互聯網證券買賣協議（附加於現金／保證金客戶協議書）（通用3篇）

互聯網證券買賣協議（附加於現金／保證金客戶協議書） 篇1

　　本人/吾等乃貴公司證券戶口_________號（“戶口”）之戶口持有人，本人/吾等之證券客戶合約於_________簽訂。本人/吾等同意開立一個或多個證券買賣戶口，并同意以本人/吾等名義或代表本人/吾等就證券買賣及相關事宜，通過網上交易服務運作戶口，本人/吾等同意，戶口由貴公司透過貴公司的網上交易服務按照證券客戶合約及下列條款及條件（并受其規限）運作：

　　1.定義及解釋

　　1.1　在本協議中，以下詞語具有下列涵義：

　　“進入密碼”指密碼及戶口號碼；

　　“戶口”指本人在貴公司開立的互聯網買賣戶口，經由網上交易服務運作；

　　“網上交易服務”指_________根據本協議提供的網上買賣服務，包括電子買賣服務，_________網址上的任何資料，以及其中的軟件；

　　“電子買賣服務”指本人/吾等發出電子指令的設施，以及網上交易服務提供的資訊服務；

　　“指令”指以電子方式買賣證券的買賣指令或其他處理指令；

　　“互聯網買賣政策”指有關網上交易服務運作的政策（經不時修訂）；

　　“密碼”指本人/吾等與帳號一并使用的個人密碼，據之可進入該服務；

　　“證券客戶合約”指_________公司之現金客戶協議書或保證金客戶協議書；

　　“_________”指_________公司；

　　“帳號”指客戶與密碼一并使用的個人密碼，據之可進入電子買賣服務，以及其他網上交易服務提供的服務；

　　1.2　單數詞語包括眾數詞語，反之亦然。提到一種性別之處，包括所有性別。“人士”一詞，包括商號或獨資經營，合伙經營，集團及法人公司，反之亦然。

　　2.網上交易服務

　　2.1　本人/吾等了解，電子買賣服務為一半自動設施，讓本人/吾等發出電子指令，并接收信息服務。

　　2.2　本人/吾等同意使用電子買賣服務，必須遵照本協議條款及證券客戶合約。本人/吾等使用日後經由網上交易服務提供的其他服務，亦必須遵照本協議條款及客戶協議書。

　　2.3　本人/吾等為戶口項下電子買賣服務的唯一獲授權使用者。本人/吾等需對進入密碼的保密及使用承擔責任。本人/吾等承認及同意，本人/吾等需就使用進入密碼輸進電子買賣服務的所有指令負責，而貴公司，貴公司董事，高級職員或雇員概毋需對本人/吾等，或經由本人/吾等提出申索的任何其他人士（就任何有關處理，錯誤處理或遺失任何指示）的申索承擔責任。

　　2.4　本人/吾等承認，網上交易服務的所有人權益屬貴公司。本人/吾等保證及承諾，本人/吾等不會（亦不會嘗試）平擾，修改，拆解，易轉，操縱或以其他方式修改（且亦不會嘗試未獲授權進入）網上交易服務的任何部份。本人吾等承認，若本人/吾等在任何時候違反是項保證及承諾，或實公司在任何時候合理懷疑本人/吾等違反是項保證及承諾，則貴公司可向本人/吾等采取法律行動。本人/吾等承諾，若本人/吾等知悉任何人士干犯本段上文所述任何行動，則本人/吾等須即時通知貴公司。

　　2.5　本人/吾等進一步承認及同意，作為使用電子買賣服務發出指令的先決條件，若有下列情況，本人/吾等需即時通知貴公司：

　　a.有關戶口的指令已經由電子買賣服務作出，而本人/吾等未收到命令編號；

　　b.有關戶口的指令已經由電子買賣服務作出，而本人/吾等未收到對指令或其執行的準確認收（不論經硬本，電子或口頭）；

　　c.本人/吾等收到交易指示的認收（不論經硬本，電子或口頭），但該等交易指示并非本人/吾等作出，或其他類似的不一致情況；

　　d.本人/吾等知悉戶口號碼或密碼的任何未經授權使用。

　　2.6　本人/吾等了解，貴公司擬備網上買賣政策，列出網上交易服務運作政策及程序。該政策可經由網址取得，在任何時候均適用。該政策的條款，對本人/吾等對使用網上交易服務具約束力。若本協議條款與網上買賣政策不一致，以本協議條款為準。

　　2.7　本人/吾等承認_________網址若提供報價服務，乃由貴公司不時指定的第三方提供者提供。本人/吾等承認及同意，對本人/吾等在任何方面因報價服務或因本人/吾等依賴該服務而發生或與之有關的任何損失，費用，支出，損害賠償或申索貴公司概毋須承擔責任。

　　2.8　本人/吾等了解，就提供資訊而言，電子買賣服務只提供由第三方刊發的證券資料。因市場波動及資料傳送過程的延誤，該等資料可能并非有關證券或投資的實時市場報價。本人/吾等了解，雖然貴公司相信該等資料可靠，但沒有獨立基準可茲證實（否定）所提供資料的準確及完整性。本人/吾等了解，不應從所提供的任何證券或投資資料而推斷貴公司作出任何推薦或認可。

