外国经纪人协议

FOREIGN BROKER AGREEMENT 外国经纪人协议 This agreement is entered into as of between Farr Financial, Inc. a California Corporation (“Farr”) and (“Broker”). 该协议于 年 月 签署，签约双方分别是Farr Financial, Inc.， (“Farr”)；和 (“经纪人”)。 RECITALS 陈述 A. Farr is registered with the Commodity Futures Trading Commissions (CFTC) as an Futures Commission Merchant (FCM). Broker wishes to introduce accounts (Accounts) on behalf of its customers (each, a “Customer” and, collectively, the “Customers”) to Farr on a fully disclosed basis and to obtain through Farr clearing, execution, and other services relating to transactions in commodities, contracts for futures delivery of commodities, and options thereon (collectively referred to as “futures contracts”) for the Accounts. Farr 作为期货经纪商注册于美国商品期货交易委员会（CFTC）。经纪人希望在完全 公开的基础上代表其客户（某个客户和全部客户）开立Farr账户，得到Farr的清算、执 行或其他与商品交易相关的服务，商品期货交割合约，账户的期权（统称为期货合 同）。 B. Farr is willing to provide such services to the Accounts on the terms and conditions set forth below. Farr愿意根据以下条款和条件为账户提供服务。 NOW, THEREFORE, in consideration of the mutual covenants, promises and agreements herein set forth, the parties agree as follows: 现在，考虑到双方相互达成的协约、承诺和协议，双方对以下条款达成一致： AGREEMENT 协议 1. Representations and Warranties of Broker. 1. 经纪人代表和担保 第 2 页，共 15 页 (a) Broker represents and warranties as follows: 经纪人代表和担保如下： (b) Broker has all requisites authority, whether arising under applicable federal or state laws and rules and regulations of any contract market or other self-regulatory organization to which Broker is subject, to enter this Agreement and to retain the services of Farr in accordance with the terms of this Agreement. 经纪人必须保证自己满足可以履行本协议必要的条件，以便去履行本协议并按 照本协议的条款接受Farr的服务。这些条件包括联邦政府和州法律、法规和期 货合约市场的规定，以及经纪人受管辖的自我监管组织的规定。 (c) Broker is, and during the term of the Agreement will remain, in compliance with all the applicable requirements of the CFTC and each contract market or other self-regulatory organization of which it is a member, including but not limited to the CFTC minimum capital requirements. 在协议有效期内，经纪人需要遵守所有CFTC的要求，每个合约市场和经纪人 作为成员的自我监管组织的要求，包括但不局限于CFTC最小资本要求。 (d) Broker will notify Farr promptly if any of the foregoing representations and warranties is no longer accurate. 如果上述代表和担保有变化，经纪人将立即通知Farr。 2. Representations and Warranties of Farr. 2. Farr 代表和担保 (a) Farr represents and warrants as follows: Farr 代表和担保如下： (b) Farr is, and during the term of this Agreement will remain, duly registered with the CFTC. 在协议有效期内，Farr会保持CFTC正常注册。 (c) Farr is, and during the term of this Agreement will remain, a member in good standing of the National Futures Association. 在协议有效期内，Farr会保持作为NFA(美国期货协会)的良好声誉成员。 (d) Farr has all requisite authority, whether arising under applicable federal or state laws or under the rules and regulations of any contract markets or other self-regulatory organization to which Farr is subject, to enter into this Agreement. Farr保证满足必要的条件去履行本协议。这些条件包括联邦政府和州法律、法 规和期货合约市场的规定，以及Farr受管辖的自我监管组织的规定。 (e) Farr is, and during the term of this Agreement will remain, in compliance with all the applicable requirements of the CFTC and each contract market or other self-regulatory organization of which it is a member, including but not limited to the CFTC minimum capital requirements. 在协议有效期内，Farr将遵守所有CFTC的要求，每个合约市场和Farr作为成员 的自我监管组织的要求，包括但不局限于CFTC最小资本要求。 第 3 页，共 15 页 (f) Farr will notify Broker promptly if any of the foregoing representations and warranties is no longer accurate. 如果上述代表和担保有变化，Farr将立即通知经纪人。 3. Services Provided by Farr With Respect to Accounts. 3. Farr提供的账户服务 (a) Farr will maintain the accounts on a fully disclosed basis in accordance with applicable laws and eth rules of the CFTC and any self-regulatory organization of which it is a member. Farr reserves the right to refuse to carry any Account for any or no reason. 根据适用法律和CFTC以及其受管辖的自我监管组织的规定，Farr将在完全公开 的基础上提供账户服务。