Guotai Junan Futures (Hong Kong) Limited

Transcription

1 Guotai Junan Futures (Hong Kong) Limited 27 th Floor, Low Block, Grand Millennium Plaza, 181 Queen s Road Central, Hong Kong Tel: (852) Fax: (852) 國 泰 君 安 期 貨 ( 香 港 ) 有 限 公 司 香 港 中 環 皇 后 大 道 中 181 號 新 紀 元 廣 埸 低 座 27 樓 電 話 : (852) 傳 真 : (852) Trading Platform Application and Termination 申 請 及 終 止 交 易 平 台 Client Name: Client Code: User Code: 客 戶 名 稱 : 帳 戶 號 碼 : 用 戶 號 碼 : Trading Platform 交 易 平 台 Application* 開 通 Termination* 終 止 Fees per Month Note 1 註 1 每 月 收 費 Patsystems Note 3, 註 3 J-Trader API FIX CQG, Inc. Note 3, 註 3 CQG Trader CQG Q Trader with chart ( 連 圖 表 ) CQG IC CQG IC with API Free, still subject to exchange data fee 交 易 平 台 免 費, 仍 需 按 交 易 所 數 據 收 費 USD1,500 (waived if minimum monthly commission generated not less than USD1,500) Note 2 註 2 1,500 美 金 ( 如 該 月 交 易 佣 金 達 1,500 美 金 可 獲 豁 免 ) USD3,000 (waived if minimum monthly commission generated not less than USD3,000) 3,000 美 金 ( 如 該 月 交 易 佣 金 達 3,000 美 金 可 獲 豁 免 Free, still subject to exchange data fee 交 易 平 台 免 費, 仍 需 按 交 易 所 數 據 收 費 USD40 (waived if minimum monthly commission generated not less than USD150) 40 美 金 ( 如 該 月 交 易 佣 金 達 150 美 金 可 獲 豁 免 ) USD 美 金 USD 美 金 * Please tick as appropriate. 請 在 適 當 空 格 加 Note 1: All fees will be charged on monthly basis. Monthly fees apply for application of less than a month. 註 1: 所 有 收 費 將 按 每 月 計 算, 如 開 通 後 不 足 一 個 月 也 須 當 作 一 個 月 計 算 Note 2: Patsystems API service fee will be waived if clients use Global Trading Platform of Guotai Junan Futures Co., Ltd. 註 2: 當 客 戶 使 用 國 泰 君 安 期 貨 有 限 公 司 之 全 球 交 易 平 台,Patsystems API 收 費 將 獲 免 收 Note 3: Being basic fee for using trading platform and this must be used with exchange data, please subscribe the required exchange data in enclosed Exchange Data Application and Termination form. 註 3: 此 乃 使 用 交 易 平 台 之 基 本 收 費, 必 需 配 合 交 易 所 數 據 使 用, 請 按 需 要 在 所 附 之 申 請 及 終 止 交 易 所 數 據 表 格 内 申 購 Client Signature Date 客 戶 簽 署 : 日 期 : For GTJA Use only Signature verified by Inputted by Checked by RO Signature Date Note: Please return the completed form to the above address by mail or in person. 備 註 : 請 將 已 填 妥 的 表 格 郵 寄 或 親 身 交 回 至 本 公 司 上 述 地 址 1/4 01/2016

2 Exchange Data Application and Termination 申 請 及 終 止 交 易 所 數 據 Client Name Client Code 客 戶 名 稱 : 帳 戶 號 碼 : Patsystems CQG Exchange Exchange Code 交 易 所 Patsystems Exchange Code 交 易 所 代 號 交 易 所 代 號 CQG, Inc. 收 費 開 通 * 終 止 * 收 費 開 通 * 終 止 * Australian Securities Exchange 澳 洲 證 券 交 易 所 (ASX) SFE -- SFE/SYCOM -- Bursa Malaysia Derivatives Exchange 馬 來 西 亞 交 易 所 (BM) Chicago Board Options Exchange 芝 加 哥 期 權 交 易 所 (CBOE) Chicago Mercantile Exchange 芝 加 哥 商 業 交 易 所 (CME) Chicago Board of Trade 芝 加 哥 期 貨 交 易 所 (CBOT) New York Mercantile Exchange 紐 約 金 屬 交 易 所 (COMEX) New York Mercantile Exchange 紐 約 商 業 交 易 所 (NYMEX) European Exchange 歐 洲 期 貨 交 易 所 (EUREX) BMD -- BMDEX Not Available 不 適 用 CFE CME -- CME/GLOBEX CME_CBOT -- CBOT/GLOBEX CME -- COMEX/GLOBEX CME -- NYMEX/GLOBEX XEurex -- EUREX USD32 32 美 金 USD13 13 美 金 USD5 5 美 金 USD5 5 美 金 USD5 5 美 金 USD5 5 美 金 USD18 18 美 金 Hong Kong Exchange 香 港 交 易 所 (HKEX) Intercontinental Exchange 洲 際 交 易 所 轄 下 美 國 期 貨 (ICE US) Intercontinental Exchange 洲 際 交 易 所 轄 下 歐 洲 期 貨 (ICE EUROPE) London Metal Exchange 倫 敦 金 屬 交 易 所 (LME) London International Financial Futures Exchange 倫 敦 國 際 金 融 期 貨 交 易 (NYSE-LIFFE) Japan Exchange 日 本 交 易 所 (JPX) Tokyo Commodity Exchange 東 京 工 業 品 交 易 所 (TOCOM) HKEX -- HKFE NYSE NYBOT IPE USD 美 金 USD 美 金 ICE US ICE UK USD15 15 美 金 USD 美 金 USD 美 金 LME -- LMM -- ICE_UK ENXT_PAR JPX TSEJPX USD 美 金 LIFFE -- OSE USD 美 金 USD29 29 美 金 TOCOM -- TOCOM -- Singapore Exchange 新 加 坡 交 易 所 (SGX) SGX -- SGX USD71 71 美 金 * Please tick as appropriate. 請 在 適 當 空 格 加 Please sign the addition CME Non Pro Form. 請 簽 署 附 加 CME 交 易 所 之 非 專 業 用 戶 聲 明 書 ( 只 限 英 文 版 ) Please sign the addition ICE Exchange Datafeed Declaration. 請 簽 署 附 加 ICE 交 易 所 之 用 戶 聲 明 書 ( 只 限 英 文 版 ) 1) Above exchange data fees will be refunded if monthly trading volume is met a target level. Please enquire for more details. 以 上 交 易 所 數 據 費 如 每 月 交 易 量 達 至 特 定 數 量 將 會 退 還 給 客 戶 詳 情 請 與 我 們 查 詢 2) All data fee will be adjusted from time to time without further notice. 以 上 所 有 費 用 將 不 時 調 整 而 不 作 另 行 通 知 Client Signature Date 客 戶 簽 署 : 日 期 : 2/4 01/2016

