零售客户协议

ODL SECURITIES LIMITED RETAIL CLIENT AGREEMENT This client agreement, together with any Schedule(s), Annexes, and other accompanying documents, as amended from time to time, (this "Agreement") sets out the terms of the contract between you and us. It is, therefore, very much in your interests to read it carefully. Please let us know as soon as possible if there is anything which you do not understand. 1. GENERAL INFORMATION 1.1 Information about us: We, ODL Securities Limited, are authorised and regulated by the Financial Services Authority ("FSA"). Our registered office and principal place of business is The Northern & Shell Building, 8 th Floor, 10 Lower Thames Street, London, EC3R 6AD, United Kingdom. The FSA's registered office is 25 The North Colonnade, London, E14 5HS. 1.2 Communication with us: You may communicate with us in writing (including fax), by email or other electronic means, or orally (including by telephone). The language of communication shall be English, and you will receive documents and other information from us in English. Our website at www.odls.com contains further details about us and our services, and other information relevant to this Agreement. In the event of any conflict between the terms of this Agreement and our website, this Agreement will prevail. 1.3 Capacity: We act as principal and not as agent on your behalf in respect of forex, contracts for differences and over the counter products. We act as agent for you in respect of on exchange products. We shall treat you as a retail client for the purposes of the FSA Rules. You have the right to request a different client categorisation. However, if you do so and we agree to such categorisation, you will lose the protection afforded by certain FSA Rules. This may include, but is not limited to: (a) the requirement for us to act in accordance with your best interests; (b) our obligation to provide appropriate information to you before providing the services; (c) the restriction on the payment or receipt by us of any inducements; (d) our obligation to achieve best execution in respect of your orders; (e) the requirement to implement procedures and arrangements which provide for the prompt, fair and expeditious execution of your orders; (f) our obligation to ensure that all information we provide to you is fair, clear and not misleading; and (g) the requirement that you receive from us adequate reports on the services provided to you. You act as principal and not as agent (or trustee) on behalf of ODL证券有限公司 零售客户协议 本客户协议连同任何附 表 关于同志近三年现实表现材料材料类招标技术评分表图表与交易pdf视力表打印pdf用图表说话 pdf 、附录及其它随附文件（经不 时修订）（‚本协议‛）载明您与本公司之间的合同条 款。因此，仔细阅读本协议切实关乎您的利益。如果您 有任何不理解之处，请立即告知本公司。 1. 一般资料 1.1 与本公司有关的资料：本公司，ODL证券有限公司， 获英国金融服务管理局（‚FSA‛）授权和受其监 管。本公司的注册办事处与主要营业地点是：The Northern & Shell Building, 8th Floor, 10 Lower Thames Street, London, EC3R 6AD, United Kingdom。FSA 的注册办事处是：25 The North Colonnade, London, E14 5HS。 1.2 与本公司的通讯：您可以采用书面（包括传真）、 电邮或其它电子方式、或口头方式（包括电话）与 本公司进行通讯。通讯语言应为英语，您将收到本 公司提供的英文文件和其它资料。本公司的网站 （www.odls.com）载有关于本公司和本公司提供 的服务的进一步详情以及关于本协议的其它资 料。若本协议条款与该网站内容有任何冲突，则以 本协议为准。 1.3 身份：就外汇、差价合同和场外交易产品而言，本 公司以主事人而非您的代理人身份行事。本公司就 场内交易产品以您的代理人身份行事。根据FSA规 则，本公司应将您视为零售客户。您有权申请一个 不同的客户类别。但是，一旦您这么做而本公司同 意这个不同类别，您将失去FSA规则中某些规则赋 予您的保护措施。这可能包括但不限于：(a)本公 司必须以符合您的最佳利益的方式行事；(b)本公 司有义务在提供服务之前向您提供适当的资料； (c)本公司不得支付或收取任何诱因；(d)本公司有 义务充分执行您的指令；(e)本公司必须实施有关 程序和安排以便及时、公正且迅速地执行您的指 令；(f)本公司有义务确保本公司提供给您的所有资 料均公帄、清楚和不具误导性；及(g)本公司必须 就您获得的服务向您提供充分的报告。您以主事人 行事而非以代理人（或受托人）身份代其他人行 事。 someone else. 1.4 Commencement: This Agreement supersedes any previous agreement between you and us on the same subject matter, and takes effect when you signify acceptance of this Agreement or when you give us an order to enter into a Transaction with us on or after 1 November 2007. This Agreement shall apply to all Transactions contemplated under this Agreement. In the event of any conflict between the clauses of this Agreement and the terms of any other material distributed by us the clauses of this Agreement shall prevail. 