| 单词 | Stockbroker |
| 释义 | 股票經紀 A person who buys and sells securities, commodities or derivatives on the market, and is licensed or registered for Type 1 regulated activity (ie dealing in securities) by the Securities and Futures Commission under the Securities and Futures Ordinance (Cap 571). As payment for a deal carried out on behalf of a client, a stockbroker receives commission (‘brokerage’). In Hong Kong, the rates of brokerage are negotiable. A stockbroker acting on the instructions of his client is placed in the legal position of an agent: Christopher Barker & Sons v Commissioners of Inland Revenue [1919] 2 KB 222. As a result of this agency relationship, the stockbroker becomes a fiduciary of his clients: Re CA Pacific Finance Ltd (in liq) & Anor (No 1) [1999] 2 HKC 632. As a form of self-regulation, the conduct of stock brokers is also governed by The Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission. The exact terms of the contract between a stockbroker and client determine the duties of the stockbroker owed to the client: Re CA Pacific Finance Ltd (in liq) & Anor (No 1), supra. The client who employs a sharebroker must indemnify the sharebroker for any liability he or she incurs under them while acting in execution of his or her authority: W Noall & Son v Wan [1970] VR 683. In particular, a client has an obligation to indemnify the stockbroker for payments made or payments the stockbroker is liable to make for shares purchased: Sun Hung Kai Investment Services Ltd & Anor v Fung Tak Sing [1991] 2 HKC 515. Orders are placed with a broker either at limit, at market, at discretion, or at best. On the completion of the purchase or sale, the broker provides a contract note which itemises the number of shares and the price for which they were bought or sold, together with the statement of commission and stamp duty. Also known as ‘sharebroker’. See also At best; At discretion; At limit; At market; Brokerage. 在市場上買賣證券、商品或衍生工具的人，並領有牌照或已註冊從事證券及期貨事務監察委員會根據 《證券及期貨條例》（第571章）的第1類受規管活動（即證券交易）。股票經紀收取佣金（「經紀費」），作為代表客戶進行交易的款項。在香港，可商議經紀費的收費率。 就客戶的指示行事的股票經紀，在法律上處於代理人的位置上： Christopher Barker & Sons v IRC [1919] 2 KB 222。 鑒於此等代理關係，股票經紀成為其客戶的受信人：Re CA Pacific Finance Ltd (in liq) & Anor (No 1) [1999] 2 HKC 632。作為自律的一種形式，股票經紀的行為亦受 《證券及期貨事務監察委員會持牌人或註冊人操守準則》規管。股票經紀及客戶之間合約的確實條款決定股票經紀對其客戶負有的責任：Re CA Pacific Finance Ltd (in liq) & Anor (No 1), 見上文。聘用股票經紀的客戶必須就任何他／她在執行其權限時招致的法律責任，對股票經紀作出彌償：W Noall & Son v Wan [1970] VR 683。 客戶特別有責任就股票經紀作出或有法律責任作出以購買股票的款項，對有關的股票經紀作出彌償：Sun Hung Kai Investment Services Ltd & Anor v Fung Tak Sing [1991] 2 HKC 515。向股票經紀發出的買賣指示可以是限價盤、市價買賣盤、全權委託盤或最佳價格盤。在完成買賣後，股票經紀提供分條開列股票數目及股票買賣價格的合約成交單據，並連同佣金帳單及印花稅。英文另稱‘sharebroker’。另見 At best; At discretion; At limit; At market; Brokerage。 n. |
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