rank pari passu with those originally transferred subject always to any capital re-organization which may have occurred in the
meantime.
貴公司不須交回本人(等)的證券，其編號須與轉讓予本人(等)的證券編號相符，只要該等證券是同類型，而值相等及其權益與原本轉讓予本人(等)的證券
相同，當然除了受其間資本重組另有規定外。

7 Moneys in the Account 帳戶中的款項
7.1 Any cash held for me/us, other than cash received by you in respect of Transaction and which is on-paid for settlement purpose or to me/us, shall be credited to a
client trust account maintained with a licensed bank as required by applicable laws from time to time. Subject to mutual agreement between the parties hereto, no
interest is payable.
除了 貴公司收取本人(等)的現金作為交易的交收之用或轉付予本人(等)之外，否則代本人(等)保管的現金須依照適用法律不時的規定，應存放於一家持
牌銀行所開立的一個客戶信託帳戶內。根據有關方面共同協議而無須支付利息。
7.2 Payment to the Account shall constitute payment to me/us for all purposes
貴公司支付入帳戶的款項得作為達到對本人(等)款項支付的目的。

8 Set-off and lien 抵銷及留置權
8.1 In addition and without prejudice to any general liens, rights of set-off or other similar rights to which you may be entitled under laws or the Agreement, all
securities, receivables, monies and other property of me/us (held by me/us either individually or jointly with others) held by or in the possession of you at any time
shall be subject to a general lien in your Group’s Company or Affiliate as continuing security or to dispose at your discretion to offset and discharge all of my/our
obligations, arising from the Transaction and/or my/our obligations in the Agreement.
在不損害 貴公司依照法律或本協議所附加應享有之一般留置權、抵銷權或相類權利前提下，對於本人(等)交由 貴公司代管或在 貴公司內存放之所有證
券、應收賬、款項及其他財產(不論是本人(等)個人或與其他人士聯名所有)權益， 貴公司均享有一般留置權，作為持續的抵押甚至出售，用以抵銷及履
行本人(等)因進行證券買賣而對 貴公司及其集團公司及聯屬人負上的所有責任。
8.2 Written Authorization (書面授權) - Rolling Balance Cash Client (滾存結餘現金客戶)
Pursuant to Section 21 (2) of the Securities and Futures (Financial Resources) Rules (Chapter 571N), we hereby authorize you, in respect of any amount receivable
from, and amount payable to, me/ us, where such amounts arise from the purchase and sale of securities by me/ us on a cash-against-delivery basis, to-
(a) set-off such amounts against each other; and
(b) dispose of securities held for me/ us for the purpose of settling any of the amounts payable by me/ us to your Company.
因應《證券及期貨(財政資源)規則》第 571N 章 21 條(2), 本人 / 我們授權 貴公司可將應從本人 / 我們收取的款項與應向本人 / 我們支付的款項互相抵
銷，但該等款項須是因本人 / 我們以銀貨兩訖形式買賣證券而產生的，而 貴公司亦已獲本人 / 我們書面授權─
(a) 將該等款項互相抵銷；及
(b) 為清償本人 / 我們應支付予 貴公司的款項而處置為本人 / 我們持有的證券。

9 Discretionary Account 委託帳戶
In the event that I/we maintain and continue to operate a discretionary account with you, I/we hereby authorize you or your employee (who must be a registered
person) so designated by you, to effect Transaction on my/our behalf on terms herein at your absolute discretion and at my/our own risk and that I/we shall confirm
to you in writing on an annual basis whether I/we wish to specifically revoke your authority in this regard even in the absence of your notification to me/us for
renewal.
若是本人(等)在 貴公司保留及持續操作一個委託帳戶，本人(等)茲授權予 貴公司或 貴公司指定的職員(他應是一位註冊人)全權負責替本人(等)依照客戶
協議書作出證券買賣，損失由本人(等)負責。而本人(等)將每年用書信確認這授權是否被取銷，甚至乎不需 貴公司通知需否再續。

