Supplement of Terms and Conditions for Securities/Futures/Leveraged Foreign Exchange Trading Account

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1 Supplement of Terms and Conditions for Securities/Futures/Leveraged Foreign Exchange Trading Account TABLE OF CONTENTS PART A INTERPRETATION PART B GENERAL TERMS PART C ADDITIONAL TERMS APPLICABLE TO RESPECTIVE ACCOUNTS Schedule 1 Schedule 2 Schedule 3 Schedule 4 Additional Terms for Cash Account Additional Terms for Margin Account Additional Terms for Futures Account Additional Terms for Leveraged Foreign Exchange Trading Account PART D RISK DISCLOSURE STATEMENTS Schedule 1 Schedule 2 Schedule 3 Schedule 4 Schedule 5 Schedule 6 Schedule 7 Schedule 8 Schedule 9 Risk of Securities Trading Risk of Margin Trading Risk of Trading Growth Enterprise Market Stocks Risk of Trading NASDAQ-AMEX Securities at The Stock Exchange of Hong Kong Limited Additional Risk Disclosure for Futures and Options Trading Risk of Providing an Authority to Hold Mail or to Direct Mail to Third Parties Risk of Client Assets Received or Held Outside Hong Kong Risk Disclosure Statement for Derivative Products Risk of Trading in Leveraged Foreign Exchange Contracts Schedule 10 Risk of Providing an Authority to Repledge Your Securities Collateral Etc Schedule 11 Internet Risk Disclosure Statement 1

2 PART A INTERPRETATION Account Business Day Instructions Trading Policy Cash Account or Margin Account or Futures Account or Leveraged Foreign Exchange Trading Account (as defined in Schedule 4 to Part C) or any other securities trading account opened by the Client with PSHK through Offline Operation or Electronic Operation or by any other means in the context other than for the operation of a Leveraged Foreign Exchange Trading Account (as defined in Schedule 4 to Part C) any day other than a public holiday or a gale warning day or a black rainstorm warning day as defined in s.71(2) of the Interpretation and General Clauses Ordinance (Cap. 1 of the Laws of Hong Kong) the instructions (i) for dealing in Securities or other assets or property held in or on behalf of the Account, (ii) for the transfer, deposit or withdrawal of funds or Securities or other assets or property into or out of the Account including transferring into or from any other account of the Client with the Polaris Group, (iii) for the provision of Financial Accommodation (iv) for the entering into of Leveraged Foreign Exchange Contracts, and/or (v) for any other act relating to the operation of the Account the policies and procedures applicable to the operation of the Cash Account or the Margin Account or the Leveraged Foreign Exchange Trading Account (as defined in Schedule 4 to Part C) or any other securities trading account which shall be binding on the Client and determined by PSHK from time to time and will be available upon the Client s request PART B GENERAL TERMS 3.17 The Client shall be liable for any taxes, charges, tax reporting and other responsibilities to relevant authorities of whatsoever jurisdiction to which the Client may be subject in respect of placing any Instructions and/or any activities relating to the Account. PSHK has the right to dispose of any Securities, instruments or other assets held in the Account or to liquidate any positions in the Account for the settlement of such liabilities at any time. PART C ADDITIONAL TERMS APPLICABLE TO RESPECTIVE ACCOUNTS Schedule 4 Additional Terms for Leveraged Foreign Exchange Trading Account 1. Introduction This schedule is supplemental to the General Terms and applies to Leveraged Foreign Exchange Trading Account. Save and except varied herein, terms defined in the General Terms shall have the same meaning when used herein. 2

3 2. Definitions Appointee Business day Closing Out Floating Loss Floating Profit means such person(s) whose name(s), address(es) and contact details is/are set out in the Account Opening Form hereto as the Client may appoint to operate the Leveraged Foreign Exchange Trading Account on the Client s behalf In the context of the Leveraged Foreign Exchange Trading, means a day on which PSHK is open for FX transaction as PSHK may determine from time to time means in relation to any contract, the entering into of another contract of the same specification and for the same amount but of an opposite position in order to cancel the former contract and/or to crystallize the profit or loss on such former contract and the term Close Out shall be construed accordingly means unrealized losses calculated by marking to market foreign currency positions means unrealized profits calculated by marking to market foreign currency positions FX means foreign currencies, currency options, currency futures or forward contracts and contracts for the future delivery of foreign currencies or otherwise relating to foreign currencies accepted by PSHK to be traded from time to time at its absolute discretion FX Contract(s) FX Transaction(s) Initial Margin Leveraged Foreign Exchange Trading Account means contract(s) entered into between PSHK and the Client in relation to FX Transaction(s) means transaction(s) involving currencies, currency options, currency futures or forward contracts and contracts for the future delivery of foreign currencies or otherwise relating to transactions in leveraged foreign exchange trading within the meaning of Schedule 5 of the SFO means the minimum amount required to be deposited by the Client with PSHK for each contract opened, such minimum shall not be less than 5% of the principal amount of the contract offered by PSHK and shall be subject to change from time to time at the discretion of PSHK and in line with the statutory requirements means the leveraged foreign exchange trading account opened by the Client with PSHK through Offline Operation or Electronic Operation or any other means 3

