外国投资者买卖有价证券开户总契约中英文Word下载.docx

外国投资者买卖有价证券开户总契约中英文Word下载.docx

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第二条 

柜台中心买卖有价证券开户契约

Article2.GTSMTradingAccountOpeningAgreement.

第三条 

认购 

（售） 

权证风险预告书Article3. 

WarrantRiskNotice

第四条 

对账单Article4. 

AccountStatement

第五条 

仲裁Article5. 

Arbitration.

第六条 

保密义务Article6. 

Confidentiality.

第七条 

账户注销户与契约终止

Article7. 

CancellationoftheAccountandTerminationoftheAgreement.

第八条 

准据法Article8. 

TheGoverningLaw.

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：

Thecustomer（the“ForeignInvestor”）pursuanttotherelevantregulationsoftheTaiwanStockExchangeCorporation（the“TSE”）andGreTaiSecuritiesMarket（the"

GTSM"

）herebyappointsbroker（the“Broker”）tobuyandsellsecuritiesontheTSEandGTSMmarket. 

TheForeignInvestorwilladvisetheBrokerofthenamesandquantitiesofsecuritiesandothertermsoftheorder.TheBroker’ssalesrepresentativeswill,accordingly,fillouttherequiredorderslips.ThesettlementandcustodyofsecuritiesshallbehandledbytheCustodian. 

ThisAccountOpeningMasterAgreement（the“Agreement”）isexecutedtostipulatethegeneraltermsandconditionsforthepurchaseandsaleofsecuritiesandtheprovisionshereundershallbedulycompliedwithbyallparties:

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。

TheTSEArticlesofIncorporation,theTSEOperationalRules,theGuidelinesforBrokerageAgreement,announcementsoramendmentswithrespecttheretomadebytheTSEfromtimetotime,therules,andotherregulations,announcements,and 

interpretationmadebytheFinancialSupervisoryCommission,ExecutiveYuan,TaiwanSecuritiesCentral 

DepositoryCompany,and/orTaiwanSecurities 

Association（the"

RulesandRegulations"

）,shallbeincorporatedhereinbyreferenceandmadeapartofthisAgreement.IftheRulesandRegulationsareamended,theamendedRulesandRegulationsshallbedeemedtobeincorporatedhereinandmadeapartofthisAgreement.

二、证券商必须依据外资之书信、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。

TheBrokershallcorrectlycompleteorderslips,printouttheorderrecordormaintaintransactionrecords,basedontheForeignInvestor'

swritten,telegraphic,telephone,ICCard,internet,orface-to-faceinstructionorviaothermeanspermittedbythecompetentauthorities. 

TheBrokershallcompletetheordersinaccordancewiththeorderslipsorthetransactionrecords.

TheBrokermayrefuseorlimitordersplacedbytheForeignInvestoronthegroundsofriskcontrolorrelatedconditionswiththeForeignInvestor,etc.

IfanyerrorexistsinanorderplacedbytheForeignInvestorasaboveandsucherrorisnotattributabletotheBroker,theForeignInvestorwillberesponsiblefortheerror.

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，并完成交割等相关事宜。

TheForeignInvestorshallconfirmthematchedsecuritiestransactionspriortothesettlementtimeprescribedbytheapplicableRulesandRegulationsandsettlethetransactions.

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。

Afterthetradeismatched,theBrokershallbeentitledtocommissionsandotherrelatedexpensesfromtheForeignInvestorasagreedwiththeForeignInvestorandtheForeignInvestorshallpaysuchcommissionandsuchexpensesinfull. 

TheBrokermay,totheextentpermittedbytheRulesandRegulations,deducttheaboveamountsfromthefundsoftheForeignInvestorinaccordancewiththenmarketpractices.

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。

IftheForeignInvestordefaultsindeliveryofsecuritiesormakingpaymentasrequiredhereunder,suchshallconstituteabreachofthisAgreementandthisAgreementshallbeimmediatelyterminated;

provided,thattheBrokershall,onbehalfoftheForeignInvestor,neverthelesscompletethesettlementproceduresforsuchtransactionspursuanttotheRulesandRegulations. 

