DECLARATION OF CONSENTING TO BEING TREATED AS A PROFESSIONAL INVESTOR (INDIVIDUAL)
同意被視為專業投資者 (個人)
Introduction
簡介
The Securities and Futures Commission (“SFC”) has imposed certain rules and restrictions in dealing with investors in Hong Kong. Generally, an investor will be covered by certain requirements and protections under the Securities and Futures Ordinance (Cap.571”) (“SFO”) and its associated rules and regulations which, however, will be relaxed if you are categorized as a Professional Investor as defined in Part 1 of Schedule 1 to the SFO. Pursuant to the SFO and the Code of Conduct, we have classified you as a “Professional Investor” on the basis that you fall into one of the categories in the abovementioned legislation.
證券及期貨事務監察委員會（「證監會」） 給與香港投資者交易時施加了某些規則和限制。 一般而言，投資者將受到《證券及期貨條例》（第 571 章）（「SFO」）及其相關規則和法規的某些要求和保護，但是，如果您被歸類為專業投資者，這些要求和保護將會放寬 《證券及期貨條例》附表 1 第 1 部所界定。根據SFO及《證券及期貨事務監察委員會持牌人或註冊人操守準則》（「操守準則」），閣下符合以上所提及條例的 “專業投資者” 定義，因此本公司（「維港國際金融控股有限公司」 或「維港國際」）已歸類閣下為專業投資者。
As a result of this Professional Investor categorization in relation to the Code of Conduct, we will not be required to comply with certain of the provisions of the Code of Conduct in connection with your account as described below. We have set out below an explanation of the potential risks and consequences of being treated as a Professional Investors. Please read and then complete this declaration form and return it to us duly signed, and where applicable, with the evidence indicated, so that you will be treated as a Professional Investors.
由於與操守準則相關的專業投資者分類，我們將如下文所述豁免遵守與您的賬戶相關的操守準則的某些規定。我們已在下文解釋被視為專業投資者的潛在風險和後果。請閱讀、填妥、及簽署此聲明表並連同適用的證明文件一起遞交給我們，以便您將被視為專業投資者。
An annual confirmation exercise is required to ensure that you continue to fulfil the requisite requirements under the Code of Conduct, so please note that we will need to carry out this confirmation exercise with you on an annual basis. If you find yourself no longer fall within the definition of Professional Investor as defined in the SFO and Securities and Futures (Professional Investor) Rules (Cap 571D) (“PI rules”), please notify us in writing immediately.
請注意，為了確保您繼續滿足操守準則下的必要要求，我們需要每年與您一起進行年度確認活動。如果您發現自己不再屬於 SFO 和證券及期貨（專業投資者）規則（第 571D 章）（“PI 規則”）所定義的專業投資者的定義，請立即以書面形式通知我們。
You should note that, for the purposes of the Code of Conduct, you have the right to withdraw from being treated as a Professional Investors at any time whether in respect of all products or markets or any part thereof by giving written notice to us.
您應注意，就操守準則而言，您有權隨時通過向我們發出書面通知，取消就所有產品或市場或其任何部分被視為專業投資者。
Risks and Consequences of being as an Individual Professional Investor
被視為個人業投資者的風險及後果
Being categorized as a Professional Investor, pursuant to the Code of Conduct, VHIF will not be required to fulfill certain regulatory requirements under the Code of Conduct. The Company may be exempted from the following requirements of the Code of Conduct:
根據證監會的操守準則，被歸類為專業投資者，維港國際無需滿足操守準則下的某些監管要求。公司可免於遵守《操守準則》的以下要求：
Exempt provisions for Individual Professional Investors who only fulfilled the requirements under paragraph 15.3B and 15.5 of the Code of Conduct
只符合《操守準則》第 15.3B 段及第 15.5 段豁免規定要求的個人專業投資者
Information for clients 客戶信息
(i) the need to inform the client about VHIF and the identity and status of its employees and others acting on its behalf (paragraph 8.1 of the Code of Conduct);
需要告知客戶有關維港國際及其員工和代表其行事的其他人的身份和狀態（操守準則第 8.1 段）；
(ii) the need to confirm promptly with the client the essential features of a transaction after effecting a transaction for a client (paragraph 8.2, paragraph 4 of Schedule 3 and paragraph 18 of Schedule 6 to the Code of Conduct); and
在為客戶進行交易後，需要立即與客戶確認交易的基本特徵（操守準則第 8.2 段、附表 3 第 4 段和附表 6 第 18 段）；和
(iii) the need to provide the client with documentation on the Nasdaq-Amex Pilot Program (paragraph 1 of Schedule 3 to the Code of Conduct).