　　2.9　本人/吾等了解，在電子買賣服務中提供的資料，以“現狀”及“可提供”基準提供，貴公司并不保證該等資料的時候，順序，準確性，足夠性或完整性。貴公司沒有就該等資料作出明示或默示保證（包括但不限於可商售性或就某一用途的適合性而作出的保證）。

　　2.10　本人/吾等接受經由互聯網或其他電子方法或設施接受或取得服務以及經由互聯網或其他電子設備或設施溝通或進行交易所帶來的風險。

　　3.戶口

　　3.1　本人/吾等承認，本人/吾等只可經由互聯網進入戶口，本人/吾等承認，若本人/吾等在經由互聯網接觸貴公司時有任何困難，本人/吾等需嘗試使用其他方法與貴公司溝通，并把所遇困難知會貴公司。

　　3.2　開戶口時，本人/吾等需在戶口申請表上寫明本人/吾等就使用該服務而存入首筆按金的款額。該款額可由本人/吾等親自以支票，銀行本票存入或以電傳存入貴公司的辦事處或銀行戶口。本人/吾等承認貴公司收到戶口申請表上所載有效款項後，方會把進入密碼通知本人/吾等。

　　4.指令——經網上交易服務買賣

　　4.1　如因故障，通訊設施傳送失敗，或通訊媒體不可靠或并非貴公司所能控制或預期的一或多項原因，以致在傳送，收取或執行指令上有所延誤貴公司毋須承擔責任。

　　4.2　本人/吾等了解，向傳播市場資料的各方提供市場資料的每一參與證券交易所或組織，對其提供的全部資料申張財產權益。本人/吾等亦了解，任何方概不保證市場資料或任何其他市場信息的時效，序列，準確或完整性。任何損失或損害，若因下列原因或由其產生，貴公司或任何傳播方概毋須承擔任何責任：任何該等資料，資訊或信息不準確，錯誤，延誤或遺漏；或該等資料，資訊或信息傳送或交付時的任何不準確，錯誤，延誤或遺漏；或任何該等資料，資訊或信息因貴公司或任何傳播方的疏忽行為以致無法履行或提供；或任何不可抗力事件；或任何其他非貴公司所能控制或任何傳播方所能合理控制的其他原因。本人/吾等只會把股票報價用於自身用途，不會因任何原因向任何其他人士或實體提供該等資料。

　　4.3　本人/吾等承認，因無法預料的通訊擠塞及其他原因，互聯網是存有內在不可靠性的通訊媒體，而該不可靠性非貴公司所能控制。本人/吾等承認，因該不可靠性，在傳送及接收指令及其他資料時可能有延誤，以致執行指令的延誤及/或執行指令的價格與發出指令時的價格不同。本人/吾等進一步承認及同意，任何通訊均有誤解或錯誤的風險，而該等風險需絕對由本人/吾等承擔。本人/吾等承認及同意，指令一經發出，通常不可取消。

　　5.境外指令

　　若本人/吾等在香港以外地方向貴公司發出指令，本人/吾等同意確保及聲明，該等指令嚴格遵守該等指令發出時所在相關司法轄區的任何適用法律。本人/吾等進一步同意，本人/吾等有疑問時會諮詢相關司法轄區的法律顧問。本人/吾等接受在香港以外地區發出的指令，可能需向相關當局支付稅費，本人/吾等同意支付該等適用稅費。本人/吾等同意，按要求彌償貴公司因本人/吾等在香港以外地區發出指令而發生的任何損害，損失，費用，法律程序，要求或申索。

　　6.風險披露聲明

　　電子交易風險在交易高峰，市場波動，系統升級及維護或其他時間，互聯網或其他電子設施的進入可能會受到限制甚至無法進入。通過互聯網或其他電子設施進行的交易可能會因不可預測的流量堵塞和其他貴公司無法控制的原因而受到干擾，傳輸中斷，以及傳輸延誤。由於技術上的制約，互聯網是一種不完全可靠的通訊媒介。由於這種不可靠性原因，交易指令及其他資訊的傳輸和接收可能會有延誤，而這會導致交易指令在執行上的延誤，或者交易執行的價格已不同于指令發出時的市場價格。而且，通信和個人資料可能會被未經授權的第三方取得，且在通信上會存在誤解或錯誤的風險，而這些風險將完全由本人/吾等承擔。本人/吾等確認并同意，交易指令一旦發出通常將不可能取消。

　　簽署確認

　　本人/吾等，為下述簽署人，茲承認本人/吾等已閱讀，知悉，及明白本協議之內容并接受其條款及條件。

　　客戶（簽字）：_________　　　　　　　　客戶主任（簽字）：_________

　　_________年____月____日　　　　　　　　_________年____月____日

　　見證人（簽字）：_________

　　_________年____月____日

　　附件

　　i/we am/are the client holding the securities account(s) with you numbered _________ (the "account") and refer to my/our cash/margin client’s agreements in respect of the account dated _________. i/we agree that the account may be to open one or more securities trading account(s) (the "account") to be operated through internet trade service，in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of securities，and i/we agree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to the securities client’s agreement:

　　i/we am/are the client holding the securities account(s) with you numbered _________ (the "account") and refer to my/our cash/margin client’s agreements in respect of the account dated _________. i/we agree that the account may be to open one or more securities trading account(s) (the "account") to be operated through internet trade service，in my/our name or on my/our behalf for the purpose of and in connection with the sale and purchase of securities，and i/we agree that the account shall be operated in accordance with and subject to the following terms and conditions in addition to the securities client’s agreement:-

