证券交易金融术语中英对照

安全港 safe harbor

按揭贷款发放者 mortgage loan originator 按揭贷款基准组合 benchmark mortgage pool 按揭证券 mortgage-backed securities 按金 margin

按金比例 margin ratio 按金对销 margin offset 按金间距 margin interval 按金减免 margin relief 按金交易 margin trading 按盘价 nominal price

按市价计值/按市值计价 mark to market / mark-to-market 暗池交易*；黑池交易 dark pool 暗盘价 grey market price

澳洲证券及投资监察委员会（澳洲证监会） Australian Securities and Investments Commission (ASIC)

澳洲证券交易所 Australian Stock Exchange (ASX) 巴塞尔协定 Basel Concordat 巴塞尔协议 Basel Agreement

巴塞尔银行监管委员会(巴塞尔委员会) Basel Committee on Banking Supervision (Basel Committee)

巴西证券期货交易所 BM&FBovespa

办公室后勤/后勤运作系统 back-office system 办公室前线系统 front-office system 包销 underwrite

包销承担净值 net underwriting commitment 包销商 underwriter

包销银团 underwriting syndicate

保本产品 capital preservation product 保本信托基金 guaranteed unit trust

保本证 Capital Protected Instrument (CPI) 保单贴现 viatical settlements 保管人 custodian

「保护偿付」规则 [期权] Payout-Protection Rule [options] 保荐经纪 sponsoring broker 保荐人 sponsor

《保荐人标准守则》 Model Code for Sponsors

《保荐人及独立财务顾问的操守准则》 Code of Conduct for Sponsors and Independent Financial Advisers

《保荐人声明》 Sponsor’s Declaration 保留意见 qualified opinion

保险业监理处 Office of the Commissioner of Insurance 保险业监理专员 Commissioner of Insurance 保障安排 security arrangement

《保障投资者条例》 Protection of Investors Ordinance 保证 warranty

保证基金 Guarantee Fund 保证金 margin

保证金保险范围比率 margin coverage ratio 保证金价值 margin value

保证金借贷活动 margin financing 保证金客户 margin client 保证金融资 margin financing

保证金证券交易户口 Margin Securities Trading Account 保证人 guarantor

保值公债 [中国内地] Public Debt (Inflation-Linked Subsidy) Treasury [Mainland China] 报价 quote

报价规则 quotation rules 报价券商* quotation broker 报价委托* quotation order

报价系统 [期货] Price Reporting System (PRS) [futures] 报价要求 quote request; request for quote (RFQ) 北京产权交易所 China Beijing Equity Exchange

北京金融资产交易所 Beijing Financial Assets Exchange 备抵 [会计] allowance [accounting] 备兑期权 covered option 备兑权证 covered warrant 备兑认购期权 covered call 备考报表 pro forma statement

备考全面摊薄市盈率 pro forma fully diluted price/earnings ratio 被动受托人 bare trustee

被视为截止过户日期 deemed book close date 本地伦敦金 Loco-London gold

本地生产总值 gross domestic product (GDP) 比例综合法 proportionate consolidation method 闭端式基金 closed-end fund 避税 tax avoidance 边远值 outliers 贬值 depreciation

变换交易 [期权] conversion [options] 变价调整 variation adjustment 变现 realisation

标的证券*；指定证券 designated securities 标准差 standard deviation

标准登记服务 standard registration service 标准合约 standard contract

标准会计准则 standard accounting practice

标准普尔500 综合指数预托证券 Standard & Poor's Depositary Receipt (SPDR)

标准普尔评级 Standard & Poor's Rating

标准普尔/香港交易所创业板指数 S&P/HKEx GEM

标准普尔/香港交易所大型股指数 S&P/HKEx LargeCap

标准普尔/香港交易所小型股50 指数 S&P/HKEx SmallCap 50 标准普尔/香港交易所中型股25 指数 S&P/HKEx MidCap 25 标准普尔/香港交易所综合指数 S&P/HKEx Composite 标准授权书 Model Authorisation Letter

标准组合风险分析 Standard Portfolio Analysis of Risk (SPAN) 标准组合交易功能 standard combination trading function 标准组合买卖盘挂盘纪录 Standard Combination Order Book 并购活动 mergers and acquisitions 并行买卖 parallel trading 拨备 provision 拨款 appropriation 波幅；波动性* volatility

波幅校验范围 Volatility Scan Range (VSR) 波幅指数 volatility index

播送量 [市场数据] throughput [market data] 驳脚经纪 runner

「柏力克－舒尔斯」期权定价模式 Black-Scholes option pricing model 补仓按金 [期货] maintenance margin [futures] 补仓通知 margin call

补充/增补上市文件 supplemental/supplementary listing document 补发证书服务 certificate replacement service 补购 buy in

补购交易 buy-in transaction 不当行为 misconduct

不定额供款 variable contribution 不动户口费 dormant account fee 不动盘 inactive order

不公平竞争 uneven playing field [cf level playing field] 「不公平损害」补救 \不活跃公司 dormant company

不记名式国库券 [中国内地] Bearer Treasury [Mainland China] 不记名证券 bearer securities

不交收远期外汇合约；不交割远期外汇合约* non-deliverable forward contract (NDF)

不可抗力 force majeure

不能配对买卖盘 order imbalance

不派息欧式认购期权 non-dividend paying European call option 不派息欧式认沽期权 non-dividend paying European put option

不停电电源装置；不间断电源装置 uninterrupted power supply (UPS)

不限量发行 tap issue

部分区域网络 Local Area Network (LAN) 部分完成的买卖指示 partially filled order

财经市场发展专责小组 The Financial Market Development Task Force 财务报表审阅计划 Financial Statements Review Programme 财务风险 financial risk; financial exposure 财务顾问 financial adviser

财务汇报；财务申报 financial reporting

财务汇报检讨委员会 Financial Reporting Review Committee (FRRC); Financial Reporting Review Panel

财务汇报局 The Financial Reporting Council (FRC) 财务监管 financial regulation

财务通融 financial accommodation 财务业绩 financial results

财务摘要报告 summary financial report 财务租赁 financial lease

财政部 [中国内地] Ministry of Finance [Mainland China] 财政股东 financial shareholder 财政健全 financial integrity 财政年度 financial year

财政资源规则 financial resources rules 财资企业集团 financial conglomerate

财资市场公会 Treasury Markets Association 参考草拟本 indicative draft

参考发行价 indicated issue price

参考平衡成交量 Indicative Equilibrium Volume (IEV) 参考平衡价格 Indicative Equilibrium Price (IEP)

参与者财务资源监察系统 Participant Financial Resources Surveillance System

参与者持股纪录报表 Participant Shareholding Report 参与者电子通讯系统 Participant Email System 参与者网间连接器 Participant gateway

参与者资料提取系统 [期货] Participant Access Services [futures] 参与者资讯系统 Participants Information System (PIS) 参与者自设系统 Participant Supplied System (PSS) 残值 salvage value 仓 position

《操守准则》 Code of Conduct 操纵价格 price manipulation 策略投资者 strategic investor 策略投资者* tactical investor

差额缴款 marks / marks payment 差价 spread

差价合约 contract for differences (CFD)

「查询报失股票资料」功能 [中央结算系统] Enquire Reported Lost Certificate [CCASS]

查询公布资料 [中央结算系统] Enquire Announcement Information [CCASS] 查询交收指示未获配对原因 [中央结算系统] Enquire Unmatched SI Reason [CCASS]

「拆骨专家」 asset stripper 拆卖资产 asset stripping

产品谘询委员会 [证监会] Products Advisory Committee [SFC] 产权负担 encumbrances

长仓 long position; bull position

长期指数期权 / 远期指数期权 long-dated index options 常务委员会 Executive Committee 偿债基金 sinking fund

偿债能力风险 insolvency risk 场内规则 on-market rules 场内交易 pit trading

场内交易产品 exchange traded product 场内买卖盘 on-floor order

场内买卖期权 exchange traded option 场内终端机 on-floor terminal

场外购回股份 off-market share repurchase 场外规则 off-market rules

场外交易 off-floor trading; off-board trading

场外交易议价板 [美国] OTC Bulletin Board [US] 场外期权 over-the-counter option

场外衍生工具 over-the-counter derivative 场外证券市场 over-the-counter market 场外终端机 off-floor terminal

超额配发/配股权 over-allotment option

超额配发机制 over-allotment option scheme 超额配售选择权* over-allotment option 超额认购 oversubscribed; overbooked 超国家机构 supranational entity 超连结 hyperlink 超买 overbought 超卖 oversold

炒高价格 ramping; price ramping 承办银行 administering bank 承兑 acceptance

承兑行 acceptance house 承配人 placee

承前 [会计] brought forward [accounting] 承让人 assignee; transferee 承销* underwrite

承销商* underwriter

成本效益 cost effectiveness

成交单/成交单据/买卖单据 contract note 成交额比率 turnover ratio

成交及取消 [限价盘] Fill and Kill [limit orders] 成交纪录 trading record

成交确认委托* transaction confirmation order 成交调整 trade amendment

程式买卖/交易 algorithmic trading; programme trading; black box trading 程序覆检委员会 [证监会] Process Review Panel [SFC] 诚信责任 fiduciary duties 迟报交易 late reported sales 持仓 position

持仓比例 position ratio

持仓风险调整 position risk adjustment 持仓净额 net position

持仓类别 [期权] tier [options] 持仓上限 / 限额 position limit 持仓限额比率 position limit ratio

持股编号 shareholder Reference Number (SRN) 持股人的分布情况 spread of holders 持权成本 [期权] cost of carry 持续报价 Continuous Quotes 持续发售机制 tap facility

持续交易时段 continuous trading session

持续关连交易 continuing connected transaction 持续经营 [会计] going concern [accounting] 持续经营之业务 continuing operation

持续净额交收 continuous net settlement (CNS)

持续披露及资料传递政策 Continuous Disclosure and Communication Policy 持续责任 continuing obligation; on-going obligation

持续专业培训课程 Continuous Professional Training (CPT) 持有成本 cost of carry

重复认购 multiple applications 重估 revaluation

重新实物化 rematerialisation

重整账目 restatement of accounts 重置成本 replacement cost 重组 reorganization

筹备董事会 Preparatory Board

初步认购价 initial subscription price

出市代表/出市员 floor trader; authorized clerk 除净日 ex-date

除净日未经调整之收市价 ex unadjusted close

除牌 delisting 除权 ex-rights

除权交易 ex-entitlement trading 除息基准 ex-dividend basis 储备 reserve

储备基金 reserve fund

储存区域网络 storage area network (SAN) 储架式注册* shelf registration facility 处理时延 order processing latency 穿价交易 trade through

传统基金会 [美国] The Heritage Foundation [US] 传统债券 plain vanilla bond 串流数据 streaming data

创投基金∕创业基金 venture capital

创业板 Growth Enterprise Market (GEM)

创业板 [深圳证券交易所] ChiNext [Shenzhen Stock Exchange] 《创业板上市规则》（《香港联合交易所有限公司创业板证券上市规则》） GEM Listing Rules(Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited) 创业板上市委员会 GEM Listing Committee 《创业板投资者指南》 GEM Investor Guide 创业板指数 Growth Enterprise Index (GEI) 窗口定价权证 Window Barrier Warrant 纯交易板 trading-only board 次要控制人 minority controller

