Global Securities

Important Notes of Statement

Last updated on May 13, 2014

  1. The above transaction(s) was/were conducted through the nominee account of Phillip Securities (Hong Kong) Limited (“PSHK”) with the respective executing broker(s) on the applicable Exchange or fund house.
  2. Ref. No [*] denotes force trade. [#] denotes short selling order.
  3. In case of error or omission in this statement, please notify PSHK within 3 days from the date of this statement. Otherwise, this statement shall be deemed correct.
  4. PSHK or the executing broker(s) is authorized to collect the appropriate charges or levies in accordance with the rules prescribed by applicable Exchanges from time to time.
  5. All Transactions shall be subject to the Client Agreement and, in respect of those Exchanges and/or Clearing Houses where the Transactions are processed, the constitution, rules, regulations, practices, procedures and administrative requirements, as amended from time to time, of the relevant Exchange and/or Clearing House and to all applicable laws whether imposed on the Customer or PSHK, as amended from time to time.
  6. Transactions on markets in other jurisdictions may expose you to additional risks and Customer assets received or held by PSHK outside of Hong Kong may not enjoy the same level of protection as that conferred on assets received or held in Hong Kong. In particular, foreign securities trading is not regulated by the SEHK and will not be covered by the Investor Compensation Fund.
  7. Please update your account information by logging into www.poems.com.hk or downloading the Account Particulars Amendment Form.
  8. Client Agreement and Personal Information Collection Statement have been updated on http://www.poems.com.hk. Please contact our Customer Service at cs@phillip.com.hk or call 2277 6555 to stop receiving marketing information.
  9. Canadian residents are not permitted to trade / hold Canadian securities.
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