　　1.　definition and construction

　　1.　definition and construction

　　1.1　in this agreement，the following terms shall bear the following meanings:

　　1.1　in this agreement，the following terms shall bear the following meanings:

　　" access codes" means together the password and the user name;

　　（1）" access codes" means together the password and the user name;

　　（2）" account" means my internet securities trading account with you operated through the internet trade service;

　　" account" means my internet securities trading account with you operated through the internet trade service;

　　"internet trade service" means the on-line securities trading service provided by _________ under this agreement comprising the electronic trading ervice，any information contained in _________ web site and the software comprised in them;

　　（3）"internet trade service" means the on-line securities trading service provided by _________ under this agreement comprising the electronic trading ervice，any information contained in _________ web site and the software comprised in them;

　　（4）"electronic trading service" means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade;

　　"electronic trading service" means the facility which enables me/us to give electronic instructions and to access the information services provided by the internet trade;

　　"instruction" means any instruction for the buying or selling of or otherwise dealing in any securities;

　　（5）"instruction" means any instruction for the buying or selling of or otherwise dealing in any securities;

　　（6）"internet trading policy" means the policy relating to the operation of the internet trade service as amended from time to time;

　　"internet trading policy" means the policy relating to the operation of the internet trade service as amended from time to time;

　　"password" means my/our personal password used in conjunction with the user name to gain access to the service;

　　（7）"password" means my/our personal password used in conjunction with the user name to gain access to the service;

　　（8）"client’s agreement" means _________ cash client’s agreement or margin client’s agreement;

　　"client’s agreement" means _________ cash client’s agreement or margin client’s agreement;

　　"_________" means _________ securities limited;

　　（9）"_________" means _________ securities limited;

　　（10）"user name" means the client’s personal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.

　　"user name" means the client’s personal identification used in conjunction with the password to gain access to the electronic trading service and other services offered by phoenix capital.

　　1.2　words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shall　include a firm or sole proprietorship，partnership，syndicate and corporation and vice versa.

　　1.2　words denoting the singular shall include the plural and vice versa， reference to one gender shall include all genders and words denoting person shallinclude a firm or sole proprietorship，partnership，syndicate and corporation and vice versa.

　　2.　internet trade service

　　2.　internet trade service

　　2.1　i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.

　　2.1　i/we understand that the electronic trading service is semi-automated facility which enables me/us to send electronic instructions and receive information services.

　　2.2　i/we agree to use the electronic trading service and any additional services offered through the internet trade service only in accordance with the terms of this agreement in addition to the client’s agreement.

　　2.2　i/we agree to use the electronic trading service and any additional services offered through the internet trade service only in accordance with the terms of this agreement in addition to the client’s agreement.

　　2.3　i/we shall be the only authorized user of the electronic trading service under the account.i/we understand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electronic trading service using the access code and neither you nor your directors，officers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/us，for any claims with respect to the handling， mishandling or loss of any instruction.

　　2.3　i/we shall be the only authorized user of the electronic trading service under the account.i/we understand and acknowledge that the internet trade service relies on the access codes to authenticate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access codes. i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electronic trading service using the access code and neither you nor your directors，officers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/us，for any claims with respect to the handling， mishandling or loss of any instruction.

　　2.4　i/we acknowledge that the internet trade service is proprietary to you. i/we warrant and undertake that i/we shall not， and shall not attempt to， tamper with， modify， decompile， reverse engineer or otherwise alter in any way， and shall not attempt to gain unauthorized access to， any part of the internet trade service. i/we acknowledge that you may take legal action against me/us， if i/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that i/we have 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.

　　2.4　i/we acknowledge that the internet trade service is proprietary to you. i/we warrant and undertake that i/we shall not， and shall not attempt to， tamper with， modify， decompile， reverse engineer or otherwise alter in any way， and shall not attempt to gain unauthorized access to， any part of the internet trade service. i/we acknowledge that you may take legal action against me/us， if i/we at any time breach this warranty and undertaking or if you at any time reasonably suspect that i/we have 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.

　　2.5　i/we further acknowledge and agree that， as a condition of using the electronic trading service to give instructions， i/we shall immediately notify you if:

　　2.5　i/we further acknowledge and agree that， as a condition of using the electronic trading service to give instructions， i/we shall immediately notify you if:

　　（1）an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number;

　　a.　an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an order number;

　　b.　an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an accurate acknowledgement of the instruction or of its execution (whether by hard copy， electronic or verbal means);

　　（2）an instruction in respect of the account has been placed through the electronic trading service and i/we have not received an accurate acknowledgement of the instruction or of its execution (whether by hard copy， electronic or verbal means);

　　（3）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; or

　　c.　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; or

　　d.i/we become aware of any unauthorized use of the user name or password.

