发布时间 : 星期三 文章IB代理协议更新完毕开始阅读
中介代理人合约
INTRODUCING AGENT CONTRACT
Notwithstanding the termination of this Agreement, you will indemnify us against any loss or liability suffered by us as a result of any contravention of any such legal or regulatory requirement.
尽管本约终止，阁下将对所有因违反任何上述法律及监管规定而导致本公司之任何损失或责任给予补偿与免责保障。
4.4 We will deal directly with clients that sign our agreements but may in our absolute discretion dealwith you directly. For Market Counterparties, that are fully regulated Counterparties licensed in your home territory to deal with clients an Omnibus account maybe opened for you to deal with your clients. We will give to you and the Client all information, disclosures, explanations and documents which we are required to provide under the Rules or any Applicable Regulations.
本公司将直接与本公司签订合约之客户交易，然而本公司拥有全权酌情决定直接与阁下交易。就市场对手而言，只要持有其国家之合规牌照与客户交易，阁下可开立一个综合帐户与客户交易。本公司将会根据相关规例及其它适用法规向阁下及客户提供所有信息披露说明及文件。
4.5 We are entitled to assume, without enquiry, that any information which you give to us about the Client is complete and accurate and that it remains so unless we are advised otherwise by you. 本公司在没有咨询的情况下有权假定阁下向本公司提供有关客户之资料为完整及准确，直 至接获阁下之通知。
4.6 You will confirm to us in writing whether or not you have conducted such enquiries as may be appropriate to comply with Rules and any other legal or regulatory requirements relating to money laundering regulations to which you may be subject. 阁下将向本公司以书面确认阁下有否进行适当的调查以遵从相关条例，以及任何其它有关 洗钱条例之法律或监管规定的管制。
4.7 In certain circumstances, we may require further information about the Clients and/or we may apply our own identification/verification procedures.You shall comply with all reasonable requests or instructions notified to you by us from time to time.Upon such requests or instructions you agree to provide us with any relevant information which you may have concerning persons introduced to us by you so as to ensure that we can comply with our obligations to verify the identity of Clients under the UK anti-money laundering regulations and with our responsibilities under the Act and all other Applicable Regulations with respect to such Clients. Your oblig ations to us contained in herein shall survive the termination of this Agreement. You will notify us immediately when you become aware of any changes in the information which you have provided to us in relation to any Client.
在某种情况下，本公司可能进一步要求有关客户之信息及/或本公司可能应用本公司之识别 及核实程序。阁下应遵行所有本公司不时向阁下通知之合理要求或指示。在收到上述要求 或指示后，阁下同意向本公司提供所有有关阁下向本公司介绍之客户之相关资料，以保证 本公司可履行公司之义务，依据英国反洗钱条例查证客户之身分以及本公司根据本法及所 有其它对上述客户适用法规之责任。阁下就包含于本约中对本公司之义务，于本约终止后 仍然持续有效。当阁下发现之前向本公司提供有关任何客户资料有任何变更，阁下将立刻 通知本公司。 5. Services to be provided to Clients
向客户提供之服务
5.1 We will provide our services on an execution-only basis in respect of all transactions including
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securities, currencies, margined and other contingent liability transactions in futures, options, contracts for differences or foreign exchange and associated transactions (“Transactions”). We may arrange for those Transactions to be carried and cleared and such other services as we may specifically agree with the Client from time to time.
本公司将会提供有关所有交易包括证券、货币、保证金或期货、期权、价差合约或外汇之 其它关联交易(“交易”)的服务均以作基础。本公司或会安排该等交易予以执行及 清算及其它本公司会不时明确地与客户同意之服务。
5.2 Unless specifically agreed between us and the Client in writing, we will not provide the Client with any services which involve the giving of advice by us. For the avoidance of doubt, we shall have no liability or responsibility for (i) any investment, advisory, arranging or other services provided by you or (ii) any transaction or business arranged or otherwise effected by you for or with the Client which does not involve us. You do not (in the absence of any written agreement to the contrary) have any authority from us to give investment advice or provide discretionary or other services in our name or on our behalf.
除了本公司与客户具体地以书面同意外，本公司将不会向客户提供任何包含本公司提供建 议之服务。为避免疑虑，本公司不会负上下列之任何义务或责任：(i)任何投资、建议、安 排或其它由阁下提供之服务或(ii)任何交易或业务安排或在其它方面受阁下影响或阁下与客 户之间不涉及本公司之事宜。阁下(除非有本公司以书面授权者外)没有从本公司获得任何 授权以本公司之名义或代表本公司给予交易建议或提供全权委托或其它服务。 6. Your Obligations
阁下之责任
6.1 You shall perform the Services including without limitation your obligations under this Agreement and otherwise conduct your business and affairs in accordance with such professional and ethical standards as are widely regarded as being best practice and in accordance with Applicable Regulations. You shall not take any steps which would cause us to fail to observe the standard of behaviour reasonably expected of persons in our position.
阁下必须履行服务条款，包括但不限于阁下依据本约及除此之外根据广泛地被视为最佳守 则之专业及道德准则以及根据适用法规经营阁下之业务及事务。阁下不可采取任何手段致 本公司不能监测本公司合理地要求之行为规格。
6.2 All instructions and orders concerning each Client’s account shall be transacted by the Client or an established Agent provided with Power of Attorney. Instructions or orders received via our Trading Platform or telephone dealing will be carried out during our normal business hours allowing us sufficient time to act upon them. You agree that acceptance of an instruction to withdraw or amend an existing order is always subject to us receiving the instruction in time for the appropriate action to be taken.