Farr保留没有任何原因地拒绝开立任何账户的权力。 (b) Farr will receive and execute orders for the Accounts through a Futures Commission Merchant of his choosing. Farr将通过一个其选择的期货代理商，接收并执行账户订单。 (c) Farr will transmit to the Customers reports of execution, margin calls, monthly statements, and such other documents as may be required by the CFTC or any self-regulatory organization or contract market. Farr will promptly transmit to Broker a copy of all documents prepared with respect to each Customer. 应CFTC 或任何自我监管组织或合约市场的要求，Farr将呈交客户执行报告、 追加保证金、月报告，以及此类的文件。Farr将立即传送给经纪人关于每一客 户的所有此类文件的复印件。 4. Services Not Performed by Farr. 4. Farr不履行的服务 (a) Farr will not perform any of the following services or functions: Farr将不会履行以下服务或功能： (b) Preparation of Broker’s general account and payroll records, financial statements, or regulatory reports. 准备经纪人的往来对账单和工资记录，财务报告或监管报告。 (c) Payment of Broker’s general business expenses. 支付经纪人的一般业务花费。 (d) Payment of commissions, fees or other compensation to Broker’s associated persons, employees and independent contractors. 支付经纪人业务人员、雇员和独立立约人佣金、费用或赔偿。 (e) Verification of information and instructions provided to Farr by Broker or by Customers. Broker acknowledges that Farr is entitled to rely upon any such information or instructions, which Farr believes to be correct and bona fide. 第 4 页，共 15 页 对经纪人或客户提供的信息、介绍进行核实。经纪人承认Farr有权信赖任何此 类信息或介绍，如果Farr认为是正确和真实的。 (f) Farr will not be required to make any factual investigation of any Customer Accounts or transaction carried or executed for Broker (including, without limitation, any investigation into investments suitability of any Account or transaction for any such Customer), nor will Farr be responsible for compliance by Broker with any laws, rules or regulations which may by applicable to Broker. Farr不被要求对任何客户账户或经纪人执行的交易进行事实调查（包括，不局 限于，对客户的交易或账户的投资合适性进行的任何调查），Farr对适用于经 纪人的任何法律，法规和规定不负有责任。 5. Obligations of Broker 5. 经纪人的责任义务 (a) Broker will be responsible for diligently supervising the opening of accounts, for entering orders in accounts, and for assuring that transactions and orders in accounts are in accordance with all applicable laws and rules of the CFTC, any contract markets and any self-regulatory organization. Broker will maintain compliance and supervisory procedures which are adequate to assure compliance by Broker. 经纪人应负责监督账户开户、账户下单、保证账户交易和订单符合CFTC、任 何合约市场和自我监管组织的所有适用法律法规。经纪人应维护符合和监督程 序，确保遵守。 (b) Broker acknowledges receipt of Farr’s Policy and Procedures Manual (“Manual”) and agrees to abide by and follow the policies and procedures as set forth therein. Broker acknowledges that the Manual is copyrighted by Farr and agrees to treat the Manual as confidential and not disclose it to any third party. 经纪人承认Farr的政策和程序手册（手册）且同意遵守这些政策和程序。经纪 人承认手册的版权归Farr所有，且同意对手册内容保密不向任何第三方透露。 (c) Broker agrees not to allow any natural person employed by or associated with it to serve as an associated person, unless such person is currently and validly registered as an associated person or is temporarily licensed as an associated person. All candidates for registration as associated person with the Broker must be approved by Farr. Broker will diligently supervise the activities of its associated persons. 经纪人同意不会随意雇佣任何自然人或将其作为业务人员，除非此人员是最近 合法注册的业务人员或者是取得临时业务员许可证的。经纪人这方所有注册业 务人员的候选人必须得到Farr 的批准同意。经纪人应精心监督其业务人员的活 动。 (d) Broker will be responsible for all initial and maintenance margin payments and for payment of all deficit balances in respect of the accounts after making reasonable and diligent efforts to collect same from customers. Broker will apprise its customers of the risks of trading futures contracts 第 5 页，共 15 页 and of changes in margin policies. 在经过合理、勤奋的努力后，经纪人的客户开设了账户。经纪人需要对这些账 户的初始保证金、维持保证金的支付负责，需要对所有赤字余额账户的支付负 责。经纪人应通知其客户交易期货的风险以及保证金政策的变化。 (e) Broker shall abide by procedures established by Farr with respect to the transmission of orders. Without limiting the generally of the foregoing, Broker agrees not to accept or transmit an order from a customer unless immediately upon receipt thereof a written record of such order is prepared, including the account identification and order number, and Broker will record on such order by time-stamp the date and time (to the nearest minute) when the order is receive and when it is transmitted for execution. 经纪人应遵守Farr为订单传输设立的程序。上述大体上无限制，经纪人同意不 接受或传输来自客户的订单，除非收到后立即能出具书面记录表示该订单是准 备好的，包括账户识别和订单号，且当收到订单后且当订单被传输执行后，经 纪人将在订单上记录时间戳日期和时间（最近时间）。 (f) Broker agrees that it will not accept or bold in its name any money, securities, or property or lend credit in lieu thereof to margin, guarantee or secure any trades, contracts or positions effected or carried in any account. All such money, will be payable to the order of the futures commission merchant in which the account is introduced and immediately will be transmitted to the futures commission merchant. 经纪人同意不以其名义接受任何货币、证券或财产或信用贷款代替保证金、保 证或担保任何账户的交易、合约或仓位。此类货币将会支付给的期货代理商 （账户是在该期货代理商处注册），并将立即传送给期货代理商。 (g) Broker will notify Farr with respect to inquiries and complaints. Broker will (i) maintain a log of all complaints from customers (whether oral or written) concerning the handling of their accounts which will include (1) the date the complaint was received; (2) the associated person or other person who services the account; (3) a general description of the matter complained of, and (4) the action, if any, taken by Broker in regard to the complaint; (ii) report to Farr all written or oral complaints within 24 hours from the receipt of notice of the complaint, which report shall be in the form of a memorandum specifying the date the complaint was received, the associated person or other person handling the account, a general description of the matter complained about and the recommended action; and (iii) report and forward to Farr within 24 hours of receipt of any notice of any action, claim or proceeding against or involving Broker or Farr. All entries to the complaint log for each calendar month will be sent to Farr by the 10th day of the succeeding month. 经纪人应通知Farr相关查询和投诉。经纪人应(i)保留客户关于其账户处理所有 的投诉记录（口头或书面的），包括（1）收到投诉的日期；（2）为其账户提 供服务的业务人员或相关人员；（3）投诉的大概内容；（4）经纪人对此作出 的回应；(ii) 在收到投诉24小时内报告给Farr所有书面或口头的投诉，报告可以 用备忘录的形式，详细说明了收到投诉的时间、相关业务员或处理该账户的其 第 6 页，共 15 页 他人员，投诉的大体内容以及推荐的回应；(iii) 在收到任何与经纪人或Farr有 牵连的任何索赔或诉讼通知的24小时内，报告或转发给Farr。每个月所有投诉 记录应在下个月的第十天发给Farr. (h) Broker will not permit any of its associated persons or any other person to exercise any discretionary authority with respect to any transaction in an account unless it has obtained a signed copy of a power of attorney, authorization or other document from the customer by which such authority is given. 经纪人不允许其任何业务人员或其他人员行使对账户交易的任何决断权，除非 已经获得一份来自客户已签名的委托授权书、授权或其他文件。 (i) Broker will not guarantee any customer against loss or a margin call in an account or in respect of any transaction affected with or for such customer. Broker will not issue any advertisement, market letter, or sales literature without the prior written approval of Farr. 经纪人不向任何客户保证不会亏损或保证提供可能会影响客户交易的追加保证 金通知。没有Farr的书面同意，经纪人不会发行任何广告、市场报告、促销资 料。 (j) Broker will use its best efforts to assure that each customer complies with all applicable position limits established by the CFTC or a contract market and will not knowingly permit any transaction to be effected in an account in violation of such limits. Broker shall promptly report to Farr any customer or account exceeding any applicable limit. 经纪人将尽全力确保每个客户符合CFTC或合约市场设立的适用的头寸限制， 且不会故意允许在账户交易中违反此类限制。经纪人应立即报告Farr任何客户 或账户超过任何适用限制。 (k) Broker will make no report or statement (whether orally or in writing) to any customer with respect to any transaction, position or other matter relating to the customer’s account that is not in conformity with statements, reports and information furnished by the futures commission merchant. 