　　2.6　i/we understand that you shall prepare the internet trading policy setting out the operation policy and procedures of the internet trade service applicable at any time which shall be available at the internet trade web site the terms of which shall be binding on me/us in respect of my/our use of the internet trade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.

　　（4）i/we become aware of any unauthorized use of the user name or password.

　　2.6　i/we understand that you shall prepare the internet trading policy setting out the operation policy and procedures of the internet trade service applicable at any time which shall be available at the internet trade web site the terms of which shall be binding on me/us in respect of my/our use of the internet trade service. in the event of inconsistencies between the terms of this agreement and the internet trading policy， the terms of this agreement shall prevail.

　　2.7　i/we acknowledge that the price quotation service， if any， for securities， available at the internet trade web site is provided by a third party provider appointed by you from time to time. i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， expenses， damages or claims which i/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.

　　2.7　i/we acknowledge that the price quotation service， if any， for securities， available at the internet trade web site is provided by a third party provider appointed by you from time to time. i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， expenses， damages or claims which i/we may suffer as a result of or in connection with any aspect of the quote service including my/our reliance on such service.

　　2.8　i/we understand that the electronic trading services may provide， for informational purpose only， data about securities published by third parties. owing to market volatility and possible delay in the data-transmission process， the data may not be real-time market quotes for the relevant securities or investment. i/we understand that whilst you believe such data to be reliable， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.

　　2.8　i/we understand that the electronic trading services may provide， for informational purpose only， data about securities published by third parties. owing to market volatility and possible delay in the data-transmission process， the data may not be real-time market quotes for the relevant securities or investment. i/we understand that whilst you believe such data to be reliable， there is no independent basis for you to verify or contradict the accuracy or completeness of the information provided by third parties. i/we understand that no recommendation or endorsement from you shall be inferred from the data provided with respect to any securities or investment.

　　2.9　i/we understand that information provided in the electronic trading services is provided on an ’’as is"， ’’as available" basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or completeness of such information. you give no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information.

　　2.9　i/we understand that information provided in the electronic trading services is provided on an ’’as is"， ’’as available" basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or completeness of such information. you give no express or implied warranties (including but not limited to warranties of merchantability or fitness for a particular use) with respect to such information.

　　2.10　i/we accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the internet or other electronic means or facilities for the purpose of the internet trade service.

　　3.　the account

　　2.10　i/we accept the risks of receiving or gaining access to services through and communicating and conducting transactions over the internet or other electronic means or facilities for the purpose of the internet trade service.

　　3.　the account

　　3.1　i/we acknowledge that i/we may only access the account through the internet and i/we agree that should i/we experience any problems in reaching you through the internet， i/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty i/we am/are experiencing.

　　3.1　i/we acknowledge that i/we may only access the account through the internet and i/we agree that should i/we experience any problems in reaching you through the internet， i/we shall attempt to use alternative methods to communicate with you and inform you of the difficulty i/we am/are experiencing.

　　3.2　when opening the account， i/we shall state in the account application the amount of my/our initial deposit of funds in the account for the use with the internet trade service. such amount shall be paid to your offices or bank account either by cheque， bankers draft or telegraphic transfer. i/we acknowledge that the access codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.

　　4.　instructions- dealings through the internet trade service

　　3.2　when opening the account， i/we shall state in the account application the amount of my/our initial deposit of funds in the account for the use with the internet trade service. such amount shall be paid to your offices or bank account either by cheque， bankers draft or telegraphic transfer. i/we acknowledge that the access codes shall not be notified to me/us until cleared funds in the amount stated on the account application have been received by you.

　　4.　instructions- dealings through the internet trade service

　　4.1　you shall not be responsible for delays in the transmission， receipt or execution of instructions due to either transmission of communication facilities， or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.

　　4.1　you shall not be responsible for delays in the transmission， receipt or execution of instructions due to either transmission of communication facilities， or unreliable medium of communication or to any other cause or causes beyond your control or anticipation.

　　4.2　i/we understand that each participating securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. i/we also understand that no party guarantees the timeliness， sequence， accuracy or completeness of market data or any other market information. neither you nor any disseminating party shall be liable in any way for any loss or damage arising from or caused by any inaccuracy， error or delay in or omission from any such data， information or message， or the transmission or delivery of the same， non-performance or interruption of any such data， message or information due to any negligent act of you or any disseminating party， or to any force majeure event， or any other cause beyond your control or the reasonable control of any disseminating party. i/we shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.

　　4.2　i/we understand that each participating securities exchange or association asserts a proprietary interest in all of the market data it furnishes to the parties who disseminate such data. i/we also understand that no party guarantees the timeliness， sequence， accuracy or completeness of market data or any other market information. neither you nor any disseminating party shall be liable in any way for any loss or damage arising from or caused by any inaccuracy， error or delay in or omission from any such data， information or message， or the transmission or delivery of the same， non-performance or interruption of any such data， message or information due to any negligent act of you or any disseminating party， or to any force majeure event， or any other cause beyond your control or the reasonable control of any disseminating party. i/we shall use stock quotation for my/our individual use only and shall not furnish such data to any other person or entity for any reason.

