证券词汇

帅哥

accredited
隶属

adjusted liabilities
经调整负债

advertisement
广告

advising on corporate finance
就机构融资提供意见

advising on futures contracts
就期货合约提供意见

advising on securities
就证券提供意见

Advisory Committee
咨询委员会

agents
代理人

aggregate gross foreign currency position
合计外币总持仓量

agreement
协议

agreement in writing
书面协议

amount of margin required to be deposited
按规定须存放的保证金数额

ancillary stabilizing action
附带稳定价格行动

appeal panel
上诉委员会

applicant
申请人

application
申请

application for review
复核申请

appointed day
指定日期

approved bank incorporated outside Hong Kong
法团的银行以外成立为核准的在香港

approved credit rating agency
核准信贷评级机构

approved custodian
核准保管人

approved futures exchange
核准期货交易所

approved introducing agent
核准介绍代理人

approved investment adviser
认可投资顾问

approved lending agent
核准借出代理人

approved person
核准人士

approved redeemable shares
核准可赎回股份

approved regional exchange
认可地区性交易所

approved securities borrowing and lending counterparty
核准证券借贷对手方

approved share registrar
认可股份登记员

approved standby subordinated loan facility
核准备用后偿贷款融通

approved stock exchange
核准证券交易所

approved subordinated loan
核准后偿贷款

arbitration panel
仲裁小组

arbitrator
仲裁人

articles
章程细则

asset management
资产管理

associate
有联系者

associated corporation
相联法团

associated entity
有联系实体

associated person
相联者

audit working papers
审计工作材料

auditor
核数师

authorized ATS provider
认可自动化交易服务提供者

authorized automated trading services
认可自动化交易服务

authorized financial institution
认可财务机构

authorized mutual fund
认可互惠基金

authorized person
获授权人

authorized representative
获授权代表

authorized unit trust
认可单位信托

automated trading service provider
自动化交易服务提供者

automated trading services
自动化交易服务

average monthly turnover
平均每月成交额

back-to-back contract
背对背合约

balance
结余

bank
银行

bank incorporated outside Hong Kong
法团的银行地方成立为在香港以外

banker
银行

banker´s book
银行簿册

basic amount
基本数额

basic information
基本数据

bilateral netting agreement

帅哥

双边净额结算协议

blanket assurance
概括性保证

body
团体

bond broker
债券经纪

bond dealer
债券交易商

books
簿册

borrow
借用安排

broadcast
广播

broadcaster
广播业者

broker
经纪

business day
营业日

calculation
有关计算

call
造访

capital account
资本帐

cash settled equity derivatives
现金结算股本衍生工具

CE number
中央编号

certificate of deposit
存款证

chairman
主席

charge
押记

chief executive
最高行政人员

claimant
申索人

Claims Rules
《申索规则》

clearing house
结算所

clearing participant
结算所参与者

clerk
书记

client
客户

client assets
客户资产

client collateral
客户抵押品

client contract
客户合约

client money
客户款项

client securities
客户证券

client securities and collateral
客户证券及抵押品

closing date
截止日期

codes
守则

collateral
抵押品

collateralized warrants
有抵押权证

collective investment scheme
集体投资计划

Commission
证监会；监察委员会

commission
佣金

Commissioner of the Independent Commission Against Corruption
廉政专员

common client
共同客户

companies inspector
公司审查员

company
公司

compensation
赔偿

compensation fund
赔偿基金

complaints officer
投诉主任

completion
完成

concentration discounting factor
集中折扣系数

conditional offer
有条件要约

conduct
行为

constitution
章程

contract multiplier
合约乘数

controller
控制人

controlling entity
控权实体

controlling entity relationship
控权实体关系

controlling person
控权人士

corporate finance adviser, corporate finance consultant
机构融资顾问

corporation
法团

court
法庭；法院

credit union
储蓄互助社

criminal investigatory body
刑事调查机构

currency futures contract
货币期货合约

custodian
保管人

custodian statement
保管人结单

data material
数据材料

dealing
交易

dealing in futures contracts
期货合约交易

dealing in securities
证券交易

debenture
债权证

debt securities