从价印花税 ad valorem stamp duty

存管处及共用代理人系统 Depository and Common Nominee System (DNS) 存管代理人 depository nominee 存货 inventory

存款公司公会 The Deposit-Taking Companies Association

存款准备金率 reserve ratio / reserve requirement / reserve requirement ratio 存留利息 retention interest 错价交易 error trade 错误包容 fault tolerance 错误陈述 misstatement 错误交易 erroneous trade

错误交易合约 mistraded contract 打和点 breakeven point 打印机分流器 printer sharer

大额持仓汇报协议 Large Exposure Report Agreement 大额股票 [中央结算系统] jumbo certificate [CCASS] 大额买卖盘 block order

大额未平仓合约 large open position

大股东 substantial shareholder; major shareholder

大利市 Teletext

大利市版页 Teletext page

大利市网络供应商费用 Teletext carrier charge

大利市影像广播服务 Teletext video broadcast service 大利市资讯服务 Teletext Information Service 大量报价设施 Mass Quotation Facility

大量户口转移指示 Mass Account Transfer Instruction (Mass ATI) 大量开盘 mass quote

大批登记服务 bulk registration service 大批交收程序 bulk settlement run 大手交易 block trade 大手交易机制；大手交易设施 Block Trade Facility; Block Trading Facility (BTF) 大型股 large cap stock 大宗交易* block trade

代办股份转让系统 [中国内地] Agency Share Transfer System; Share Transfer Agent System [Mainland China] 代表委任表格 proxy form

代处理服务；代表处理服务 on-behalf-of processing 代价 consideration

代价发行 consideration issue 代价股份 consideration share 代客买卖 agency trade

代客买卖户口 agency account 代理户口 agency account 代理人 agent

代理人户口 nominee account

代履行权责服务费 corporate actions service fee

代收股息/债券利息服务费 dividend and debt securities interest collection service fee

代息股份 scrip entitlement 贷出费 lending fee 贷股人 stock lender

贷股人参与者 [中央结算系统参与者] Stock Lender Participant [CCASS] 贷款抵押证券 collateralized loan obligation (CLO) 贷款股/贷款债券 loan stock 贷款融通 loan facility 贷款银团 loan syndicate

待收取的经纪参与者 [中央结算系统] Long Broker Participant [CCASS] 待支付的经纪参与者 [中央结算系统] Short Broker Participant [CCASS] 待转名股份 “street name” share certificate

戴维森报告书（即 证券业检讨委员会报告书） Ian Hay Davison Report (ie Report of the Securities Review Committee) 担保计划 Guarantee Scheme

担保交易 guarantee transaction 担保权益 security interest 担保人 guarantor

担保物* collateral; security

「单币单股」模式 “Single Tranche, Single Counter” Model 单播数据传送专线 unicast datafeed 单价配对 [期权] netting [options]

单日货币市场 intra-day money market 单位信托基金 unit trust

单一董事会制 unitary board system

单一价格竞价市场 single price auction system

单一种股份的衍生认股权证 single share derivative warrant 淡仓 short position

当日有效盘；即日买卖盘；即日盘 day order 当日有效盘 [限价盘] Rest of Day [limit orders] 档案传送协定 file transfer protocol 档案转换 file transfer

道德及指引委员会 Ethics and Guidance Committee 道琼斯工业平均指数 Dow Jones Industrial Average

道琼斯工业平均指数期权 Dow Jones Industrial Average Options 到期/到期日 maturity; expiry date

到期前有效买卖盘 good-till-date order (GTD) 到期日 expiration date

到期收益率 yield to maturity 到期月份 expiry month

德国期货及期权交易所 Deutsche Terminborse (DTB) 德意志交易所集团 Deutsche B?rse Group 德意志联邦银行 Deutsche Bundesbank 登记持有人 registered owner 登记股东 registered shareholder 登记过户费 scrip fee

等价期权 at-the-money option 低收费经纪 discount broker 低于面值 below par

低于最佳卖盘价/低于最好沽盘价 downtick; minus tick 抵销 set off

抵押 charge; pledge

抵押安排 security arrangement

抵押股份统制户口 Stock Collateral Control Account 抵押品 collateral; security

抵押品资格 collateral eligibility 抵押债券 mortgage bond 抵押债项 secured debts

抵押证券 asset-backed securities (ABS)

第二板/第二板市场 second board; second market 第二代自动对盘及成交系统（第二代自动对盘系统） Automatic Order Matching and Execution System / Second Generation (AMS/2) 第二上市 secondary listing 第三代自动对盘及成交系统（第三代自动对盘系统） Automatic Order Matching and Execution System / Third Generation (AMS/3)

第三方网站基本报价服务 Third Party Website Basic Market Prices Service 第三者结算 Third Party Clearing (TPC)

《第三者网站服务指引》 Guideline on Third Party Website Service 第一板 main board

第一上市 primary listing 递耗资产 decaying asset 递延股 deferred share 递延税项 deferred tax

地区性指数认购权证 regional index call warrant 点子 basis point

垫款 advance; monies advanced

电子呈交系统 Electronic Submission System (ESS)

电子传递证券资讯服务 Electronic Mailing Stock Information Service (EMSIS) 电子登载系统 Electronic Publication System (EPS)

《电子公开发售指引》 [证监会] Guidelines for Electronic Public Offerings [SFC]

电子化财政资源规则报表系统 e-FRRR system 电子交易 electronic trading

电子款项交收费 electronic money settlement fee

电子款项交收服务 Electronic Money Settlement Services

电子认购首次公开招股服务 Electronic Initial Public Offering service (EIPO) 电子认购新股指示 Electronic Application Instruction for New Issue Shares 电子收付款指示 Electronic Payment Instruction (EPI)

「电子数据收集、分析及检索」系统 [美国] Electronic Data Gathering, Analysis and Retrieval (EDGAR) [US]

电子通讯平台（e 通讯） Electronic Communications Platform (ECP) 电子通讯网络 electronic communications network (ECN)

电子证券申报及批核系统 e-Securities Declaration and Approval System 电子直达市场安排；非参与者直接落盘 direct market access 掉期 swap

吊销资格令 disqualification order 跌停板措施 circuit breakers 蝶式买卖 butterfly spread 定点权证 digital warrant 定价模式 pricing model 定界期权 barrier option

定界认股证/定界权证 barrier warrant 「定镜」处理 snapshot

定期债券 term bond

定息按揭 fixed-rate mortgage 定息组合股 Fixed Income ETF 定向增发* private placement

东南亚国家协会（东协） Association of South-East Asian Nations (ASEAN) 东亚及大洋洲证券交易所联会 East Asian and Oceanian Stock Exchanges Federation (EAOSEF)

董事酬金 directors’ remuneration

《董事的声明及承诺》 Declaration and Undertaking with regard to Directors 董事会 board of directors 董事会报告 directors’ report 董事袍金 directors’ fee

董事/行政总裁具报书 Director’s / Chief Executive’s Notifications 冻结 locked up

冻结股份机制 securities-on-hold mechanism 动态对冲 dynamic hedging 兜售证券 hawking of securities

独立财务顾问 independent financial adviser

独立非执行董事 independent non-executive director (INED) 独立顾问 independent adviser 独立上市 separate listing

独立信托户口 segregated trust account 独资经营者 sole proprietor 渎职行为 misconduct

短期举债/借贷 short term borrowings 短期同业拆放市场 call market 短期证券 short-dated securities 短期资金 short-term money

短期资金借贷市场 money market 短讯提示服务 Alert Message Service 对冲 hedging

对冲比率 hedging ratio 对冲基金 hedge fund

对冲基金的基金 fund of hedge funds 对冲值 [期权] delta [options] 对角买卖 diagonal spread 对盘 order matching

对盘前时段 pre-order matching period 对盘时段 order matching period 对盘系统 matching engine 对敲 bucketing

对手方 counterparty

对手风险 counterparty risk 对手经纪 contra broker

对外持仓转移 external position transfer 对账 reconciliation 兑付* redemption

多边交易设施 multilateral trading facility (MTF) 多工作站 multiple-workstations

多工作站系统 Multi-workstation System (MWS) 多批交收处理程序 batch settlement run 多头* long position; bull position

多种货币买卖 multi-currency trading 额外按金 additional margin 饵盘 bait order

二板市场* second board

二级市场 secondary market; after market / aftermarket 二类股票 [台湾] TIGER Board [Taiwan] 24 个价位规则 24-spread rule 二手市场 used market

「二态」期权模式 “two-state” option valuation model 二线股 second liner; second line stock

「二项式」期权定价模式 binomial option pricing model 二氧化碳当量 carbon dioxide equivalent (CO2e) 发钞局制度 currency board system

发牌资料册 licensing information booklet 发盘价 offer price 发起人 promoter 发行红股 scrip issue 发行机构 issuer 发行价 issue price

发行量加权股价指数 [台湾交易所] Weighted Index [Taiwan Stock Exchange] 发行人 issuer

发行人保荐户口 Issuer Sponsored Account 发行人登记册 Issuer Register

发行人电子存盘系统 issuer electronic filing system

发行人可选择支付现金/发行人现金选择权 issuer’s cash option 发行人资料传送专线 Issuer Information Feed

《发行条款表资料档案规格》 Term Sheet Data File Specifications 发行新股 new issue 发行章程 prospectus

发行资料摘要 [权证] indicative terms sheet [warrants] 法定储备 statutory reserve

法定公积金 [中国内地] statutory surplus reserve [Mainland China] 法定公益金 [中国内地] statutory public welfare fund [Mainland China] 法定股本 authorized capital 法律风险 legal risk 法律实体 legal entity

法人股 [中国内地] legal person share; institutional share [Mainland China] 法团大股东具报书 Corporate Substantial Shareholders Notification 反驳交易 rejected sales

反馈测试模式 beta test mode

反收购；反向并购 reverse takeover; reverse merger 反收购文件 defence document 反弹 rally

反通货膨胀 disinflation

反向可转换产品 reverse convertibles

反向／淡仓交易所买卖基金 inverse / short exchange-traded fund 房地产投资信托基金 real estate investment trust (REIT)

《房地产投资信托基金守则》 Code on Real Estate Investment Trusts 访客廊 Viewing Gallery 放宽管制 deregulation

放宽利率管制 deregulation of interest rates

非H 股内地民营企业 non-H-share Mainland private enterprise (NHMPE) 非标准型权证； 非标准型认股证；特种认股证 exotic warrants 非参与者直接落盘；电子直达市场安排 direct market access 非常重大的出售事项 very substantial disposal 非常重大的收购事项 very substantial acquisition

非成立为有限公司的注册人士 unincorporated registered person 非登记持有人 non-registered holder 非即日平仓交易 overnight trade 非即时数据 delayed data

非交割远期外汇合约* non-deliverable forward contract (NDF)

非结算的期权买卖参与者/非结算参与者 [期权买卖] Non-Clearing Options Trading Participant; Non-Clearing Participant (NCP) [options trading] 非金钱利益 soft-dollar benefits 非金钱佣金 soft commission 非经常项目 extraordinary item

