交易相關資料披露
Disclosure of Transaction Related Information
202203 - V.1.2
交易相關資料披露 Disclosure of Transaction Related Information
披露交易相關資料適用於當艾德證券期貨有限公司(「艾德證券期貨」)分銷以下的投資產品予客戶及或替客戶買賣以下的投資產品時。The disclosure of transaction related information is applicable when Eddid Securities and Futures Limited (“ESFL”) distributes the following investment products to clients and/or buy/sell the following investment products on behalf of clients.
1. 身份Capacity
A. 交易所買賣產品 Exchange Traded Products
艾德證券期貨將作為客戶代理人執行其交易指示以買賣交易所買賣產品。ESFL shall be acting as an agent of customers for executing orders in exchange traded products.
B. 債務證券及其配售 Debt Securities and Debt Securities Placement
艾德證券期貨將以客戶代理人身份與客戶進行場外債務證券買賣及其配售。ESFL shall be acting as an agent when dealing in over-the-counter debt securities and entering into debt securities placing transactions with customers.
C. 槓桿式外匯交易 Leveraged Foreign Exchange
艾德證券期貨將以主事人身份與客戶進行場槓桿式外匯交易。ESFL shall be acting as a principal when entering into over-the-counter leveraged foreign exchange contracts with customers.
D. 新股認購服務 Initial Public Offer (“IPO”)
D.艾德證券期貨將作為客戶代理人進行新股認購服務。ESFL shall be acting as an agent of customers who subscribe to IPOs.
E. 上市證券分包銷交易 Listed Securities Sub-Underwriting Transactions
艾德證券期貨將擔任以背對背基準的主事人，與客戶進行分包銷交易。ESFL shall be acting as a back-to-back principal when entering into sub-underwriting transactions with customers.
F. 上市證券配售 Listed Securities Placement
艾德證券期貨將作為客戶代理人進行上市證券配售。ESFL shall be acting as an agent of customers when entering into listed securities placing transactions.
G. 非上市基金Unlisted Unit Trusts
艾德證券期貨將作為客戶代理人進行非上市基金認購、轉換或贖回服務。ESFL shall be acting as an agent of customers who subscribe to, switch or redeem units in unlisted unit trusts.
2. 聯屬關係Affiliation
A. 基金產品Funds products
艾德證券期貨與產品發行人的聯繫: 沒有；Affiliation of ESFL to the product issuer: NO
B. 其他投資產品Other investment products
艾德證券期貨可分銷由艾德證券期貨或其他艾德控股集團成員為產品發行人所委任的代理人。客戶應參考訂立交易時有關艾德證券期貨與所購買投資產品的相關產品發行人的聯屬關係（如有）的銷售披露。ESFL may distribute investment products which are issued by product issuers with agent(s) appointed by the product issuer being ESFL or other Eddid Holdings group companies. Customers may refer to the disclosure at the point of sale for information about the affiliation between ESFL and the relevant product issuer for the investment products purchased (if any).
3. 獨立性Independence
每遇以下情況，艾德證券期貨將並非獨立中介：ESFL will not be an independent intermediary whenever:
A. 艾德證券期貨及／或其他艾德控股集團成員公司將就相關艾德證券期貨向其客戶（i）分銷包括交易所買賣產品、非上市基金及債務證券或（ii）進行包括新股認購、配售及分包銷的交易而收取由其他人士提供的費用、佣金或任何其他金錢或非金錢收益；及／或 ESFL and/or other Eddid Holdings group companies receive fees, commissions, or any other monetary or non-monetary benefits from any party in return for ESFL (i) distributing investment products (including exchange traded products, unlisted unit trusts and debt securities) to customers; or (ii) offering its customers to participate in transactions (including IPO, placement and sub-underwriting transactions); and/or
B. 由艾德證券期貨分銷如上文3(A)(i)所述的產品是由艾德證券期貨或其他艾德控股集團成員公司發行；或艾德證券期貨或其他艾德控股集團成員公司在如上文3(A)(ii)所述的交易中擔任任何角色。Such investment products being distributed by the relevant ESFL as mentioned in 3(A)(i) above are issued by ESFL or other Eddid Holdings group companies; OR ESFL or other Eddid Holdings group companies have any role in such transactions mentioned in 3(A)(ii) above.
否則，除上述3(A)及3(B)所列情況從而可能損害相關艾德證券期貨的獨立性，(使其偏向任何特定投資產品（或其類別）、任何交易、任何執行平台或任何產品發行人)，艾德證券期貨將是獨立中介。Otherwise than in the circumstances set out in 3(A) and 3(B) above (which are likely to impair the independence of ESFL to favour any particular investment product (or class thereof), any transaction, any execution venue or any product issuer), ESFL will be an independent intermediary.
