1、客戶證券保證金代理清算協議書第一篇：客戶證券保證金代理清算協議甲方受托方：銀行乙方委托方：為進步證券市場效率，簡化客戶證券投資操作流程，進步客戶資金平安性，方便客戶清算證券交易資金，乙方委托甲方為客戶提供證券保證金清算效勞。為明確委托關系中雙方的權利和義務，根據證券交易所和證券交易所以下統稱證券交易所的資金清算規那么及銀行有關結算規定，經甲、乙雙方友協商，本著“銀行管資金，證券公司管證券”的原那么，就委托代理有關事宜達成如下協議。第一局部委托代理內容第一條乙方委托甲方通過甲方的“客戶證券保證金效勞系統”為客戶提供：委托證券買賣申報、查詢包括：資金、證券、委托、成交記錄、即時行情查詢、分紅派息、

2、資金清算等效勞。第二條乙方與客戶之間的清算，由乙方委托甲方代理進展；乙方與證券交易所之間的清算由乙方進展。第三條甲方代理乙方與客戶進展資金清算的根據是乙方向甲方提供的客戶成交明細數據、現金分紅數據和匯總數據等以下統稱“清算數據”。第四條甲方與乙方之間的資金清算按以下方法進展：1清算賬戶戶名：賬號：開戶行：2根據證券交易所證券資金清算的有關規定和清算數據，甲方應向乙方付款時，由甲方于t1日上午10時前把款項劃入清算賬戶；乙方應向甲方付款時，應于t1日上午10時前在清算賬戶上備足應付款項，由甲方于t1日上午10時從清算賬戶上扣出應付的款項，乙方由于特殊情況不能于t1日上午10時前在清算賬戶上備足應

3、付款項時，乙方要提早通知甲方，乙方在清算賬戶上備足應付款項的時間不得遲于t1日下午2時。第二局部甲方責任第五條根據甲、乙雙方約定的數據接口，負責“客戶證券保證金效勞系統”銀行端的程序開發和所需系統硬件的配置，以及甲方相應的通訊系統建立。第六條為客戶提供銀行端的 委托和或互聯委托系統。第七條負責上述系統的正常運作和日常維護。第八條辦理客戶“證券保證金效勞”的申請，審核投資者有關證件的真實性，代理乙方與客戶簽訂指定交易等協議書，并定期將乙方所需的客戶資料傳送給乙方。第九條接收客戶證券買賣、撤單委托，并把委托實時地傳送給乙方。第十條為客戶提供分紅派息、資金查詢、修改交易密碼、暫停恢復撤銷證券保證金效

4、勞等，并實時將有關信息傳送給乙方。第十一條負責管理客戶的資金，控制客戶的資金買空行為。第十二條管理乙方在甲方設立的清算專用賬戶，并根據清算規定和清算數據及時與客戶進展資金清算。第三局部乙方責任第十三條根據甲、乙雙方約定的數據接口，負責“客戶證券保證金效勞系統”證券公司端的程序開發和所需系統硬件的配置，以及乙方相應的通訊系統建立。第十四條為客戶提供證券公司端的 委托和或互聯委托系統。第十五條負責上述系統的正常運作和日常維護。第十六條負責接收甲方傳送的客戶證券買賣、撤單等委托，并按規定向證券交易所報盤。第十七條負責及時準確地向甲方反應客戶證券交易、權益等有關情況，并于收到證券交易所清算數據后個小時

5、內向甲方提供清算數據。由于乙方提供的上述數據有誤而造成客戶和甲方的損失，由乙方負責。第十八條負責客戶的證券交割，并為客戶提供打印證券明細賬效勞。第十九條負責管理客戶證券賬戶內證券，控制客戶的證券賣空行為。第二十條負責通知甲方證券交易所有關交易規定、收費標準或其他相關事項變更，未能及時通知而造成的甲方和客戶損失由乙方負責。第二十一條乙方在甲方開設結算賬戶并留存足夠備付金，如備付金缺乏造成甲方被動墊付資金，其墊付額視同甲方拆借給乙方并按市場拆借利率計付利息。對甲方清算有疑問時應于3個工作日內向甲方書面提出，否那么視為同意甲方清算結果。第四局部雙方共同責任第二十二條雙方共同向客戶宣傳、推廣此項業務。

6、第二十三條雙方都保存客戶的資料以及成交記錄，負責解答客戶的咨詢。第二十四條由于證券問題造成客戶交易不能正常進展的，由乙方承當責任；由于資金問題造成客戶交易不能正常進展的，由甲方承當責任。第二十五條由于甲方審查資料不嚴或甲方接收、清算處理、數據傳送有誤導致乙方及客戶損失的，由甲方負責；由于乙方接收、數據傳送、報盤有誤造成甲方及客戶損失的，由乙方負責。第二十六條由于不可抗力因素導致的誤差或延誤，由雙方協商解決。第二十七條甲方或乙方及其代表提供應對方的所有件包括紙制件及其他介質件均屬機密信息，雙方均應妥善保管，保管期限不得低于金融和證券行業規定的最低期限。未經雙方同意，任何一方不得向第三方提供。第五