非流通股 [中国内地] non-tradable share [Mainland China] 非认可负债 non-ranking liabilities

「非上市可交易」股份 “trading only” stock 非实物化 dematerialisation

非市场庄家的交易 non-market-making transaction 非受监管发行人 unregulated issuer

非所有者权益变动表 statement of “non-owner movement in equity”

非现货月恒生指数期货合约 non-spot month Hang Seng Index futures contract 非整手买卖盘 round-lot-plus order 非正常项目 abnormal item

非执行董事 non-executive director 非自动对盘的交易 manual trade 非中介化 disintermediation 分包销商 sub-underwriter

分拆 / 分拆上市 spin-off

分行证明书 branch certificate

分类表决制度 classified voting system 分类账 sub-ledger 分类指数 sub-index

分离债* detachable convertible bond 分立* spin-off

分列登记册 Split Register 分派 distribution 分销 distribution

「粉红价单」 [美国] Pink Sheets [US] 封闭式基金 closed-end fund 疯狂抛售 bear raid

风险参数 risk parameter

风险管理 risk management; exposure management 风险管理委员会 Risk Management Committee 风险管理宪章 Risk Management Charter 风险鉴别 risk identification 风险控制 risk control

风险排列按金制度 risk array margining system 风险排列方法 risk array method 风险排列算式 risk array algorithm 风险披露 risk disclosure

风险披露声明书 [创业板] Risk Disclosure Statement [GEM] 风险评估 risk evaluation 风险容量 appetite for risk 风险容限 risk tolerance

风险投资基金 venture capital 风险值 value-at-risk

否定声明 negative statement; disclaimer

浮动价格换股票据；不确定性可换股票据 toxic convertible 浮息按揭 variable-rate mortgage

浮息存款证 floating rate certificate of deposit (FRCD) 浮息票据 floating rate note (FRN)

服务业联会 [香港总商会] Coalition on Service Industry [Hong Kong General Chamber of Commerce]

副保荐人 [创业板] co-sponsor [GEM]

附带执行买卖盘 [伦敦交易所] contingent order [LSE]

附寄结单服务的股份独立户口 [中央结算系统] Stock Segregated Account with Statement Service [CCASS] 附属贷款 subordinated loan 附属公司 subsidiary

附属企业 subsidiary undertaking 复牌 resumption of trading

富时指数集团 FTSE Group 复式按金 spread margin 复式盘 spread order 复式期权 spread option

付方参与者 delivering Participant 付款参与者 paying Participant 付运中货品 goods-in-transit 负债 liabilities

负债比率 debt-to-equity ratio 负债日 indebtedness date

改良特别股份交易方法 Enhanced Special Stock Trading Method 概念股 concept stock

干系人*；利益相关者；权益人；利益攸关者* stakeholder

港汇指数/港元实际汇兑指数 Effective Exchange Rate Index for the Hong Kong Dollar (EERI)

港元利率期货迭期 HIBOR Futures Strip

港元同业拆息 Hong Kong Interbank Offered Rate (HIBOR) 杠杆比率 gearing ratio

杠杆市场 leveraged market

杠杆式外汇交易/买卖 leveraged foreign exchange trading

杠杆式外汇买卖介绍代理人 leveraged foreign exchange introducing agent 杠杆式外汇买卖商 leveraged foreign exchange trader 杠杆收购 leveraged buy-out (LBO) 杠杆效应 leverage

高持股量股东 [创业板] significant shareholder [GEM] 高杠杆效应的投资 high leveraged investment 高频交易 high frequency trading 高水 [期货] premium [futures] 高息票据 equity linked note (ELN) 高于面值 above par

高于前成交价 plus tick; uptick 告密政策 whistleblowing policy

格恩西金融服务业监察委员会 Guernsey Financial Services Commission 隔夜大批结算 overnight bulk clearing

隔夜流动资金 [银行] overnight liquidity [banking]

个人大股东具报书 Individual Substantial Shareholders Notification 个人交易所参与者 Individual Exchange Participant 个人客户 individual client

个人投资者；散户；散户投资者 retail investor 个人投资者户口 Individual Investor Account 更改财政年度结算日期 change of year end 更正交易 trade amendment

更紧密经贸关系安排 Closer Economic Partnership Arrangement (CEPA) 公布系统；广播系统 public address system

公告板 bulletin board

公积金计划 Provident Fund Scheme 公开发售 offer for sale; open offer

公开喊价/叫价 [= 口头竞价] open outcry [= auction] 公开叫价交易 open outcry trading

公开密码匙基础建设 Public Key Infrastructure (PKI) 公开谴责 public censure

公开权益 disclosure of interests 公开认购 offer for subscription

公开市场活动 open market operations 公开售股 open offer

公开招股 offer to the public 公开作价 call-over

公平竞争 level playing field [cf uneven playing field] 公平市值 fair market value

《公认会计原则》 Generally Accepted Accounting Principles(GAAP) 公司仓 house position; firm position

公司董事学会 [英国] Institute of Directors (IoD) [UK]

公司法改革常务委员会 Standing Committee on Company Law Reform

《公司购回本身股份守则》 Code on Share Repurchases (Share Repurchase Code)

公司户口 house account; principal account

公司交易板 [英国] Company Bulletin Board [UK] 公司交易所参与者 Corporate Exchange Participant 公司盘 firm order; proprietary trading 《公司收购、合并及股份购回守则》 The Codes on Takeovers and Mergers and Share Repurchases

《公司收购及合并守则》 Code on Takeovers and Mergers (Takeovers Code) 公司通讯 corporate communication

公司通讯工作小组 Working Group on Corporate Communications 公司投资者户口 Corporate Investor Account 公司债* corporate bond

公司治理* corporate governance 公司注册处 Companies Registry

公司注册处处长 Registrar of Companies 公司注册证书 certificate of incorporation 公司专用分户口 proprietary sub-account 公司专用户口 proprietary account 公正交易 arm’s length transaction 公众持股量 public float; free float

公众持股市值 public float capitalization

公众股东权益小组 [证监会] Public Shareholders Group [SFC] 公众利益 public interest

公众利益董事 Public Interest Director

公众利益监察局 Public Interest Oversight Board (PIOB) 公众阅览室 Public Viewing Room 供股 rights issue 供款 contribution

供货商电子存档系统 Vendor Electronic Filing System (VEF)

共同抵押品管理系统 Common Collateral Management System (CCMS) 共同风险管理系统 Common Risk Management System 共同基金* mutual fund

共用代理人 [中央结算系统] common nominee [CCASS] 「共用代理人」股票 “common nominee” share certificate 共用软件 shareware 购股权 share option

购回/购回股份 repurchase; share repurchase 购买力平价 purchasing power parity (PPP) 沽出备兑期权 covered writing 沽出认购期权 write a call option 沽出认沽期权 write a put option

沽出未抵押期权 naked option writing 沽空 short selling / short sale 沽盘 sell order

沽盘价 ask price; asked price

估计使用年期 estimated useful life 估值报告 valuation report 估值师 valuer 股本 share capital 股本基数 equity base

股本价值 value of equity capital

股本权证 equity warrant; subscription warrant (vs derivative warrant) 股本衍生工具 equity derivatives 股本证券 equity securities 股东贷款 shareholder loan

股东名册 register of members; share register 股东权益 equity interest

股东权益小组 [证监会] Shareholders Group [SFC] 股东特别大会 extraordinary general meeting (EGM) 股东应占溢利 profits attributable to shareholders 股东周年大会 annual general meeting (AGM) 股份拆细 split; stock split; share subdivision 股份承押人 stock pledgee

股份承押人参与者 [中央结算系统参与者] Stock Pledgee Participant [CCASS Participants]

股份存入表格 Stock Deposit Form 股份存入费 stock deposit fee 股份代号 stock code

《股份登记机构操守准则》 [证监会] Code of Conduct for Share Registrars [SFC]

股份登记机构纪律委员会 [证监会] Share Registrars' Disciplinary Committee [SFC]

股份购回 share repurchase

股份购回报告 Share Buyback Report

《股份购回守则》 Code on Share Repurchases (Share Repurchase Code) 股份过户登记处 share registrar 股份合并 share consolidation 股份化 demutualization 股份计划 share scheme

股份交收费 stock settlement fee 股份结算费 stock clearing fee

股份卖空试验计划 Short Selling Pilot Scheme 股份配发报表 Share Allotment Report 股份权益 share entitlements 股份认购权 share option 股份收纳 stock conversion

股份提取费 stock withdrawal fee 股份托管费 stock custody fee

股份页 [大利市机] stock page [Teletext]

股份页播送讯息速率 stock page broadcast rate 股份有限公司 joint stock company 股份制 demutualization

股份转移报告 [中央结算系统] Statement of Stock Movement [CCASS] 股份转移日结单 [中央结算系统] Daily Movement Statement [CCASS] 股价不动时回报 standstill return

股价敏感资料 price-sensitive information

《股价敏感资料披露指引》 Guide on disclosure of price-sensitive information 股票按贷财务活动 share margin financing 股票承押人 stock pledgee 股票出借人 stock lender

股票贷出户口 Stock Lending Account 股票登记费 scrip fee

股票非流动化 immobilization of share certificate 股票挂钩存款 equity linked deposit

股票挂钩票据；息股证 equity linked instrument (ELI) 股票挂钩票据；高息票据 equity linked note (ELN) 股票挂钩投资工具 equity linked investment 股票归还 stock return

股票借贷 stock borrowing and lending

股票借贷数额资料页 [大利市] stock borrowing and lending position information page [Teletext]

股票期货 stock futures

股票期权 stock option; equity option

股票期权参考教育站 Stock Options Reference Educator (SCORE)

股票期权从业员专业课程 Professional Course for Equity Options Practitioners 股票期权系统 Traded Options System (TOPS) 股票认购权发行* rights issue

股票增值权 stock appreciation right 股权 equity interest; shareholding

股权分置 [中国内地] equity division [Mainland China]

股权分置改革 [中国内地] equity division reform [Mainland China] 股权激励机制 share incentive mechanism 股权收益 return on equity

股市指数期货 equity index futures 股市指数期权 equity index option

股市资料捐赠计划 Stock Market Information Donation Programme 股息 dividend

股息单 dividend warrant

股息点指数系列 Dividend Point Index Series 股息率 dividend yield

股息期货 dividend futures

雇员注册庄家 Employee Registered Trader 故障包容 fault tolerance

挂钩汇率制 pegged rate system 挂牌买卖 flotation 挂盘册 order book

关联公司 associated company; related company 关连交易 connected transaction 关连人士 connected person

关连人士交易 related party transaction

关税及贸易总协定（关贸总协定） General Agreement on Tariffs and Trade (GATT)

管理层股东 management shareholder 管理层收购 management buy-out (MBO)

管理层叙述式季度报告 quarterly narrative management statement 管理费用 management fee 管制法例 governing law

光纤以太网 Optical Ethernet

广播系统；公布系统 public address system 广域网络 Wide Area Network 规范声明 normative statement 柜台市场 over-the-counter (OTC) 锅炉室 boiler room

国际编码机构协会 Association of National Numbering Agencies (ANNA) 国际标准化组织 International Organization for Standardization (ISO)