债务证券

defalcation
亏空

default
违责

default proceedings
违责处理程序

default rules
违责处理规则

defaulter
违责者

deliver
交付

depositary receipt
寄存单据

deputy chairman

帅哥

副主席

derivative contract
衍生工具合约

derivatives
衍生工具

digital signature
数码签署

director
董事

dispute
争议

disqualification order
取消资格令

document
文件

duty of disclosure
披露责任

employee
雇员

equity derivatives
股本衍生工具

equity linked instruments
股票挂钩票据

equity securities
权益证券

equivalent corporation
等同法团

equivalent shares
相等股份

every officer of it who is in default
其每名违责的高级人员

Exchange Company
交易所公司

exchange contract
交易所合约

Exchange Fund
外汇基金

Exchange Fund Bill
外汇基金票据

Exchange Fund Note
外汇基金债券

exchange participant
交易所参与者

exchange participant´s representative
交易所参与者代表

exchange traded fund
交易所买卖基金

exchange traded funds market maker
交易所买卖基金庄家

excluded clients
豁除客户

excluded interests
豁除权益

excluded liabilities
豁除负债

excluded person
豁除人士

executive
执行人员

executive director
执行董事

executive officer
主管人员

exempted body
获豁免团体；豁免团体

existing client
原有客户

expert
专家

fee
费用

financial accommodation
财务通融

financial product
金融产品

financial resources rule
财政资源规则

financial statement
财务报表

financial year
财政年度

first public announcement date
首次公开宣告日期

floating losses
浮动亏损

floating profits
浮动利润

foreign currency
外币

foreign exchange agreement
外汇协议

foreign exchange trading
外汇交易

foreign intermediary
外地中介人

former associated entity of an intermediary
中介人的前有联系实体

former licensed corporation
前持牌法团

founder
成立人

fraudulent misrepresentation
欺诈的失实陈述

free delivery basis
信用交付形式

function
职能

futures adviser
期货顾问

futures broker
期货经纪

futures consultant
期货顾问

futures contract
期货合约

futures dealer
期货交易商

Futures Exchange Company
期交所

Futures Exchange Compensation Fund
期交所赔偿基金

futures market
期货市场

Futures Market Maker
期货庄家

futures non-clearing dealer
期货非结算交易商

futures or options clearing house
期货或期权结算所

GEM
创业板

gross foreign currency position
外币总持仓量

group of companies
公司集团

guaranteed

帅哥

作出担保

guilty of misconduct
犯失当行为

haircut amount
扣减数额

haircut percentage
扣减百分率

HKEC
交易结算公司

HKFECC
期货结算公司

HKIAC
仲裁中心

HKSCC
香港结算公司

hold
持有

holding company
控股公司

Hong Kong Exchange Fund
香港外汇基金

Hong Kong register
香港登记册

incorporated
成立；成立为法团

indirect controller
间接控制人

information
信息；资料；消息

information system
信息系统

initial margin requirement
规定开仓保证金

initial stabilizing action
初步稳定价格行动

initial stabilizing price
初步稳定价格

insider dealing
内幕交易

inspector
审查员

Insurance Authority
保险业监督

insurer
保险人

interest
权益

interest rate swap agreement
掉期息率协议

intermediary
中介人

in-the-money amount
价内值

investigator
调查员

investment manager
投资经理

Investor Compensation Company
投资者赔偿公司

invitation
邀请

issue
发出

issued equity share capital
已发行权益股本

issuer
发行人

judge
法官

judicial or other proceedings
司法或其它法律程序

law of insolvency
破产清盘法
legal officer
律政人员

lender
借出人

leveraged foreign exchange contract
杠杆式外汇交易合约

leveraged foreign exchange trader
杠杆式外汇交易商

leveraged foreign exchange trading
杠杆式外汇交易

levy
征费

licence
牌；牌照

licensed
获发牌；持牌

licensed corporation
持牌法团

licensed person
持牌人

licensed representative
持牌代表

linked corporation
相连法团

liquid assets
速动资产

liquid capital
速动资金

liquidator
清盘人

listed
上市

listed corporation
上市法团

listed currency warrant
上市货币权证

listed securities
上市证券

listing
上市

listing rules
上市规则

live broadcast
直播

Mandatory Provident Fund Schemes Authority
积金局

margin client
保证金客户

margin lender
证券保证金融资人

margin ratio
保证金比率

margin value