4 Maintenance Margin Margin Deposit Service User name and Password Value Date means the minimum balance which must be maintained for each contract by the Client subsequent to the deposit of the Initial Margin, such minimum balance shall not be less than 3% of the principal amount of the contract offered by PSHK or as varied in accordance with the statutory requirements, and the Client may be required to restore the margin to 100% of the Initial Margin means amount of fund which is equivalent to Initial Margin or Maintenance Margin required to be deposited by the Client with PSHK as from time to time to be prescribed by PSHK means the on-line trading service for placing orders of FX Transactions provided by PSHK from time to time means the unique user name and password provided to the Client for assessing the Service by PSHK means the date on which the FX agreed to be purchased or sold pursuant to a FX Contract is to be delivered or deferred 3. Margin Requirement 3.1 The Client shall maintain sufficient Margin Deposit at the Leveraged Foreign Exchange Trading Account in such amount and in such manner as PSHK may, subject to the applicable laws and regulations, from time to time determine. 3.2 PSHK has the right to require more margin from the Client as required by the SFC and/or any relevant regulatory authority. Pursuant to the Governing Rules, PSHK may be required to report to the SFC and/or any relevant regulatory authority all related open positions thereof if any margin call or demand request is not duly met by the Client. 3.3 PSHK shall, for the purpose of determining the value of the open positions of the Client or effecting FX Transactions on behalf of the Client, determine the relevant FX prices by reference to the current inter-bank market rates quoted by a reputable financial information services organization in Hong Kong or elsewhere. 3.4 If the Client fails to provide sufficient Margin Deposits within the time specified by PSHK, PSHK may at its absolute discretion carry out any act or acts as it deems fit to protect its interest. Such acts include but not limited to Closing Out the FX contracts which PSHK entered into with or on behalf of the Client without the Client s consent. Any such acts shall be binding upon the Client as if proper Instructions have been given by the Client to PSHK. The Client irrevocably accepts that in carrying out such act or acts as aforesaid, PSHK owes no duty or obligation of whatever nature to the Client to minimize or eliminate his loss. 4

5 4. Instructions 4.1 Any Instructions relating to any FX Transaction may be given by the Client or the Appointee in the manner and on the terms as provided in Clause 3.7 of Part B General Terms and such Instructions if accepted by and acted on by PSHK shall be absolutely and conclusively binding on the Client. 4.2 The Client hereby further agrees and acknowledges that PSHK has reserved the absolute right at any time without giving any reason therefore not to enter into any FX Transactions or to accept any Instructions for sale or purchase of FX from the Client. 4.3 All telephone conversations between PSHK and the Client made in the course of business shall be recorded on a centralized tape recording system operated by PSHK. 4.4 The Client hereby expressly acknowledge that rates for FX may fluctuate in a very short period of time and agrees that any rate quoted by PSHK whether verbally, or otherwise, shall not be binding on PSHK. 4.5 Without prejudice to Clause 4.3, any FX Contract entered into verbally by telephone shall be deemed to be concluded at time of the relevant telephone conversation. 4.6 The Client acknowledges and agrees that he shall be wholly and solely responsible for all instructions entered through the Service using the User Name and Password (whether authorized by him or not). Neither PSHK nor any of its officers, employees or agents shall incur any liability for the handling, mishandling or loss of any Instruction. The Client shall indemnify PSHK upon demand against any loss, damage, costs, disbursements and liabilities PSHK may incur or suffer as a result of PSHK s reliance on such Instruction. The Client further agrees that, as a condition of using the Service to give Instructions, the Client shall immediately notify PSHK if a) an Instruction has been placed through the Service and he has not received an accurate acknowledgement of the Instruction or of its execution (by electronic or verbal means); b) Client has received acknowledgement of an FX Transaction which he did not instruct or any similar discrepancy; c) Client becomes aware of any unauthorized use of his Username and Password; d) Client has difficulties with regard to the use of the Service. 5. Transactions 5.1 Upon receipt of Instructions from the Client and subject to General Terms and the additional terms in this Schedule 4, PSHK shall conclude the FX Transaction(s) for the Client. PSHK shall have no obligation to provide the Client with financial or other advice with respect to any position of the Client. 5.2 PSHK has the discretion to require the Client to sign and return an order form on the same day in which the relevant order is placed for record purpose, failing which the confirmation of execution of such order by PSHK, whether oral or written, shall be deemed to be evidence of placing of such order by Client who shall have no right to dispute the relevant order subsequently. 5.3 PSHK shall provide the Client with the trade confirmation of the FX Contracts with full transaction details no later than the end of the next trading day and on the request of Client, the Trading Policy for the Client s reference. 5