《国际财务报告准则》 International Financial Reporting Standards (IFRS)

国际掉期业务及衍生投资工具协会 International Swaps and Derivatives Association (ISDA)

国际股票期货及期权 International Stock Futures and Options (ISFO) 国际货币基金组织 International Monetary Fund (IMF)

国际集资市场协会 International Primary Markets Association (IPMA) 国际结算银行 Bank for International Settlements (BIS) 国际金融公司 International Finance Corporation (IFC)

国际金融行动专责小组 International Financial Action Task Force 国际会计师公会 The Association of International Accountants 国际会计师联合会 International Federation of Accountants (IFAC) 国际会计准则 International Accounting Standards (IAS)

国际会计准则委员会 International Accounting Standards Board (IASB) 国际期权市场协会 International Options Markets Association (IOMA) 国际审计及保证标准委员会 The International Auditing and Assurance Standards Board (IAASB)

国际收支平衡/国际收支差额 balance of payments

国际外汇同业联会 Association Cambiste Internationale

国际证监会组织亚太区委员会 Asia Pacific Regional Committee (APRC) of IOSCO

国际证券服务业联会 International Securities Services Association (ISSA) 国际证券号码 International Securities Identification Numbers (ISIN) 国际证券号码编制系统 International Securities Numbering System 国际证券交易所联会 World Federation of Exchanges (WFE)

国际证券市场协会 International Securities Markets Association (ISMA)

国际证券事务监察委员会组织 (国际证监会组织) International Organization of Securities Commissions (IOSCO)

国际综合报告委员会 International Integrated Reporting Committee (IIRC) 国家发展和改革委员会 [中国内地] National Development and Reform Commission [Mainland China]

国家工商行政管理总局 [中国内地] State Administration for Industry and Commerce [Mainland China]

国家股/国有股 [中国内地] state share [Mainland China]

国家建设债券 [中国内地] National Construction Treasury [Mainland China] 国家经济贸易委员会（国家经贸委） [中国内地] State Economic and Trade Commission [Mainland China]

国家科技风险开发事业中心 National Science and Technology Venture Capital Development Center

国家税务总局 [中国内地] State Administration of Taxation [Mainland China] 国家统计局 [中国内地] National Bureau of Statistics [Mainland China] 国家外汇管理局 [中国内地] State Administration of Foreign Exchange (SAFE) [Mainland China]

国家重点建设债券 [中国内地] Priority Construction Treasury [Mainland China] 国库券 Treasuries

国民生产总值 gross national product (GNP)

国内生产总值 gross domestic product (GDP)

国营企业 [中国内地] state-owned enterprise [Mainland China] 国有企业 [中国内地] state-owned enterprise [Mainland China]

国有资产监督管理委员会 [中国内地] State-owned Assets Supervision and Administration Commission (SASAC) [Mainland China] 国债* government bond

国债期货* treasury bond futures

过渡期受托经纪 bridging broker; bridging dealer 过渡性贷款 bridging loan 过户 transfer

过户 [期权] give-up [options]

过户处/过户登记处 registrar; share registrar

过户处参与者户口 Registrar Participant Account 过户代理 transfer agent 过户费 transfer fee

过户文件 instrument of transfer

过户纸（转让）印花税 transfer deed stamp duty 过量交易 overtrading

海外发行人 overseas issuer 行仓 firm position

行业覆盖层面 spread of sector

合并 amalgamation; consolidation; merger

合并有形资产净值 combined net tangible assets 合并与收购 mergers and acquisitions

合成ETF；合成交易所买卖基金 synthetic ETF 合成工具 synthetics

合成模拟策略；综合复制策略 synthetic replication strategy 合成期货 synthetic futures 合成期权 synthetic option

合成认购期权长仓 synthetic long call 合格交付 good for delivery

合格境内机构投资者 Qualified Domestic Institutional Investor (QDII) 合格境外机构投资者 Qualified Foreign Institutional Investor (QFII) 合格境外有限合伙人 Qualified Foreign Limited Partner (QFLP) 合规顾问 compliance adviser 合营企业 joint venture

合约乘数 contract multiplier 合约单位 contract unit 合约股数 contract size

合约互惠基金 contractual mutual fund 合约细则 contract specifications 合资格估算师 Competent Evaluator

合资格股份列表 Stock Eligibility Schedule 合资格人士报告 Competent Person’s Report

合资格证券 eligible securities 合资格主管 Eligible Supervisor 合资合同 joint venture contract 合资企业 joint venture 核数师 auditor

核数师报告 auditors’ report

核数委员会 [证监会] Audit Committee [SFC] 核心盈利 core earnings 核证附注 verification notes

核证减排∕减排认证 Certified Emissions Reductions (CER) 核准借出代理人 approved lending agent 核准借入人 approved borrower

核准可赎回股份 approved redeemable share 黑池交易；暗池交易* dark pool

恒生AH 股价格指数 Hang Seng China AH Price Indexes 恒生AH 股溢价指数 Hang Seng China AH Premium Index 恒生H 股指数上市基金 Hang Seng H-Share Index ETF

恒生短仓及杠杆指数系列 Hang Seng Short and Leveraged Index Series 恒生房地产基金指数 Hang Seng REIT Index

恒生风险调控指数系列 Hang Seng Risk Adjusted Index Series 恒生股息点指数系列 Hang Seng Dividend Point Index Series 恒生股息累计指数系列 Hang Seng Total Return Index Series 恒生国企股息点指数 HSCEI Dividend Point Index

恒生国企股息点指数期货（恒生国企股息期货） HSCEI Dividend Point Index Futures (HSCEI Dividend Futures)

恒生行业分类系统 Hang Seng Industry Classification System

恒生可持续发展企业指数系列 Hang Seng Corporate Sustainability Index Series

恒生流通综合指数 Hang Seng Freefloat Composite Index (HSFCI) 恒生神州50 指数 Hang Seng China 50 Index 恒生香港35 Hang Seng HK 35

恒生香港流通指数 Hang Seng HK Freefloat Index (HSHKFI)

恒生香港中资企业指数（中资企业指数） Hang Seng China-Affiliated Corporations Index (HSCCI)

恒生指数 Hang Seng Index (HSI)

恒生指数期货 Hang Seng Index Futures 恒生指数期权 Hang Seng Index Options 恒生指数上市基金 Hang Seng Index ETF

恒生指数有限公司 Hang Seng Indexes Company Limited (HSIL)

恒生中国H 股金融行业指数（H 股金融行业指数） Hang Seng China H-Financials Index (HFin)

恒生中国内地25 Hang Seng Mainland 25 (HSML25) 恒生中国内地100 Hang Seng Mainland 100 (HSML100)

恒生中国内地流通指数 Hang Seng Mainland Freefloat Index (HSMLFI)

恒生中国内地综合指数 Hang Seng Mainland Composite Index (HSMLCI) 恒生中国企业指数（恒生国企指数） Hang Seng China Enterprises Index (HSCEI)

恒生中国企业指数期货 (H 股指数期货) Hang Seng China Enterprises Index Futures (H-shares Index Futures)

恒生综合大型股指数 Hang Seng Composite LargeCap Index (HSLI) 恒生综合行业指数 Hang Seng Composite Industry Indexes

恒生综合小型股指数 Hang Seng Composite SmallCap Index (HSHKSI) 恒生综合指数 Hang Seng Composite Index (HSCI)

恒生综合中型股指数 Hang Seng Composite MidCap Index (HSHKMI) 恒指波幅指数 HSI Volatility Index (VHSI) 恒指股息点指数 HSI Dividend Point Index

恒指股息点指数期货（恒指股息期货） HSI Dividend Point Index Futures (HIS Dividend Futures) 红筹股 red chip 红股 bonus share 红股发行 bonus issue 红利* dividend

后备联线通讯线路 backup interactive line 后备资料复原软件 file backup-restore macro 后偿贷款 subordinated loan

后交易指令 post-trade transaction 后进先出 last in, first out (LIFO)

后期执法 [证监会] backend enforcement [SFC] 后勤办公室 back office

后续发行；再融资 follow-on offering 互保基金 Fidelity Fund

互动语音电话系统 Interactive Voice Response System (IVRS) 互换交易* swap

互惠基金 mutual fund

户口结单 statement of account

户口结余月结单 [中央结算系统] Monthly Balance Statement [CCASS] 户口转移指示 Account Transfer Instruction (ATI) 户口转移指示整批档案传送 ATI Batch File Transfer 沪深300 指数 CSI 300 Index 滑价 slippage 坏账 bad debt

坏账及呆账拨备/备抵 provision for bad and doubtful debts; allowance for bad and doubtful debts 还本付息* redemption 还盘 counter order

环球股本证券市场 Global Equity Market

环球银行间金融通信协会 Society for Worldwide Interbank Financial Telecommunications (SWIFT)

环球债券 global bond

缓行注册 shelf registration facility 换股比率 conversion ratio 换手率* turnover rate 换算 translation

黄豆期货 soybean futures 黄金期货 gold futures 黄金现货 spot gold

恢复买卖 resumption of trading 回报 return; payoff 回报率 rate of return 回本期 payoff period

回补机制；回拨机制 claw back mechanism 回抽佣金 sub-commission

回购 buy-back [cf repurchase agreement] 回购权证 call warrant

回购协议 repurchase agreement (repo)

回扣/回佣 rebate; commission rebate; sub-commission 回升 rally

回收期 payoff period 回应时间 response time 回转交易* intra-day trade 汇报期末段 stub period 汇兑损失 exchange loss 汇兑限额 exchange quota

汇款同步交收 [银行] payment vs payment (PvP) [banking] 汇票 bill of exchange

混合媒介要约；混合媒介公开发售；混合媒介招股 mixed media offer 活跃业务纪录 [创业板] active business pursuits [GEM] 货币发行局制度 currency board system 货币供应 money supply 货币基础 monetary base

货币交叉盘买卖 cross currency trade 货币经纪 money broker 货币期货 currency futures 货币权证 currency warrant 货币市场 money market

货币政策委员会 [中国人民银行] Monetary Policy Committee [PBC] 货币资产 monetary assets 获分配人士 assignee 获配发人 allottee 获配售人 placee

获提名董事 proposed director 豁免/豁免规定 waiver

豁免基金经理 Exempt Fund Manager 豁免交易商 exempt trader

豁免上市地位 exempt listing status

豁免自营买卖商 Exempt Principal Trader 或然负债 contingent liabilities 或有保费 contingent premium 货银对付 cash on delivery (COD)

货银对付方式交收 delivery vs payment (DvP) 货银两讫 delivery vs payment (DvP)

货银同步交收 delivery vs payment (DvP) 基本按金 [期货] initial margin [futures] 基本报价服务 Basic Market Prices Service 基础上市文件 base listing document 基础投资者 cornerstone investor

基础证券*；相关/指定证券 underlying securities 基点 basis point

基建工程/项目 infrastructure project 基金份额持有人* fund unit holder 基金经理 fund manager

基线与排放权交易 baseline and credit 基准风险；基本风险 basis risk 基准价格 notation price 基准日 base day

基准收益率曲线 benchmark yield curve 机构风险 institutional risk

机构计划书 [证监会] Corporate Plan [SFC]

