法律英语词汇“Duty to know the client”的翻译、意思、用法、释义-法律词典

单词	Duty to know the client
释义	瞭解客戶的責任 One of the duties of a registered person to take all reasonable steps to establish the true and full identity of each of its clients, and of each client’s financial situation (for example, assets and liabilities), investment experience, and investment objectives, and other particular needs. A registered person who makes a securities recommendation or solicitation must ensure that the suitability of the recommendation or solicitation for that client is reasonable in all the circumstances. Also, a registered person providing services to a client in derivative products or any leveraged transaction should ensure that the client understands the nature and risks of the products, and has sufficient net worth for assuming the risks and bearing the potential losses: Code of Conduct for Persons Registered with the Securities and Futures Commission para 5.1-5.4. 註冊人所負的其中一項責任，是須要採取所有合理的步驟以確定其每一名客戶的真實及詳盡的身份、每一名客戶的財務狀況（例如資產與債務）、投資經驗、投資目標以及其他特別的需要。作出證券建議或唆使的註冊人必須保證，在一切有關的情況下，該註冊人對於其客戶作出的建議或唆使均屬合理適當。此外，向客戶提供衍生產品服務或任何槓桿交易的註冊人應保證，有關的客戶瞭解該產品的性質與風險，並擁有充足的資產淨值以承擔風險及潛在的損失：《證券及期貨事務監察委員會註冊人操守準則》第5.1至5.4段。
随便看	Probate action Probate Court Probate jurisdiction Probate Registry Probation Probationary drivers Probation officer Probative facts Probative value Pro bono Procedural fairness Procedural irregularity Procedural law Procedural legislation Procedural provisions Procedural safeguards Proceeding Proceeds of crime Process Process of fact-finding Process server Proclamation Procuration signature Procure Producer

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