10 ELECTRONIC SERVICES 電子服務
10.1 Unless otherwise specified, the Clause is made without prejudice and in addition to all the other provisions in this Agreement.
除非另有說明，本條之規定乃本協議所有其他條款之附加且並不損害該等其他條款。
10.2 You may provide the me/us with Electronic Services, and the I hereby requests the provision of such services, upon the terms and conditions as embodied in this
Agreement, as modified, amended or expanded by any notice, letter, publication or such other document as may be issued from time to time by the you.
貴公司根據本協議所載條款和條件為本人(等)提供電子服務，且本人(等)根據本協議所載條款和條件要求向其提供上述服務，而上述條款和條件可由 貴
公司不時發出的通知、信函、出版物或其他文件予以修訂、修改或擴展。
10.3 I/We may from time to time instruct you, acting as the my agent, to deposit, purchase and/or sell securities for the Account(s) or otherwise deal with securities,
receivables or monies on behalf of the me/us through the Electronic Services.
貴公司根據本協議所載條款和條件為客戶提供電子服務，且客戶根據本協議所載條款和條件要求向其提供上述服務，而上述條款和條件可由 貴公司不
時發出的通知、信函、出版物或其他文件予以修訂、修改或擴展。
10.4 I/We agree that I/ we shall be only authorized user of the Electronic Services under this Agreement. I/We shall be wholly and solely responsible for the
confidentiality, security and use of the Access Codes issued to the me/us by you.
本人(等)同意，本人(等)為本協議電子服務之唯一授權使用者，將會對 貴公司發給的交易密碼之保密、安全和使用自行承擔全部責任。
10.5 I/We acknowledge and agree that the I/we shall be wholly and solely responsible for all instructions entered through the Electronic Services. I/we further
acknowledge that the Electronic Services, , your website, and the software comprised in them, are proprietary to you. I/we undertake and warrant that the I/we shall
not, and shall not attempt to, tamper with, modify, decompile, reverse engineer, damage, destroy or otherwise after in any way, and shall not attempt to gain
unauthorized access to, any part of the Electronic Service, your website, and any of the software comprised in them. I/we agree that you shall be entitled to close any
or all of the Account(s) immediately without notice to me/us, and the I/we acknowledge that you may take legal action against we/us, if I/we at any time reach this
warranty and undertaking or if you at any time reasonably suspect that I/we has breached the same. I/we undertake to notify you immediately if I/we become aware
that any of the actions described above in this paragraph is being perpetrated by any other person.
本人(等)承認並同意對透過電子服務發出的所有買賣指示自行承擔全部責任，並進一步承認電子服務、 貴公司的網頁以及構成上述服務的軟件均為 貴公
司專有。本人(等)承諾和保證不會嘗試以任何其他方式更改電子服務、 貴公司的網頁以及構成上述服務的軟件的任何部分，亦不會嘗試在未獲授權的情
況下使用上述任何部分服務。倘若本人(等)在任何時間違反上述承諾和保證或 貴公司於任何時間合理懷疑本人(等)已有上述違反時，本人(等)同意 貴公
司有權不經通知即時終止本人(等)的任何和所有賬戶，本人(等)亦承認 貴公司可對其採取法律行動。本人(等)承諾在知悉任何其他人士從事本段所載任何
上述行動時，即時通知 貴公司。
10.6 As and when you allow me/us to open an Account on-line with you, in addition to completing and returning this Agreement through the Internet, I/we agree to return
to you the hard copy of this Agreement (including the Authorization for Account Opening, Account Opening Information, applicable Risk Disclosure Statement and
any authority given by me/us to you with respect to the Account(s) duly completed and executed.
當 貴公司允許本人(等)在網上開立賬戶時，除需透過互聯網填妥並交回本協議之外，本人(等)同意向 貴公司補交填受並簽署本協議(包括開戶授權書、
開戶資料、適用之風險披露聲明及本人(等)就賬戶而賦予 貴公司之任權力)的書面文本。
10.7 Unless otherwise agreed between you and me/us, you will not execute any trading orders of me/us until there are sufficient cleared funds, securities or other assets
acceptable to you in the Client’s Account(s) to settle the my/our transactions and upon receipt of the documents as stated in Clause 10.6.
除非本人(等)的賬戶有足夠的已結算款項、證券或其他 貴公司所接受的資產以交收本人(等)的交易，且在 貴公司收到為 10.6 條所述的文件之後，否則 貴
公司不會執行本人(等)的任何交易指示，但 貴公司與本人(等)另訂協議者除外。
10.8 You will not deemed to have received the my/our instructions or have executed my/our orders unless and until I am/we are in receipt of your message acknowledging
receipt or confirming execution of the my orders, either electronically or by hard copy