7、局部違約責任第二十八條甲、乙雙方任何一方違背本協議規定造成對方損失的，應承當相應違約責任。第二十九條甲、乙雙方中任何一方未按本協議第四條的要求履行清算義務時，應賠償另一方由此造成的全部直接損失。一方不履行清算義務超過個工作日時，另一方有權解除協議。由于不可抗拒力導致未能及時履行清算義務的，不承當違約責任。第六局部附那么第三十條本協議未盡事宜或因國家銀行結算制度及證券交易所清算規那么發生變更，經雙方協商，可對本協議進展補充或修改，其法律效力同本協議，必要時可另簽協議。第三十一條雙方在履行協議過程中如有爭議，應協商解決，協商不成，任何一方均可提起訴訟。第三十二條本協議有效期年，自雙方法定代表人或受

8、權代理人簽字并加蓋公章之日起生效。有效期滿后經雙方協商同意可續簽。第三十三條本協議一式份，甲、乙雙方各執份。甲方蓋章：銀行乙方蓋章：受權簽字人簽字：受權簽字人簽字：年月日年月日第二篇：互聯證券買賣協議附加於現金保證金客戶協議書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，通過上交易效勞運作戶口，本人吾等同意，戶口由貴公司透過貴公司的上交易效勞按照證券客戶合約及以下條款及條件并受其規限運作：1定義及解釋11在本協議中，以下詞語具有以下涵義：“進入密碼”指密碼及戶口號碼；

9、“戶口”指本人在貴公司開立的互聯買賣戶口，經由上交易效勞運作；“上交易效勞”指根據本協議提供的上買賣效勞，包括電子買賣效勞，址上的任何資料，以及其中的軟件；“電子買賣效勞”指本人吾等發出電子指令的設施，以及上交易效勞提供的資訊效勞；“指令”指以電子方式買賣證券的買賣指令或其他處理指令；“互聯買賣政策”指有關上交易效勞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，據之可進入該效勞；“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效勞，以及其他上交易效勞提供的效勞；12單數詞語包括眾數詞語，反之亦然

10、。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上交易效勞21本人吾等理解，電子買賣效勞為一半自動設施，讓本人吾等發出電子指令，并接收信息效勞。22本人吾等同意使用電子買賣效勞，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上交易效勞提供的其他效勞，亦必須遵照本協議條款及客戶協議書。23本人吾等為戶口項下電子買賣效勞的唯一獲受權使用者。本人吾等需對進入密碼的保密及使用承當責任。本人吾等成認及同意，本人吾等需就使用進入密碼輸進電子買賣效勞的所有指令負責，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

11、任何其別人士就任何有關處理，錯誤處理或遺失任何指示的申索承當責任。24本人吾等成認，上交易效勞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受權進入上交易效勞的任何部份。本人吾等成認，假設本人吾等在任何時候違背是項保證及承諾，或實公司在任何時候合理疑心本人吾等違背是項保證及承諾，那么貴公司可向本人吾等采取法律行動。本人吾等承諾，假設本人吾等知悉任何人士干犯本段上所述任何行動，那么本人吾等須即時通知貴公司。25本人吾等進一步成認及同意，作為使用電子買賣效勞發出指令的先決條件，假設有以下情況，本人吾等需即時通知貴公司：a

12、有關戶口的指令已經由電子買賣效勞作出，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效勞作出，而本人吾等未收到對指令或其執行的準確認收不管經硬本，電子或口頭；c本人吾等收到交易指示的認收不管經硬本，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受權使用。26本人吾等理解，貴公司擬備上買賣政策，列出上交易效勞運作政策及程序。該政策可經由址獲得，在任何時候均適用。該政策的條款，對本人吾等對使用上交易效勞具約束力。假設本協議條款與上買賣政策不一致，以本協議條款為準。27本人吾等成認址假設提供報價效勞，乃由貴公司不時指定的第三方提供

13、者提供。本人吾等成認及同意，對本人吾等在任何方面因報價效勞或因本人吾等依賴該效勞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當責任。28本人吾等理解，就提供資訊而言，電子買賣效勞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。本人吾等理解，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認所提供資料的準確及完好性。本人吾等理解，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。29本人吾等理解，在電子買賣效勞中提供的資料，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

14、性，足夠性或完好性。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處的合適性而作出的保證。210本人吾等承受經由互聯或其他電子方法或設施承受或獲得效勞以及經由互聯或其他電子設備或設施溝通或進展交易所帶來的風險。3戶口31本人吾等成認，本人吾等只可經由互聯進入戶口，本人吾等成認，假設本人吾等在經由互聯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。32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效勞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。本人吾等成認貴公司收到戶口