6 5.4 PSHK may take the opposite position to the Client s orders. 5.5 The Client may be affected by any curtailment of, or restriction on, the capacity of PSHK to deal in respect of open positions as a result of action taken by the SFC under applicable rules and regulations or for any other reason, and that in such circumstances, the Client may be required to reduce or Close Out his open positions with PSHK. 5.6 None of the employees or representatives of PSHK shall accept appointment by the Client as the Client s Appointee to operate the Leveraged Foreign Exchange Trading Account for and on behalf of the Client unless proper authorization is granted by the Client and accepted by PSHK and the appointment of the Appointee by the Client shall be subject to all applicable laws and regulations. 5.7 The Client agrees that the Client shall be liable for all losses which may be incurred in connection with FX Transactions whether or not the Leveraged Foreign Exchange Trading Account is closed and for any debit balance(s) and deficiencies in the Leveraged Foreign Exchange Trading Account including all debts and deficiencies resulting from a closure of the Leverage Foreign Exchange Trading Account. 5.8 Marking to market rates shall be based on inter-bank market closing rates. The rates which are changing on a day-to-day basis will be used to calculate the Floating Profit or Floating Loss on the Client s open positions. If the net equity of the Client does not meet PSHK s margin requirements, a margin call notice will be sent to the Client. 5.9 The foreign exchange dealing rates offered by PSHK to the Client are based on the current inter-bank market rates quoted by the liquidity party. The Client recognizes that foreign exchange trading spot prices may vary from institution to institution and from minute to minute which may arise, including without limitation, as a result of a time lag in data transmission, and that it may prove impossible to effect trades even at advertised prices. Thus the Client agrees to accept that such price as PSHK may offer him from time to time is the best price then available When a client gives any instructions involving closing positions or closing his Account, PSHK should ensure that the client s instructions are executed promptly at such price and terms which do not differ in any material respect from those entered into for other clients at the same time. 6. Closing Out 6.1 Immediately upon or at any time after the occurrence of any one or more of the following events:- (a) the failure of the Client to pay any amount of whatever nature under any FX Contracts or the Terms & Conditions when due; (b) the breach by the Client of any provisions of the Terms & Conditions and/or any FX Contracts; (c) the receipt by PSHK of notice of any dispute as to the validity of any Instruction from the Client and/or any FX Contract; (d) the continued performance of any of the FX Contracts or the Terms & Conditions becoming illegal or being declared by any government authority to be illegal; 6

7 (e) (f) (g) (h) the death (save and except provided in Clause 7.4 hereof), judicial declaration of incompetence or mental incapacity of the Client; the Client shall become insolvent or generally suspend payment of debts when become due or a bankruptcy or winding-up petition or a petition for the appointment of receiver is being presented against the Client; or the Client shall suffer any distraint or levy of execution of all kinds, or a receiver is being appointed over the Client or any part of the property of the Client; if at any time the prevailing rate of exchange applicable to the FX concerned under any FX Contract shall have moved adversely to the position of the Client and PSHK, at its absolute discretion, determines that the Margin Deposit that Client has deposited with PSHK is inadequate; a situation shall have arisen or continued which PSHK, at its absolute discretion, determines, may jeopardize the position of PSHK in relation to any FX Contract and require PSHK to take such action as may be necessary for the protection of PSHK, or (i) the occurrence of any Events of Default set out in Clause 12.1 of the General Terms. PSHK shall, to the extent permitted by law, be entitled (but not under duty to):- (i) to satisfy any Obligations the Client may have to PSHK or any member of the Polaris Group (ii) (iii) (iv) (either directly or by way of guarantee or surety) out of any property belonging to the Client in the custody or control of any member of the Polaris Group; to Close Out all or any positions in the Leveraged Foreign Exchange Trading Account (regardless of whether the Value Dates of the FX Contracts thereof having been expired or not); to Close Out all or any positions in any Account or other account(s) which any members of the Polaris Group may carry on behalf of or maintain with the Client in relation to Securities, Commodities or FX Transactions; and to cancel any outstanding orders in relation to FX Transactions in order to suspend or close the Leveraged Foreign Exchange Trading Account. The rights provided in the Clause 6.1 may be exercised by PSHK without prior demand for Margin Deposits or prior notice to the Client for the Closing Out or sale or purchase of Securities or Commodities. The exercise of the rights by PSHK under this Clause 6.1 is without prejudice to any other rights and remedies available to PSHK and shall be made without releasing the Client from any liability. 6.2 When PSHK exercises any of its rights under Clause 6.1 by way of Closing Out all or any positions in the Leveraged Foreign Exchange Trading Account or Closing Out all or any positions or sale or purchase of Securities or Commodities in any Account or other account(s) with any members of the Polaris Group may carry on behalf of or maintain with the Client, such Closing Out may be made on any market where such business is usually transacted or in such manner as PSHK shall at its absolute discretion decide. The Client agrees that in respect of such Closing Out, PSHK shall have no liability for any loss thereby incurred and without prejudice to the generality of the foregoing and the Client shall not make any claim against PSHK concerning the manner of such Closing Out or the timing thereof. The Client understands that in all cases, a prior demand or call or prior notice of the Closing Out shall not be considered a waiver of the rights of PSHK to exercise such Closing Out without demand or notice as herein provided. 7

