| 1. | Securities and futures client securities rules
证券及期货客户证券规则 |
| 2. | Securities and futures client securities amendment rules 2006
2006年证券及期货客户证券修订规则 |
| 3. | Meanwhile , the system of clients ' funds of securities transactions maintained and managed by the third party was carried out among these companies firstly
同时，还率先在重组类证券公司中推行客户证券交易结算资金第三方存管制度。 |
| 4. | Article 141 . securities companies shall only sell , by authorization , securities held in the customers ' accounts and shall not finance securities transactions on behalf of customers
第一百四十一条证券公司接受委托卖出证券必须是客户证券帐户上实有的证券，不得为客户融券交易。 |
| 5. | Article 143 a securities firm many not give any form of commitment with respect to its clients profits from the purchase or sale of securities or compensation for losses from the purchase or sale of securities
第一百四十三条证券公司不得以任何方式对客户证券买卖的收益或者赔偿证券买卖的损失作出承诺。 |
| 6. | Article 143 securities companies shall not make promises , in any form , concerning the profitability of securities transactions or commit themselves to compensate customers for losses incurred as a result of securities transactions
第一百四十三条证券公司不得以任何方式对客户证券买卖的收益或者赔偿证券买卖的损失作出承诺。 |
| 7. | Article 141 securities sold by a securities firm upon acceptance of an instruction shall be securities actually held in the client s securities account . a securities firm may not finance its clients transactions by providing securities
第一百四十一条证券公司接受委托卖出证券必须是客户证券帐户上实有的证券，不得为客户融券交易。 |
| 8. | Securities and futures client securities amendment rules 2006 the amendment rules amend the principal rules for the purpose of imposing a repledging limit on intermediaries licensed for dealing in securities or securities margin financing
2006年证券及期货客户证券修订规则修订规则修订主体规则，对获发牌进行证券交易或证券保证金融资的中介人实施再质押上限。 |
| 9. | You do not have my / our written authority under section 7 ( 2 ) of the securities and futures ( client securities ) rules ( cap . 571 sub . leg . ) to apply any of my / our securities in question pursuant to a securities borrowing and lending agreement
本人/吾等并无根据《证券及期货(客户证券)规则》 (第571章附属条例)第7 ( 2 )条以书面授权阁下根据证券借贷协议运用任可有关本人/吾等的证券。 |
