The Stock Exchange Agreement is a fundamental document used to establish and regulate the relationship between the Hong Kong Stock Exchange (HKEX) and entities seeking to become or maintain their status as exchange participants. This agreement is essential for any financial institution looking to trade directly on HKEX, incorporating Hong Kong's robust regulatory requirements and international financial standards. It outlines crucial aspects such as trading rights, technical connectivity, risk management, compliance obligations, and fee structures. The document is particularly significant given Hong Kong's position as a major global financial center and its role as a gateway to Chinese markets through programs like Stock Connect. The agreement must align with Hong Kong's Securities and Futures Ordinance and other relevant financial regulations while addressing modern market requirements including electronic trading and risk management systems.
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1. Parties: Identification of the Stock Exchange and the Exchange Participant
2. Background: Context of the agreement and participant's application for exchange membership
3. Definitions and Interpretation: Key terms used throughout the agreement and rules of interpretation
4. Grant of Trading Rights: Scope and nature of trading rights granted to the participant
5. Compliance with Rules and Regulations: Obligation to comply with exchange rules, securities laws, and regulatory requirements
6. Trading Operations: Rules governing trading activities, order execution, and market making obligations
7. Technical Requirements: Systems, connectivity, and technical specifications for trading
8. Risk Management: Risk controls, position limits, and margin requirements
9. Fees and Payment: Trading fees, membership fees, and payment terms
10. Default Procedures: Actions in case of participant default or breach
11. Termination: Conditions and procedures for agreement termination
12. Confidentiality: Protection of confidential information and trade secrets
13. Liability and Indemnification: Limitations of liability and indemnification obligations
14. Governing Law and Jurisdiction: Hong Kong law governance and jurisdiction for disputes
15. General Provisions: Standard clauses including notices, amendments, and assignment
1. Market Making Obligations: Specific obligations for participants acting as market makers
2. Direct Market Access: Terms for providing direct market access to clients
3. Clearing Arrangements: Requirements for clearing arrangements if participant is not a clearing member
4. Additional Services: Terms for additional services such as data feeds or co-location
5. China Connect: Provisions for trading mainland China securities through Stock Connect
6. Derivatives Trading: Additional terms for participants engaging in derivatives trading
7. Sponsored Access: Terms for providing sponsored access to third parties
8. Emergency Procedures: Special procedures for market emergencies or force majeure events
1. Schedule 1: Fee Schedule: Detailed breakdown of all applicable fees and charges
2. Schedule 2: Technical Specifications: Detailed technical requirements and connectivity specifications
3. Schedule 3: Trading Hours and Calendar: Trading sessions, market hours, and holiday schedule
4. Schedule 4: Required Forms: Standard forms for various submissions and applications
5. Schedule 5: Risk Management Parameters: Specific risk limits, margin requirements, and control parameters
6. Schedule 6: Contact Details: Key contacts for both parties for various functions
7. Appendix A: Compliance Guidelines: Detailed compliance requirements and procedures
8. Appendix B: Trading Rules Summary: Summary of key trading rules and requirements
9. Appendix C: Default Procedures: Detailed procedures for handling defaults and breaches
10. Appendix D: Business Continuity Requirements: Requirements for business continuity and disaster recovery
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Securities Trading
Investment Banking
Asset Management
Financial Technology
Professional Services
Banking
Capital Markets
Market Making
Securities Clearing and Settlement
Relevant Teams
Legal
Compliance
Trading Operations
Risk Management
Technical Operations
Market Operations
Regulatory Affairs
Information Technology
Finance
Business Development
Client Services
Systems Integration
Market Surveillance
Corporate Governance
Relevant Roles
Chief Executive Officer
Chief Operating Officer
Chief Compliance Officer
Head of Trading
Legal Counsel
Compliance Manager
Risk Manager
Trading Operations Director
Technical Operations Manager
Chief Technology Officer
Head of Market Operations
Chief Risk Officer
Head of Legal
Exchange Participant Director
Regulatory Affairs Manager
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