8 6.3 Where PSHK exercises its rights as provided in Clause 6.1 to Close Out all or any positions in the Leveraged Foreign Exchange Trading Account, the Closing Out shall be effected for an amount of FX sufficient to Close Out the said outstanding positions and for this purpose the Client irrevocably appoints PSHK as its agent and attorney. 6.4 The prices at which Closing Out are made pursuant to Clause 6.1 shall be such prices as PSHK shall in its own judgement and at its absolute discretion decide with reference to the current inter-bank market rates quoted by any reputable financial information services organization in Hong Kong or elsewhere. 6.5 Subject to the applicable laws and regulations, PSHK may at its absolute discretion Close Out FX Contracts either on a single or collective basis. 7. General 7.1 Unless Clause 5.6 of this Schedule 4 has been complied with, no employee, agent or representative of PSHK shall accept appointment by the Client as agent to operate the Client s Leveraged Foreign Exchange Trading Account. 7.2 No employees, agents or representatives of PSHK are allowed to trade FX Contracts on his own account unless the trade is in compliance with the Staff Dealing Policy of PSHK communicated to its employees, agents and representative in writing. 7.3 In event of any dispute between PSHK and the Client, PSHK shall, if the Client so requires, agree to refer the dispute to arbitration in accordance with the Securities and Futures (Leveraged Foreign Exchange Trading)(Arbitration) Rules. 7.4 If the Client consists of more than one party: (a) all such parties thereto shall be jointly and severally liable as Client to the Leveraged Foreign Exchange Trading Account; (b) references to the Client contained hereof shall be construed, as the context requires, to any or each of them; (c) the Client agrees to be bound by Instructions given by any one of them to PSHK; (d) unless otherwise instructed in writing by all parties of the Client, in the event of the death of any one of them, the entire interest of the deceased in Leveraged Foreign Exchange Trading Account opened with PSHK shall be vested in the survivor(s). The personal representative of the deceased shall remain so liable in respect of any Obligations incurred before or existing at the death of the deceased in respect of the Leveraged Foreign Exchange Trading Account. The surviving Client shall give PSHK written notice immediately upon any of them becoming aware of any such death. 7.5 Clause 5 of Part B General Terms shall not be applicable to the Client under Leveraged Foreign Exchange Trading Account; 7.6 Unless the Client is notified by PSHK to the contrary, PSHK has the right to retain for itself all interests accrued on any amount in any trust account or any account established by PSHK for the Leveraged Foreign Exchange Trading Account, at such rate and terms as determined by PSHK from time to time. 8

9 PART D RISK DISCLOSURE STATEMENTS Schedule 11 INTERNET RISK DISCLOSURE STATEMENT Since PSHK does not control signal power, its reception or routing via internet, configuration of your equipment or reliability of its connection, we cannot be responsible for communication failures, distortions or delays when trading online (via internet). Trading currencies involves substantial risk that is not suitable for everyone. Although, trading online is convenient or efficient, it does not necessarily reduce risks associated with currency trading. You should recognize that foreign exchange trading spot prices may vary from institution to institution and from minute to minute which may arise, including without limitation, as a result of a time lag in data transmission, and that it may prove impossible to effect trades even at advertised prices. Thus you agree to accept that such prices as PSHK may offer from time to time are the best prices then available. Responsible Officer Polaris Securities (Hong Kong) Limited Room , 10/F Tower 1, Admiralty Centre 18 Harcourt Road Hong Kong 9

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