　　4.3　i/we acknowledge that the internet is， due to unpredictable traffic congestion and other reasons， an inherently unreliable medium of communication and that such unreliability is beyond your control. i/we acknowledge that， as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing at the time the instructions were given. i/we further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that instruction may not be cancelled after it has been given.

　　5.　instructions outside hong kong

　　4.3　i/we acknowledge that the internet is， due to unpredictable traffic congestion and other reasons， an inherently unreliable medium of communication and that such unreliability is beyond your control. i/we acknowledge that， as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing at the time the instructions were given. i/we further acknowledge and agree that there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that instruction may not be cancelled after it has been given.

　　5.　instructions outside hong kong

　　if i/we give any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my instruction is given， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdiction. i/we accept that there may be taxes or charges payable to relevant authorities in respect to any instruction given outside hong kong ， and i/we agree to pay such taxes or charges as possible.

　　6.　risk disclosure statement

　　if i/we give any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been given in compliance with any applicable law of the relevant jurisdiction from which my instruction is given， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdiction. i/we accept that there may be taxes or charges payable to relevant authorities in respect to any instruction given outside hong kong ， and i/we agree to pay such taxes or charges as possible.

　　6.　risk disclosure statement

　　risk of electronic trading. access to the internet or other electronic devices may be limited or unavailable during periods of peak demand， market volatility， systems upgrades or maintenance or for other reasons. transactions conducted through the internet or other electronic devices may be subject to interruption， transmission blackout， and delayed transmission due to unpredictable traffic congestion and other reasons beyond your control. internet is， due to technical limitation， an inherently unreliable medium if communication. as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing prices at the time the instructions are given. moreover， communications and personal data may be accessed by authorized third parties; and there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that it shall not usually be possible to cancel an instruction after it has been given.

　　acknowledgement

　　risk of electronic trading. access to the internet or other electronic devices may be limited or unavailable during periods of peak demand， market volatility， systems upgrades or maintenance or for other reasons. transactions conducted through the internet or other electronic devices may be subject to interruption， transmission blackout， and delayed transmission due to unpredictable traffic congestion and other reasons beyond your control. internet is， due to technical limitation， an inherently unreliable medium if communication. as a result of such unreliability， there may be delays in the transmission and receipt of instructions and other information and that this may result in delays in the execution of instructions and/or the execution of instructions at prices different from those prevailing prices at the time the instructions are given. moreover， communications and personal data may be accessed by authorized third parties; and there are risks of misunderstanding or errors in any communication and that such risks shall be absolutely borne by me/us. i/we acknowledge and agree that it shall not usually be possible to cancel an instruction after it has been given.

　　acknowledgement

　　i/we，the undersigned， hereby acknowledge that i/we have read， is/are aware of and understand the contents of the client’s agreement and accept its terms and conditions thereof.

　　date:_________.

　　i/we，the undersigned， hereby acknowledge that i/we have read， is/are aware of and understand the contents of the client’s agreement and accept its terms and conditions thereof.

　　client(signature):_________　　　　　　account executive(signature):_________

　　print name of client:_________

　　date:_________　　　　　　　　　　　　 date:_________

　　signed by account executive:_________

　　witness(signature):_________

　　print name of witness:_________

　　date:_________

互聯網證券買賣協議（附加於現金／保證金客戶協議書） 篇2

　　銀期轉帳劃轉保證金規定：

　　一、本申請書提交受理后，在當天開通銀期轉帳功能。銀期轉帳營業時間：周一到周五的9：00-15：30。

　　二、客戶_________卡姓名必須與保證金賬戶姓名一致，為同一人。

　　三、此功能僅限個人使用。發現公款私存，期貨公司(銀行)有權取消功能，無需預先通知。

　　四、客戶請牢記_________卡密碼，卡丟失后，請及時向_________銀行_________分行營業網點辦理掛失。

　　五、期貨公司和銀行可調整本功能，書面在營業場所公布，客戶10日內未提出異議視為認可。

　　六、銀行和期貨公司終止本功能將提前一個月在營業場所公布。

　　七、本協議書由客戶申請，期貨公司審核，銀行備案。

　　八、當客戶有持倉頭寸時，只可按可用資金的60%提取，但若當天提取金額超過日轉賬上限_________元，則需到_________期貨經紀有限公司財務部辦理手續。客戶清戶時需到_________期貨經紀有限公司財務部辦理手續。

　　九、當市場價格發生劇烈變化時，期貨公司有權臨時暫停交易風險較大客戶的銀期轉帳功能。

　　十、申請人作以下承諾：

　　(一)本人自愿申請使用銀期轉帳功能，辦理以上_________卡與期貨公司資金賬戶間的自動轉帳，并對系統執行的有效委托負完全責任。

　　(二)本人保證以上填寫資料真實、準確、有效，如有關資料發生變化時，及時備齊有效證件到期貨公司辦理變更手續，所有變更資料被受理后次日生效。

　　(三)本人保守各個密碼秘密，對密碼相符的一切交易承擔全部責任。

　　(四)如因以下原因或使系統無法按時執行資金轉帳指令，本人自愿放棄提出異議和請求經濟陪償的權利。

　　1.本人期貨保證金賬戶或_________卡之一項或同時已掛失、銷戶、或依法凍結。

　　2.因本人期貨保證金賬戶或_________卡可用余額不足導致交易不成功。

　　3.本人當日轉帳額超過本系統規定的轉帳金額、次數限制。

　　4.指令下達超過本系統規定的營業時間。

　　5.由于不可抗力因素，如通訊故障、電力中斷、系統穩定性等因素造成本系統無法受理委托指令。

　　6.本人密碼或_________卡在書面掛失前，已被他人冒領資金。

　　十一、銀期轉帳劃轉保證金業務只適用于_________市_________卡的客戶。

　　十二、本協議一式三份，具有同等法律效力。

　　申請人(簽字)：_________　　　　　　　_________銀行(蓋章)

