尊敬的客戶，您好
Dear Clients,
您/貴公司在使用我公司提供的期貨及期權交易服務期間，應關注您所交易的產品所在的交易所/監管機構不時訂明的大額持倉申報/持倉限額規則，及在您/貴公司及/或您/貴公司的實益擁有人/實際控制人的持倉水平達到訂明限額時，應遵守相關交易所的規則，向相關交易所/監管機構積極履行大額持倉報告或主動控制持倉頭寸的義務，以避免您/貴公司因違反相關交易所/監管機構的持倉申報/頭寸限額遭受交易所/監管機構的任何不利處置，包括但不限於警告、罰、強制關閉持倉頭寸等。
You/your company should be mindful of the LOP reporting and position limits rules prescribed from time to time by the Exchange/regulators of the products you traded during the period of using the futures and options trading services provided by us, and comply with the rules of the relevant Exchanges and report to the relevant Exchanges/regulators when the position of you/your company and/or your/your company's beneficial owners/actual controllers reaches the prescribed limit. Actively fulfill the obligation of LOP reporting and/or proactively controlling holds open positions so as to avoid you/your company being subjected to any adverse actions by the Exchange/regulators for breaching the LOP reporting/position limits of them, including but not limited to warnings, fines, forced closure of open positions.
為利便您/貴公司了解相關交易所/監管機構在大額持倉/持倉限額的監管規則及限制，我公司現將相關規則的索引鏈接提供予您/貴公司，以便您/貴公司自主查閱了解並持續關注該等規則，有關資料詳見附件。
To facilitate you/your company to understand the LOP reporting and Position limits rules and restrictions of the relevant Exchanges/regulators, we are providing you/your company with index links to the relevant rules, so that you/your company can independently review and keep in view of the rules, which are set out in the attached document.
我公司特此提示：雖然我公司會對您/貴公司通過我公司所持有的頭寸進行大額持倉/持倉限額的監測、管理及依據交易所/監管機構進行大額持倉報告，但如您/貴公司並不僅於我公司持有相關交易所的持倉，或貴公司作為交易經紀商/交易代理為您的客戶持有相關頭寸，您/貴公司亦需依據您/貴公司的實際情況依據交易所/監管機構有關大額持倉申報/持倉限額的規則執行持倉申報或控制持倉數額。如您/貴公司未能持續遵守相關交易所/監管機構有關大額持倉申報/持倉限額的規則，進而引致我公司任何損失，我公司保留權利向您/貴公司追償相關損失，及我公司亦會依據交易所/監管機構要求向您/貴公司發出警告或終止代理您/貴公司繼續交易該等交易所產品。
We hereby remind that: While we will monitor and manage your/your company’s positions held through us and perform reporting obligations in accordance with the relevant rules, if you/your company does not only hold positions on the relevant Exchanges with us, or if you/your company hold relevant positions for your clients as a broker/agency, you/your company will need to implement the position reporting or control the number of open positions held according to the actual situation and the relevant rules. If you/your company fail to continuously comply with the relevant rules of the Exchange/regulators on LOP reporting and Position limits, which in turn leads to any losses incurred by us, we reserve the right to seek compensation from you/your company for the losses incurred and we may issue warnings to you/your company or terminate the business relationship on the basis of the Exchange/regulatory requirements.
我公司亦謹此提示：如貴公司以期貨經紀商身份通過我公司執行交易，貴公司亦有責任提示貴公司客戶持續遵守有關交易所大額持倉申報及持倉限額規則，及在該等客戶於任何時間發現其持倉符合大額持倉申報時，該等客戶亦需獨立或委托經紀商代表其向交易所/監管機構履行大額持倉申報義務。然而不論選擇透過何种層級向交易所/監管機構提交通知，每名持有或控制須申報的持倉量的人士都有義務保證遵守相關規則。
We hereby prompt that: If you execute trades through us as a broker/agency, you are also obliged to remind your clients to comply with the LOP reporting and position limit rules on an ongoing basis and to fulfill the LOP reporting obligations to the Exchange/regulatory authorities either independently or through broker/agency where the latter agrees to make the report on their behalf, if they become aware of a position that meets the requirements for the LOP reporting at any time. However, no matter which layer is chosen by the client to submit the notice to the Exchange, it is the responsibility of each person holding or controlling the reportable position to fulfill its obligations under the relevant rules.
橫華國際期貨有限公司
2024年11月
HGNH International Futures Co Limited
November, 2024
【免責聲明Disclaimer】
本資料僅用作客戶了解交易所持倉限額及大額持倉申報規則及申報義務使用。橫華國際並不擬就該等規則向客戶提供任何意見或建議，如客戶對本資料所列任何規則有任何疑問，客戶應向客戶獨立顧問進行咨詢。
橫華國際不會因為客戶使用該參考資料造成的客戶任何損失承擔任何法律責任。橫華國際謹此聲明，交易所規則由相關交易所發布及不時修改，橫華國際並不就資料內所列條款的完整性及有效性提供保證。客戶如需了解最新規則，應通過相關交易所網站查詢及了解。
This information is for reference only by the Client to understand the Exchanges/regulators LOP reporting and position limits rules. HGNH does not intend to provide any advice or recommendation to the Client regarding these rules. The Client should consult with their independent advisors if there is any concerns about any of the rules listed in this reference document.
HGNH shall not be liable for any loss incurred by the Client as a result of the Client's use of the Information. HGNH hereby declares that the relevant rules are published and revised by the relevant Exchanges/regulators from time to time, and HGNH does not warrant the completeness and validity of the terms and conditions set out in the information. The Client should refer to the websites of the relevant exchanges for the latest rules and regulations.
