2025年度證券居間服務合同范本英文版

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2025年度證券居間服務合同范本英文版本合同共三部分組成，僅供學習使用，第一部分如下：2025ANNUALSECURITIESBROKERAGESERVICECONTRACTContractingParties:BrokerageFirm:LegalName:______________________RegisteredAddress:______________________RegisteredCapital:______________________RegistrationNo.:______________________Client:LegalName:______________________RegisteredAddress:______________________ContactPerson:______________________ContactPosition:______________________WHEREAS,theBrokerageFirmisalicensedsecuritiesbrokeragefirmengagedinthebusinessofsecuritiesbrokerage,andtheClientisanindividualorentitywillingtoengagetheBrokerageFirmforsecuritiesbrokerageservices;andWHEREAS,thepartiesdesiretoenterintothiscontracttoestablishthetermsandconditionsunderwhichtheBrokerageFirmwillprovidesecuritiesbrokerageservicestotheClientfortheyear2025;NOW,THEREFORE,inconsiderationofthemutualcovenantsandpromiseshereincontained,thepartiesagreeasfollows:1.ScopeofServices1.1TheBrokerageFirmagreestoprovidetheClientwiththefollowingsecuritiesbrokerageservices:a)ExecutionofsecuritiestransactionsonbehalfoftheClient;b)Providingmarketanalysisandinvestmentadvice;c)Assistanceinthepreparationandsubmissionofsecuritiestradingapplications;d)Providingsettlementandclearingservicesforsecuritiestransactions;e)Otherrelatedservicesasagreeduponbothparties.1.2TheBrokerageFirmagreestouseitsbesteffortstoensurethequalityandtimelinessoftheservicesprovidedtotheClient.2.FeesandCompensationa)TransactionFees:________________(percentageorfixedamount);b)AccountManagementFees:________________;c)OtherFees:________________;d)TotalFeesandCompensation:________________.3.DutiesandObligations3.1TheBrokerageFirmagreesto:a)Complywithallapplicablelawsandregulationsgoverningsecuritiesbrokerageactivities;b)MaintainconfidentialityoftheClient’spersonalandtradinginformation;c)ProvidetheClientwithtimelyandaccurateinformationregardingmarketconditionsandsecuritiestransactions;d)EnsurethesafetyoftheClient’ssecuritiestransactions;3.2TheClientagreesto:b)Complywithallapplicablelawsandregulationsgoverningsecuritiestrading;c)InformtheBrokerageFirmofanychangesintheirfinancialstatusorinvestmentobjectives;d)Acceptresponsibilityforallsecuritiestransactionsexecutedontheirbehalf.4.TerminationandCancellation4.1Thiscontractmaybeterminatedeitherpartyuponwrittennoticetotheotherparty,withaminimumofthirty(30)days’priornotice.4.2TheBrokerageFirmmay,atitssolediscretion,cancelthiscontractimmediatelyiftheClientviolatesanyofthetermsandconditionsofthiscontract.5.GoverningLawandDisputeResolution5.1ThiscontractshallbegovernedandconstruedinaccordancewiththelawsofthejurisdictioninwhichtheBrokerageFirmisregistered.5.2Anydisputesarisingfromorinconnectionwiththiscontractshallberesolvedthroughfriendlynegotiations.Ifthenegotiationsfailtoresolvethedispute,thepartiesagreetosubmitthedisputetoarbitrationinaccordancewiththerulesoftherelevantarbitrationinstitution.6.Miscellaneous6.1Thiscontractconstitutestheentireagreementbetweenthepartiesandsupersedesallprioragreements,understandings,orrepresentations,whetherwrittenororal.6.2Anyamendmentormodificationtothiscontractmustbeinwritingandsignedbothparties.6.3Ifanyprovisionofthiscontractisheldtobeinvalidorunenforceable,theremainingprovisionsshallremaininfullforceandeffect.EndofFirstPart第二部分：第三方介入后的修正ThissectionofthecontractoutlinesthetermsandconditionsthatapplywhenthirdpartiesareinvolvedinthesecuritiesbrokerageservicesprovidedtotheClienttheBrokerageFirm.Theinclusionofthirdpartiesmaybenecessaryforvariousreasons,includingbutnotlimitedtotheprovisionofadditionalservices,accesstospecializedexpertise,orthefacilitationofcertaintransactions.1.DefinitionofThirdParties1.1Forthepurposesofthiscontract,"ThirdParties"shallmeananyindividual,entity,ororganizationthatisnotapartytothiscontractbutisengagedeithertheBrokerageFirmortheClientforthepurposeofprovidingservicesrelatedtothesecuritiesbrokerageservices.1.2ThirdPartiesmayinclude,butarenotlimitedto,thefollowing:a)MarketDataProviders;b)TechnologyServiceProviders;c)ComplianceConsultants;d)LegalCounsel;e)AnyotherentitydeemednecessaryeithertheBrokerageFirmortheClient.2.RoleandResponsibilitiesofThirdParties2.1ThirdPartiesshallperformtheirdutiesinaccordancewiththetermsoftheirrespectiveagreementswiththeBrokerageFirmortheClientandshallbesubjecttothesupervisionandcontroloftheBrokerageFirmortheClient.2.2TheBrokerageFirmshallensurethatanyThirdPartiesitengagesarequalifiedandcapableofperformingtherequiredservices.2.3TheClientshallprovideanynecessaryinformationorinstructionstoThirdPartiesasrequiredfortheprovisionofservices.3.RightsandObligationsofThirdParties3.1ThirdPartiesshallhavetherighttoreceivepaymentfortheservicestheyprovideinaccordancewiththetermsoftheiragreementswiththeBrokerageFirmortheClient.3.2ThirdPartiesshallbeobligatedtomaintainconfidentialityofallinformationprovidedtothemtheBrokerageFirmortheClient.3.3ThirdPartiesshallberesponsibleforthequalityandaccuracyoftheservicestheyprovideandshallindemnifytheBrokerageFirmortheClientagainstanylossesarisingfromtheirfailuretoperformtheirdutiesproperly.4.LimitationofLiabilityofThirdParties4.1TheliabilityofThirdPartiesforanyactsoromissionsshallbelimitedtothescopeoftheirrespectiveagreementswiththeBrokerageFirmortheClient.4.2TheBrokerageFirmandtheClientshallnotbeliablefortheactsoromissionsofThirdPartiesunlesssuchactsoromissionsareadirectresultoftheBrokerageFirm’sortheClient’snegligenceorwillfulmisconduct.4.3ThetotalaggregateliabilityofThirdPartiestotheBrokerageFirmandtheClientforanyandallclaimsarisingoutoforinconnectionwiththeirservicesshallnotexceedtheamountspecifiedintheirrespectiveagreementswiththeBrokerageFirmortheClient.5.AllocationofResponsibilitiesandRisks5.1Theresponsibilitiesandrisksassociatedwiththeprovisionofsecuritiesbrokerageservicesshallbeallocatedasfollows:a)TheBrokerageFirmshallberesponsiblefortheoverallmanagementandsupervisionofthesecuritiesbrokerageservicesprovidedtotheClient.b)ThirdPartiesshallberesponsibleforthespecificservicestheyprovideundertheirrespectiveagreementswiththeBrokerageFirmortheClient.5.2Intheeventofanydisputeregardingtheresponsibilitiesandrisks,thepartiesshallnegotiateingoodfaithtoresolvethematter.Ifthedisputecannotberesolvedthroughnegotiation,itshallbesubmittedtoarbitrationinaccordancewiththerulesoftherelevantarbitrationinstitution.6.ThirdPartyApproval6.1TheBrokerageFirmmay,atitssolediscretion,engageThirdPartiesfortheprovisionofservicesrelatedtothesecuritiesbrokerageservices.However,anyengagementofaThirdPartyshallbesubjecttothepriorwrittenapprovaloftheClient.6.2TheClientshallhavetherighttoreviewandapproveanyThirdPartiesengagedtheBrokerageFirm,andtheBrokerageFirmshallprovidetheClientwithallnecessaryinformationtoenablesuchreviewandapproval.7.Confidentiality7.1Allpartiesagreetomaintaintheconfidentialityofanyandallinformationobtainedinconnectionwiththeprovisionofsecuritiesbrokerageservices,includingbutnotlimitedto,tradesecrets,nonpublicinformation,andpersonaldata.7.2Theconfidentialityobligationsshallsurvivetheterminationorexpirationofthiscontractandshallapplytoallparties,includingThirdParties.EndofSecondPart第三部分：其他補充性說明和解釋說明一：附件列表：1.BrokerageFirm’sLicenseCertificate:AcopyoftheBrokerageFirm’scurrentlicensecertificateissuedtherelevantregulatoryauthority,demonstratingitsauthoritytoengageinsecuritiesbrokerageactivities.2.Client’sIdentificationDocuments:AcopyoftheClient’sidentificationdocuments,suchasapassport,driver’slicense,orgovernmentissuedIDcard,toverifytheClient’sidentityandlegalstatus.3.InvestmentObjectivesandFinancialStatement:AdetailedstatementoutliningtheClient’sinvestmentobjectives,financialstatus,andrisktolerance,aswellasanyrelevantfinancialstatementsortaxreturns.5.TransactionAuthorizationForm:AsignedformauthorizingtheBrokerageFirmtoexecutesecuritiestransactionsonbehalfoftheClient.6.DisputeResolutionAgreement:AnagreementoutliningtheproceduresforresolvingdisputesbetweentheBrokerageFirmandtheClient.7.ThirdPartyEngagementAgreement:AnyagreementsenteredintobetweentheBrokerageFirm,theClient,andanyThirdParties,specifyingthescopeofservicestobeprovidedandthetermsofengagement.8.ConfidentialityAgreement:AnagreementbetweentheBrokerageFirm,theClient,andanyThirdParties,detailingtheconfidentialityobligationsofallparties.9.AmendmentstotheContract:Anywrittenamendmentstotheoriginalcontract,signedbothparties,andspecifyingthechangesmade.10.FinancialStatementsandTaxReturns:AnyfinancialstatementsortaxreturnsprovidedtheClienttotheBrokerageFirmforthepurposeofassessingtheClient’sfinancialstatus.DetailedRequirementsandExplanations:BrokerageFirm’sLicenseCertificate:ThisdocumentisessentialtoverifytheBrokerageFirm’slegalstatusandauthorizationtoprovidesecuritiesbrokerageservices.InvestmentObjectivesandFinancialStatement:ThisprovidestheBrokerageFirmwiththenecessaryinformationtomatchtheClient’sinvestmentneedswithsuitablesecuritiesproducts.AccountOpeningForm:ThisformisrequiredtoestablishtheClient’sbrokerageaccountandtorecordimportantaccountdetails.TransactionAuthorizationForm:ThisformgrantstheBrokerageFirmtheauthoritytoexecutesecuritiestransactionsonbehalfoftheClient.DisputeResolutionAgreement:ThisagreementoutlinesthestepstobetakenintheeventofadisputebetweentheBrokerageFirmandtheClient.ThirdPartyEngagementAgreement:TheseagreementsdetailtheservicestobeprovidedThirdPartiesandthetermsunderwhichtheyareengaged.ConfidentialityAgreement:Thisagreementensuresthatallpartiesinvolvedmaintaintheconfidentialityofsensitiveinformation.AmendmentstotheContract:Anychangestotheoriginalcontractmustbedocumentedandsignedbothparties.說明二：違約行為及責任認定：2.FailuretoExecuteTransactions:IftheBrokerageFirmfailstoexecuteatransactionwithintheagreedupontimeframe,theymaybeliableforanylossesincurredtheClient.3.MisuseofConfidentialInformation:Anypartyfoundtohavemisusedconfidentialinformationprovidedtheotherpartymaybeliablefordamages.4.FailuretoProvideServices:IftheBrokerageFirmfailstoprovidetheagreeduponservices,theymaybeliablefortheClient’slossesresultingfromsuchfailure.5.Negligence:Anypartyfo