机构交易员组合系统 [澳洲] Portfolio System for Institutional Traders (POSIT) [Australia]

机构客户 institutional client

机构投资者 institutional investor 稽核测试 audit test 积欠款项 arrears

极端波动乘数 extreme move multiplier

极端波动覆盖分数 extreme move covered fraction 极价内期权 deep-in-the-money option

极价外期权 deep-out-of-the-money option; tails 集合报价 mass quote

集合竞价 aggregate auction; call auction 集体投资基金 collective investment fund

集体投资计划 collective investment schemes (CIS) 集团会计 corporate accounting

集团内部交易 intra-group transactions 集中持仓量 concentrated position 集中风险 concentration risk

集中风险调整 concentration risk adjustment 集资 capital formation 集资净额 net proceeds 集资市场 primary market 即年合约 front year contract 即日报价 intraday quotation

即日差额缴款报告 [中央结算系统] Intra-day Marks Collection Report [CCASS] 即日拆借市场 intra-day money market 即日额外按金 intra-day margin

即日回购协议 [银行] intraday repurchase agreement [banking] 即日流动资金 intraday liquidity 即日买卖 day trade

即日盘/即日买卖盘；当日有效盘 day order 即日平仓交易 day trade 「即日鲜」 day trade

即日有效买卖盘 good-for-day order

即日追补按金；即日追收按金 intra-day margin call

即时汇款同时交收 [银行] payment vs payment (PvP) [banking] 即时或取消 Immediate-or-Cancel (IOC)

即时数码数据服务 Realtime Digital Data Service (RDDS) 即时数码资料传送专线 realtime digital datafeed

即时支付结算系统 [金管局] Real Time Gross Settlement system (RTGS) [HKMA]

即时转送 online transfer

即时资讯 real time information

即夜传送报告资料服务 [中央结算系统] Overnight Report Distribution [CCASS] 即月 front-month

《纪律案例》 Disciplinary Casebook 纪律程序 disciplinary procedures

《纪律处分程序手册》 Handbook on Disciplinary Proceedings 纪律处分权力 disciplinary power

纪律复核小组 Disciplinary Review Panel (DRP) 纪律管辖权 disciplinary jurisdiction

纪律上诉委员会 Disciplinary Appeals Committee 纪律委员会 Disciplinary Committee

纪律研讯主席委员会 [证监会] Disciplinary Chair Committee [SFC] 记名证券 registered securities 记名证书 registered certificate

记账式国库券 [中国内地] Registered Treasury [Mainland China] 技术分析 technical analysis

技术性验证测试 Proof of Concept 计算按金程序 margining process

夹仓 squeeze; short squeeze; cornering

加权指数 Weighted Index [Taiwan Stock Exchange]

加速折旧 accelerated depreciation 假市 false market 价差* spread

价格动力 price momentum 价格发现 price discovery

价格幅度限制 permissible price range 价内 in-the-money

价内期权 in-the-money option 价外 out-of-the-money

价外期权 out-of-the-money option 价位 spread

价位表 Spread Table 价位值 tick value

价值稳定的货币 hard currency 价值状况 moneyness

监察主任 compliance officer

坚定承诺 [包销] firm commitment [underwriting] 监管 regulation

《监管合作备忘录》 Memorandum of Regulatory Cooperation (MORC) 监管豁免 no-action relief 监管机构 regulatory body 监管套戥 regulatory arbitrage 监管制度 regulatory regime

监事 [中国内地] supervisor [Mainland China]

监事会 [中国内地] supervisory committee [Mainland China] 简便指南 [自动对盘系统] Quick Reference Guide [AMS] 简易资讯整合服务 RSS service

检讨持牌法团财务规管制度工作小组 Working Group on Review of the Financial

Regulatory Framework for Licensed Corporations

检讨证券及期货市场规管架构运作专家小组 Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure 减排单位 Emission Reduction Unit (ERU)

减排认证∕核证减排 Certified Emissions Reductions (CER) 减佣经纪 discount broker 将股票化零为整 jumbomize

将会员制转为股份制 demutualisation

交叉买卖；交叉盘买卖 crossed trade; cross trade; crossing 交叉盘网络 crossing network 交叉盘系统 crossing system

交错到期组合 staggering maturities 交付；收割* delivery 交收 settlement

交收报告 [中央结算系统] Settlement Report [CCASS]

交收风险 settlement risk 交收积压 settlement backlog 交收期 settlement period 交收日 settlement date 交收上限 settlement cap 交收银行 settlement bank

交收指示 settlement instruction (SI) 交收指示的交易 SI transaction

交收指示活动报告 [中央结算系统] SI Activity Report [CCASS] 「交收指示」交易 settlement instruction transaction

交收指示整批传送 [中央结算系统] Settlement Instruction Batch Upload [CCASS]

交收指示状况报告 [中央结算系统] SI Status Report [CCASS] 交投畅旺 heavy trading 交投呆滞 slow trading 交投淡静 quiet trading 交投活跃 active market 交投疏落 light trading

交易参数 trading parameter

交易大堂 trading floor; trading hall 交易单位 trading unit 交易对手 counterparty 交易费 Trading Fee

交易工作站 trading workstation 交易柜位 trading booth

交易及交收委员会 Trading and Settlement Committee

交易及结算综合系统 integrated trading and clearing system 交易量 trading capacity

交易流通速度 turnover velocity 交易能力 trading capacity 交易前时段 Pre-Trading

交易圈/交易场 pit; trading pit 交易权 Trading Right 交易日 trading day

交易日表 trading calendar 交易商 dealer

交易设施 trading facilities; execution facilities

交易市场 secondary market; after market / aftermarket 交易所参与者 Exchange Participant

《交易所参与者及联交所交易权持有人名录》 List of Exchange Participants & Holders of Stock Exchange Trading Rights

交易所参与者证明书 Exchange Participant Certificate 《交易所规则》 Rules of the Exchange

交易所国际自动报价系统 [英国] Stock Exchange Automated Quotations

System for International Equities (SEAQI) [UK] 交易所会议厅 Exchange Auditorium

交易所交易权证明书 Exchange Trading Right Certificate

交易所另项交易系统 [英国] Stock Exchange Alternative Trading System (SEATS) [UK]

交易所买卖基金；交易所交易基金* Exchange Traded Fund (ETF) 交易所买卖票据 exchange traded note (ETN)

交易所买卖商品 exchange traded commodity (ETC) 交易所买卖之期权 exchange traded option 交易所展览馆 Exchange Exhibition Hall

交易所自动报价系统 [英国] Stock Exchange Automated Quotations System (SEAQ) [UK]

交易系统使用费 trading tariff

交易型开放式指数证券投资基金*；交易型开放式指数基金* Exchange Traded Fund (ETF)

交易议价板 Bulletin Board

《交易运作程序 ─ 期权买卖交易所参与者专用》 Operational Trading Procedures for Options Trading Exchange Participants 交易征费 Transaction Levy

交易转移 [期权] trade give-ups [options] 交易资料储存库 trade repository

缴入股本 paid-up capital; paid-in capital 缴足股本 fully paid-up capital 较现值不利* out-of-the-money 较现值有利* in-the-money

接驳站收费 port connection fee 接管收购* takeover 接价盘 accept order

接口费 port connection fee 接收 [期权] take-up [options]

接受存款公司 deposit-taking company (DTC) 「街名」股票 “street name” share certificate 结构改进 institutional advancement

结构性产品综合处理系统 Structured Products Integrated Transaction System (SPRINTS) 结清 close out 结算 clearing

结算参与者 [期权买卖] Clearing Participant [options trading] 结算服务热线中心 Clearing Service Call Centre 结算机构参与者 Clearing Agency Participant 结算价 clearing price 结算所 clearing house

结算所参与者 Clearing House Participant

结算所电子附属登记系统 [澳洲] Clearing House Electronic Subregister

System (CHESS) [Australia]

「结算通」电话系统 CCASS Phone System 结算协议书 clearing agreement

《结算运作程序 ─ 期权买卖交易所参与者专用》 Operational Clearing Procedures for Options Trading Exchange Participants 结算咨询小组 Clearing Consultative Panel 结余 balance

结转 [会计] carried forward [accounting] 节流率 throttle rate

截止过户期间 book closure period 截止过户日期 book close date 借贷资本 loan capital 借额 debit

借方结余 debit balance 借款股 loan stock

借壳上市 backdoor listing 界面联系 interfacing

介绍代理人 introducing agent 介绍经纪人* introducing broker

介绍形式上市 listing by introduction 金边证券 gilt-edged securities 金融大改革 [英国] Big Bang [UK]

《金融服务法令》 [英国] Financial Services Act [UK] 金融服务网络 FinNet

金融工具 financial instrument

金融基础设施督导委员会 The Steering Committee on the Enhancement of Financial Infrastructure (SCEFI) 金融机构 financial institution

金融监督管理委员会（金管会） [台湾] Financial Supervisory Commission [Taiwan]

金融纠纷调解中心 Financial Dispute Resolution Centre (FDRC) 金融期货 financial futures 金融市场 financial market

《金融市场检讨报告》 Report on Financial Market Review 金融债* financial bond

金融中介机构/团体 financial intermediary 金融中介现象 financial intermediation 金融租赁* financial lease

金银业贸易场 The Chinese Gold and Silver Exchange Society (CGSE) 金银证券交易所 The Kam Ngan Stock Exchange 紧急贷款者 lender of last resort 紧缩措施 austerity measures 近价盘 about order

近价期权 near-the-money option

进项增值税 input VAT 尽职审查 due diligence

禁止买卖期；限制买卖期 “black out” period 经办人 manager

经办银行 administering bank 经常账 current account

经纪参与者 [中央结算系统参与者] Broker Participant [CCASS Participants] 经纪电子邮递及集体传呼服务 E-mail and Group Paging Services 经纪行 brokerage house

经纪后勤办公室支援服务 Brokers’ Electronic Support Services (BESS) 经纪活动工作小组 Broker Activities Working Team 经纪交易 agency trade

经纪会计系统 Brokers’ Accounting System 经纪佣金 brokerage

经济增加值* economic value added

经纪忠诚保险计划 Brokers’ Fidelity Insurance Scheme (BFI) 经纪忠诚保险计划委员会 Brokers’ Fidelity Insurance Committee 经纪自设系统 Broker Supplied System (BSS) 经济自由指数 Index of Economic Freedom 经扩大股本 enlarged share capital 经审核账目 audited accounts

经修订的股份卖空计划 revised short selling scheme 经营租赁 operating lease 净额按金计算 net margining 净额结算 netting

净逆差额缴款 net unfavorable marks 竞价盘 at-auction order 竞价市场 auction market 竞价投标 auction

竞价限价盘 at-auction limit order

《境内企业申请到香港创业板上市审批与监管指引》 [中国内地] Guidelines on the Vetting and Regulation of Applications for Listing on the GEM in Hong Kong by Mainland Enterprises [Mainland China]

境外发行股票和上市管理通知 [国务院] Notice on Regulation of Share Issues and Listing in Overseas Markets [State Council]

境外上市外资股 [中国内地] overseas listed foreign share [Mainland China] 静态资讯 static information 净值比率 net worth ratio