保证金价值

margined transaction
保证金交易

mark to market
按照市值计算差额

market capitalization
市场资本值

market charge
市场押记

market collateral
市场抵押品

market contract
市场合约

market information
市场消息

market misconduct
市场失当行为

Market Misconduct Tribunal
市场失当行为审裁处

market value

帅哥

市值

material time
关键时间

member
成员

memorandum
章程大纲

Mini-Hang Seng Index Futures Contract
小型恒生指数期货合约

Mini-Hang Seng Index Options Contract
小型恒生指数期权合约

minor
未成年

minor offence
轻微罪行

minority controller
次要控制人

misconduct
失当行为

misfeasance
不当行为

Monetary Authority
金融管理专员

Monetary Authority guideline
《金融管理专员指引》

Monetary Authority- appointed Market Maker

金融管理专员委任的庄家

money laundering activities
洗钱活动

money lender
放债人

multilateral agency
多边机构

mutual fund
互惠基金

negligent misrepresentation
疏忽的失实陈述

net equity
权益净额

net position
净持仓量

net tangible assets
有形资产净值

net underwriting commitment
包销承担净额

new futures contract
新期货合约

non-collateralized warrants
非抵押权证

non-executive director
非执行董事

note issuance and revolving underwriting facility
票据的发行及循环式包销融通

notifiable interest
须具报权益

notifiable percentage level
须具报百分率水平

notional principal amount
名义本金额

number
数目

offer
要约

offer document
要约文件

offer price
要约价

offeree company
要约标的公司

offeror
要约人

off-exchange traded derivative contracts
场外买卖衍生工具合约

off-exchange transaction
场外交易

officer
高级人员

Official Receiver
破产管理署署长

Official Trustee
法定受托人

off-market share repurchase
场外股份购回

off-market share repurchase circular
场外股份购回通告

off-market transaction
场外交易

Ombudsman
申诉专员

omnibus account
客户汇集综合账户

on-exchange transaction
场内交易

options contract
期权合约

order
命令

ordinary member
普通成员

other collateral
其它抵押品

out-of-the-money amount
价外值

overseas company
海外公司

overseas stock market
海外证券市场

panel member
上诉委员

parties
各方

party
当事一方

percentage figure
百分率数字

percentage level
百分率水平

performance
执行

period of insurance
保险期

permanent identity card
永久性居民身分证

person under investigation
受调查人

physically settled equity derivatives
实物结算股本衍生工具

pilot programme
试验计划

pilot programme market maker
试验计划庄家

pilot programme securities
试验计划证券

portfolio

帅哥

投资组合

possession
管有

prescribed country
订明国家

prescribed event
订明事件

prescribed fee
订明费用

prescribed gain
订明收益

prescribed limit
订明上限

prescribed manner
订明方式

prescribed purpose
订明目的

prescribed requirement
订明规定

Presenting Officer
提控官

primary stabilizing action
基本稳定价格行动

principal
主事人

Privacy Commissioner for Personal Data
私隐专员

proceedings
研讯程序

professional accountant
专业会计师

professional investor
专业投资者

prohibited person
受禁制人士

property
财产

prospectus
招股章程

public
公众；大众

public announcement
公开宣告

purchase
买；购买

qualified corporation
合资格法团

qualified lender
合资格借出人

qualified overseas scheme
合资格海外计划

qualified shares
合资格股份

qualifying client
合资格客户

qualifying credit rating
合资格信贷评级

qualifying debt securities
合资格债务证券

ranking liabilities
认可负债

recipient
接收人

reckless misrepresentation
罔顾实情的失实陈述

recognized certificate
认可证书

recognized certification authority
认可核证机关

recognized clearing house
认可结算所

recognized counterparty
认可对手方

recognized exchange company
认可交易所

recognized exchange controller
认可控制人

recognized futures market
认可期货市场

recognized investor compensation company
认可投资者赔偿公司

recognized occupational retirement scheme
认可职业退休计划

recognized stock market
认可证券市场

record
纪录

redeemable shares
可赎回股份

register of companies
公司登记册

register of directors´ and chief executives´ interests and short positions
董事及最高行政人员权益及淡仓登记册