1.5 Subject to Applicable Regulations: This Agreement and all Transactions are subject to Applicable Regulations so that: (i) if there is any conflict between this Agreement and any Applicable Regulations, the latter will prevail; (ii) nothing in this Agreement shall exclude or restrict any obligation which we have to you under Applicable Regulations; (iii) we may take or omit to take any action we consider necessary to ensure compliance with any Applicable Regulations; (iv) all Applicable Regulations and whatever we do or fail to do in order to comply with them will be binding on you; and (v) such actions that we take or fail to take for the purpose of compliance with any Applicable Regulations shall not render us or any of our directors, officers, employees or agents liable. 1.6 Market action: If a Market (or intermediate broker or agent, acting at the direction of, or as a result of action taken by, a Market) or regulatory body takes any action which affects a Transaction, then we may take any action which we, in our reasonable discretion, consider desirable to correspond with such action or to mitigate any loss incurred as a result of such action. Any such action shall be binding on you. If a Market or regulatory body makes an enquiry in respect of any of your Transactions, you agree to co-operate with us and to promptly supply information requested in connection with the enquiry. 1.7 Scope of this Agreement: This Agreement sets out the basis on which we will provide services to you. This Agreement governs each Transaction entered into or outstanding between us on or after the execution of this Agreement. 1.8 Charges: You shall pay our charges as agreed with you from time to time, any taxes imposed by any competent authority on any account opened or Transaction effected by or cleared for you; any fees or other charges imposed by a Market or any clearing organisation; interest on any amount due to us at the rates then charged by us (and which are available on request); and any other value added or other applicable taxes of any of the foregoing, 1.4 生效：本协议取代您与本公司先前就相同事项订立 的任何协议，并在2007年11月1日或之后您表示接 受本协议时或在您向本公司发出指令与本公司达 成交易时生效。本协议适用于根据本协议拟订的所 有交易。若本协议的条款与本公司分发的任何其它 材料的条款相抵触，则概以本协议的条款为准。 1.5 受适用规例规限：本协议和所有交易受适用规例规 限，因此：(i)若本协议与任何适用规例相抵触，则 概以后者为准；(ii)本协议内任何规定概不会排除 或限制本公司根据适用规例对您负有的任何义务； (iii)本公司可采取或不采取本公司认为必要的任何 行动，确保遵守任何适用规例；(iv)所有适用规例 以及本公司为遵守这些规例而作出或未作出何种 事情，都将对您有约束力；及(v)本公司为遵守任 何适用规例采取或未能采取的行动，不得令本公司 或本公司的任何董事、高级职员、雇员或代理人负 有法律责任。 1.6 市场行动：若市场（或按市场方向行事或按市场采 取行动所导致结果行事的中介经纪人或代理人）或 监管机构，采取影响交易的任何行动，则本公司可 采取本公司合理酌情认为与该行动一致或可减轻 由于该行动所引致任何损失的任何适宜的行动，而 任何该等行动应对您具有约束力。若市场或监管机 构对您的任何交易发出查询，则您同意与本公司合 作，并立即提供就该查询要求的资料。 1.7 本协议的范围：本协议列出了本公司据以向您提供 服务的基础。本协议管辖双方在签署本协议之时或 之后订立或尚未完成的每宗交易。 1.8 收费：您应支付本公司不时与您协定的收费，任何 主管机构就为您所开设的任何账户或由您执行或 为您结算的任何交易而征收的任何税项；市场或任 何清算机构施加的任何费用或其它收费；按本公司 当时收取的利率（您可以向本公司查询）就您结欠 本公司的任何款项计算的利息；以及前述任何一项 的任何其它增值或其它适用税金，包括任何预扣 税。本公司会通知您本公司现行的收费 标准 excel标准偏差excel标准偏差函数exl标准差函数国标检验抽样标准表免费下载红头文件格式标准下载 。若收 including any withholding tax. We will notify you of our current charges. Any alteration to charges will be notified to you before the time of the change. 1.9 Costs resulting from use of distance means: In addition to the costs set out above, additional costs may be payable by you by virtue of the fact that this contract is entered into via email, telephone or fax or other distance means. 1.10 Additional costs: You should be aware of the possibility that other taxes or costs may exist that are not paid through or imposed by us. 1.11 Payments: All payments to us under this Agreement shall be made in such currency as we may from time to time specify to the bank account designated by us for such purposes. All such payments shall be made by you without any deduction or withholding. 