九倍限制规则 9-times Restriction Rule

九龙证券交易所 The Kowloon Stock Exchange 救市贷款 Lifeboat Loan

救市特别交易征费 “Lifeboat” levy

狙击手 [收购] predator; raider [takeover] 举报政策 whistleblowing policy

拒纳信 Rejection Letter 均衡价格 equilibrium price 开仓合约 opening contract 开仓交易 opening transaction 开放式基金 open-end fund

开放式网间连接器 open gateway

开放式网间联系买卖 internet order connection 开价盘 quote

开价盘要求 quote request 开盘价 opening price

开盘状况报告 quote maintenance report 开市报价规则 opening quotations rules

开市分配时段 [HKATS] open allocation session [HKATS] 开市价 opening price

开市盘 open order; at-the-opening order

开市前分配时段 [HKATS] pre-open allocation session [HKATS] 开市前时段 ；开市前议价时段 pre-market opening session

开市前议价机制 [期货] Pre-market Opening Mechanism [futures]

《开展境内个人直接投资境外证券市场试点方案》 Pilot Program for Direct Foreign Portfolio Investments by Domestic Individuals 凯伯里报告书 [英国] Cadbury Report [UK] 凯伯里委员会 [英国] Cadbury Committee [UK]

「看跌」股票挂钩票据 Bear Equity Linked Instrument (Bear ELI) 看跌期权* put option

「看涨」股票挂钩票据 Bull Equity Linked Instrument (Bull ELI) 刊发后始审阅 post-vetting

《可持续发展报告指南》第三版 G3 Sustainability Reporting Guidelines 可分拆权证 detachable warrant 可分派溢利 distributable profit

可扩展标记语言 Extensible Markup Language

可扩展商业报告语言 eXtensible Business Reporting Language (XBRL) 可赎回股份 redeemable share 可行性研究 feasibility study 可用年限 useful life

可转换/可换股可赎回票据 convertible redeemable note 可转换/可换股票据 convertible note 可转换/可换股债券 convertible bond

可转换/可换股证券 convertible securities 可转让票据 negotiable instrument

可转让证券集体投资计划 Undertakings in Collective Investments in Transferable Securities (UCITS) 客户按金 client margin

客户按金对销账户 Client Offset Claim Account 客户户口 client account

客户伺服器结构 client server architecture 客户协议书/合约 client’s agreement 客户注册庄家 Client Registered Trader 空仓/空头* bear position; short position 控股公司 holding company

控股股东 controlling shareholder 控股权益 controlling interest

控权股东 controlling shareholder 控权人 controller

口头竞价/口头唱价* [=公开喊价] auction [= open outcry] 扣减(率) haircut; discount rate 库存股份/股票 treasury stock

跨国多重上市 mutual cross-listing 跨价；跨期式组合 spread

跨价买卖 price spread; vertical spread; spread trading 跨价权证 spread warrant

跨价衍生权证 call spread derivative warrant 跨境上市 cross-border listing; cross listing 跨期按金 spread rate 跨期买卖 spread trading

跨期买卖 calendar spread; time spread; horizontal spread 跨日净额交收 cross-day netting 跨市场按金制度 cross margining

跨市场抵押品 cross collateral; cross-collateralization 跨市场协调委员会 Inter-Market Coordination Committee 跨式套利* [期权] straddle [options]

跨司法区招股活动 multi-jurisdictional equity offering 会计程式 accounting equation

会计处理方式 accounting treatment 会计惯例/实务 accounting practice 会计期间 accounting period 会计师报告 accountants' report

《会计实务准则》 Statement of Standard Accounting Practice (SSAP) 会计准则/标准 accounting standard 快闪盘 flash order

宽跨式套利* long strangle 宽限期 grace period

款项过户系统 money transfer system 款项交收费 money settlement fee

款项净额结算每日平均效率 daily average funds netting efficiency 款项预缴服务 cash prepayment service 垃圾债券 junk bond

「来回」期权交易 “round trip” option transaction 蓝筹股 blue chip

老鼠仓活动 rat trading; scalping

「勒束式」股票挂钩票据 Range Equity Linked Instrument (Range ELI) 勒束式组合 [期权] strangle [options]

累积认购期权合约∕累计股票期权 accumulator 累积认沽期权合约∕累计股票期权 decumulator 累积投票制* cumulative voting

累计/累积垫款 cumulative advance 累计/累积利润 accumulated profits 累计/累积利息 accumulated interest

累计/累积折旧 accumulated depreciation 累计投标制 book building method 冷淡对待令 cold shoulder order 离岸调期 offshore swap 离岸基金 offshore fund

离岸金融中心 offshore financial centre 离岸盈利重组 offshore profit regrouping 离差 [统计] dispersion [statistics]

离场交易 off-floor trading; off-board trading 离场买卖盘 off-floor order

理论性参考价格系统 [期货] Theoretical Indicative Pricing System (TIPS) [futures]

利差交易 carry trade

利率掉期/利率调期* interest-rate swap 利率掉期期货 Interest Rate Swap Futures 利率期货 interest-rate futures 利率上限 interest-rate ceiling

利率衔接 interest collar; interest rate collar 利润 profit

利息补贴 [中国内地] interest rate subsidy [Mainland China] 利息资本化 capitalization of interest

利益冲突事宜委员会 Conflict Committee

利益相关者；权益人；干系人*；利益攸关者* stakeholder 历史波幅 historical volatility 历史成本 historical cost 立约成价 contracted price

联邦储备系统 Federal Reserve System 联邦基金 Federal funds

联邦基金利率 Federal funds rate

联邦结算系统 Fed wire; Fedwire; FedWire

联合交易所赔偿基金 Unified Exchange Compensation Fund 联合受托人 co-trustee

联机界面联系 on-line interface

《联交所参与者市场占有率报告》 Stock Exchange Participants' Market Share Report

联交所交易权 Stock Exchange Trading Right

联交所交易权持有人 holder of Stock Exchange Trading Right 联交所期权结算所参与者 SEOCH Participant 联交所期权结算所抵押品 SEOCH collateral 联交所资讯服务热线 SEHK Enquiry Hotline 联接基金 feeder fund

联名个人投资者户口 Joint Individual Investor Account 联属公司 affiliated company; affiliate 联网 networking

联席保荐人 co-sponsor 联席经办人 co-manager

联系汇率 pegged exchange rate 联系汇率制 pegged rate system 联系人士 associate

联系设施 [电脑] gateway [computer] 联系证明书/信心保证书 comfort letter 联线投资服务 on-line investment service

联营公司 associated company; associate company; associate 连锁关系原则 chain principle 连续竞价 continuous auction 两边开盘 two-way quote

两边客交易 direct business; direct business transaction 两边客买卖盘 two-sided order

两用画面终端机 dual mode terminal (DMT)

谅解备忘录 memorandum of understanding (MOU) 临时公告 holding announcement

临时结算表 Provisional Clearing Statement (PCS) 临时清盘人 provisional liquidator 零股* odd lot

零行使价衍生权证 zero strike derivative warrant 零和游戏 Zero-sum game 零交易日 zero-trading day

零售资讯服务 retail information service 零息债券 zero coupon bond

领汇房地产投资信托基金 The Link Real Estate Investment Trust 另类投资 alternative investment

另项投资市场 [英国] Alternative Investment Market (AIM) [UK] 另选登记服务 optional registration service 留成资金/保留资金 retained capital 留存股票 treasury stock

留存溢利/盈利 retained profits

留存盈利/收益 retained earnings; retained income 流动数据 streaming data

流动性不足/流通性不足 illiquidity

流动资产 liquid asset 流动资金 liquid capital

流动资金比率/幅度 liquidity ratio; liquidity margin 流动资金调节窗 Liquidity Adjustment Window (LAW)

流动资金调节机制 [金管局] Liquidity Adjustment Facility (LAF) [HKMA] 流通风险 liquidity risk

流通股 [中国内地] tradable share [Mainland China] ; negotiable share [Mainland China] 流通量提供者 liquidity provider

流通市值 [中国内地] negotiable market capitalization [Mainland China] 流通性；流动性* liquidity 浏览及挑选 browse and pick 龙债券 dragon bond

绿鞋期权* greenshoe option

伦敦国际金融期货及期权交易所 London International Financial Futures and Options Exchange (LIFFE)

伦敦黄金市场定价有限公司 The London Gold Market Fixing Ltd 伦敦金银市场协会 The London Bullion Market Association 伦敦期权市场 London Traded Options Market (LTOM) 伦敦证券交易所 London Stock Exchange (LSE) 落盘 placing order 孖展 margin

孖展覆盖率 margin coverage ratio 孖展客户 margin client 孖展买卖 margin trading 孖展融资 margin financing

马鞍式组合 [期权] straddle [options] 马城条约 Maastricht Treaty

马来西亚证券交易所交易及自动报价系统 Malaysian Exchange of Securities Dealing and Automated Quotation Bhd (MESDAQ) 买断式回购* buyout repo 买家 bidder

买价/买盘价 bid price

买卖差价 bid-asked spread 买卖单据 contract note 买卖单位 board lot

买卖惯例 dealing practice 买卖盘 order

买卖盘变动 order book changes (OBC) 买卖盘差额 order imbalance

买卖盘处理量 order throughput rate 买卖盘传递 order routing

买卖盘传递系统 Order Routing System (ORS); router system 买卖盘及交易纪录服务 Order and Trade File Services

买卖盘纪录 order book

买卖盘价值限制 Order Consideration Limit 买卖盘输入 order entry

买卖盘通过量 order throughput rate ; throughput rate 买卖盘纸 deal ticket

买卖因公众持股量不足而停牌证券的申报表 Form for Reporting Dealings in Securities Suspended due to Insufficient Public Float 买卖指示 order 买盘 buy order

买壳 acquisition of shells 买入期权* call option

「买者自负」原则 “let the buyer beware” principle; “Caveat Emptor” (let the buyer beware)

卖家 [期权] writer [options] 卖价 offer price

卖空 short selling / short sale 卖空股份总额 short interest 卖空价规则 tick rule

卖空空仓 open short position 卖空卖方 short seller 卖盘 sell order

卖盘价 ask price; asked price 锚定投资者* anchor investor

没有担保的卖空交易 uncovered short selling 没有利益关系的股东 disinterested shareholder

没有预先借货的卖空活动；无货沽空 naked short selling 每股盈利 earnings per share (EPS)

每股有形资产净值 net tangible assets per share 每股资产净值 net asset value per share 每日按金 daily margin

每日按金要求 daily margin call

每日回报标准差 standard deviation of daily return 每日价格波动限幅 daily price swing limit 每日价格上限 daily trading limit

每日交易活动及持仓报告 [期货] Daily Trading Activity and Open Positions Summary Report [futures]

每日结算价 daily settlement price

每日平均交收效率 daily average settlement efficiency 美国本土债券 Yankee bond

美国存管信托公司 Depository Trust Company (DTC) [US]

美国国家经济研究局 National Bureau of Economic Research [US] 美国联邦公开市场委员会 Federal Open Market Committee (FOMC)

美国联邦国家房屋贷款协会（房利美） Federal National Mortgage Association (Fannie Mae)

美国联邦住宅贷款抵押公司 (房贷美) Federal Home Loan Mortgage Corporation (Freddie Mac)