经纪人不向客户发布（口头或书面）任何与期货代理商发布的声明、报告和信 息不相符的任何有关交易、仓位或其他有关客户账户的报告或声明。 (l) Broker will confirm with Farr each day’s business in the afternoon for accuracy and completeness. 经纪人将在下午和Farr确认每天的交易的准确性和完整性。 (m) Broker and its associated persons will not carry any proprietary account without written approval from Farr. 没有Farr的书面同意，经纪人和其业务人员将不会持有任何公司专有账户。 (n) Broker will assure that all activity with respect to the solicitation and acceptance of orders for options traded on any contract market is in compliance with all applicable laws and rules of the CFTC and any contract market or self-regulatory organization. 经纪人应保证关于在任何合约市场上进行的期权交易订单的询价、承兑所有活 动符合CFTC、任何合约市场和自我监管组织的适用法律或规定。 第 7 页，共 15 页 (o) Broker will be responsible and liable for all normal and usual business expenses incurred on its own behalf, and will file such reports and forms, including, without limitation, all state and federal tax returns, required to be filed by an independent contractor under any and all applicable laws, rules and regulations. 经纪人对其自身产生的所有日常业务和正常业务的花费负有责任义务，且应存 档此类报告和表格，包括但不局限于，所有政府或州纳税，任何所有适用法律 法规和规定下，要求由一个独立的立约人存档。 6. Access to Information 6. 信息获取 (a) Broker will make available its books and records to inspection at all times by duly authorized representatives of Farr or any contract market or clearing corporation. Expenses for audits of Broker by Farr will be paid by Broker. 经纪人应为Farr或任何合约市场、或清算机构授权的代表随时进行的检查准备 好账册和记录。经纪人应承担Farr对其进行审计产生的花费。 (b) Broker will provide Farr with any information in Broker’s possession with respect to any customer. 经纪人应向Farr提供经纪人所拥有客户的任何信息。 (c) Broker will keep and maintain all records and will file all required reports and notices pursuant to applicable laws, rules and regulations. 经纪人应保留、维护所有记录，且应存档所有适用法律法规和规定要求的报告 和通知。 (d) Broker will provide Farr with copies of any financial reports if any, required to be filed with CFTC, any contract market or any other self- regulatory organization, pursuant to rules or regulations, promulgated by such entity. 根据法律法规，应CFTC、任何合约市场或任何其他自我监管组织的存档要求， 经纪人应提供给Farr其公开的任何财务报告（如果有的话）的复印件。 7. Confidentiality 7. 保密性 (a) Farr will exercise care to prevent access to information regarding Broker and will keep confidential any information it has concerning the foregoing or business of Broker and any customer. Notwithstanding the foregoing, Broker authorizes Farr to reveal such information as it deems necessary in order to comply with any request for information or documents by the CFTC, SEC any contract market or other self-regulatory organization, or any court order or other legal process which Farr, in its sole discretion, believes to be valid and effective. Farr 将小心保护经纪人的信息，且将对经纪人和任何客户的信息和交易保密。 尽管如此，在CFTC、SEC（美国证监会）或其他合约市场或自我监管组织、 第 8 页，共 15 页 或法庭命令或法律程序要求提供时，经纪人授权Farr透露此类信息，Farr根据 具体情况，承认这些信息的合法性和有效性。 (b) During the term of this agreement and for a period of twelve months thereafter, Farr will not use any information is has obtained regarding any customer of Broker to solicit from such customer an account in futures contracts. Farr will not knowingly communicate, reveal, or sell any Broker customers or accounts to any other person, firm or entity. 在协议有效期内，和在协议到期后12个月内，Farr不会使用从经纪人的客户获 得的任何信息来招揽该客户进行期货交易。Farr不能故意传播、揭露或销售任 何经纪人客户或账户给其他人、公司或实体。 (c) Due to Broker’s relationship with Farr, Broker may be privy to confidential client and business information. Broker, likewise, will not communicate, reveal, sell or solicit any Farr customer or account to any other person, firm, or entity. Broker cannot use this confidential information to its benefit or to the detriment of Farr Financial. 由于经纪人和Farr的关系，经纪人可以知晓机密客户和机密商业信息。经纪人， 不能传播、揭露或销售任何Farr的客户或账户给其他人、公司或实体。经纪人 不能使用这些机密信息来谋私利或损害Farr的经济利益。 (d) Broker will keep confidential any information it acquires regarding Farr, any of its directors, officers or employees and its business operations. Notwithstanding the foregoing, Farr authorizes Broker to reveal such information as it deems necessary in order to comply with any request for information or documents by the CFTC, SEC, any contract market or other self-regulatory organization, or any court order or other legal process which Broker, in its sole discretion, believes to be valid and effective. 经纪人要对其获得的与Farr，其董事、工作人员、雇员或交易操作相关的机密 信息进行保密。尽管如此，在CFTC、SEC（美国证监会）或其他合约市场或 自我监管组织、或法庭命令或法律程序要求提供时，Farr授权经纪人透露此类 信息，经纪人根据具体情况，承认这些信息的合法性和有效性。 8. No Authority to bind 8. 无权利约束 (a) Broker does not have the power of authority to, and shall not purport to incur any debt or obligation or assume any liability in the name of Farr, or to make, alter, amend, discharge or waive any provision of any contract to which Farr is a party. 经纪人无权利且不能意图产生任何债务或责任义务或以Farr的名义承担任何债 务，或制造、改变、修改、免除或放弃有Farr参与的 合同 劳动合同范本免费下载装修合同范本免费下载租赁合同免费下载房屋买卖合同下载劳务合同范本下载 的任何条款。 9. Indemnification 9. 赔偿 (a) Broker shall fully indemnify, protect and hold harmless Farr, its directors, officers and employees, from and against any and all manners and claims, demands, proceedings, suits or actions (whether in law or in equity) and 第 9 页，共 15 页 liabilities, losses, expenses and costs (including reasonable accountants and reasonable attorneys’ fees) (collectively, “losses”) relating to: 经纪人应全部赔偿，保护且使Farr及其董事、工作人员、雇员免受各种损害、 索赔、查询、诉讼或行动（在普通法或衡平法上）和债务、损失、花费（包括 合理账户和合理的律师费）（统称为损失），涉及到： (b) Farr’s compliance with any instruction or order from Broker or any customer introduced to Farr by Broker in respect to any account. Farr按照经纪人或者经纪人介绍的与账户相关的客户的指令或订单的操作。 (c) Any discretionary order placed by Broker for a customer. 任何由经纪人为客户开立的全权委托订单。 (d) Broker or a customers failure to meet any initial or maintenance margin call or to pay any amount (including deficit balances in any account): 经纪人或客户没能支付任何初始或追加保证金或支付任何金额（包括账户的赤 字余额）。 (e) Broker’s failure to perform its obligations under any agreement with Farr, written or oral, it being understood that’s the participation of any employee of Farr in any transaction will not affect Broker’s indemnification obligations hereunder, unless such participation by Farr’s employee was fraudulent or negligent; 经纪人没能履行其在该协议下对Farr的责任义务，书面或口头的，将被理解为： 参与交易的Farr的任何雇员将不会影响经纪人此处的赔偿义务，除非Farr雇员 的参与是欺诈性的或疏忽大意。 (f) Any dishonest, fraudulent, negligent or criminal act or omission on the party of any of Brokers officers, partners, employees, agents or customers; 经纪人一方的工作人员、合作者、雇员、代理或客户的任何不诚实、欺诈、马 虎大意或违法行为或疏忽。 (g) The breach by Broker of any warranty made by it under any agreement with Farr, written or oral; 经纪人对Farr的协议中任何担保的违约，书面或口头。 (h) The institution of a claim, suit, action, arbitration or other proceeding by a customer or third party against Farr pertaining to services provided under this agreement; 由客户或其他第三方向Farr提出对该协议下提供的服务进行索赔、诉讼、行动、 仲裁或其他法律程序。 (i) The institution of any claim, suit, action or other proceeding against Farr relating to any agreement between Farr and Broker, written or oral, or any account or customer by (1) the CFTC, (2) any other governmental authority, or (3) any self-regulatory organization. Upon indemnification by Broker in any case set forth in the foregoing paragraphs involving a customer or third party, Broker will be subrogated to the rights of Farr with respect to claims it may have against such Customer or other third party under the circumstances giving rise to the indemnification, and Farr shall assign to Broker all rights of Farr with respect to claims it may have 第 10 页，共 15 页 against such Customer or other third party under the circumstances giving rise to the indemnification, and Farr shall assign to Broker all rights and claims it may have against the customer or any third party relating to the foregoing. 与Farr和经纪人之间（或任何账户或客户）签署的协