除非及直至本人(等)已收到 貴公司以電子或書面形式發出的信息，表示收到或確認已執行本人(等)的買賣指示，否則 貴公司不得被視為已收到或已執行
本人(等)的買賣指示。
10.9 I/we acknowledge and agree that, as a condition of using the Electronic Services to give instructions, I/we shall immediately notify you if :
本人(等)承認並同意，作為使用電子服務發出買賣指示的一項條件，倘若發生下述事項，本人(等)會即時通知 貴公司：
10.9.1 An instruction has been placed through the Electronic Services and the I/we have not received an instruction number or has not received an accurate
acknowledgement of the instruction or of its execution (whether by hard copy, electronic or verbal means);
本人(等)已經透過電子服務發出買賣指示，但並無收到指示編號或對買賣指示或其執行的準確確認(不論是以書面、電子還是口頭方式作出)；
10.9.2 I/we have received acknowledgement (whether by hard copy, electronic or verbal means) of a transaction which I/we did not instruct or any similar
conflict;
本人(等)收到一項本人(等)並無發出指示的交易確認(不論是以書面、電子還是口頭方式作出)或有類似衝突；
10.9.3 I/we become aware of any of the acts stated in Clause 10.5 being done or attempted by any person;
本人(等)獲悉任何人士正在進行或嘗試進行第 10.5 條所述的任何行動
10.9.4 I/we becomes aware of any unauthorized use of the my Access Codes;
本人(等)獲悉有未獲授權而使用本人(等)交易密碼的情況
10.9.5 I/we have difficulties with regard to the use of the Electronic Services; or
本人(等)在使用電子服務時遇到因難；及
10.9.6 I/we have lost the SIM Card.
本人(等)丟失 SIM 卡
10.10 I/we agree to review every order before entering it as it may not be possible to cancel my/our instruction once given.
本人(等)同意在輸入每個買買指示之前會加以覆核，因為買賣指示一經作出，便可能無法取消。
10.11 I/we agree that you shall not be liable for any loss or damage I/we or any other person may suffer as a result of using or attempting to use the Electronic Services
unless such loss or damage are caused by wilful default or gross negligence on the part of you. I/we further undertake to indemnify you, on a full indemnity basis, on
demand, for any loss or damage you may suffer as a result of the use of Electronic Services except to the extent that such loss or damage is outside my/our control.
本人(等)同意 貴公司不會就本人(等)或任何其他人士使用或嘗試使用電子服務可能遭受的任何損失或損害承擔責任，除非該等損失或損害是由於 貴公司
故意失責違約或重大疏忽所導致。本人(等)進一步承諾，對因使用電子服務可能使 貴公司遭受的任何損失或損害，於 貴公司要求時如數作出賠償，除
非該等損失或損害是在本人(等)所能控制範疇以外。
10.12 I/we acknowledge and agree that if the mode of communication used by me/us in the course of the Electronic Services becomes temporarily unavailable, I/we can
during such period continue to operate the relevant Account subject to the right of you to obtain such information regarding the verification of my/our identity as it
may from time to time think fit.
本人(等)承認，倘若本人(等)的電子服務的通訊方法暫時無法使用，本人(等)仍可在此期間內繼續作有關賬戶，但 貴公司有權在其認為適宜時不時取得
核證本人(等)身份的有關資料
10.13 I/we acknowledge that Exchanges and certain associations may assert proprietary interests and rights over-all market data they furnish to parties who disseminate
such data and agrees not to do any act which would constitute any infringement or encroachment of such rights or interests. I/we also understand that you do not
guarantee the timeliness, sequence, accuracy or completeness of market data or any market information (including any information provided to me/us through the
Electronic Services). You shall not be liable in any way for any loss arising from or caused by (1) any inaccuracy, error in or omission from any such data,
information or message; (2) any delay in the transmission or delivery thereof; (3) any suspension or congestion in communication; (4) any unavailability or
interruption of any such data, message or information whether due to any act of you; or (5) by any forces beyond the control of you.
本人(等)承認，該(等)交易所和一些機構對其等提供給數據傳送各方之一切市場數據擁有所有權益和權利，並同意不會採取任何可能對上述權益和權利構
成侵權或侵犯的行動。本人(等)亦理解 貴公司不會保證該等市場數據或任何市場資料(包括透過電子服務提供給本人(等)的任何資料)的及時性、次序、
準確性或完整性。 貴公司對下述事項所引起或造成之任何損失概不承擔任何責任：(1) 任何上述數據、資料或信息的不準確性、錯誤或遺漏；(2)上述數
據、資料或信息之傳送或交付延誤；(3)通訊中斷或阻塞；(4)不論是否由於 貴公司的行為所致之該等數據、資料或信息的無法提供或中斷；或(5) 貴公
司無法控制的外力。