　　負責人(簽字)：_________

　　_________年____月____日　　　　　　　　_________年____月____日

　　簽訂地點：_________　　　　　　　　　　簽訂地點：_________

　　_________期貨經紀有限公司(蓋章)

　　負責人(簽字)：_________

　　_________年____月____日

　　簽訂地點：_________

互聯網證券買賣協議（附加於現金／保證金客戶協議書） 篇3

　　編號：

　　保證金合同

　　交通銀行股份有限公司

　　編號：

　　保證金合同

　　重要提示

　　請甲方認真閱讀本合同全文，尤其是帶有▲▲標記的條款。如有疑義，請及時提請乙方予以說明。

　　為保障債務人和乙方之間已經或將要簽訂的主合同項下全部債權的實現，甲方提供保證金質押擔保。

　　為明確雙方權利義務，甲方與乙方經協商一致，特訂立本合同。

　　第一條 主債權

　　1.1甲方擔保的主債權為主合同(有多個主合同的指全部主合同，下同)項下的全部主債權，包括乙方根據主合同向債務人發放的各類貸款、透支款、貼現款和/或各類貿易融資款(包括但不限于進口押匯、進口代收融資、進口匯出款融資、出口押匯、出口托收融資、出口發票融資、出口訂單融資、打包貸款、國內信用證押匯、國內信用證議付、國內保理融資、進出口保理融資等)，和/或者，乙方因已開立銀行承兌匯票、信用證或擔保函(包括備用信用證，下同)而對債務人享有的債權(包括或有債權)，以及乙方因其他銀行授信業務而對債務人享有的債權(包括或有債權)。

　　本合同約定的銀行授信業務，是指銀行向客戶直接提供資金支持，或者對客戶在有關經濟活動中可能產生的賠償、支付責任做出保證。包括但不限于前述列明的任一項、多項業務或其他名稱的業務。

　　▲▲1.2 任一筆主債權本金的幣種、金額、利率和債務履行期限等具體內容由乙方和債務人雙方在主合同(包括主合同下額度使用申請書和/或乙方和債務人雙方簽署的其他名稱的文件，額度使用申請書和其他名稱的文件在本合同中合稱“額度使用申請書”，下同)中具體約定。

　　按照本合同第9.2(2)條和9.2(3)條約定提供最高額質押的，主合同的額度是否可以循環使用、額度的用途、每次使用額度時的具體用途以及授信期限等均由乙方和債務人雙方在主合同中具體約定。對于按照第9.2(2)條的約定提供的最高額質押，在主合同約定的授信期限內發生的主債權均受本合同擔保;對于按照第9.2(3)條的約定提供的最高額質押，在第9.2(3)條約定的期間內發生的主債權均受本合同擔保。

　　1.3 按照本合同第9.2(2)條和第9.2(3)條約定，甲方為債務人提供最高額質押擔保的，適用本款以下約定。

　　本合同項下被擔保的主債權在下列日期最早發生之日(“主債權確定日”)確定：

　　(1)全部主合同項下最后一筆主債權的發生日;

　　(2)乙方根據主合同取消全部授信額度之日;

　　(3)保證金被查封、凍結的，查封或凍結之日;

　　(4)債務人、甲方被宣告破產或被撤銷之日。

　　主債權確定日當日及之前發生的主債權及其持續至甲方承擔責任時產生的利息(包括復利、逾期及挪用罰息)、違約金、損害賠償金及第二條約定的乙方實現債權和質權的費用均屬本合同擔保的范圍。

　　主債權的發生指乙方發放貸款、融資款、透支款或開立銀行承兌匯票、信用證、擔保函或備用信用證。

　　▲▲1.4 乙方根據主合同享有的債權的實際金額無論低于還是高于本合同約定的最高債權額，均不影響甲方根據本合同約定承擔保證金質押擔保責任。

　　第二條 擔保責任

　　2.1甲方為債務人向乙方提供保證金質押擔保。保證金及利息用于擔保主合同項下本金及利息、復利、罰息、違約金、損害賠償金和實現債權及質權的費用。實現債權及質權的費用包括但不限于催收費用、訴訟費(或仲裁費)、保全費、公告費、執行費、律師費、差旅費及其它費用。

　　▲▲2.2 根據第9.2(1)條約定提供保證金質押擔保的， 甲方已認真閱讀了主合同，并確認了所有條款。

　　根據第9.2(2)條和第9.2(3)條約定提供最高額質押擔保的，對本合同簽訂前已簽訂的主合同，甲方已認真閱讀了主合同，并確認了所有條款。對本合同簽訂后將簽署的主合同，甲方同意，乙方和債務人雙方簽訂主合同無需通知甲方或征得甲方同意，甲方將自行聯系債務人提供相關文件。