美国全国证券交易商协会自动报价系统/美国纳斯达克证券市场 National Association of Securities Dealers Automated Quotations (NASDAQ) 美国商会 American Chamber of Commerce (AMCHAM)

美国预托证券；美国存托凭证* American depositary receipt (ADR) 美国证券交易所 American Stock Exchange (AMEX) 美式期权 American style option

美元总会计长 [美国] Comptroller of the Currency [US] 蒙受风险的价值 value-at-risk 迷你债券 mini-bond

免费实时基本报价网站服务（免费网站报价服务） Free Real-time Basic Market Prices Website Service (Free Prices Website Service) 免责声明 disclaimer

面值 face value; nominal value 民企股 P chip

敏感度分析 sensitivity analysis 名义汇率 nominal exchange rate 模拟交易 mock trading

模拟投资市场 Simulated Investment Market (SIMart) 模拟系统 simulation system

母公司 parent company; holding company 穆迪投资评级 Moody’s Investment Grade 内部储备 inner reserve 内部核数师 internal auditor 内部互对 internalisation 内部稽核 internal audit 内部监控 internal control 内部谴责 internal censure

内地市场行情合作计划 Mainland Market Data Collaboration Programme 《内地与香港关于建立更紧密经贸关系的安排》 Mainland/Hong Kong Closer Economic Partnership Arrangement

《内地与香港关于建立更紧密经贸关系的安排 ─ 与证券及期货人员资格有关的安排》 Mainland/Hong Kong Closer Economic Partnership Arrangement – Arrangements relating to Qualifications of Securities and Futures Industry Practitioners 内联网 intranet

内幕交易 insider dealing

内幕交易审裁处 Insider Dealing Tribunal 内幕交易者 insider dealer

内在衍生工具 embedded derivative 内在值 intrinsic value

内资股 [中国内地] domestic share [Mainland China] 拟定开市价 Calculated Opening Price (COP)

逆差 deficit; unfavourable difference; unfavourable variance 逆差额 [中央结算系统] unfavourable marks [CCASS] 逆向投资者 contrarian

逆转交易 [期权] trade reversals [options]

逆转交易合约 [期权] reversal contract [options] 匿名交易；隐名交易 anonymous trading 年报 annual report

年度股东大会* annual general meeting (AGM) 年度账目 annual accounts 年结日 balance sheet date 年金* pension fund 牛市 bull market

牛熊证 Callable Bull/Bear Contract 纽约泛欧交易所集团 NYSE Euronext

农村信用合作社 [中国内地] rural credit cooperative [Mainland China] 欧罗/欧元 euro / Euro

欧盟排放配额 European Union Allowance (EUA)

欧盟排放权交易计划 European Union Emission Trading Scheme (EU ETS) 欧式期权 European style option

欧洲复兴及开发银行（即 世界银行） European Bank of Reconstruction and Development (EBRD) (ie World Bank) 欧洲货币债券 Eurobond 欧洲结算系统 Euroclear

欧洲结算银行 Euroclear Bank

欧洲经济及货币联盟 European Economic and Monetary Union (EMU) 欧洲可换股担保债券 Euro-convertible guaranteed bond 欧洲日圆东京银行同业拆息期货 Euroyen Tibor Futures 欧洲议会 European Parliament 欧洲债券 Eurobond

欧洲证券交易商协会自动报价系统 European Association of Securities Dealers Automated Quotations (EASDAQ) 扒头交易 front running; trading ahead 排放权交易 emission trading

排放权相关产品 emissions-related product 排媒现象 disintermediation

排期申请表格 advance booking form 牌照 licence

派送股份/红股 bonus issue 盘 order; position 盘存 inventory 盘房 dealing room

盘后交易 after-hours trading 盘纸 order form

盘中临时停牌*/盘中停牌* trading suspension 抛空 short selling / short sale 泡沫经济 bubble economy

赔偿基金储备账 Compensation Fund Reserve Account 赔偿委员会 Compensation Committee 配发 allotment 配售 placing

配售代理 placing agent 配售经办人 book runner 配售新股 rights issue

配售指引 placing guidelines 披露/披露事项 disclosure

披露权益 disclosure of interests 「披露易」网站 HKExnews website 「啤打」系数 beta coefficient 偏低价的要约 low-ball offer 偏离值 stray value

票对票方式 “paper-to-paper” arrangement

票据交换所自动转账系统 Clearing House Automated Transfer System (CHATS)

票据交换所自动转账系统付款指示 CHATS Payment Instruction 票据密集交收 paper intensive settlement 票面利率 coupon; coupon rate 票面息率 coupon; coupon rate 票面值 par value 撇销 write off

平仓 close out; cover; position squaring 平仓重开 position reopening 平仓合约 closing contract 平仓价 exit price

平仓交易 closing transaction 平衡价格 equilibrium price 平衡价值 parity value 平衡项目 balancing item 平价 [期权] parity [options] 平价期权 at-the-money option 平均价盘 average value order

平均结算权证 Average Return Warrant 平均每日成交额 average daily turnover 平买入仓 [期权] closing buy [options] 平卖出仓 [期权] closing sale [options] 屏幕* screen

凭证式附属登记册 certificated sub-register 凭证式股东 certificated shareholder

凭证式国库券 [中国内地] Certificate Treasury [Mainland China] 普通股 ordinary share 普通债券 straight bond 期初存货 opening stock

期货赔偿基金 Futures Compensation Fund

期货赔偿基金委员会 [证监会] Futures Compensation Fund Committee [SFC] 期末存货 closing stock 期权 option

期权长仓合约 long options contract 期权持仓 option position 期权持有人 option holder 期权定价 option valuation

期权定价模式 option pricing model 期权短仓 short option

期权短仓合约 short options contract 期权费用 options tariff 期权合约 option contract

期权合约净持仓 net open options contract; net options position 期权交付指令 options delivery instruction

期权交易代表 Options Trading Representative 《期权交易规则》 Options Trading Rules 期权交易确认书 options trade confirmation

期权交易所参与者 Options Exchange Participant 期权交易主任 Options Trading Officer

期权交易主任及代表考试 Options Trading Officer and Representative Examinations

《期权结算规则》 Options Clearing Rules 期权结算主任 Options Clearing Officer

期权结算主任考试 Options Clearing Officer Examination 期权金 premium

期权金成交额 premium turnover

期权经纪交易所参与者 Options Broker Exchange Participant 期权客户协议书 Options Client’s Agreement 期权类别 option class 期权买方 option buyer

期权买卖交易所参与者 Options Trading Participant 期权卖方 option seller; option writer

期权数码资料传送专线 options digital datafeed 期权系列 option series

期权资讯服务 Options Information Service 企业管治 corporate governance

《企业管治常规守则》 Code on Corporate Governance Practices 企业管治工作小组 Working Group on Corporate Governance 企业狙击手 corporate raider

企业内容管理系统 Enterprise Content Management system 企业融资协会 The Corporate Finance Association (CFA) 企业债* enterprise bond

企业资讯资料库 Enterprise Information Database 迁册 change of domicile 牵头包销商 lead underwriter 前收市价 previous closing price

浅白语言计划 Project on the Use of Plain Language

浅白语言计划工作小组 Working Group on Plain Language 谴责 reprimand; censure 欠款 arrears

嵌入式衍生工具 embedded derivative

强制补购 compulsory buy-in; forced buy-in 强制收回事件 Mandatory Call Event

强制性公积金 Mandatory Provident Fund (MPF)

强制性公积金计划管理局 Mandatory Provident Fund Schemes Authority (MPFA)

强制性收购建议 mandatory bid; mandatory offer

清洁发展机制 Clean Development Mechanism (CDM) 清盘 liquidation 清算 clearing

清算价 clearing price 清算交收* settlement

清洗交易 whitewash transaction; wash sale; wash trade 轻微违纪事件/行为 summary offence 区域网络 Local Area Network (LAN) 取方参与者 receiving Participant

取消／收回 [牛熊证] knockout [CBBC] 取消交易 [期权] trade reversals [options]

取消交易合约 [期权] reversal contract [options] 取消前有效买卖盘 good-till-cancelled order (GTC) 全部完成或放弃买卖盘 all-or-none order 全额或取消 [限价盘] Fill or Kill [limit orders]

全国电子交易系统 [中国内地] National Electronic Trading System (NETS) [Mainland China]

全国社会保障基金 National Social Security Fund (NSSF)

全国社会保障基金理事会 [中国内地] National Council for Social Security Fund [Mainland China]

全国银行同业拆借中心 [中国内地] National Interbank Funding Centre [Mainland China]

全面豁免 blanket waiver; general waiver

全面结算参与者 General Clearing Participant (GCP) 全面披露 full disclosure 全面收购建议 general offer

全面收益 comprehensive income

全面摊薄每股盈利 fully diluted earnings per share 全球报告倡议组织 Global Reporting Initiative (GRI) 全球期货交易系统 Globex

全球预托证券；全球存托凭证* global depositary receipt (GDR) 全权代客买卖账户 discretionary account 全权管理人 discretionary manager 全权委托户口 discretionary account

全权委托盘 discretionary order; no-forcing order;order at discretion 全权信托 discretionary trust

全资附属公司 wholly-owned subsidiary 权衡报告制度 differential reporting 权利金* [期权] premium

权益报表 [中央结算系统] Entitlement Statement [CCASS] 权益法 [会计] equity method [accounting] 权益股本 equity capital; equity share capital 权益会计法 equity method of accounting 权益列表 entitlement table

权益人；利益相关者；干系人*；利益攸关者* stakeholder 权责发生制* [会计] accrual basis [accounting] 权证 warrant

券面利率 coupon; coupon rate 群集式伺服器 cluster server

人均国民生产总值 per capita gross national product 人均国内生产总值 per capita gross domestic product 人证港币交易通 RMB Equity Trading Support Facility 认购 subscription

认购不足 undersubscribed; underbooked 认购短仓 short call 认购期权 call option

认购期权沽出者 call writer 认购期权空仓 short call 认购权证 call warrant 认沽短仓 short put 认沽期权 put option

认沽期权沽出者 put writer 认沽期权空仓 short put 认沽权证 put warrant

认沽认购等价关系 relationship of put-call parity 认股期权 share option

认股权证/认购权证* warrant

认可存款基金 approved deposit fund 认可负债 ranking liabilities

认可行业资格 Recognised Industry Qualifications (RIQ)

《认可机构披露财务资料的最佳执行指引》 [金管局] Best Practice Guide on Financial Disclosure by Authorised Institutions [HKMA] 认可基金 authorised fund 认可用户 authorised user 认可值 admitted value

认可资产净值 net admissible assets 日报表 daily quotations sheet

日本公社债研究所 Japan Bond Research Institute (JBRI) 日本中央银行 Bank of Japan

日经平均指数 Nikkei Stock Average

日终批量处理程序 day-end batch processing 日转期汇 Rolling Forex 熔断机制* circuit breakers 融通票据 accommodation bill 融通收费 accommodation charge 融资券* financing bill 融资人 financier

融资融券*；证券信用交易* margin trading and securities lending 融资租赁承担 finance lease commitment 入市价 entry price