1.12 Remuneration and sharing of charges: We may receive remuneration from, or share charges with, an Associate or other third party in connection with Transactions carried out on your behalf. Details of any such remuneration or sharing arrangements are enclosed. 1.13 Description of Service: A description of the main characteristics of the service we will provide is enclosed. 1.14 Language and minimum duration: This Agreement is supplied to you in English and we will continue to communicate with you in English for the duration of this Agreement. The minimum duration of this Agreement shall be the earlier of settlement of the first trade in respect of which you instruct us or the occurrence of an Event of Default. 2. RIGHT TO CANCEL Right to Cancel: You have a right to cancel this Agreement for a period of fourteen days commencing on the date on which this Agreement is concluded or the date on which you receive this Agreement (whichever is later) (the "Cancellation Period"). Should you wish to cancel this Agreement within the Cancellation Period, you should send notice in writing to the following address: The Northern & Shell Building, 8 th Floor, 10 Lower Thames Street, London, EC3R 6AD, United Kingdom. If you fail to cancel this Agreement within the Cancellation Period you will be bound by its terms. 3. ADVICE 3.1 Information from you: Although we do not normally provide an advisory service if we expressly 费标准有变，在此之前本公司会通知您。 1.9 由于使用长途通信方法所致的成本：除上述费用 外，若本协议是以电邮、电话或传真或其它远程方 式签订，您可 能应支付额外费用。 1.10其它费用：您应知道，可能存在并非通过本公司支 付或由本公司收取的其它税项或费用。 1.11付款：根据本协议应支付给本公司的所有款项应以 本公司不时规定的货币支付予本公司就此指定的 银行账户。您在支付所有这些付款时不得扣除或预 扣任何款项。 1.12报酬和分担收费：本公司可能会就代您执行的交易 向联系人士或其它第三方收取报酬，或与联系人士 或其它第三方分担收费。本协议附有与这些报酬或 分担安排有关的详细资料。 1.13服务说明：有关本公司将提供的服务的主要特点附 载于本协议。 1.14语言文字和最短期限：本协议用英文向您提供，而 在本协议的期限内本公司将继续用英文与您沟 通。本协议的最短期限为截至您指示本公司进行的 首笔交易结算止或发生违约事件止期间，以较早者 为准。 2. 取消权 取消权：您有权自本协议订立之日或您收到本协议 之日（以较迟者为准）起 14 天内（‚取消期限‛）， 取消本协议。如果您在取消期间内，有意取消本协 议，则您应向以下地址发出书面通知：The Northern & Shell Building, 8th Floor, 10 Lower Thames Street, London, EC3R 6AD, United Kingdom。若您 未能在取消期间内取消本协议，则您将受其条款约 束。 3. 建议 3.1 您提供的资料：本公司通常不会提供咨询服务，但 是如果本公司以书面方式明确协定向您提供建议， agree in writing to provide you with advice we are obliged under Applicable Regulations to obtain information about your personal and financial circumstances so that we can make a recommendation or take a decision which is suitable for you. We shall assume that information about your personal and financial circumstances in any document provided from you to us, is accurate and we will have no responsibility to you if such information changes or becomes inaccurate unless you have informed us of such changes. Unless we obtain the necessary information from you, we will not be able to advise you. 3.2 Advice and execution-only arrangements: Please note that we will not advise you about the merits of a particular Transaction if we reasonably believe that, at the time of your order, you are not expecting such advice and are dealing on an execution-only basis. If we advise you that your proposed course of action is not suitable for you but you nevertheless wish to proceed with the Transaction, we will only accept your order on an execution-only basis. In such circumstances, we will inform you at the time that we will execute your order on that basis. We may proceed with the Transaction even when you are acting contrary to our advice. 