外国投资者买卖有价证券开户总契约中英文.docx

1、外国投资者买卖有价证券开户总契约中英文ACCOUNT OPENING MASTER AGREEMENT WITH FOREIGN INVESTOR目录CONTENTS第一条集中市场买卖有价证券开户契约Article 1.Account Opening Agreement for the Securities Transaction at the Centralized Market.第二条柜台中心买卖有价证券开户契约Article 2. GTSM Trading Account Opening Agreement.第三条认购(售)权证风险预告书Article 3.Warrant Risk No

2、tice第四条对账单Article 4.Account Statement第五条仲裁Article 5.Arbitration.第六条保密义务Article 6.Confidentiality.第七条账户注销户与契约终止Article 7.Cancellation of the Account and Termination of the Agreement.第八条准据法Article 8.The Governing Law.委托人(下称外资/客户)兹依据台湾证券交易所股份有限公司(以下称证券交易所)及财团法人相关证券柜台买卖中心(下称柜台中心)之规定，委托贵证券商(下称证券商)在证券交易所市

3、场及在证券商营业处所买卖证券，除于实际委托买卖时由外资另行通知每次委托买卖证券名称、数量及委托买卖证券之条件外，由证券商之营业员依照规定制作委托书及由保管银行办理交割并负责保管证券外，特先行签订买卖有价证券开户总契约（以下简称本契约），并同意共同遵守下列条款：The customer (the “Foreign Investor”) pursuant to the relevant regulations of the Taiwan Stock Exchange Corporation (the “TSE”) and GreTai Securities Market (the GTSM) he

4、reby appoints broker (the “Broker”) to buy and sell securities on the TSE and GTSM market.The Foreign Investor will advise the Broker of the names and quantities of securities and other terms of the order. The Brokers sales representatives will, accordingly, fill out the required order slips. The se

5、ttlement and custody of securities shall be handled by the Custodian.This Account Opening Master Agreement (the “Agreement”) is executed to stipulate the general terms and conditions for the purchase and sale of securities and the provisions hereunder shall be duly complied with by all parties:第一条集中

6、市场买卖有价证券开户契约Article 1.Account Opening Agreement for the Securities Transaction at the Centralized Market.一、证券交易所之章程、营业细则、证券经纪商受托契约准则、有关公告事项、修订章则等，行政院金融监督管理委员会、证券集中保管公司、证券商业同业公会之规约及其它相关法令章则、公告函释以下简称法令章则，均为本契约之一部分，本契约签订后，上开法令章则如有修正者，亦同。The TSE Articles of Incorporation, the TSE Operational Rules, the

7、Guidelines for Brokerage Agreement, announcements or amendments with respect thereto made by the TSE from time to time, the rules, and other regulations, announcements, andinterpretation made by the Financial Supervisory Commission, Executive Yuan, Taiwan Securities CentralDepository Company, and/or

8、 Taiwan SecuritiesAssociation (the Rules and Regulations), shall be incorporated herein by reference and made a part of this Agreement. If the Rules and Regulations are amended, the amended Rules and Regulations shall be deemed to be incorporated herein and made a part of this Agreement.二、证券商必须依据外资之

9、书信、电报、电话、IC卡、因特网、电信、当面委托或其它经主管机关核准之委托方式，据实制作委托书，打印或留存买卖委托纪录，并依据委托书或委托买卖纪录所载委托事项执行之。证券商基于风险控管或与外资往来状况等事由，得限制或拒绝外资之委托。外资以前述方式通知委托买卖如有错误而其错误之原因非为可归责于证券商之事由者由外资自行负责。The Broker shall correctly complete order slips, print out the order record or maintain transaction records, based on the Foreign Investors

10、 written, telegraphic, telephone, IC Card, internet, or face-to-face instruction or via other means permitted by the competent authorities.The Broker shall complete the orders in accordance with the order slips or the transaction records.The Broker may refuse or limit orders placed by the Foreign In