11 Margin and Fund 保證金和資金
11.1 At my/our request, you can at your discretion make available to me/us margin facility for purchasing Securities ("the Margin Facility") subject to this Agreement and
such terms and conditions set out in the relevant Addendum to this Agreement. Such terms and conditions should not apply unless any Margin Facility is made
available to me
在本合約的規範下，本人(等)可向 貴公司提出取得保證金信貸措施的申請。在 貴公司同意的情況下，貴 公司亦會就此等安排向本人(等)發出合約的附
加條款，如本人未能獲得相關的信貸措施，本人毋須受新的附加條款所規範。
11.2 The time for payment of any Margin is of the essence and if no other time is stipulated by you when making a demand then the I am/ we are required to comply with
such demand before the expiry of two hours from the time of making the demand (or more quickly if required by you to do so). I/we also agree to pay immediately in
full and on demand any amount owing with respect to any of your accounts. All initial and subsequent deposits and payments for margin and other purposes shall
be made in cleared funds and in such currency and in such amounts as you may in your sole discretion require.
支付任何保證金的時間為關鍵要素，如果 貴公司提出付款要求時未規定其他時間，則本人(等)應於該要求提出之時起計 2 個小時內(或按 貴公司規定的
更早時間)執行該要求。本人(等)亦同意於 貴公司要求時立即全額支付 就 貴公司任何賬戶所欠之任何金額。凡就保證金所作的首筆及隨後存款和付款，
一律應為已過數的資金，且 貴公司有絕對酌情權規定貨幣種類及金額。
11.3 Notwithstanding Clauses 11.1 and 11.2, in the event that it is, in the sole opinion of you, impracticable for you to make demands for additional Margin pursuant to
Clause 11.1, including but without limitation, if the impracticality is due to a change or development involving a prospective change:
縱然第 11.1 及 11.2 條已有規定，當 貴公司單方面認為按照第 11.1 條提出支付額外保證金要求並不可行，當中包括但不限於，若不可行是由於下列的轉
變或發展已經或可能出現：
11.3.1 In the local, national or international monetary, financial, economic or political conditions or foreign exchange controls which has resulted or is in the
opinion you likely to result in a material or adverse fluctuation in the stock market, currency market, commodities or futures market in Hong Kong and/or
overseas; or
本地、國際、國際金融體系、財經、經濟或政治環境或外地管制的狀況，而此等已經或可能出現的轉變或發展已構成或 貴公司認為可能構成
對香港及/或海外證券市場的重大或不良波動；或
11.3.2 which is or may be of a material adverse nature affecting the condition or operations of me/us.
此等已經或可能出現的轉變或發展已經或可能在性質上嚴重影響本人(等)的狀況或運作。
You shall be deemed to have made Margin calls for such form and/or amounts as you may determine and such Margin shall become immediately due and
payable by me/us.
貴公司應被視作已經按照 貴公司決定的方式及/或金額提出保證金追收，而該等保證金已經到期，本人(等)須即時繳付。
11.4 You shall be entitled to revise Margin requirements from time to time in your absolute discretion. I/we shall be granted financial accommodation of up to such
percentage as may be agreed from time to time of the market value of the collateral maintained with you. No previous Margin requirements shall establish in
precedent and revised requirements once established shall apply to existing positions as well as to the new positions in the contracts affected by such revision.
貴公司有絕對酌情權不時更改保證金要求。本人(等)將獲得的財務通融，財務通融的款額可為 貴公司所持抵押品市值的某一百分比，該百分比由雙方不
時協定。先前的保證金要求一律不作為不變之先例，而經更改所影響的合約下的新持倉。
11.5 For the avoidance of doubt, failure by me/us to meet Margin calls made by you by the time prescribed by you or otherwise or any other accounts payable hereunder
shall give you the right (without prejudice to other rights) to close the Account(s) and/or to close out any position in the Account(s) (as the case may be) without
notice to me/us and to dispose of any or all securities held for or on behalf of me/us and to apply the proceeds and any cash deposit(s) to pay you all outstanding
balances owing to you. Any monies remaining after that application shall be refunded to me/us.
為避免欵問，本人(等)如未按 貴公司規定的時間或其他時間應 貴公司催促追加支付保證金或支付本協議任何其他應付賬， 貴公司即有權(並且無損其
他權利)終止賬戶及/或將賬戶內任何持倉予以平倉(視乎情況而定)而不必通知本人(等)，並有權出售為本人(等)或代本人(等)所持的任何或全部證券，用所
得款項及任何現金或任何現金存款支付本人(等)欠 貴公司的一切金額。用餘的款項將退還本人(等)。
11.6 Nothing in this Agreement shall be construed as taking away or affecting any lawful claim, lien or other rights and remedies which you may have in respect of any
money held in any bank account pursuant to Clause 7 or in respect of any money received or paid into such account.
本協議的任何規定都不應解釋為取消或影響 貴公司根據第 7 條對任何銀行賬戶所存任何款項或對該銀行賬戶所收到或獲支付的任何款項可擁有的任何
合法索償權、留置權或其他權利及補救權。