需要向客戶提供有關納斯達克-美國運通試點計劃的文件（操守準則附表 3 第 1 段）。
I/We hereby confirm that 本人/吾等在此確認:
I/We acknowledge and agree that to be categorized as an Individual Professional Investor with reference under section 3 of the Securities and Futures (Professional Investor) Rules section 3(b) for Individual Professional Investor) and the Code of Conduct by VHIF, VHIF will be exempted from the provisions set out in paragraph 15.5 of the Code of Conduct only.
本人/吾等謹此確認並同意被歸類為上述個人專業投資者，根據《證券及期貨（專業投資者）規則》第 3 部份第 3(b)條適用於個人專業投資者)及《操守準則》，被視為個人專業投資者類別，維港國際將可毋須履行《操守準則》15.5 條文下的監管要求。
Declarations by Client(s) 客戶聲明
As an Individual Professional Investor I/we declare as follows that:
作為個人類別的專業投資者，本人/吾等謹此以下聲明
I/We agree that I/We have to provide supporting documents to prove my/our fulfillment of the requirements to be categorized as an Individual Professional Investor.
本人/吾等同意必須提交証明文件以符名被視為個人專業投資者的要求。
I/we confirm the information as provided by me/us on this form are true, correct and complete.
本人/吾等確認在此申請表上所提供的一切資料均屬真實、正確及完整。
I/We confirm and agree with the terms set out in this form and I/We also am/are fully aware of the risks and consequences of being treated as a Professional Investor which may be substantial. The risk disclosure statements are provided in a language of my/our choice and I/We have been invited to take independent advice as I/we wish.
本人/吾等確認及明白此表格之條文並完全知悉被視為專業投資者的風險及結果可能很巨大。風險披露聲明已按本人/吾等選擇的語言獲得並同意本聲明書上所列的條款。本人/吾等亦已被邀請就本人/吾等所願，徵求獨立意見。
I/We agree to provide a confirmation to VHIF annually to ensure I/We continue to fulfill the requisite under Securities and Futures (Professional Investor) Rules.
本人/吾等同意每年向維港國際提供確認書及，以確保本人/吾等持續符合《證券及期貨（專業投資者）規則》之必要條件.
I/We understand and confirm that I/we have the right, at any time, to object to and to withdraw from being treated as an Individual Professional Investor whether in respect of all products or markets or any part thereof and request to withdraw from being so treated by giving VHIF written notice of not less than 10 business days.
本人/吾等明白，本人/吾等有權隨時向維港國際發出不少於 10 個工作天的書面通知，以反對及撤回被視為個人專業投資者(不論就所有或任何部份產品或市場而言)的權利。
I/We should inform VHIF in writing immediately if I/we no longer fall into the categories of persons described in section 3 of the Securities and Futures (Professional Investor Rules section 3(b) for Individual Professional Investor) and in section 1 of Part 1 of Schedule 1 to the Securities and Futures Ordinance (Cap. 571) (“SFO”) and the Code by VHIF.
如本人/吾等不再符合《證券及期貨（專業投資者）規則》第 3 部份 (第 3(b)條適用於個人專業投資者) 中及證券及期貨條例》附表 1 第 1 部（專業投資者）所指的人士，本人/吾等將立即以書面通知維港國際。
I/We agree and acknowledge that unless VHIF receives from me/us written notification of my/our withdrawal, VHIF will be entitled to treat me/us as a ^Corporate Professional Investor / an Individual Professional Investor/an Institutional Professional Investor.