3 Non-Professional Self-Certification Form Based on the Subscriber s qualifications, Subscribers may be charged reduced Fees for Information. To qualify for the reduction in Subscriber Fees, Subscriber must be considered a Non-Professional. Non-Professional shall mean and include either (i) an individual, natural person Subscriber(s) who, or (ii) certain small business entities (limited liability companies, partnerships, trusts or corporations) that, receive and use Information (excluding any pit traded data), in each case subject to the following restrictions: The Non-Professional Subscriber (a) the Subscriber must have an active futures trading account; (b) the Subscriber must not be a member (or hold or lease any type membership) of any exchange; (c) the Subscriber does not have a primary business purpose that involves trading; (d) the Subscriber must not be registered or qualified as a professional trader or investment adviser with any stock, commodities or futures exchange or contract market, or with any regulatory authority, professional association or recognized professional body; and (e) the Subscriber must not be affiliated with any entity that is or may be considered a Professional User; and The Non-Professional Subscriber s Use of Information (f) the Subscriber s use of Information must be solely for the Subscriber s personal, non-business use; (g) the Subscriber s use of Information must be limited to managing the Subscriber s own property and, for the avoidance of doubt, not in connection with the management of any property of any third party(ies) in any capacity, whether as a principal, officer, partner, employee or agent of any business or on behalf of any other individual, and whether or not the Subscriber receives any remuneration therefor; and (h) the Subscriber must not be acting on behalf of an institution that engages in brokerage, banking, investment, or financial activities; and The Non-Professional Subscriber s Access to Information (i) the Subscriber has no more than two (2) means for accessing Information from each Distributor; and (j) the Subscriber must view the Information only on a device that is capable of routing orders to the CME Globex Platform (an Order Routing Device ). Any Subscriber who does not meet the qualifications of a Non-Professional or falls under the categories described below shall be considered a Professional. Notwithstanding anything else herein, Professionals shall include, without limitation: Any person or entity that provides financial or similar services to any third party. Any person that is registered or qualified as a professional trader or investment adviser with any stock, commodities or futures exchange or contract market, or with any regulatory authority, professional association or recognized professional body. Any person or entity that acts on behalf of an institution that engages in brokerage, banking, investment or financial activities. Any person or employee of an entity that holds any form of membership at any of the CME Group Designated Contract Markets ( DCM ) or any other exchange. Notwithstanding anything herein, CME reserves the right in all cases to make a final determination as to whether a Subscriber is a Non Professional or a Professional. CME reserves the right to amend this policy or terminate reduced for fees for Non-Professionals at any time. Subscribers who qualify as Non-Professionals should sign below and return this Self-Certification form to Distributor. Please note that this form may be subject to Distributor s review and approval. Subscriber must notify Distributor as soon as is reasonably practicable in the event that Subscriber no longer qualifies as a Non- Professional. I hereby certify that I qualify as a Non-Professional pursuant to the definition described herein: SUBSCRIBER Signature: Name: Date: 3/4 01/2016

4 ICE Exchange Datafeed Access Declaration Vendor providing the datafeed: GUOTAI JUNAN FUTURES (H.K.) LTD. Subscriber Name: Location Address covered on this report: (Street, City, Province) This Declaration Form covers data in relation to the following Exchanges: LIFFE ICE Futures Europe ICE Futures US This Declaration Form covers the period of 1 month: Declaration for the month of # of Datafeed Accesses Declared: Declaration for the month of # of Terminal* Accesses Declared: Declaration for the month of # of Handheld Accesses Declared: Declaration for the month of # of Wallboard Accesses Declared: *The terminal fee is applicable to all devices, including but not limited to: Display Devices, non-display devices, Unique user ID s, Algo-Boxes and Slave Devices, but not Wallboards or Handheld Devices. This Declaration Form confirms that the Subscriber name above is using the pricing Data for internal purpose only and that the Subscriber will seek permission from ICE Data prior to using any Pricing Data outside of the Subscriber s internal network. The section below must be signed by an officer of the Subscriber By completing and signing this form, I confirm that: a) I am authorized by the Subscriber named above to confirm the information contained within this form. b) The number of declared Accesses listed above is correct and that all are being Accessed at the location(s) listed above. c) The data is not being redistributed to and/or access by any third party individual/company outside of the client/company named above. Confirmed by: Sign Here Print Name Signer s Title Today s Date 4/4 01/2016

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