11.7 For the avoidance of doubt, if a debit balance arises on any of my/our Account(s), you shall not be, nor shall you be deemed to be, obliged to make available or
continue to make available any financial accommodation. In particular, but without limitation, the fact you permits a debit balance to arise in any Account(s) so
debited shall not imply any obligation on the part of you to advance monies or incur any obligation on the my/our behalf on any subsequent occasion, but with
prejudice to the obligations of me/us in respect of any debit balance which you do permit to arise.
為避免疑問，如果本人(等)的任何賬戶出示借方結餘， 貴公司無義務而且不應被視為有義務提供或繼續提供任何財務通融。特別地(但不限於此)， 貴
公司允許任何賬戶出現借方結餘，不暗指 貴公司有任何義務在任何隨後的情況下提供墊款或代本人(等)承擔任何義務，而本人(等)對 貴公司所允許出
現的任何借方結餘應有的義務不因此而受影響。
11.8 The parties agree that any securities deposited with, or otherwise provided by or on behalf of me/us to, you shall be securities collateral in favour of you.
協議雙方同意任何由本人(等)存入或以其他方式提供或代本人(等)存入或提供予公司的證券應為給予 貴公司之證券抵押品。

12 Miscellaneous 一般規定
12.1 If you fail to meet your obligations to me/us pursuant to this Agreement, I/we shall have a right to claim under the Compensation Fund established under the
Securities and Futures Ordinance, subject to the terms of the Compensation Fund from time to time.
倘 貴公司沒有依照本協議書的規定履行對本人(等)的責任，本人(等)有權向根據【證券及期貨條例】成立的賠償基金索償，惟須受賠償基金不時的條款
制約。
12.2 If I/we embark on trading US Securities, I/we shall carefully read through the Information Documentation For Clients on Pilot Programme For Trading US
Securities issued by the Exchange as per Schedule “C” attached hereto.
若本人(等)開展買賣美國證券，本人(等)將會詳細閱讀附錄 C 所載聯交所發出予客戶參照的美國證券交易試驗計劃簡介。
12.3 I/We confirm that I/we have read and agree to the terms of this Agreement which have been explained to me/us in a language (English or Chinese) that I/we
understand.
本人(等)確認本人(等)已詳閱並同意本協議書的條款，而且該等條款已經以本人(等)明白的語言(英文或中文)向本人(等)解釋。
12.4 I/we acknowledge that decision regarding the Transaction are made by me/us at my/our discretion and risk and without reliance on any advice from you. You shall
not owe me/us any duty to advise on the merits or suitability of any Transaction.
本人(等)承認所有證券買賣全由本人(等)決定及承擔風險，並沒有依賴 貴公司的意見。 貴公司並無責任向本人(等)提供各證券買賣的利好性或適合性。
12.5 I/we hereby agree that upon receipt of the relevant contract notes, daily statement, execution report, and monthly statement of the Account, or other advices, such
daily contract notes, statement, execution of order and monthly statement of the Account or advices shall be conclusive and binding on me/us, unless I/we object to
in writing within such period of time as may be specified by you from time to time.
本人(等)在收到有關該帳戶的買賣單、日結單、執行買賣報告及月結單或其他另類方式的通知之後，倘若本人(等)沒有在 貴公司不時規定的期間之內以
書面提出異議，則該日結單，執行買賣報告及月結單或另類方式通知成為不可推翻，並對本人(等)有約束力。
12.6 The Authorization for Account Opening, Account Opening Information, Schedules and the Agreement will form one composite agreement.
本協議書所指的開戶授權書，開戶資料及附錄為本協議書的整體部份。
12.7 If I/we enter into Transaction in securities in a currency other than Hong Kong dollar currency, I/we shall reimburse your exchange loss (if any) and bank charges