11、vestor on the grounds of risk control or related conditions with the Foreign Investor, etc.If any error exists in an order placed by the Foreign Investor as above and such error is not attributable to the Broker, the Foreign Investor will be responsible for the error.三、外资应依法令章则于规定交割时间前确认已成交之有价证券交易，并

12、完成交割等相关事宜。The Foreign Investor shall confirm the matched securities transactions prior to the settlement time prescribed by the applicable Rules and Regulations and settle the transactions.四、证券商受托买卖有价证券于成交后得依照与外资之协议向外资收取手续费及其它相关费用，外资应如数给付，证券商并得依当时市场惯例并于法律章则容许之范围内自外资之款项中扣抵。After the trade is matched,

13、 the Broker shall be entitled to commissions and other related expenses from the Foreign Investor as agreed with the Foreign Investor and the Foreign Investor shall pay such commission and such expenses in full.The Broker may, to the extent permitted by the Rules and Regulations, deduct the above am

14、ounts from the funds of the Foreign Investor in accordance with then market practices.五、外资不按期履行交割代价或交割证券者，即为违约，本契约当然终止。惟证券商仍应依法令章则，代外资办理该违约交割之交割手续。证券商因代办交割所收取之有价证券，应委托其它证券经纪商在证券交易所集中交易市场予以处理；此项处理所得或证券商代办交割所收取之对价抵销外资因违约所生债务、费用及违约金后有剩余者，应退还外资；如有不足，得处分因其它委托买卖关系所收或应付外资之财物予以扣抵取偿，如仍有不足，得向外资追偿。外资因迟延给付结算产生之

15、借券、代付款项及其它相关费用时，应于完成给付时一并返还证券商。If the Foreign Investor defaults in delivery of securities or making payment as required hereunder, such shall constitute a breach of this Agreement and this Agreement shall be immediately terminated; provided, that the Broker shall, on behalf of the Foreign Investor,

16、nevertheless complete the settlement procedures for such transactions pursuant to the Rules and Regulations.The securities received by the Broker in such settlement procedures should be delivered to another broker and sold on the exchange; the proceeds, thus, recovered or the purchase price received

17、 by the Broker from the settlement, shall be applied to set-off the Foreign Investors obligations in respect of the aforementioned debt, expenses and default penalty payment arising as a result of the Foreign Investors breach of this Agreement.Any excess shall be returned to the Foreign Investor.If

18、there is an insufficiency, the Broker may dispose of the assets obtained by the Broker due to any mandated sale or purchase relationship or retain any proceeds payable to the Foreign Investor as a result of any trade transactions and apply same to the indebtedness arising out of the subject trade tr

19、ansaction.If such is insufficient, then the Broker may seek payment from the Foreign Investor.A delay in settlement results in borrowing of securities, payments made by the Broker on behalf of the Foreign Investor, or other related fees, the foreign investor shall pay all such amounts to the broker

20、when completing settlement.六、证券商因委托买卖关系所收受外资之财物，及交易计算上应付予外资之款项，得视为外资对于证券商因交易所生之债务而留置，非至外资清偿其债务后，不予返还。The Foreign Investors assets obtained by the Broker due to any mandated sale or purchase relationship and any proceeds payable to the Foreign Investor as a result of any trade transaction may be reta

21、ined by the Broker and applied to the indebtedness arising out of such trade transaction and shall not be returned to the Foreign Investor until the Foreign Investor has settled its debt.七、若发生非证券商所能控制之不可抗力情事，造成传输或任何通讯系统中断或其它障碍，致证券商无法或迟延履行本契约下对外资之义务时，证券商免负其责。The Broker shall not be responsible for th

22、e Brokers inability to perform or delay in performing its obligations to the Foreign Investor under this Agreement as a result of any disruptions of transmission or computer link operation or other obstacles caused by force majeure events that are out of the control of the Broker.第二条柜台中心买卖有价证券开户契约Ar