3.3 No on-going advice: From time to time, we may, at our discretion, provide information, advice and recommendations on our own initiative. However, we shall not be under any obligation to provide on-going advice in relation to the management of your investments unless you have entered into a discretionary investment management agreement with us or we have agreed to maintain your portfolio under continuous review and provide specific recommendations from time to time. 3.4 Limitations: Where we do provide market information, advice or recommendations, we give no representation, warranty or guarantee as to their accuracy or completeness or as to the tax consequences of any Transaction. Unless we specifically agree otherwise in writing with you, you hereby acknowledge: (i) that the provision of advice is incidental to your dealing relationship with us and provided solely to enable you to make your own investment decisions; (ii) that the information provided to other clients may be different from advice given to you; and (iii) that such information may not be consistent with our proprietary investments, or those of our Associates, directors, employees or agents. 3.5 Investment research and other published information: We may from time to time send published research reports and recommendations and other publications to you. If the document contains a restriction on the person or category of persons for 根据适用规例本公司必须获取与您个人和财务状况 有关的资料，以便本公司提供适合您的建议或做出 适合您的决定。本公司假设您提供给本公司的任何 文件中所载的关于您个人或财务状况的资料均正 确，若这些资料有变或不再准确，除非您已通知本 公司有关的变动，否则本公司无须对您负责。除非 您向本公司提供必要的资料，否则本公司无法给予 您建议。 3.2 建议和‚只限执行‛安排：请注意，如果本公司合 理认为，您在发出指令时并未期望获得有关建议且 按‚只限执行‛的基准进行交易，则本公司不会向 您提供关于某项交易优缺点的建议。如果本公司告 知您拟采取的行动并不适合您，而您仍希望继续进 行此交易，本公司将仅按‚只限执行‛的基准接受 您的指令。在此情况下，本公司当时就会告诉您本 公司将按该基准执行您的指令。即使您的指令与本 公司的建议相反，本公司也会继续执行有关的交易。 3.3 不会持续提供建议：本公司可能会不时酌情决定主 动提供资料、意见和建议。但是，除非您与本公司 签订全权委托投资管理协议或本公司同意持续关注 您的投资组合及不时提供具体建议，否则，本公司 没有义务持续向您提供与投资管理有关的建议。 3.4 限制：若本公司提供市场资料、意见或建议，本公 司不会就其准确性或完整性或任何交易的税务后果 发表任何声明、保证或担保。除非本公司与您另行 达成明确的书面协议，否则，您应特此确认：(i)建 议是作为您与本公司的交易关系的附带事项而提 供，仅用于帮助您自行作出投资决策；(ii)提供予其 他客户的资料可能与提供给您的资料不同；及(iii) 这些资料可能与本公司、或本公司的联系人士、董 事、雇员或代理人的自营性投资不一致。 3.5 投资研究和其它公布资料：本公司可能不时向您发 送已公布的研究报告、建议以及其它刊发资料。如 果相关文件规定了受限制的阅读对象或传播对象， 您同意您不会将该文件交予任何这些人或这些类别 的人。本公司对您收取研究报告或建议的时间不发 whom that document is intended or to whom it is distributed, you agree that you will not pass it on to any such person or category of persons. We make no representations as to the time of receipt by you of research reports or recommendations and cannot guarantee that you will receive such research reports or recommendations at the same time as other clients. We shall not be liable for any investment decision you make, based in whole or in part, on any investment research report, recommendation or other publication we send to you. Any such published research reports or recommendations may appear in one or more screen information service. Please refer to the attached summary of our Conflicts of Interest Policy for further information on how we manage conflicts which would affect the impartiality of investment research we provide to you. 3.6 Tax advice: We will not provide any tax advice. In addition, we shall not at any time be deemed to be under any duty to provide tax advice. 4. YOUR INFORMATION 4.1 Confidentiality and data protection: Subject to the following we will treat all information we hold about you as private and confidential, even when you are no longer a client. You agree, however, that we and other companies in our group may: (a) use your information to administer and operate your account and monitor and analyse its conduct, provide services to you, assess any credit limit or other credit decision (and the interest rate, fees and other charges to be applied to your account) and enable us to carry out statistical and other analysis; (b) disclose your information to other companies in our group; those who provide services to us or act as our agents; anyone to whom we transfer or propose to transfer any of our rights or duties under this Agreement; credit reference agencies or other organisations that help us and others make credit decisions and reduce the incidence of fraud or in the course of carrying out identity, fraud prevention or credit control checks; where we are required to do so by Applicable Regulations, there is a public duty to disclose or our interests require disclosure; at your request; or with your consent (and in the case of a joint account, we may disclose to any of you information obtained by us from any of you in relation to the account); (c) use your information, unless you have told us that you do not wish us to do so, to inform you (by post, telephone, email or other medium, using the contact details you have given us) about products and services offered by us, other companies in our group or selected third parties 表任何声明，也不能保证您收到这些研究报告或建 议的时间与其他客户一样。