fully on demand for all expenses incurred by you on converting any foreign currency into Hong Kong dollar currency at the prevailing exchange rate at the time of
the relevant Transaction.
若本人(等)用非香港貨幣進行證券買賣，本人(等)須按 貴公司的通知，即時支付 貴公司的外匯兌換損失(如有)及銀行服務費及任何因找換外匯成香港貨
幣所引致的其他用費，找換外匯是以當日有關交易的外匯匯率計算。
12.8 New Client Agreement Requirements
As set out in the Consultation Conclusions on the Client Agreement Requirements published by Securities and Futures Commission on 8 December 2015 (the new
Client Agreement Requirements), intermediaries must comply with important new Code requirements governing the contents of all client agreements (new
paragraphs 6.2 and 6.5 of the Code), including incorporation of the following new clause:
新客戶協議規定
如證監會於 2015 年 12 月 8 日發表的《有關客戶協議規定的諮詢總結》(新客戶協議規定)所述，中介人必須遵守《操守準則》內規限所有客戶協議內容
的全新重要規定(《操守準則》新修訂的第 6.2 及 6.5 段)，包括納入以下新條款:
“If we, CNI Securities Group Limited, solicit the sale of or recommend any financial product to you [the Client], the financial product must be reasonably suitable
for you having regard to your financial situation, investment experience and investment objectives. No other provision of this agreement or any other document we
may ask you to sign and no statement we may ask you to make derogates from this clause”
“ 假如我們，中國北方證券集團有限公司，向閣下 [ 客戶 ] 招攬銷售或建議任何金融產品，該金融產品必須是我們經考慮閣下的財政狀況、投資經驗及投
資目標後而認為合理地適合閣下的。本協議的其他條文或任何其他我們可能要求閣下簽署的文件及我可能要求閣下作出的聲明概不會減損本條款的效
力。 ”

13 Liability and Indemnity 責任及彌償
13.1 Neither you nor any of your directors, officers, employees or agents shall be liable to me/us for any direct, indirect or
consequential loss or damage suffered by me/us arising out of or connected with any act or omission in relation to Transaction or any matters contemplated by the
Agreement unless such loss results from your fraud, glossly negligence or wilful misconduct as proved.
貴公司或 貴公司的任何董事、行政人員、僱員或代理人，均不需負責因本人(等)或涉及任何關乎本協議書範圍內之任務的操作或疏漏操作而蒙受任何直
接、間接或後果性損失或損害，除非此等損失或損害是得到証實是上述人士之欺詐、嚴重疏忽或故意失當行為而引起者。
13.2 I/we undertake to keep you and your directors, officers, employees and agents indemnified against all claims, demands, actions, proceedings, damages, losses,
costs and expenses incurred by you arising out of anything done or omitted pursuant to any instructions given by me/us or in relation to any Transaction or matters
contemplated by the Agreement without prejudice to any lien, right to set-off or other rights which you may have.
本人(等)承擔彌償 貴公司董事、高級人員、僱員及代理人根據本人(等)指示處理在本協議書範圍內的交易或任何任務而招致的所有針對 貴公司及上述
人士的申索、訴訟、法律程序、損害賠償、或損失、訟費及費用、而並不影響 貴公司可行使的留置權、抵銷權利或其他權利。

14 Material Changes 重要變化
I/We hereby undertake to inform you in writing of any material changes in my/our Account Opening Information and you shall also undertake to inform me/us in
writing of any material changes in your corporate particulars registration status, nature of services available, corporate management and your business which may
affect your services to me/us.
本人(等)承諾用書信通知 貴公司本人(等)開戶資料的重要變化，而 貴公司亦承諾用書信通知本人(等)有關 貴公司會影響對本人(等)服務的公司資料，在
證監會的註冊身份，可提供客戶的服務、酬勞費用及業務等變化。