　　▲▲2.3根據第9.2(1)條約定提供保證金質押擔保的，乙方和債務人變更主合同的，甲方仍應承擔擔保責任。但是，未經甲方書面同意變更主合同且增加合同金額、提高利率或延長債務履行期限的，甲方僅按原主合同約定的金額、利率和期限承擔擔保責任;但是，在主合同未變更的前提下，乙方依據主合同約定調整利率(包括提高利率)或延長債務履行期限的，甲方仍應承擔全部擔保責任。

　　根據第9.2(2)條和第9.2(3)條約定提供最高額質押擔保的，乙方和債務人變更主合同的，包括但不限于變更主合同額度金額、授信期限、債務履行期限、利率及其他條款，無需通知甲方或征得甲方同意，甲方仍應承擔擔保責任。但是，對于第9.2(2)條，未經甲方書面同意增加主合同額度金額或延長授信期限的，甲方僅對原授信期限內發生的主債權在本合同約定的最高債權額內承擔擔保責任;對于第9.2(3)條，無論主合同發生何種變化，甲方對發生在第9.2(3)條約定期間內的主債權在本合同約定的最高債權額內承擔擔保責任。

　　▲▲2.4 本合同雙方特別約定如下：本合同效力獨立于主合同，主合同或其有關條款無效時不影響本合同的效力。對債務人在主合同無效后應承擔的返還責任或賠償責任，甲方應承擔連帶責任。

　　▲▲第三條 保證金自存入之日起即轉移為乙方占有。在主合同項下債務未得到全部清償前，未經乙方書面同意，甲方不得動用。

　　▲▲第四條 主合同項下債務到期時，乙方有權扣收保證金及利息。

　　▲▲第五條 信息披露與保密

　　5.1對于在本合同簽訂和履行過程中獲取和知悉的甲方的未公開信息和資料，乙方對相關信息和資料的使用不得違反法律法規和監管要求，并應依法承擔保密責任，不向第三方披露該等信息和資料，但下列情形除外：

　　(1)適用法律法規要求披露的;

　　(2)司法部門或監管機構依法要求披露的;

　　(3)甲方未按約定承擔擔保責任時，乙方為實現本合同項下擔保債權需向乙方的外部專業顧問披露和允許乙方的外部專業顧問在保密的基礎上使用的;

　　(4)甲方同意或授權乙方進行披露的。

　　5.2甲方確認已簽署《信用信息查詢和提供授權書》。乙方在授權書規定的范圍內查詢、使用和保存甲方的信用信息。

　　5.3在本合同第5.1條和第5.2條規定的情形外，甲方進一步同意交通銀行股份有限公司在如下情形可以使用或披露甲方的信息和資料，包括但不限于甲方的基本信息、信貸交易信息、不良信息及其他相關信息和資料等，愿意承擔由此產生的一切后果：

　　為下列目的向業務外包機構、第三方服務供應商、其他金融機構及乙方認為必要的其他機構或個人，包括但不限于交通銀行股份有限公司的其他分支機構，或者交通銀行股份有限公司完全或部分擁有的子公司，披露和允許其在保密的基礎上使用該等信息和資料：①為開展銀行授信業務或與銀行授信業務有關，例如推廣交通銀行股份有限公司授信業務、催收甲方欠款、轉讓銀行授信業務債權等;②為乙方向甲方提供或可能提供新產品或服務或進一步提供服務。

　　本第5.3條是否適用，以雙方在本合同第十一條約定為準。

　　第六條 甲方的陳述保證和義務

　　6.1 甲方具有民事權利能力和完全民事行為能力(甲方為自然人的)/甲方依法設立并合法存續，具備所有必要的權利能力，能以自身名義履行本合同的義務并承擔民事責任。

　　6.2 簽署和履行本合同是甲方真實的意思表示，并經過所有必須的同意、批準及授權，不存在任何法律上的瑕疵。

　　6.3 甲方在簽署和履行本合同過程中向乙方提供的全部文件、報表、資料及信息是真實、準確、完整和有效的。

　　6.4甲方對所提供的保證金具有充分的處分權，若甲方提供的保證金為甲方與其他人共有，則甲方以該保證金提供質押擔保的行為已經獲得其他所有必要的同意。

　　▲▲6.5甲方及其關聯方均不屬于聯合國、歐盟或美國制裁名單內的企業或個人，不位于被聯合國、歐盟或美國制裁的國家和地區。

　　甲方或其關聯方被納入聯合國、歐盟或美國的制裁名單，或者其所在國家和地區被納入聯合國、歐盟或美國制裁國家和地區名單的，甲方應立即書面通知乙方。

　　6.6甲方保證遵守國家反洗錢法律、法規及相關政策要求，不從事涉及洗錢、恐怖融資的活動，積極配合乙方開展客戶身份識別、交易記錄保存、大額和可疑交易報告等各項反洗錢工作。

