Common use of Client Identity Rule Clause in Contracts

Client Identity Rule. 18.1 Response to Enquiries from Regulators Where you have received an enquiry from SEHK and/or the Securities and Futures Commission of Hong Kong (collectively the “Hong Kong regulators”) or request from a stockbroker/licensed person/intermediary in response to the enquiry from any of the Hong Kong regulators, and We have notified you in writing that We are trading on behalf of other person, We shall, upon your request (which request shall include the relevant contact details of the Hong Kong regulators), inform the Hong Kong regulators of the identity, address, occupation and contact details of the client for whose account the dealing was undertaken and (so far as known to us) of the person with the ultimate beneficial interest in the relevant dealing. We shall also inform the Hong Kong regulators of the identity, address, occupation and contact details of any third party (if different from the client/the ultimate beneficiary who originated the dealing). You may also comply with such requests directly without reference to us if you are in possession of the relevant information.