本公司不会就您根据本 公司向您发送的任何投资研究报告、建议或其它刊 发资料的全部或部分内容所作的任何投资决定承担 任何法律责任。这些出版的研究报告或建议可能会 出现在一项或多项屏幕信息服务中。请查看随附的 《利益冲突政策》概要，了解关于本公司如何管理 可能会影响本公司提供给您的投资研究的公正性的 冲突的更多信息。 3.6 税务建议：本公司不会提供任何税务建议。此外， 本公司在任何时候均不应视为具有提供税务建议的 责任。 4. 您的资料 4.1 保密和资料保护：受下文条文规限，本公司将把自 身所持有的关于您的所有资料视为私人及机密资 料，即使您不再为本公司客户。但是，您同意本公 司和本公司集团内的其它公司可以： (a) 利用您的资料以管理和操作您的账户以及监控 和分析账户动态、向您提供服务、评估任何信 用限额或其它信用决定（以及将对您的账户应 用的利率、手续费和其它收费）以及便于本公 司进行统计数据和其它分析； (b) 向下列各方或在下列情况中披露您的资料：本 公司集团中的其它公司；本公司的服务供应商 或代理公司；本公司在本协议下具有的任何权 利或责任的转让或拟转让对象；帮助本公司和 其他人做出信用决定和减少欺诈发生频率或正 在进行身份、欺诈预防或信用控制检查的信用 资料服务机构或其它机构；适用规例要求本公 司披露、根据公共责任本公司必须披露或为公 司利益本公司必须披露；应您的要求；或者经 过您的同意（如果您的账户为联名账户，本公 司可向你们中任何一位披露本公司向你们中任 何一位获取的关于账户的资料）； (c) 利用您的资料向您提供（利用您提供给本公司 的联系资料，通过邮寄、电话、电邮或其它媒 介）关于本公司、本公司集团中的其它公司或 本公司认为对您有利的特定第三方所提供的产 品和服务的信息，除非您告诉本公司不可如此 which we believe may be of interest to you; and (d) transfer your information to any country, including countries outside the European Economic Area which may not have strong data protection laws, for any of the purposes described in this clause. 4.2 Your rights: You may have rights of access to some or all of the information we hold about you, to have inaccurate information corrected and to tell us that you do not wish to receive marketing information, under data protection law. If you wish to exercise any of these rights, please contact us in writing. 5. INSTRUCTIONS AND BASIS OF DEALING 5.1 Placing of instructions: You may give us instructions in writing (including fax), by email or other electronic means or orally (including by telephone), unless we tell you that instructions can only be given in a particular way. If you give instructions by telephone, your conversation may be recorded. If any instructions are received by us by telephone, computer or other medium we may ask you to confirm such instructions in writing. We shall be authorised to follow instructions notwithstanding your failure to confirm them in writing. Instructions for the simultaneous sale and purchase of a security financial instrument on behalf of the same beneficial owner may not be given under this Agreement. In this Agreement "instructions" and "orders" have the same meaning. 5.2 Authority: We shall be entitled to act for you upon instructions given or purporting to be given by you or any person authorised on your behalf without further enquiry as to the genuineness, authority or identity of the person giving or purporting to give such instructions. 5.3 Cancellation/withdrawal of instructions: We can only cancel your instructions if we have not acted upon those instructions. Instructions may only be withdrawn or amended by you with our consent. 5.4 Right not to accept orders: We may, but shall not be obliged to, accept instructions to enter into a Transaction. If we decline to enter into a proposed Transaction, we shall not be obliged to give a reason but we shall promptly notify you accordingly. 5.5 Control of orders prior to execution: We have the right (but no obligation) to set limits and/or parameters to control your ability to place orders at our absolute discretion. Such limits and/or parameters may be amended, increased, decreased, removed or added to by us at our absolute discretion and may include (without limitation): (i) controls over maximum order amounts and maximum order sizes; (ii) controls over our total exposure to you; 行事；及 (d) 出于本条中所述的任何目的，将您的资料转移 至任何国家，包括不属于欧洲经济区的可能并 未制定严格的资料保护法律的国家。 4.2 您的权利：根据资料保护法律，您有权查阅本公司 持有的关于您的全部或部分资料、要求本公司修改 不准确的资料