15 Personal Data (Privacy) 個人資料( 保密)
15.1 Whilst I/we expect you to keep confidential all matters relating to the Account, I/we hereby expressly authorize you to provide to the SFC or the Exchange or the
Clearing House or any other regulatory authorities in any investigation or enquiry it is undertaking.
雖然本人(等)預期 貴公司將予該帳戶有關之事情保密，本人(等)謹此明確同意如應證監會或聯交所或中央結算或監管機構之要求， 貴公司可向彼等提
供帳戶之詳細資料，以便協助彼等進行的調查或詢問。
15.2 I/We hereby declare that I/we have read the Notice on Personal Data pursuant to the Personal Data (Privacy) Ordinance referred to in Schedule “B” as attached to
the Authorization for Account Opening.
本人(等)在此聲明本人(等)已詳閱於開戶資料的附錄“B”，根據個人資料(私隱)條例發出的個人資料通告。

16 Term 有效期
The Agreement will come into effect on the date when any one of your directors signs the Agreement. The Account will not be closed unless in accordance with
clause 15.
本協議書在 貴公司之任何一名董事簽署之日期起開始生效、有效期持續至該帳戶按照條款 17 之規定被終止。

17 Termination 終止
17.1 The Account may be closed by you or by me/us at any time and for any reason forthwith upon written notice being given to the other party in accordance with
clause 16 hereunder provided that all acts performed by you in accordance with my/our instructions prior to either party receiving written notice of such termination
shall be valid and binding on me/us.
不論任何原因，任何一方一旦遵照條款 16 之規定向對方發出書面通知，帳戶即時結束。惟所有 貴公司在任何一方收到此書面結束通知前已依據本人(等)
之指示而執行之任務，仍然有效及對本人(等)有約束力。
17.2 Upon termination all moneys owing from me/us to you shall immediately become due and payable and subject to payment of all such moneys, you are Authorized
to deliver as soon as reasonably practicable any securities held in your or your agent’s or nominee’s name to me/us.
一旦本協議書終止，所有本人(等)欠負的債項即時變為到期應付。在繳清此等債項後， 貴公司獲授權在合理切實可執行範圍內，盡速將該帳戶內以 貴
公司(或其代理人或代名人)名義持有之證券，交付本人(等)。
17.3 If any Account is opened in joint names, such Account shall be held by the Account holders as joint tenant with rights of survivorship (with the balance of the
Account belonging to the survivor). Each joint account holder irrevocably appoints the other as attorney-in-fact to take all action on his or her behalf and to
represent him or her in all respects in connection with this Agreement. You are authorized to act upon the instructions of either of the joint Account holders; ‘send
confirmation advice, notices or other communications to either of the joint Account holders, or otherwise deal with either of the joint Account holders. Each of the
joint Account holders shall be liable, jointly and severally, for any amounts due to us pursuant to this Agreement, whether incurred by either or both of them..
任何以聯名開設之戶口，該等戶口之持有人會被視為聯名持有，並有續存權益(即戶口中的結餘會屬於去世方的另一方)。本人(等)無條件地委任另一方為
戶口的代行人，以代表本人(等)處理戶口中之運作。 貴公司會被受權按任何一方的指示運作本委議中規範之戶口：按照其指示處理戶口，並發出相關
結單或通訊予聯名雙方之其中一方。聯名戶口中雙方的任何一方，會聯合或個別地，負上戶口中的任何負任，即使有關負任是由聯名人中其中一方所導
致。

