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客戶交易協議書2007年6月27日版本第1頁共21頁ClientAgreement27June2007Ver.1EMPERORGOLDANDSILVERONLINELIMITEDCLIENTAGREEMENT英英英英皇網上金銀有限公司皇網上金銀有限公司皇網上金銀有限公司皇網上金銀有限公司客戶協議書客戶協議書客戶協議書客戶協議書客戶交易協議書2007年6月27日版本第2頁共21頁ClientAgreement27June2007Ver.1目錄目錄目錄目錄ContentsPageRISKDISCLOSURESTATEMENT4NOTICETOCLIENTS4REFFERALDISCLOSURE5CLIENTAGREEMENT61.TERMSANDHEADINGS62.BINDINGEFFECT63.ACCEPTANCE64.AUTHORIZATIONTOTRADE65.GOVERNMENTAL,COUNTERPARTYINSTITUTIONAND6INTERBANKINGSYSTEMRULES6.CROSSTRADECONSENT67.LIQUIDATIONOFACCOUNTSANDPAYMENTOFDEFICITBALANCES68.RISKACKNOWLEDGEMENT69.PRECIOUSMETALPRICEFLUCTUATIONRISK710.EGSORESPONSIBILITIES711.STATEMENTSANDCONFIRMATION712.COMMUNICATIONS713.CHARGES714.MARGINDEPOSITANDWITHDRAWALARRANGEMENTS715.JOINTACCOUNTS716.NOWAIVERORAMENDMENT717.TERMINATION718.INDEMNIFICATION719.TRADINGRECOMMENDATIONS820.CLIENTREPRESENTATIONSANDWARRANTIES821.DISCLOSUREOFFINANCIALINFORMATION822.NOGUARANTEESOFPROFITSORLIMITEDLOSSES823.CREDITREPORTS824.RECORDINGS825.CONSENTTOJURISDICTIONANDVENUE826.AMENDMENTSTOTHEAGREEMENT827.SETTLEMENTDATEANDROLLOVERS828.COLLATERALAGREEMENT829.ASSIGNMENTOFRIGHTS830.HIGHRISKINVESTMENTNOTICE831.EMAILACKNOWLEDGEMENT932.ADDRESSACKNOWLEDGEMENT933.AUTHORIZATIONTOTRANSFERFUNDS934.CONSENTTOELECTRONICTRANSMISSIONOF9CONFIRMATIONSANDACCOUNTSTATEMENTS35.PRIVACYPOLICY936.ARBITRATIONAGREEMENT937.GOVERNNINGLAWANDJURISDICTION9INDIVIDUAL/JOINTACCOUNTAPPLICATION15-17CORPORATEACCOUNTAPPLICATION18-21頁風險披露聲明10客戶告鑒10介紹人披露11客戶協議111.條款與標題112.約束效力113.協議接受114.交易授權115.政府、對手機構及銀行間系統規條126.交叉交易同意127.帳戶清償與欠款償付128.風險承擔129.貴金屬價格變動風險1210.英皇網上金銀的責任1211.報表與確認1212.通訊聯絡1213.費用1214.保證金存款和提款安排1215.聯名帳戶1216.豁免或更改1317.終止13客戶交易協議書2007年6月27日版本第3頁共21頁ClientAgreement27June2007Ver.118.賠償1319.交易推薦1320.客戶聲明與保證1321.財務訊息1322.不保證盈利或限制損失1323.信貸報告1324.錄音1325.司法管轄區及司法管轄地的同意1326.協議修改1327.清算日與延展1328.抵押協議1329.權利轉讓1330.高風險投資1331.電子郵件確認1432.地址確認1433.資金轉讓授權1434.同意透過電子傳輸交易確認及帳單1435.私隱政策1436.仲裁協議1437.管轄法律及司法管轄權14個人/聯名戶口開戶表格15-17公司戶口開戶表格18-21客戶交易協議書2007年6月27日版本第4頁共21頁ClientAgreement27June2007Ver.1RISKDISCLOSURESTATEMENTThisbriefstatementdoesnotdisclosealloftherisksandothersignificantaspectsofpreciousmetal(includingLocoLondonGold&LocoLondonSilver)(collectivelyreferredtoasBullion).Inlightoftherisks,ClientshouldundertakesuchtransactionsonlyifClient(Client)understandsthenatureofthetradingintowhichClientisabouttoengageandtheextentofClient’sexposuretorisk.Tradinginpreciousmetalisnotsuitableformanymembersofthepublic.YoushouldcarefullyconsiderwhethertradingisappropriateforClientinlightofClient’sinvestmentexperience,objectives,risk-bearingability,financialresourcesandotherrelevantcircumstances.BeforeClientopensanaccountandproceedswithtrading,Clientisadvisedtoseekadvicefromlegaladvisorsorotherprofessionals.PreciousMetalTrading1.EffectofLeverageorGearingPreciousmetaltransactionscarryahighdegreeofrisk.Theamountofinitialmarginmaybesmallrelativetothevalueofthepreciousmetalsothattransactionsare'leveraged'or'geared'.ArelativelysmallmarketmovementmayhaveaproportionatelylargerimpactonthefundsClienthasdepositedorwillhavetodeposit:thismayworkagainstClientaswellasforClient.ClientmaysustainatotallossofinitialmarginfundsandanyadditionalfundsdepositedwiththefirmtomaintainClient’sposition.IfthemarketmovesagainstClient’spositionormarginlevelsareincreased,ClientmaynotbeabletopayadditionalfundsintimetomaintainClient’spositionandClient’spositionmaybeliquidatedatalossandClientwillbeliableforanyresultinglosses.2.Risk-reducingordersorstrategiesTheplacingofcertainorders(e.g.,stop-lossand“stop-limit”orders),whichareintendedtolimitlosses,maynotpreciselylimitlossesorbeexecutedatall.Ifanorderisplacedatastop-limit,thereisnoguaranteethattheorderwillbeexecutedatthelimit,orevenatall.Strategiesusingcombinationsofpositions,suchasspreadandstraddlepositions,maybeasriskyastakingsimplelongorshortpositions.AdditionalRisksCommontoPreciousMetalTrading3.TradingfacilitiesMostopen-outcryandelectronictradingfacilitiesaresupportedbycomputer-basedcomponentsystemsfortheorder-routing,execution,matching,registrationorclearingoftrades.Aswithallfacilitiesandsystems,theyarevulnerabletotemporarydisruptionorfailure.Client’sabilitytorecovercertainlossesmaybesubjecttolimitsonliabilityimposedbythesystemprovider,themarket,theclearinghouseand/ormemberfirms.Suchlimitsmayvary.4.ElectronictradingTradingonanelectronictradingsystemmaydiffernotonlyfromtradinginanopen-outcrymarketbutalsofromtradingonotherelectronictradingsystems.IfClientundertakestransactionsonanelectronictradingsystem,Clientwillbeexposedtorisksassociatedwiththesystemincludingthefailureofhardwareandsoftware.TheresultofanysystemfailuremaybethatClient’sorderiseithernotexecutedaccordingtoClient’sinstructionsorisnotexecutedatall.5.Off-exchangetransactionsInsomejurisdictions,andonlytheninrestrictedcircumstances,firmsarepermittedtoeffectoff-exchangetransactions.ThefirmwithwhichClientdealsmaybeactingasClient’scounterpartytothetransaction.EmperorGoldandSilverOnlineLimitedfunctionsasadirectcounterpartytoClientinmanypreciousmetaltransactions.EmperorGoldandSilverOnlineLimitedneither