美国华尔街期货交易所客户协议(中英文)

美国华尔街期货交易所客户协议（中英文）(2013-01-0508:43:14)转载▼标签：期货交易协议杂谈分类：金融借贷担保融资保险证劵27.PartnershipAccounts合伙账户WheretheCustomerisapartnership,theCustomerrepresentsthattheGeneralorLimitedPartnershipAgreementisinwritingandprovidesthatthepartnershipwillnotterminateuponthedeathorincapacityofanyoneofthepartners;thepartnersandthepartnershipareincompliancewithandshallremainincompliancewithallrulesandregulationsapplicabletotheiractivitiesincluding,butnotlimitedto,therulesandregulationsoftheCFTC,NFA,theCommodityExchangeAct,andStateLawsinwhichthepartnershipwasformed;thepartnersarejointlyandseverallyliabletoEXCHANGEforanyandalltransactionsandobligationsmadeinconjunctionwiththisaccountandareboundbyalltermsandconditionsofthisAgreement;andthepartnershipshallpromptlynotifyEXCHANGEinwritingofthedeathorretirementofanypartner,oranychangeinthepartnershipagreement.Theestateofanyofthegeneralpartnerswhoshallhavediedshallbeliable,andeachsurvivorshallcontinuetobeliable,toEXCHANGEforanydebitbalanceorlossintheaccountresultingfromthecompletionoftransactionsinitiatedpriortoreceiptbyEXCHANGEofsuchwrittennoticeofdeathorincurredintheliquidationoftheaccountafterreceiptofnoticeofdeathofapartner.当客户为合伙人时，客户阐明《普通和有限合伙协议》是书面的，规定当任一合伙人死亡或无能力时，合伙不会中止，合伙人和合伙将遵守，并将一直遵守所有可以应用于他们行为的规章制度，包括，但不限于，商品期货交易委员会（CFTC）,全国期货协会（NFA）的规章制度，商品交易法和该合伙建立所在州的州法律，合伙人对任何和所有与该账户一起形成的交易和义务对交易所负有连带责任，并受本协议所有条款合条件的约束。某合伙人死亡或退休时，或者合伙协议发生任何变化时，该合伙应该及时书面通知交易所。任何已经死亡的普通合伙人的不动产对交易所有责任偿还，以及每个剩下来的合伙人应该继续对交易所有责任偿还任何在交易所接到此书面的死亡通知之前开始的交易给账户带来的借方余额或损失，或者在接到某一合伙人死亡通知以后账户清算导致的借方余额或损失。28.ERISAPensionPlanAccountsERISA退休金计划账户WheretheCustomerisaplancoveredbytheEmployeeRetirementSecurityActof1974(“ERISA”),CustomeracknowledgesandunderstandsthatEXCHANGEisonlyprovidingserviceshereunderandisnotaplanfiduciaryasdefinedinERISA,andanyrulesorregulationspromulgatedthereunderFGhasnodiscretionaryauthorityorcontrolwithrespecttoCustomerspurchaseorsaleoffuturescontractsandthatthefurnishingofmarketrecommendationsandinformationbyEXCHANGEissolelyforCustomersconvenienceanddoesnotconstitutetheexerciseofsuchauthorityorcontrol;andthereisnoagreement,arrangement,orunderstandingbetweenCustomerandEXCHANGEforinvestmentdecisionswithrespecttotheassetsofCustomerorthatEXCHANGEwillrenderindividualizedinvestmentadvicetoCustomerbasedontheparticularneedsofCustomer.CustomerfurtherrepresentsthatithasfullpowerandauthoritypursuanttogoverningagreementsandotherwisetoenterintothisAgreementandtoengageintransactionsofthekindcontemplatedherein.