18 Notices 通告
18.1 All notices, demands and other communications and documents required to be given by you to me/us or by me/us to you in relation to the Account or connected
therewith may be given by letter, telex, facsimile transmission, e-mail or telephone to the address or appropriate numbers.
所有涉及或與該帳戶有關而須由 貴公司發給本人(等)或本人(等)之通知書、追索書及其他傳訊及文件，均可以用書信、專用電報、圖文傳真、電郵或電
話方式發送到該地址或適用號碼。
18.2 All notices, demands, communications and documents so sent by you to me/us shall be deemed to have been received by me/us and in case of telephone call when
telephoned or message is left with a person who answered the telephone call at the correct telephone number stated, and, in case by letter sent locally the day
following the day deposited in the mail or sent by airmail overseas 72 hours after despatch and in case of telex or facsimile message or e-mail when the same is
despatched.
所有以上述形式發出給本人(等)之通知書、追索書、通訊及文件，如屬使用電話通訊，則電話被接聽或留言予代接聽人，應被視為收到；如屬本地郵件，
應被視為在交付郵遞後之翌日收到；如屬海外郵遞，則在發送後七十二小時後收到；如屬專用電報、圖文傳真或電郵，則在發送時收到。
18.3 All notices, demands and other communications and documents sent by me/us to you shall not be effective until the same are actually received by you.
所有由本人(等)發出的通知書、追索書及其他傳訊及文件，由貴公司實際接收到始生效。

19 Amendments 修改
19.1 You shall be entitled to make such amendments, additions, deletions or variations to the Agreement, as you consider necessary, and such amendments, additions,
deletions, or variations shall take effect when such notice thereof is despatched to me/us.
貴公司有權對本協議書作出認為必須的修改、增補、刪除或變更。而此等修改、增補、刪除或變更由該通知發送給本人(等)起生效。
19.2 No amendment made by you to the Agreement or by me/us to you in relation to the information supplied to you in the Authorization for Account Opening, herewith,
such as Account Opening Information, and the Schedules thereto will affect any outstanding order or Transaction or any legal rights or obligations which may have
arisen prior thereto.
貴公司對本協議書之條款所作之修改，及本人(等)向 貴公司提供的關於本協議書之資料的修改，例如，開戶資料，均不影響任何修改前未完成之指示或
買賣或已產生的法定權利或責任。
19.3 I am/ We are responsible for reviewing all acknowledgements, confirmations, daily activities summaries and account statements in relation to my/our transactions
and my/our account immediately upon receipt.
我們(等)有責任於收獲有關本人(等)戶口有關的通知書、確認書、日結單及結單時，馬上審閱。
All transactions and other information in any acknowledgements, confirmations, daily activities summaries or statements will be binding on me/us unless you
receive notice of objection in writing or via electronic mail within 48 hours after my/our receive or are deemed to have received the same. You have the right to
determine the validity of my/our objection to the relevant transaction or information.
除非本人於收獲通知書、確認書、日結單及結單 48 小時內，就其內容通過書面或電郵提出異議。否則該等交件上所列明的交易及其他資料，會對本人(等)
有約束力。而 貴公司對本人(等)提出的異議，有最終的決定權。
Subject to any contrary legal or regulatory requirement, I/we agree to any daily activities summaries or other confirmations or statements to be in electronic form
and further agree to receive them through electronic means.
除另有法例或法規要求外，本人(等)同意所有日結單或其他確認書或結單，都可以電子方式送出，而本人(等)亦同意從電子媒介中收取該等資料。

20 Severability 局限應用
Any term, stipulation, provision, or undertaking in the Agreement which is illegal, void, prohibited or unenforceable in any jurisdiction shall be ineffective only to
the extent of such illegality, voidness, prohibition or unenforceability without invalidating the remaining hereof, and any such illegality, voidness, prohibition or
unenforceability in any jurisdiction shall not invalidate or render illegal, void or unenforceable any such term, condition, stipulation, provision, covenant or
undertaking in any other jurisdiction.
本合約中之條款、規定、條文、承擔，有對某一裁判權而言，為非法、無效、禁止實施或不能實施者，則在此等非法、無效、禁止實施或不能實施，祇
局限於該裁判權範圍內，本合約之其他餘下者仍然有效。再且，上述情況不會導致此等條款、規定、條文、承擔等在另一裁判權範圍內非法、無效、禁
止實施或不能實施。

21 Assignment 轉讓
21.1 The benefit and burden of the Agreement is personal to me/us and shall not be capable of assignment by me/us without your consent.
本協議書範圍內之權益及責任，祇屬於本人(等)本身的權益及責任，未經 貴公司同意，本人(等)不得將其轉讓予他人。
21.2 We agree that you may transfer your rights and obligations under the Agreement without my/our consent.
本人(等)同意可轉讓 貴公司在本協議書下的權利和義務而不須取得本人(等)的同意

22 Risk Disclosure Statement 風險披露聲明書
I/We hereby acknowledge:
本人(等)明白：