23、ticle 2. GTSM Trading Account Opening Agreement.一、柜台中心之业务规则、规约、有关公告事项、修订章则等，行政院金融监督管理委员会、证券集中保管公司、证券商业同业公会之规约及其它相关法令章则、公告函释以下简称法令章则，均为本契约之一部分，本契约签订后，上开法令章则如有修正者，亦同。The “Business Operation Rules for the Purchase and Sale of Securities at the Business Premises of Securities Firms (the “GTSM Rules”), r

24、egulations, announcements and amendments with respect thereto made by the GTSM from time to time, the rules, and other regulations, announcements and interpretations made by the Financial Supervisory Commission, Executive Yuan, Taiwan Securities Central Depository Company, and/or the Securities Deal

25、ers Association (the Rules and Regulations) shall be incorporated herein by reference and made a part of this Agreement. If the Rules and Regulations are amended, the amended Rules and Regulations shall be deemed to be incorporated herein and made a part of this Agreement.二、柜台买卖依经纪或自营方式，以议价或等价、等殖成交方

26、法为之。其以经纪方式为柜台买卖者，应于成交后，得依照与外资之协议向外资收取手续费及其它相关费用，外资应如数给付，证券商并得依当时市场惯例并于法律章则容许之范围内自应付外资之款项中扣抵；其以自营方式为柜台买卖者，不得收取手续费。GTSM transactions may be conducted by brokerage or principal trading, at the price negotiated, or through the price match or yield match system.If GTSM transactions are handled by brokera

27、ge, after the trade is matched, the Broker shall be entitled to commissions and other related expenses from the Foreign Investor as agreed with the Foreign Investor from time to time and the Foreign Investor shall pay such commissions and such expenses in full.The Broker may, to the extent permitted

28、 by the Rules and Regulations, deduct the above amounts from the funds of the Foreign Investor in accordance with then market practices from time to time.If the GTSM transactions are conducted by trading with the Broker as principal, no commission shall be collected.三、证券商接受经纪买卖之委托，必须依据外资之书信、电报、电话、IC

29、卡、因特网、电信、当面委托或其它经主管机关核准之委托方式，据实制作委托书，打印或留存买卖委托纪录，并依据委托书或委托买卖纪录所载委托事项执行之。证券商基于风险控管、及与外资往来状况之事由，得限制或拒绝外资之委托。外资以前述方式通知委托买卖如有错误而其错误之原因非为可归责于证券商之事由者由外资自行负责。When accepting orders for brokerage transactions, the Broker shall correctly complete order slips, print out the order record or maintain transaction

30、 records, based on the Foreign Investors written, telegraphic, telephone, IC Card, internet, or face-to-face instruction or via other means permitted by the competent authorities.The Broker shall complete the orders in accordance with the order slips or the transaction records.The Broker may refuse

31、or limit orders placed by the Foreign Investor on the grounds of risk control or related condition with the Foreign Investor, etc.If any error exists in an order placed by the Foreign Investor as above and such error is not attributable to the Broker, the Foreign Investor will be responsible for the

32、 error.四、证券商以经纪方式为柜台买卖者，应于成交日后次一营业日上午十二时前，制发买卖报告书交由外资签章(外资已签立给付结算款券转拨同意书或依法令规章得以汇拨（汇款）方式收受或交付价金者，得免签章)，证券商应收受或交付外资之价金一律透过外资在金融机构存款账户办理；其应收或交付外资之有价证券并依据台湾证券集中保管股份有限公司业务操作办法办理。证券商以自营方式为柜台买卖者，应于成交时制发买卖成交单、给付结算凭单及交付清单(如为现券交付者)交由外资签章，并于成交日之次一营业日前结算价款，收付有价证券，或自行依台湾证券集中保管股份有限公司业务操作办法有关规定为有价证券之给付。Where an GTSM transaction is conducted by brokerage, the Broker shall prepare a Buy/Sell Re