当客户是《1974年雇员退休保障法》（以下简称ERISA）适用的一个计划时，客户确认和知道交易所只提供以下的服务，不是ERISA及其辖的规章制度定义的一个信托计划,关于客户购买或者销售期货合约，交易所没有自由决定权和控制权。交易所提供市场建议和信息只是为了方便客户，并不构成决定权和控制权的实施。客户和交易所之间没有关于客户资产投资决定的协议、安排和谅解，交易所将按照客户的个别需要，为客户提供个人化的投资建议。客户还阐明按照管理协议它有完全的能力和授权，否则，即签署本协议，从事此处考虑的交易。29.NOWAIVERORAMENDMENT无豁免或修正NoprovisionofthisAgreementmaybewaivedoramendedunlessthewaiveroramendmentisinwritingandsignedbybothCustomerandanauthorizedofficerofEXCHANGE.NowaiveroramendmentofthisAgreementmaybeimpliedfromanycourseofdealingbetweenthepartiesorfromanyfailurebyEXCHANGEorEXCHANGE’sagentstoassertEXCHANGE’srightunderthisAgreementonanyoccasionorseriesofoccasions.Nooralagreementsorinstructionstothecontraryshallberecognizedorenforceable.Thisinstrumentandtheattachmentsheretoembodytheentireagreementoftheparties,supersedinganyandallpriorwrittenandoralagreementsandtherearenootherterms,conditionsorobligationsotherthanthosecontainedherein.本协议的条款都不能豁免或修正，除非客户和交易所的授权官员一同签署了豁免和修正的书面形式。在任何情况下，本协议各方的任何行为过程，或者交易所或交易所的代理人未能声明本协议下交易所的权力，都不意味着本协议有豁免或者修正。相反的口头协议或指示不是可接收的或可实施的。本文件和此处的附件包含了各方的整个协议，取代任何和所有先前的书面和口头协议，除了此处包含的条款、条件或义务，没有其他的条款、条件或义务。30.GOVERNINGLAWANDJURISDICTION管理法和权限ThisAgreement,andtheparties’rightsandobligationshereto,shallbegovernedby,construedandenforcedinallrespectsbythelawsoftheStateofIllinois,whereEXCHANGE’smainofficeislocated.本协议以及各方于此的权利和义务在各方面都应在伊利诺斯州法律的统治、解释和实施之下。伊利诺斯州是交易所总部的所在地。IfanyprovisionorconditionofthisAgreementshallbeheldtobeinvalidorunenforceablebyanycourt,regulatoryorself-regulatoryagencyorbody,suchinvalidityorunenforceabilityshallattachonlytosuchprovisionorcondition.ThevalidityoftheremainingprovisionsandconditionsshallnotbeaffectedandthisAgreementshallbecarriedoutasifanysuchinvalidorunenforceableprovisionorconditionwasnotcontainedherein.ThisAgreementoranysectionthereofshallnotbeconstruedagainstanypartyduetothefactthatsaidAgreementoranysectionthereofwasdraftedbysaidparty.如果有法庭、管制或自我管制机构或组织认为本协议的任何条款和条件无效，此无效性和不能执行性只应适用于这些条款和条件。其余条款和条件的有效性不应受到影响，本协议应继续得以执行，就好像上述无效的和不能执行的条款或条件不包含在此协议内。本协议及其任何条款的解释不应不利于任何一方，因为本协议及其任何条款都是由上述各方起草的。31.FOREIGNCUSTOMERNOTICE国外客户公告WhereCustomerisnotaresidentoftheUnitedStates(hereinafterreferredtoas“ForeignCustomer”),Regulation15:05oftheUnitedStatesCodeofFederalRegulations(CFR)deemsEXCHANGEtobeForeignCustomersagentforpurposesofacceptingdeliveryandserviceofanycommunicationissuedbyoronbehalfoftheCFTCwithrespecttoanyfuturesoroptionscontractswhichareorhavebeenmaintainedinForeignCustomersaccountcarriedbyEXCHANGE.ServiceordeliveryofanycommunicationissuedbyoronbehalfoftheCFTCtoEXCHANGEconstitutesvalidandeffectiveserviceordelivery