15、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-經上交易效勞買賣41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當責任。42本人吾等理解，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。本人吾等亦理解，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，準確或完好性。任何損失或損害，假設因以下原因或由其產生，貴公司或任何傳播方概毋須承當任何責任：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，

16、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忽略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處，不會因任何原因向任何其別人士或實體提供該等資料。43本人吾等成認，因無法意料的通訊擠塞及其他原因，互聯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。本人吾等成認，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。本人吾等進一步成認及同意，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當。本人吾等成認及同

17、意，指令一經發出，通常不可取消。5境外指令假設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參謀。本人吾等承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頂峰，市場波動，系統晉級及維護或其他時間，互聯或其他電子設施的進入可能會受到限制甚至無法進入。通過互聯或其他電子設施進展的

18、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此受到干擾，傳輸中斷，以及傳輸延誤。由於技術上的制約，互聯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受權的第三方獲得，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當。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，茲成認本人吾等已閱讀，知悉，及明白本協議之內容并承受其條款及條件。客戶簽字：客戶主任簽字：年月日年月日見證人

19、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/marn 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 operat

20、ed through inter trade serve，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 follog terms and conditions in addition to the securities client"

21、s agreement:i/we am/are the client holding the securities account(s) with you numbered (the “account”) and refer to my/our cash/marn 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 op

22、erated through inter trade serve，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 follog terms and conditions in addition to the securities client&q

23、uot;s agreement:- 1.definition and construction 1.definition and construction 1.1in this agreement，the follog terms shall bear the follog meanings: 1.1in this agreement，the follog terms shall bear the follog meanings: “ access codes” means together the password and the user name; 1“ access codes” me

24、ans together the password and the user name; 2“ account” means my inter securities trading account with you operated through the inter trade serve; “ account” means my inter securities trading account with you operated through the inter trade serve; “inter trade serve” means the on-line securities t

25、rading serve provided by under this agreement prising the electron trading erve，any information contained in web site and the software prised in them; 3“inter trade serve” means the on-line securities trading serve provided by under this agreement prising the electron trading erve，any information co

26、ntained in web site and the software prised in them; 4“electron trading serve” means the facility whh enables me/us to ve electron instructions and to access the information serves provided by the inter trade; “electron trading serve” means the facility whh enables me/us to ve electron instructions

27、and to access the information serves provided by the inter 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“inter trading poly” m

28、eans the poly relating to the operation of the inter trade serve as amended from time to time; “inter trading poly” means the poly relating to the operation of the inter trade serve as amended from time to time; “password” means my/our personal password used in conjunction with the user name to gain

29、 access to the serve; 7“password” means my/our personal password used in conjunction with the user name to gain access to the serve; 8“client"s agreement” means cash client"s agreement or marn client"s agreement; “client"s agreement” means cash client"s agreement or marn cli

30、ent"s agreement; “” means securities limited; 9“” means securities limited; 10“user name” means the client"s personal identifation used in conjunction with the password to gain access to the electron trading serve and other serves offered by phoeni capital.“user name” means the client"

31、;s personal identifation used in conjunction with the password to gain access to the electron trading serve and other serves offered by phoeni capital.1.2words denoting the singular shall include the plural and ve versa， reference to one gender shall include all genders and words denoting person sha

32、llinclude a firm or sole proprietorship，partnership，syndate and corporation and ve versa.1.2words denoting the singular shall include the plural and ve versa， reference to one gender shall include all genders and words denoting person shallinclude a firm or sole proprietorship，partnership，syndate an

33、d corporation and ve er trade serve 2.inter trade serve 2.1i/we understand that the electron trading serve is semi-automated facility whh enables me/us to send electron instructions and receive information serves.2.1i/we understand that the electron trading serve is semi-automated facilit

34、y whh enables me/us to send electron instructions and receive information serves.2.2i/we agree to use the electron trading serve and any additional serves offered through the inter trade serve only in accordance with the terms of this agreement in addition to the client"s agreement.2.2i/we agre

35、e to use the electron trading serve and any additional serves offered through the inter trade serve only in accordance with the terms of this agreement in addition to the client"s agreement.2.3i/we shall be the only authorized user of the electron trading serve under the account.i/we understand

36、 and acknowledge that the inter trade serve relies on the access codes to authentate 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 entere

37、d through the electron trading serve using the access code and neither you nor your directors，offers 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.2.3i/we s

38、hall be the only authorized user of the electron trading serve under the account.i/we understand and acknowledge that the inter trade serve relies on the access codes to authentate me/us as the authorized user for the account.i/we shall be responsible for the confidentiality and use of the access co