本人/吾等同意並確認除非本人/吾等透過書面通知維港國際取消被視為專業投資者的資格，否則維港國際有權視本人/吾等為專業投資者。
Definition of Professional Investor
專業投資者的定義
The Securities and Futures Ordinance (Cap. 571) (“SFO”) provides the following definition of “Professional Investor”:
《證券及期貨條例》（第 571 章）（「《證券及期貨條例》」）提供以下有關「專業投資者」的定義：
Section A 甲部
(a) any recognised exchange company, recognised clearing house, recognised exchange controller or recognised investor compensation company, or any person authorised to provide automated trading services under section 95(2) of SFO;
認可交易所、認可結算所、認可控制人或認可投資者賠償公司，或根據《證券及期貨條例》第 95 (2)條獲認可提供自動化交易服務的人；
(b) any intermediary, or any other person carrying on the business of the provision of investment services and regulated under the law of any place outside Hong Kong;
中介人，或經營提供投資服務的業務並受香港以外地方的法律規管的其他人；
(c) any authorised financial institution, or any bank which is not an authorised financial institution but is regulated under the law of any place outside Hong Kong;
認可財務機構，或銀行並非認可財務機構但受香港以外地方的法律規管的銀行；
(d) any insurer authorised under the Insurance Companies Ordinance (Cap. 41 of the Laws of Hong Kong), or any other person carrying on insurance business and regulated under the law of any place outside Hong Kong;
根據《保險公司條例》(香港法例第 41 章) 獲授權的保險人，或經營保險業務並受香港以外地方的法律規管的其他人；
(e) any scheme which-
符合以下說明的計劃—
(i) is a collective investment scheme authorised under section 104 of SFO; or
屬根據《證券及期貨條例》第 104 條獲認可的集體投資計劃；或
(ii) is similarly constituted under the law of any place outside Hong Kong and, if it is regulated under the law of such place, is permitted to be operated under the law of such place,
以相似的方式根據香港以外地方的法律成立，並(如受該地方的法律規管)根據該地方的法律獲准許營辦，
or any person by whom any such scheme is operated;
或營辦任何該等計劃的人；
(f) any registered scheme as defined in section 2(1) of the Mandatory Provident Fund Schemes Ordinance (Cap. 485 of the Laws of Hong Kong), or its constituent fund as defined in section 2 of the Mandatory Provident Fund Schemes (General) Regulation (Cap 485. sub. leg. A of the Laws of Hong Kong), or any person who, in relation to any such registered scheme, is an approved trustee or service provider as defined in section 2(1) of that Ordinance or who is an investment manager of any such registered scheme or constituent fund;
《強制性公積金計劃條例》(香港法例第 485 章)第 2(1)條界定的註冊計劃，或《強制性公積金計劃(一般)規例》(香港法例第 485 章，附屬法例 A)第 2 條界定的該等計劃的成分基金，或就任何該等計劃而言屬該條例第 2(1)條界定的核准受託人或服務提供者或屬任何該等計劃或基金的投資經理的人；
(g) any scheme which-
符合以下說明的計劃—
(i) is a registered scheme as defined in section 2(1) of the Occupational Retirement Schemes Ordinance (Cap. 426 of the Laws of Hong Kong); or
屬《職業退休計劃條例》(香港法例第 426 章)第 2(1)條界定的註冊計劃；或
(ii) is an offshore scheme as defined in section 2(1) of that Ordinance and, if it is regulated under the law of the place in which it is domiciled, is permitted to be operated under the law of such place,
屬該條例第 2(1)條界定的離岸計劃，並(如以某地方為本籍而受該地方的法律規管)根據該地方的法律獲准許營辦，
or any person who, in relation to any such scheme, is an administrator as defined in section 2(1) of that Ordinance;
或就任何該等計劃而言屬該條例第 2(1)條界定的管理人的人；
(h) any government (other than a municipal government authority), any institution which performs the functions of a central bank, or any multilateral agency;
任何政府(市政府當局除外)、執行中央銀行職能的任何機構，或任何多邊機構；