入市指令 order instruction 软货币 soft currency 软佣金 soft commission 软着陆 soft landing

瑞士商品、期货及期权协会 Swiss Commodities, Futures and Options Association

弱势货币 soft currency

三个月拆息利率期货 Serial Month Hibor Futures 三角债 triangular debt 三线股 third liner

散户；散户投资者；个人投资者 retail investor 散户经纪 retail broker 伞子基金 umbrella fund 「闪电崩盘」 flash crash

商品交易商 commodities dealer

商品期货交易委员会 [美国] Commodity Futures Trading Commission (CFTC) [US]

商人银行 merchant bank

商业承兑汇票 trade acceptance

商业登记证 business registration certificate 商业票据 commercial paper 商业信托 business trust

商议佣金 negotiated commission 商誉 goodwill

上海黄金交易所 Shanghai Gold Exchange

上海联合产权交易所 Shanghai United Assets and Equity Exchange (SUAEE) 上海石油交易所 Shanghai Petroleum Exchange

上海市期货同业公会 Shanghai Municipal Futures Industry Association 上海证券交易所 Shanghai Stock Exchange

上海证券中央登记结算公司 Shanghai Securities Central Clearing and Registration Corporation 上市 listing; flotation 上市发行人 listed issuer

《上市发行人董事进行证券交易的标准守则》 Model Code for Securities Transactions by Directors of Listed Issuers 上市法团 listed corporation

上市(复核)委员会 Listing (Review) Committee 上市复核小组 Listing Review Panel

《上市公司董事指引》 Guide for Directors of Listed Companies 上市公司资料库 Primary Market Database 《上市规则》 Listing Rules

上市后的收购活动 post-listing acquisition

上市(纪律复核)委员会 Listing (Disciplinary Review) Committee 上市(纪律)委员会 Listing (Disciplinary) Committee 上市决策小组 Listing Decisions Panel

上市开放式基金 listed open-end fund (LOF) 上市上诉委员会 Listing Appeals Committee

上市事宜谅解备忘录补篇(附件一) First Supplement to the Addendum to Memorandum of Understanding Governing Listing Matters

上市事宜谅解备忘录补篇(重订版) Amended and Restated Addendum to Memorandum of Understanding Governing Listing Matters 上市委员会 Listing Committee 上市协议 Listing Agreement

上市政策委员会 Listing Policy Committee 上市证券 listed securities

上市证券变动之月报 Monthly Return on Movement of Listed Securities 上市资讯支援应用项目 Listing Information Support Application (LISA) 上诉委员会 [证监会] Appeals Panel [SFC] 上下限协议 ceiling-floor agreement

上证超级大盘指数 SSE Mega-cap Index

上证公司治理板块 SSE Corporate Governance Sector 上证综合指数 Shanghai Composite Index 少数股东 minority shareholder 少数股东权益 minority interest

设备代管及租用服务 co-location and hosting services 设备共置服务 co-location

设备托管服务 Hosting Services

设备托管及寄存服务 co-location and hosting services

设定收市价 mark the close 设定增值税 deemed VAT

社会公众股 [中国内地] public share [Mainland China] 申报会计师 reporting accountant 申报期 reporting period

深圳证券登记有限公司 Shenzhen Securities Registration Company Limited 深圳证券交易所 Shenzhen Stock Exchange

深圳证券结算有限公司 Shenzhen Securities Clearing Company Limited 审裁员 adjudicator

审核委员会 Audit Committee 审核线索 audit trail

审计调查委员会 Audit Investigation Board (AIB) 审计师* auditor

审慎原则 principle of prudence 审阅 vetting

失实陈述 misrepresentation 失责 default

失责人士 defaulter

失责追收供款 default recovery contribution 失职行为 misconduct

实地盘存 physical inventory 实际可用年期 actual useful life

实缴股本 paid-up capital; paid-in capital 实盘 firm order

实时计算 real time calculation

实时证券市场数据服务讯息提示 MDF News Alert Message 实时资讯 real time information 实物分派 distribution in specie 实物股票 physical scrip 实物交收 physical delivery 实物利益 benefits-in-kind 实物资产 ETF physical ETF 实益持有人 beneficial holder 实益权益 beneficial interests 实益拥有人 beneficial owner 实质汇率 real exchange rate 食价 price cheating; scalping 时间戳记 time stamp 时间递耗值 theta

时间值 time value; time premium 市场波幅 market volatility

市场参与者 market participant

市场操纵；市场操纵行为 market manipulation 市场从业员 market practitioner

市场定价 price discovery

市场分割 market fragmentation 市场风险 market risk

市场价格厘定 price discovery

市场架构改革统筹委员会 Co-ordinating Committee on Market Structure Reform

市场阔度 breadth of the market

市场敏感资料 market-sensitive information 市场气氛 market sentiment 市场深度 market depth

市场失当行为审裁处 Market Misconduct Tribunal 市场数据传送专线 Market Datafeed

市场数据播送讯息量 market data broadcast rate 市场数据系统 Market Data System (MDS) 市场延拓产品 Market Access Product (MAP) 市场占有率 market share

市场资本总额* market capitalization 市场总值 market capitalization

市价计值按金 mark-to-market margin 市价盘 market order

市价总值 market capitalization

市净率*；市账率 price-to-book ratio 市盈率 price/earnings ratio (P/E) 市账率；市净率* price-to-book ratio 市值 market value

市值租金 market rental 事后审阅 post-vetting 世界银行 World Bank 试算表 trial balance 收费 charge

收费结构 charging structure

收购 acquisition; takeover; buy-out / buyout

收购及合并委员会 [证监会] Takeovers & Mergers Panel [SFC] 收购建议 offer

收购上诉委员会 [证监会] Takeovers Appeal Committee [SFC] 《收购守则》 Code on Takeovers and Mergers (Takeovers Code) 收回价 [牛熊证] call price [CBBC]

收回／取消 [牛熊证] knockout [CBBC] 收紧信贷 credit squeeze 收款代理 receiving agent 收款银行 receiving bank 收盘价 closing price

收取即日差额缴款机制 intra-day marks collection mechanism 收取内幕消息人士 tipper

收市差额缴款 day-end marks 收市后交易 after-hours dealing

收市后资料传送服务 End-of-day Trade Data File Transfer Service 收市价 closing price

收市竞价交易时段 closing auction session 收市盘 at-the-close order 收益 revenue; income; gain 收益率 yield

收益率曲线 yield curve 收益图 payoff diagram 手 board lot; round lot

首次公开发行* initial public offering (IPO) 首次公开招股 initial public offering (IPO)

首次公开招股之进度报告 Initial Public Offerings Progress Report 首次认购费 front-end load 首次上市费 initial listing fee 首席交易员 chief dealer

受监管之股份卖空活动 regulated short selling 受让人 assignee; transferee 受托人 trustee; fiduciary 受信人 fiduciary

受信责任 fiduciary duty 受益人 beneficiary

授权代表 authorised representative 授权书 power of attorney 授信交易* credit trading

输入买卖盘时段 order input period

「输入与核对分工」功能 [中央结算系统] maker-checker facility [CCASS] 赎回 redemption

赎回溢价 [债券] call premium [bonds] 数据传送专线 data feed

数码资料传送专线 Digital Data Feed (DDF) 数码资讯服务 digital information service

「双币双股」模式 “Dual Tranche, Dual Counter” Model 双边价 two-way quote

双边净额结算 bilateral netting

双重存档制度；双重呈报规定 dual filing 双重上市/双边上市 dual listing 双重审核 dual vetting

税后实际回报率 after-tax real rate of return 税后盈利/利润/溢利 after-tax profits 税务优惠 tax relief

税项减免 tax break；tax concession

顺差 favourable variance; favourable difference

顺差额 favourable marks 瞬像/瞬态 snapshot

说明函件 explanatory statement 说明指引 interpretive guidelines

司法权区；司法管辖区；司法地区 jurisdiction

私募基金/私募股权基金* privately-offered fund / private equity fund 私人户口交易指引 personal account dealing guidelines 私人密码 personal identification number (PIN) 私人配售 private placing 私有化/私营化 privatisation 速动市场 fast market 速动资产 liquid asset 速动资金 liquid capital

算法交易 algorithmic trading

算术平均数 [统计] arithmetic average; arithmetic mean [statistics] 酸性测试比率 acid-test ratio 随机分配 random assignment 随机结束 random closing

随意提增法 arbitrary scale up method 碎股 odd lot

损益平衡点 breakeven point 损益账 profit and loss account 锁仓 locked position 索偿通知 claim notice

锁定回报权证 Locked-In Return Warrant 所需回报率 required rate of return

所有普通股指数 All Ordinaries Index (AOI)

台湾创新成长企业类股 Taiwan Innovative Growing Entrepreneurs (TIGER) 台湾期货交易所 Taiwan Futures Exchange (TAIFEX)

台湾证券集中保管公司 Taiwan Securities Central Depository Company Limited

台湾证券交易所 Taiwan Stock Exchange Corporation

台湾证券交易所发行量加权股价指数(台湾加权指数) Taiwan Stock Exchange Capitalization Weighted Stock Index (TAIEX)

太平洋经济合作会议 Pacific Economic Cooperation Council (PECC)

太平洋区资本市场研究中心 Pacific-Basin Capital Markets Research Center 摊薄 dilution

摊销 amortisation

碳排放权 carbon credit

碳排放权金融工具 carbon financial instrument (CFI)

碳信息披露项目的资料披露计划 Information Request of the Carbon Disclosure Project

「碳足迹」 carbon footprint 逃税 tax evasion

套戥/套汇*/套利* arbitrage

套利交易；套息交易 carry trade 套期保值* hedging

特别处理股 [中国内地] Special Treatment [Mainland China] 特别限价盘 special limit order 特别征费 Special Levy

特别转让股 [中国内地] Particular Transfer [Mainland China] 特定时间 [限价盘] Specified Time [limit orders]

特快登记/过户登记服务 expedited registration service 特殊项目 exceptional item

特许公认会计师公会 The Association of Chartered Certified Accountants (ACCA)

特许管理会计师公会 Chartered Institute of Management Accountants (CIMA) 特许金融分析师 chartered financial analyst 特许使用者 privileged user

特许证券商 Designated Specialist

「特许证券商」制度 [美国] Specialist System [US]

特种备兑证资讯 [大利市] exotic warrant information [Teletext] 特种国债 [中国内地] Special Treasury [Mainland China] 特种认股证/非标准型认股证 exotic warrant 提呈发售 offer for sale 提高运作的能力 scalable

提升数码资料输送专线 enhanced digital datafeed 提早补购 early buy-in 替任人 alternate

天津排放权交易所 Tianjin Climate Exchange 条文 provision

调息按揭 adjustable rate mortgage (ARM) 调息日 coupon-reset date 调整 adjustment

调整表/调整声明 statement of adjustments 调整持仓 position adjustment

调整后有形资产净值 adjusted net tangible assets 调整后资产净值 adjusted net assets 调整基数 adjusted basis 贴现 discount

贴现窗 discount window 贴现率 discount rate 停板 trading halt

停牌 suspended trading; suspension 停市措施 speed bump

停止过户期间 book closure period 通货紧缩/通缩 deflation

通讯线路现况显示行 communication status message line

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