39、des.i/we acknowledge and agree that i/we shall be solely responsible for all instructions entered through the electron trading serve using the access code and neither you nor your directors，offers or employees shall have any liability to me/us，or to any other person whose claim may arise through me/

40、us，for any claims with respect to the handling， mishandling or loss of any instruction.2.5i/we further acknowledge and agree that， as a condition of using the electron trading serve to ve instructions， i/we shall immediately notify you if: 2.5i/we further acknowledge and agree that， as a condition o

41、f using the electron trading serve to ve instructions， i/we shall immediately notify you if: 1an instruction in respect of the account has been placed through the electron trading serve and i/we have not received an order number;a.an instruction in respect of the account has been placed through the

42、electron trading serve and i/we have not received an order number;b.an instruction in respect of the account has been placed through the electron trading serve and i/we have not received an accurate acknowledgement of the instruction or of its eecution (whether by hard copy， electron or verbal means

43、); 2an instruction in respect of the account has been placed through the electron trading serve and i/we have not received an accurate acknowledgement of the instruction or of its eecution (whether by hard copy， electron or verbal means); 3i/we have received acknowledgement (whether by hard copy， el

44、ectron or verbal means) of a transaction whh i/we did not instruct or any similar conflt; or c.i/we have received acknowledgement (whether by hard copy， electron or verbal means) of a transaction whh i/we did not instruct or any similar conflt; or 2.6i/we understand that you shall prepare the inter

45、trading poly setting out the operation poly and procedures of the inter trade serve lable at any time whh shall be available at the inter trade web site the terms of whh shall be binding on me/us in respect of my/our use of the inter trade serve.in the event of inconsistencies between the terms of t

46、his agreement and the inter trading poly， the terms of this agreement shall prevail.4i/we bee aware of any unauthorized use of the user name or password.2.6i/we understand that you shall prepare the inter trading poly setting out the operation poly and procedures of the inter trade serve lable at an

47、y time whh shall be available at the inter trade web site the terms of whh shall be binding on me/us in respect of my/our use of the inter trade serve.in the event of inconsistencies between the terms of this agreement and the inter trading poly， the terms of this agreement shall prevail.2.7i/we ack

48、nowledge that the pre tation serve， if any， for securities， available at the inter trade web site is provided by a third party provider ointed by you from time to time.i/we acknowledge and agree that you shall not be responsible to me/us for any losses，costs， epenses， damages or claims whh i/we may

49、suffer as a result of or in connection with any aspect of the te serve including my/our reliance on such serve.2.7i/we acknowledge that the pre tation serve， if any， for securities， available at the inter trade web site is provided by a third party provider ointed by you from time to time.i/we ackno

50、wledge and agree that you shall not be responsible to me/us for any losses，costs， epenses， damages or claims whh i/we may suffer as a result of or in connection with any aspect of the te serve including my/our reliance on such serve.2.9i/we understand that information provided in the electron tradin

51、g serves is provided on an ""as is“， ""as available” basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or pleteness of such information.you ve no epress or implied warranties (including but not limited to warranties of merchantability or fitness for a par

52、tular use) with respect to such information.2.9i/we understand that information provided in the electron trading serves is provided on an ""as is“， ""as available” basis and you do not guarantee the timeliness， sequence， accuracy，adequacy or pleteness of such information.you ve n

53、o epress or implied warranties (including but not limited to warranties of merchantability or fitness for a partular use) with respect to such information.2.10i/we accept the risks of receiving or gaining access to serves through and munating and conducting transactions over the inter or other elect

54、ron means or facilities for the purpose of the inter trade serve.3.the account 2.10i/we accept the risks of receiving or gaining access to serves through and munating and conducting transactions over the inter or other electron means or facilities for the purpose of the inter trade serve.3.the accou

55、nt 3.1i/we acknowledge that i/we may only access the account through the inter and i/we agree that should i/we eperience any problems in reaching you through the inter， i/we shall attempt to use alternative methods to munate with you and inform you of the diffulty i/we am/are eperiencing.3.1i/we ack

56、nowledge that i/we may only access the account through the inter and i/we agree that should i/we eperience any problems in reaching you through the inter， i/we shall attempt to use alternative methods to munate with you and inform you of the diffulty i/we am/are eperiencing.4.instructions- dealings

57、through the inter trade serve 4.instructions- dealings through the inter trade serve 5.instructions outside hong kong 5.instructions outside hong kong if i/we ve any instruction to you outside hong kong， i/we agree to ensure and represent that such instruction will have been ven in pliance with any

58、lable law of the relevant jurisdtion from whh my instruction is ven， and i/we further agree that i/we shall， when in doubt， consult legal advisers and other professionals of the relevant jurisdtion.i/we accept that there may be taes or charges payable to relevant authorities in respect to any instruction ven outside hong kong ， and i/we agree to pay such taes or charges as possible.6.risk disclosure statement if i/we ve any instruction t