| 单词 | Contract note |
| 释义 | 成交單據 A document executed in respect of any sale or purchase of Hong Kong stock. Quite often it is the document issued to a client by a stockbroker who has bought or sold Hong Kong stock on behalf of the client. It indicates whether the intermediary (the person who enters into a relevant contract with or on behalf of a client) acts as a principal. It also states the name under which the intermediary carries on business; the name and account number of the client; full particulars of the relevant contract including the quantity, name and description of such Hong Kong stock, nature of the dealing, the name of the market or exchange on which the relevant contract has been executed and whether the relevant contract is for the opening or closing of a position; the date on which the relevant contract is entered into, of settlement or performance of the relevant contract and on which the contract note is prepared; the rate or amount of commission payable in respect of the contract; the amount of stamp duty payable; the amount of levy payable; the amount of charges payable; and the basis for calculating the charges payable if the relevant contract is in respect of interests in a collective investment scheme: Securities and Futures (Contract Notes, Statements of Accounts and Receipts) Rules (Cap 571Q) r 5(3). Apart from these, the contract note in respect of a relevant contract for a dealing in securities also indicates that the client’s account is a margin account, the price per unit of the securities, that it relates to a short selling order or a transaction under a securities borrowing and lending agreement, and the amount of consideration payable: Securities and Futures (Contract Notes, Statements of Accounts and Receipts) Rules (Cap 571Q) r 5(4); Stamp Duty Ordinance (Cap 117) s 19. See also Broker. 用以執行任何香港證券的售賣及購買的單據。通常是指完成香港證券的購買或出售的證券交易商向其所代理的客戶開出的單據。該單據亦須述明以下各項：該中介人經營業務所用的名稱；該中介人的客戶的姓名或名稱及帳戶號碼；有關合約的全部詳情，包括：涉及的證券、期貨合約或槓桿式外匯交易合約的數量、名稱、種類及足以識辨該等證券或合約的其他詳情；該交易的性質；執行該有關合約所在的市場或交易所的名稱；及有關合約屬開倉合約抑或平倉合約；訂立該有關合約的日期；該有關合約的交收或履行日期；及製備該成交單據的日期；須在與該有關合約有關連的情況下支付的佣金的計算方法或款額；須支付的印花稅的款額；須支付的徵費的款額；須支付的費用款額，或（如該有關合約關乎某集體投資計劃的權益）該等費用的計算基準：《證券及期貨（成交單據、戶口結單及收據）規則》（第571Q章）第5(3)條規則。除上述規定須載有的資料外，關乎證券交易的有關合約的成交單據另須載有以下資料：顯示有關客戶的帳戶屬保證金帳戶的註明；（如屬購買或售賣證券的情況）有關證券的每個單位價格；及須支付的代價款額：《證券及期貨（成交單據、戶口結單及收據）規則》（第571Q章）第5(4)條規則；《印花稅條例》（第117章）第19條。另見 Broker。 |
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