4. 複雜產品Complex Products
投資者應對複雜產品保持審慎。請注意如該複雜產品獲證券及期貨事務監察委員會（「證監會」）認可，亦不表示得到證監會的正式推介或證明，也並非產品商業優點或表現的保證。產品的過去表現（如有）並不是未來表現的指標。除非閣下完全明白並願意承擔產品所涉風險，包括（在一些情況下）閣下的損失可能超出已投資金額的風險，否則切勿投資。Investors should exercise caution in relation to complex products. Note that if a complex product is authorized by the Securities and Futures Commission (“SFC”) this does not imply an official recommendation or endorsement by the SFC nor does it guarantee the commercial merits of the product or its performance. Past performance, if any, of a product is not indicative of future performance. Do not invest in a complex product unless you fully understand and are willing to assume the risks associated with it, including (in some cases) the risk that you may lose more than the invested amount.
如欲進一步了解某產品的特點及所涉風險，請參考發行人為該產品提供的發行文件或資訊（如有）。但請注意證監會不會審議未獲認可的產品之相關文件，建議閣下應對該投資保持審慎。此外，閣下亦可細閱艾德證券期貨的業務條款及細則內之風險披露聲明，以更進一步了解產品的所涉風險。To learn more about a particular product’s features and associated risks, please refer to the offering documents or other information provided by the issuer (if any) for that product; however, please note that the SFC does not review materials of products it has not authorized and you are advised to exercise caution in relation to any offer. You can also learn more about associated risks by reading the Risk Disclosure Statement in ESFL’s Terms and Conditions.
以下列表並非詳盡無遺，旨在舉例說明被艾德證券期貨分類為"複雜"的投資產品：Set out below is a non-exhaustive list of examples of investment products ESFL has classified as “complex”:
A. 具有一項或多項以下特點組成的債務證券（包括（但不限於）屬永久證券或次級證券、具有浮息（如可上調或下調利率）或延遲派付利息條款、可延遲到期日、或屬可轉換或可交換性質或具有或然撇減或損失吸收特徵，或具備非單一信貸支持提供者及結構的債務證券）；Debt Securities with one or more special features (including, but not limited to, perpetual or subordinated bonds, or those with variable (e.g. step-up or step-down) or deferred interest payment terms, extendable maturity dates, or those which are convertible or exchangeable or have contingent write down or loss absorption features, or those with multiple credit support providers and structures);
B. 外匯孖展；Leveraged Foreign Exchange;
C. 合成ETFs和槓桿及反向ETFs；Synthetic ETFs & Leveraged and Inverse ETFs;
D. 認股證和牛熊證；及Warrants & Callable Bull/Bear Contracts; and
E. 期貨和期權。Futures & Options.
5. 披露金錢及非金錢收益Disclosure of monetary and non-monetary benefits
A. 非上市基金Unlisted Unit Trusts
艾德證券期貨從產品發行人或其代理收取佣金，每次認購時是最高至投資金額的5%, 每年是最高至有關基金產品的資產價值的1%。有關的佣金數額可能不時變動，須視乎交易的性質及大小，市場需求及市況而定。ESFL receives commission from the product issuer or its agent up to 5% of investment amount upon each subscription and up to 1% of asset value annually for the relevant funds products. The amount of such commission may vary from time to time depending on the nature and size of transaction, market demand and condition.
B. 其他投資產品Other investment products
當艾德證券期貨與客戶進行配售或進行分包銷或債券交易，艾德證券期貨或其代理可能從產品發行人或任何代理收取費用或佣金或產生其他交易利潤。ESFL or its agent may receive a fee or commission from the product issuer or any agent or otherwise make a trading profit when entering into placement or sub-underwriting or bonds transactions with the clients.
投資產品 | 最高金錢利潤 |
買賣債券 Bonds Sales | 最高達代價總額的3% Maximum 3% of the consideration amount |
配售 Placement | 最高達投資金額的5% Maximum 5% of the investment amount |
分包銷 Sub-underwriting | 最高達承諾金額的5% Maximum 5% of the committed amount |
新股認購 IPO | 最高達分配金額的1% Maximum 1% of the allotted amount |
艾德證券期貨可能在有關為客戶進行交易中從產品發行人或其代理人收取利益，而利益是不可量化的，包括但不限於證券優惠售價，現金回扣或非金錢形式的貨物及服務。ESFL may receive benefits in connection with transactions effected for clients from product issuers or their agents which are not quantifiable at the point of sale, including selling concession, cash rebates or goods and services in the form of soft dollars.
6. 客戶可獲得收費及費用折扣的條款及細則 Terms and Conditions under which Customers may Receive a Discount of Fees and Charges
在某些情況下，艾德證券期貨可能以其酌情權在個別個案基準下考慮給予客戶收費及費用上的折扣；而在決定是否適合給予客戶折扣前，艾德證券期貨將會考慮很多因素，包括但不限於交易規模、市況及成本等。In certain circumstances, ESFL may in its discretion consider to give the clients a discount on the fees and charges payable by the clients on a case-by-case basis. In determining whether it is appropriate to give a discount to any client, ESFL will consider a number of factors, including but not limited to transaction size, market condition and costs.