(i) except for the purposes of Schedule 5 to SFO, any corporation which is-
(除為施行《證券及期貨條例》附表 5 外)符合以下說明的法團—
(i) a wholly owned subsidiary of-
屬下述者的全資附屬公司—
(A) an intermediary, or any other person carrying on the business of the provision of investment services and regulated under the law of any place outside Hong Kong; or
中介人，或經營提供投資服務的業務並受香港以外地方的法律規管的其他人；或
(B) an authorised financial institution, or any bank which is not an authorised financial institution but is regulated under the law of any place outside Hong Kong;
認可財務機構，或並非認可財務機構但受香港以外地方的法律規管的銀行；
(ii) a holding company which holds all the issued share capital of-
屬持有下述者的所有已發行股本的控權公司—
(A) an intermediary, or any other person carrying on the business of the provision of investment services and regulated under the law of any place, outside Hong Kong; or
中介人，或經營提供投資服務的業務並受香港以外地方的法律規管的其他人；或
(B) an authorised financial institution, or any bank which is not an authorised financial institution but is regulated under the law of any place outside Hong Kong; or
認可財務機構，或並非認可財務機構但受香港以外地方的法律規管的銀行；或
(iii) any other wholly owned subsidiary of a holding company referred to in subparagraph (ii); or
屬第(ii)節提述的控權公司的任何其他全資附屬公司；或
(j) any person of a class which is prescribed by rules made under section 397 of SFO for the purposes of this paragraph as within the meaning of this definition for the purposes of the provisions of SFO, or to the extent that it is prescribed by rules so made as within the meaning of this definition for the purposes of any provision of SFO.
屬於為施行本段而藉根據《證券及期貨條例》第 397 條訂立的規則訂明為就《證券及期貨條例》條文屬本定義所指的類別的人，或(如為施行本段而藉如此訂立的規則訂明某類別為就《證券及期貨條例》任何條文屬本定義所指的類別)在該範圍內屬於該類別的人。
Section B 乙部
Section 3(b) of the Securities and Futures (Professional Investor) Rules (Cap. 571D) (“PI Rules”) provides that for the purposes of paragraph (j) of the definition of "Professional Investor" in Part 1 of Schedule 1 to SFO, the following persons are prescribed as within the meaning of that definition for the purposes of any provision of SFO other than Schedule 5—
《證券及期貨(專業投資者)規則》（第 571D 章）（「《專業投資者規則》」）第 3(b) 條指，爲施行《證券及期貨條例》附表 1 第 1 部「專業投資者」的定義的 (j) 段，現就《證券及期貨條例》的任何條文（附表 5 除外）訂明以下人士屬該定義所指的人—
any individual having a portfolio (note 2) of not less than HKD8 million at the relevant date (note 1) or as ascertained in accordance with section 8 of PI Rules, when any one or more of the following are taken into account—
符合以下說明的任何個人：在考慮以下任何一項或多於一項時，擁有的投資組合（註2）在有關日期（註1）或按照《專業投資者規則》第 8 條而獲確定，不少於港幣 8,000,000 元——
(i) a portfolio on the individual’s own account;
該個人本人的賬户內的投資組合；
(ii) a portfolio on a joint account with the individual’s associate (note 3);
該個人聯同其有聯繫者（註3）於某聯權共有賬户內的投資組合；
(iii) the individual’s share of a portfolio (note 2) on a joint account with one or more persons other than the individual’s associate (note 3);
該個人在聯同一名或多於一名其有聯繫者（註3）以外的人士於某聯權共有賬户內的投資組合（註2）中所佔部分；
(iv) a portfolio (note 2) of a corporation which, at the relevant date (note 1), has as its principal business the holding of investments and is wholly owned by the individual;
在有關日期的主要業務是持有投資項目並在有關日期（註1）由該個人全資擁有的法團的投資組合（註2）；
Note 1: “relevant date” means:-
註1：「有關日期」指：
