Common use of Rules and Laws Clause in Contracts

Rules and Laws. 規則及法律 10.1 Transactions related to exchange traded futures and options contracts shall be subject to the rules of the relevant markets and exchanges. Upon request of HKFE or SFC or in other certain circumstances as may be required by the applicable laws, rules, regulations, etc, OPSL will be required to disclose the name, beneficial identity and such other information concerning the Client as HKFE or SFC may require and the Client agrees to provide such information concerning the Client as OPSL may require in order for OPSL to comply with the applicable laws, rules, regulations, etc and that in the event OPSL fails to comply with the disclosure requirement of the HKFE, the Chief Executive of the HKFE may require the Closing Out of positions on behalf of the Client or the imposition of a margin surcharge on the positions of the Client. 有關在交易所買賣的期貨及期權合約的交易須遵守有關市場及交易所的規則。應期交所或證監會要求，或在適用法律、規則、法規等規定的其他若干情況下，開盤證券須披露予期交所或證監會可能要求的有關客戶的名稱、受益人身份及該等其他資料，客戶同意提供開盤證券為遵從適用法律、規則、法規等而可能要求的有關客戶的該等資料，倘開盤證券未能遵從期交所的披露規定，期交所首席執行官可能要求代表客戶對倉位進行平倉，或對客戶的倉位施加保證金附加費。 10.2 In respect of the transactions related to the F.O. Business executed in markets other than those organized by the HKFE, the Client acknowledges such transactions shall be subject to the rules and regulations of those markets and not those of the HKFE with the result that the Client may have a markedly different level and type of protection in relation to those transactions as compared to the level and type of protection afforded by the rules of the HKFE. 就於期交所組織的市場以外的市場執行的期貨期權業務相關交易而言，客戶確認該等交易須遵守該等市場而非期交所的規則及法規，因此與期交所規則提供的保障級別及種類相比，客戶可能就有關該等交易有顯著不同的保障級別及種類。

Rules and Laws. 規則及法律 10.1 Transactions related to exchange traded futures and options contracts shall be subject to the rules of the relevant markets and exchanges. Upon request of HKFE or SFC or in other certain circumstances as may be required by the applicable laws, rules, regulations, etc, OPSL will be required to disclose the name, beneficial identity and such other information concerning the Client as HKFE or SFC may require and the Client agrees to provide such information concerning the Client as OPSL may require in order for OPSL to comply with the applicable laws, rules, regulations, etc and that in the event OPSL fails to comply with the disclosure requirement of the HKFE, the Chief Executive of the HKFE may require the Closing Out of positions on behalf of the Client or the imposition of a margin surcharge on the positions of the Client. 有關在交易所買賣的期貨及期權合約的交易須遵守有關市場及交易所的規則。應期交所或證監會要求，或在適用法律、規則、法規等規定的其他若干情況下，開盤證券須披露予期交所或證監會可能要求的有關客戶的名稱、受益人身份及該等其他資料，客戶同意提供開盤證券為遵從適用法律、規則、法規等而可能要求的有關客戶的該等資料，倘開盤證券未能遵從期交所的披露規定，期交所首席執行官可能要求代表客戶對倉位進行平倉，或對客戶的倉位施加保證金附加費。 10.2 In respect of the transactions related to the F.O. Business executed in markets other than those organized by the HKFE, the Client acknowledges such transactions shall be subject to the rules and regulations of those markets and not those of the HKFE with the result that the Client may have a markedly different level and type of protection in relation to those transactions as compared to the level and type of protection afforded by the rules of the HKFE. 就於期交所組織的市場以外的市場執行的期貨期權業務相關交易而言，客戶確認該等交易須遵守該等市場而非期交所的規則及法規，因此與期交所規則提供的保障級別及種類相比，客戶可能就有關該等交易有顯著不同的保障級別及種類。。 附表 4 - 中華通服務協議 In relation to the Customer using of the China‐HK Connect Services provided by Open Securities, The Customer hereby agree, undertake and acknowledge the following: 就客戶使用開盤證券的中港通服務而言，客戶特此同意、承諾及承認以下各點：

Rules and Laws. 規則及法律 10.1 Transactions related to exchange traded futures and options contracts shall be subject to the rules of the relevant markets and exchanges. Upon request of HKFE or SFC or in other certain circumstances as may be required by the applicable laws, rules, regulations, etc, OPSL TCCS will be required to disclose the name, beneficial identity and such other information concerning the Client as HKFE or SFC may require and the Client agrees to provide such information concerning the Client as OPSL TCCS may require in order for OPSL TCCS to comply with the applicable laws, rules, regulations, etc and that in the event OPSL TCCS fails to comply with the disclosure requirement of the HKFE, the Chief Executive of the HKFE may require the Closing Out of positions on behalf of the Client or the imposition of a margin surcharge on the positions of the Client. 有關在交易所買賣的期貨及期權合約的交易須遵守有關市場及交易所的規則。應期交所或證監會要求，或在適用法律、規則、法規等規定的其他若干情況下，開盤證券須披露予期交所或證監會可能要求的有關客戶的名稱、受益人身份及該等其他資料，客戶同意提供開盤證券為遵從適用法律、規則、法規等而可能要求的有關客戶的該等資料，倘開盤證券未能遵從期交所的披露規定，期交所首席執行官可能要求代表客戶對倉位進行平倉，或對客戶的倉位施加保證金附加費。 有關在交易所買賣的期貨及期權合約的交易須遵守有關市場及交易所的規則。應期交所或證監會要求，或在適用法律、規則、法規等規定的其他若干情況下，天宸康合須披露予期交所或證監會可能要求的有關客戶的名稱、受益人身份及該等其他資料，客戶同意提供天宸康合為遵從適用法律、規則、法規等而可能要求的有關客戶的該等資料，倘天宸康合未能遵從期交所的披露規定，期交所首席執行官可能要求代表客戶對倉位進行平倉，或對客戶的倉位施加保證金附加費。 10.2 In respect of the transactions related to the F.O. Business executed in markets other than those organized by the HKFE, the Client acknowledges such transactions shall be subject to the rules and regulations of those markets and not those of the HKFE with the result that the Client may have a markedly different level and type of protection in relation to those transactions as compared to the level and type of protection afforded by the rules of the HKFE. 就於期交所組織的市場以外的市場執行的期貨期權業務相關交易而言，客戶確認該等交易須遵守該等市場而非期交所的規則及法規，因此與期交所規則提供的保障級別及種類相比，客戶可能就有關該等交易有顯著不同的保障級別及種類。