register of interests in shares and short positions
股份权益及淡仓登记册

registered
注册

registered company
注册公司

registered institution
注册机构

Registrar of Companies
公司注册处处长

registration
注册

regulated activity
受规管活动

regulated function
受规管职能

regulated investment agreement
受规管投资协议

regulated person
受规管人士

regulations
规例

regulatory body
规管机构

related assets
有连系资产

relevant agreement
有关协议

relevant authority
有关当局；监管当局

relevant authorized automated trading services
有关认可自动化交易服务

relevant communication
有关通讯

帅哥

relevant condition
有关条件

relevant contract
有关合约

relevant contravention
违例事件

relevant corporation
相关法团

relevant date
有关日期

relevant event
有关事件

relevant exchange company
有关交易所公司

relevant information
有关消息

relevant market
有关市场

relevant offer
有关要约

relevant office-holder
有关人员

relevant overseas market
有关境外市场

relevant period
有关期间

relevant property
有关财产

relevant provisions
有关条文

relevant recognized exchange controller
相关认可控制人

relevant recognized market
有关认可市场

relevant securities
有关证券

relevant share capital
有关股本

relevant shares
有关股份

relevant time
有关时间

remittance
转付

remuneration
报酬

repealed Ordinance
已废除条例

repealed Securities Rules
已废除的《证券规则》

report
报告

reportable matter
须报告事项

reportable position
须申报的持仓量

reporting currency
申报货币

reporting day
申报日

reporting period
申报期

representation
陈述

representative
代表

repurchase transaction
回购交易

required liquid capital
规定速动资金

required liquid capital deficit
规定速动资金短欠数额

respondent
答辩人

responsible officer
负责人员

review
复核

rights issue
供股

Risk Management Committee
风险管理委员会

rolling balance cash client
滚存结余现金客户

rules
规章

ruling
裁定

Secretary
局长

securities
证券

securities adviser
证券顾问

Securities and Futures Appeals Tribunal
上诉审裁处

securities and futures industry
证券期货业

securities and futures market
证券期货市场

securities borrowing and lending agreement
证券借贷协议

securities collateral
证券抵押品

securities consultant
证券顾问

securities dealer
证券交易商；证券经纪

securities margin financing
证券保证金融资

Securities Market Maker
证券庄家

segregated account
独立账户

SEOCH
期权结算公司

served
送达

service bureau
服务单位

settlement
交收

settlement date
交收日期

shadow director
幕后董事

share
股份

share registrar
股份登记员

Share Repurchase Code
《股份购回守则》

shareholder controller
股东控制人

short position
淡仓

short selling
卖空

short selling order
卖空指示

special debt securities

帅哥

特别债务证券

specified amount
指明款额

specified amount requirements
指明数额规定

specified bank regulator
指明银行规管当局

specified credit rating
指明信贷评级

specified debt securities
指明债务证券

specified decision
指明决定

specified exchange
指明交易所

specified futures exchange
指明期货交易所

specified instrument
指明文书

specified investments
指明投资项目

specified jurisdiction
指明司法管辖区

specified licensed corporation
指明持牌法团

specified licensing condition
指明发牌条件

specified percentage level
指明百分率水平

specified person
指明人士

specified recipient
指明收受者

specified risks
指明风险

specified securities
指明证券

specified securities or futures contracts

指明证券或期货合约

specified stock exchange
指明证券交易所

specified titles
指明称衔

stabilizing action
稳定价格行动

stabilizing manager
稳定价格操作人

stabilizing period
稳定价格期间

stabilizing price
稳定价格

standby subordinated loan facility
备用后偿贷款融通

standing authority
常设授权

stock adviser
股票顾问

stock dealer, stockbroker
股票经纪

Stock Exchange Company
联交所

stock futures contract
股票期货合约

stock market
证券市场

stock options contract
股票期权合约

stock return
证券交还

subordinated loan
后偿贷款

substantial shareholder
大股东

systems of control
监控系统

take delivery
提取

take-over offer
收购要约

Takeovers Appeal Committee
收购上诉委员会

Takeovers Code
《收购守则》

Takeovers Panel
收购委员会

target corporation
目标法团

the corporation concerned
有关法团

title
称衔

top 3 collateral
首3位抵押品

top margin client
前列保证金客户

trade date
交易日期

trader
交易商

trading day
交易日

trading right
交易权

Tribunal
审裁处

trust corporation
信托法团

trustee
受托人

Type 1 intermediary
第1类中介人

Type 1 intermediary or representative
第1类中介人或代表

Type 2 intermediary
第2类中介人

Type 4 intermediary or representative
第4类中介人或代表

Type 6 intermediary or representative
第6类中介人或代表

unconscionable
不合情理

underlying shares
相关股份

Unified Exchange
联合交易所

Unified Exchange Compensation Fund
联交所赔偿基金

unit trust
单位信托

unsolicited call
未获邀约的造访

帅哥

valid business registration certificate
有效商业登记证

variable required liquid capital
可变动规定速动资金

whitewash document
清洗交易文件

whitewashed offer
清洗交易要约

written direction
书面指示

written document
书面文件