　　6.7甲方保證，甲方及甲方員工及代理人不以任何形式向乙方或乙方員工提供、給予、索取或收受本合同約定以外任何形式的物質利益(包括但不限于現金、實物卡、旅游等)或其他非物質利益;不將乙方提供的資金或服務以任何形式直接或間接地用于與貪腐或賄賂有關的活動;甲方如知曉任何違反本條約定的情形，應及時如實、完整、準確地向乙方提供線索和相關信息，按照乙方的要求配合相關事宜。

　　第七條 本合同適用中華人民共和國法律(為本合同目的不包括香港、澳門和中國臺灣地區的法律)。本合同項下爭議向乙方所在地有管轄權的法院起訴，本合同“其他約定事項”條款另有約定的除外。爭議期間，各方仍應繼續履行未涉爭議的條款。

　　第八條 本合同自下列條件全部滿足之日起生效：(1)甲方法定代表人(負責人)或授權代表簽字(或蓋章)并加蓋公章;甲方為自然人的，甲方簽字;(2)乙方負責人或授權代表簽字(或蓋章)并加蓋單位印章。

　　第九條 擔保的主合同

　　9.1 被擔保的“債務人”為 。

　　9.2 本合同提供的擔保適用以下第 項約定：

　　(1)質押

　　擔保的主合同編號： 名稱： ;

　　(2)最高額質押

　　擔保的主合同編號： 名稱： ，擔保的最高債權額為(幣種及大寫金額)： 。

　　(3)最高額質押

　　甲方為乙方與債務人在 年 月 日至 年 月 日期間簽訂的全部主合同提供最高額質押擔保，甲方擔保的最高債權額為(幣種及大寫金額)： 。

　　前款所稱主合同指：乙方與債務人□簽訂的全部授信業務合同□為辦理 簽訂的全部授信業務合同。

　　第十條 保證金賬戶(賬號)： ,保證金金額：(幣種及大寫金額) ,計息方式：　 　　　　　。

　　第十一條 其他約定事項

　　11.1雙方同意，本合同□適用□不適用第5.3條。

　　11.2 □各方同意將本合同第七條約定的爭議管轄法院(即“乙方所在地有管轄權的法院”)修改為： 。

　　第十二條 本合同正本一式 份，雙方各執 份。

　　甲方：

　　法定代表人(負責人)：

　　證件種類：　　　 　證件號碼：

　　法定(戶籍)地址：

　　通訊地址：　　　　　　　　　　　　 　 郵政編碼：

　　聯系電話：

　　乙方：交通銀行股份有限公司 分(支)行

　　負責人：

　　通訊地址：

　　甲方已通讀合同全部條款，乙方已應甲方的要求作了詳細說明，甲方簽署本合同時對所有內容無疑問和異議，理解合同條款尤其是帶▲▲標記條款的含義及其法律后果。

　　甲方(公章/簽字)： 乙方(單位印章)：

　　法定代表人(負責人)或授權代表： 負責人：

　　(簽字或蓋章) (簽字或蓋章)

　　簽署日： 年 月 日 　　　簽署日： 年 月 日

　　共有人聲明條款(適用于質物有共有人的情況)：

　　本人(姓名： 證件種類： 證件號碼： )系質物的共有人。本人已認真閱讀并確認了本合同的所有條款，知悉并同意出質人以保證金向質權人提供擔保。

　　共有人簽字：

　　年 月 日

　　保證金條款

　　本條款適用于主合同項下債務人以繳納保證金方式擔保主合同履行的情形，甲方指主合同項下債務人，乙方指主合同項下債權人。第5條僅適用于主合同是額度合同的情況：

　　1.甲方應于 年 月 日前在賬號為 的保證金賬戶內存入保證金(幣種)： (大寫金額)： 。

　　2.保證金及利息用于擔保本合同項下本金及利息、復利、罰息、違約金、損害賠償金和實現債權及質權的費用。實現債權及質權的費用包括但不限于催收費用、訴訟費(或仲裁費)、保全費、公告費、執行費、律師費、差旅費及其它費用。

　　3.保證金自存入保證金賬戶之日起即轉移為乙方占有。本合同項下債務未得到全部清償前，未經乙方書面同意，甲方不得動用。本合同項下債務到期時，乙方有權扣劃保證金及其利息。

　　4.保證金的計息方式：　　 。

　　5.最高額質押的，乙方主債權在下列日期最早發生之日(“主債權確定日”)確定：

　　(1)本合同項下最后一筆主債權的發生日;

　　(2)乙方取消授信額度之日;

　　(3)保證金被查封、凍結的，查封或凍結之日;

　　(4)甲方被宣告破產或被撤銷之日。

　　主債權確定日之前(包括當日)發生的主債權及其持續至甲方承擔責任時產生的利息(包括復利、逾期及挪用罰息)及乙方實現債權的費用均屬擔保范圍。

　　主債權的發生指乙方發放貸款、融資款或開立銀行承兌匯票、信用證、保函或備用信用證。

　　共有人聲明條款(適用于質物有共有人的情況)：

　　本人(姓名： 證件種類： 證件號碼： )系質物的共有人。本人已認真閱讀并確認了本合同的所有條款，知悉并同意出質人以保證金向質權人提供擔保。

　　共有人簽字：

　　年 月 日