ThesecuritiesreceivedbytheBrokerinsuchsettlementproceduresshouldbedeliveredtoanotherbrokerandsoldontheexchange;

theproceeds,thus,recoveredorthepurchasepricereceivedbytheBrokerfromthesettlement,shallbeappliedtoset-offtheForeignInvestor'

sobligationsinrespectoftheaforementioneddebt,expensesanddefaultpenaltypaymentarisingasaresultoftheForeignInvestor'

sbreachofthisAgreement. 

AnyexcessshallbereturnedtotheForeignInvestor. 

Ifthereisaninsufficiency,theBrokermaydisposeoftheassetsobtainedbytheBrokerduetoanymandatedsaleorpurchaserelationshiporretainanyproceedspayabletotheForeignInvestorasaresultofanytradetransactionsandapplysametotheindebtednessarisingoutofthesubjecttradetransaction. 

Ifsuchisinsufficient,thentheBrokermayseekpaymentfromtheForeignInvestor.

Adelayinsettlementresultsinborrowingofsecurities,paymentsmadebytheBrokeronbehalfoftheForeignInvestor,orotherrelatedfees,theforeigninvestorshallpayallsuchamountstothebrokerwhencompletingsettlement.

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。

TheForeignInvestor'

sassetsobtainedbytheBrokerduetoanymandatedsaleorpurchaserelationshipandanyproceedspayabletotheForeignInvestorasaresultofanytradetransactionmayberetainedbytheBrokerandappliedtotheindebtednessarisingoutofsuchtradetransactionandshallnotbereturnedtotheForeignInvestoruntiltheForeignInvestorhassettleditsdebt.

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。

TheBrokershallnotberesponsiblefortheBroker'

sinabilitytoperformordelayinperformingitsobligationstotheForeignInvestorunderthisAgreementasaresultofanydisruptionsoftransmissionorcomputerlinkoperationorotherobstaclescausedbyforcemajeureeventsthatareoutofthecontroloftheBroker.

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“BusinessOperationRulesforthePurchaseandSaleofSecuritiesattheBusinessPremisesofSecuritiesFirms（the“GTSMRules”）,regulations,announcementsandamendmentswithrespecttheretomadebytheGTSMfromtimetotime,therules,andotherregulations,announcementsandinterpretationsmadebytheFinancialSupervisoryCommission,ExecutiveYuan,TaiwanSecuritiesCentralDepositoryCompany,and/ortheSecuritiesDealersAssociation（the"

）shallbeincorporatedhereinbyreferenceandmadeapartofthisAgreement.IftheRulesandRegulationsareamended,theamendedRulesandRegulationsshallbedeemedtobeincorporatedhereinandmadeapartofthisAgreement.

二、柜台买卖依经纪或自营方式，以议价或等价、等殖成交方法为之。

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。

GTSMtransactionsmaybeconductedbybrokerageorprincipaltrading,atthepricenegotiated,orthroughthepricematchoryieldmatchsystem. 

IfGTSMtransactionsarehandledbybrokerage,afterthetradeismatched,theBrokershallbeentitledtocommissionsandotherrelatedexpensesfromtheForeignInvestorasagreedwiththeForeignInvestorfromtimetotimeandtheForeignInvestorshallpaysuchcommissionsandsuchexpensesinfull. 

TheBrokermay,totheextentpermittedbytheRulesandRegulations,deducttheaboveamountsfromthefundsoftheForeignInvestorinaccordancewiththenmarketpracticesfromtimetotime. 

IftheGTSMtransactionsareconductedbytradingwiththeBrokerasprincipal,nocommissionshallbecollected.

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。

Whenacceptingordersforbrokeragetransactions,theBrokershallcorrectlycompleteorderslips,printouttheorderrecordormaintaintransactionrecords,basedontheForeignInvestor'

TheBrokermayrefuseorlimitordersplacedbytheForeignInvestoronthegroundsofriskcontrolorrelatedconditionwiththeForeignInvestor,etc.

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。

WhereanGTSMtransactionisconductedbybrokerage,theBrokershallprepareaBuy/SellRe