关于每位客户帐户之所有指示及委托必须经由客户或获客户书面授权委托之代理人处理。 经由交易帄台或电话接获之指示或委托将于本公司之正常营业时间完成及确保本公司有足 够的时间处理。阁下同意本公司接受取消指示或更改既有委托皆依据本公司有否足够时间采取适当行动。
6.3 Subject to any restrictions contained in this Agreement, you shall provide the Services or such other
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中介代理人合约
INTRODUCING AGENT CONTRACT
services which may from time to time in our reasonable opinion becomes necessary and which are notified in writing by us to you.
依本约之限制下，阁下须提供服务或本公司不时以本公司合理之意见认为必需及以书面通知阁下之该等其它服务。 6.4 You shall: 阁下必须：
(a) not take or omit to take any action which you know or ought reasonably to know is reasonably likely to prejudice or to bring into disrepute in any manner our business or reputation or that of any of our associates;
不得作出或遗忘作出任何阁下了解或应该合理地了解可能损害或导致破坏本公司或 任何关联企业声誉之行为；
(b) Not knowingly do or commit (or permit to be done or committed) any act, matter or thing that you know or ought reasonably to know is reasonably likely to put us in breach of any of the provisions of the Client Agreement or Applicable Regulations;
不得故意作出或触犯(或允许作出或触犯)任何阁下了解或应该合理地了解可能使本公司违反任何客户合约或适用法规条款之行动、事件或事情；
(c) not make any representation or warranty concerning us except as authorised by us; 除了获得本公司授权，否则不作出任何关于本公司之陈述或保证；
(d) not, in your capacity as introducer, incur any liability on our behalf or in any way pledge or offer our credit or accept or enter into any contract binding upon us;
不得以作为介绍人之资格代表本公司引发任何负债或以任何方式保证给予或提供本 公司之信贷或签订任何对本公司有约束力之合约；
(e) at all times act in good faith for and towards us. 于任何时候代表或对本公司以诚信原则行事。
6.5 You shall not at any time hold any assets belonging to Clients or money which is or is to be treated as client money under the Rules unless otherwise agreed with us.
除非本公司另有同意，阁下于任何时候不可持有任何属于客户之资产或资金或根据相关规例被视为客户之资金。
6.6 You shall provide to us a copy of each client agreement entered into between you and any Client provided that the agreement refers to transactions to be carried out by us (this includes but is not limited to spread or fee agreements).
阁下必须向本公司提供每份阁下与每一客户签订涉及由本公司为其执行交易(包括但并不限 于价差或服务费合约)之合约复印件。
6.7 You shall provide us with your annual audited financial statements within three months of the end of your accounting reference period.
阁下必须于阁下当年之会计年度结束后三个月内向本公司提供阁下之年度经审核财务报表。
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6.8 Throughout the period of this Agreement, you will make available such suitable personnel (including, upon our reasonable request, a senior officer) both during the normal business hours and outside normal business hours in the case of emergency as shall be reasonably necessary to enable us to perform our obligations hereunder and to monitor and make available information relevant to all documentation prepared by us for the purpose of processing relevant transactions and dealing with any queries arising there from, and shall also make available such other facilities of liaison, co-ordination and co-operation as shall reasonably be necessary to facilitate the efficient carrying out of our obligations envisaged under this Agreement.
于本约有效期内，阁下必须于正常营业时间及非营业时间期间提供合适之人士（包括根据 本公司合理之要求，一名高级职员）作联系，合理地让本公司于发生突发事件时能够履行 本公司依本约之义务及监控和提供所有由本公司为了处理有关交易及任何因此产生的疑问 所编制之文件，以及必须提供此等其它必需之联系、协调及合作设施以促进本公司有效地 完成根据本约之义务。
6.9 You shall, save to the extent necessary to effect introductions hereunder and to perform your obligations under this Agreement (and notwithstanding any termination of this Agreement), keep all information relating to us or our services strictly confidential and shall not disclose the same to any other person or seek to utilise the same in order to obtain any commercial advantage over us for yourself or any other person or entity.
阁下除了必须依本约介绍客户及履行阁下根据本约之责任(即使本约终止后)，亦必须保留 所有关于本公司及本公司服务之信息絶对机密及不可披露予他人，或企图利用此等信息为 阁下或其它任何人士或实体获得任何商业利益。 7. Our Obligations
本公司之责任
7.1 We shall provide to you relevant marketing literature and documentation relating to our services. You shall procure that no marketing literature or documentation other than those directly translated from existing English based literature or approved by us in advance shall be utilised in relation to the introduction of prospective Clients.
本公司须为阁下提供有关本公司服务之市场推广印刷品及文件。阁下必须责成除了本公司 从英文文献直接翻译或经本公司事先批准，其它印刷品及文件不可利用作介绍准客户。 7.2 We shall: 本公司必须：
(a) upon accepting an order for execution, use reasonable endeavours duly to execute such order in accordance with its terms;
在接受一个执行委托后尽合理之努力按时地依照该委托之条款执行； (b) maintain proper records of all transactions for Clients’ accounts. 对客户帐户之所有交易保存适当的纪录。
7.3 We shall inform you promptly where we have knowledge that any Client has incurred a deficit balance on any of its accounts with us or with our clearing firm or is otherwise in breach of any obligation to us arising from the Client Agreement or any other contract.
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