(a) in the case of an advertisement, invitation or document described in section 103(3)(k) of SFO, means the date on which the advertisement, invitation or document is issued, or possessed for the purposes of issue;
就《證券及期貨條例》第103(3)(k)條所描述的廣告、邀請或文件而言，指發出或為發出而管有該廣告、邀請或文件的日期；
(b) in the case of a call described in section 174(2)(a) of SFO, means the date on which the call is made;
就《證券及期貨條例》第174(2)(a)條所描述的造訪而言，指進行該造訪的日期；
(c) in the case of an offer described in section 175(5)(d) of SFO, means the date on which the offer is made; or
就《證券及期貨條例》第175(5)(d)條所描述的要約而言，指提出該要約的日期；或
(d) in any other case which, by virtue of any rules made under SFO, requires compliance with an obligation, means the date by or on which the obligation is required to be complied with。
就憑藉根據《證券及期貨條例》訂立的規則而規定須於某日期或之前或須於某日期履行某項責任的其他情況而言，指該日期。
Note 2: “portfolio” means a portfolio comprising any of the following:
註2：「投資組合」指由任何下述項目組成的投資組合：
(a) securities;
證券；
(b) a certificate of deposit issued by—
由 ——
(i) an authorised financial institution; or
認可財務機構發行的存款證；或
(ii) a bank which is not an authorised financial institution but is regulated under the law of any place outside Hong Kong;
並非認可財務機構但根據香港以外地方的法律受規管的銀行發行的存款證；
(c) in relation to an individual, corporation or partnership, money held by a custodian (note 4) for the individual, corporation or partnership. 就任何個人、法團或合夥而言，由保管人（註4）替該人、 法團或合夥持有的款項。
Note 3: “associate”, in relation to an individual, means the spouse or any child of the indivdual.
註 3：「有聯繫者」指就任何個人而言，指該人的配偶或任何子女。
Note 4: “custodian” means:-
註4：「保管人」指：
(a) a corporation the principal business of which is to act as a custodian of securities or other property for another person, whether on trust or by contract; or
主要業務是作為另一人的證券或其他財產的保管人 ( 不論是以信託或合約形式保管 ) 的法團；或
(b) any of the following persons whose business includes acting as a custodian of securities or other property for another person, whether on trust or by contract—
業務包括作為另一人的證券或其他財產的保管人 ( 不論是以信託或合約形式保管 ) 的下述人士 ——
(i) an authorised financial institution;
認可財務機構；
(ii) a bank which is not an authorised financial institution but is regulated under the law of any place outside Hong Kong;
並非認可財務機構但根據香港以外地方的法律受規管的銀行；
(iii) a licensed corporation;
持牌法團；
(iv) a person carrying on the business of the provision of investment services and regulated under the law of any place outside Hong Kong.
經營提供投資服務的業務並根據香港以外地方的法律受規管的人。
Section C 丙部
For the purposes of above section B, the total assets entrusted to the portfolio of an individual are to be ascertained by referring to any one or more of the following—
就上述 乙部而言，託付予某名個人的投資組合或總資產，將通過參閱以下任何一份或多於一份文件而獲確定 ——
(a) for an individual, any one or more of the following documents issued or submitted within 12 months before the relevant date—
就個人而言，在有關日期前 12 個月內發出或提交的以下任何一份或多於一份文件
i. a statement of account or a certificate issued by a custodian;
由保管人發出的帳單或證明書；
ii. a certificate issued by an auditor or a certified public accountant;
核數師或註冊會計師出具的證明書；
iii. a public filing submitted by or on behalf of the individual.
由或代表該個人所呈交的公開檔案。
[Referring to Section 15.3B(i) of Code of Conduct, a complete declaration includes obtaining a written and signed declaration from the client. Therefore, Victoria Harbour needs to insert signing section for clients]
