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证券用语（A-F） 作者:快言人 时间:2006-9-27 10:24:00
第 1 楼
AAAC Academic and Accreditation Advisory Committee 【SFC】 ABS asset-backed securities ACCA Association of Chartered Certified Accountants, The ACG Asia-Pacific Central Securities Depository Group ADB Asian Development Bank ADR American depository receipt AFTA ASEAN Free Trade Area AGM annual general meeting AIM Alternative Investment Market【UK】 AIMR Association for Investment Management and Research AMCHAM American Chamber of Commerce AMEX American Stock Exchange AMS Automatic Order Matching and Execution System AMS/2 Automatic Order Matching and Execution System / Second Generation AMS/3 Automatic Order Matching and Execution System / Third Generation ANNA Association of National Numbering Agencies AOI All Ordinaries Index APEC Asia Pacific Economic Cooperation APRC Asia Pacific Regional Committee of IOSCO ARM adjustable rate mortgage ASAC Asian Securities' Analysts Council ASC Accounting Society of China ASIC Australian Securities and Investments Commission ASEAN Association of South-East Asian Nations AST system automated screen trading system ASX Australian Stock Exchange ATI Account Transfer Instruction A Decade of Challenge & Development【publication】 《十载挑战与发展》【刊物】 A Policy Paper on Securities and Futures Market Reform 《证券及期货市场改革政策文件》 abnormal item 非正常项目 about order 近价盘 above par 高于面值 above the line 在线项目 Academic Advisory Committee【SFC】 学术界咨询委员会【证监会】 Academic and Accreditation Advisory Committee (AAAC) 【SFC】 学术评审咨询委员会【证监会】 accelerated depreciation 加速折旧 accept order 接价盘 acceptance 承兑 acceptance house 承兑行 accomodation bill 融通票据 Account Transfer Instruction (ATI) 户口转移指示 accountability 责任承担；问责 accountants' report 会计师报告 accounting equation 会计程序 accounting period 会计期间 accounting practice 会计惯例；会计实务 Accounting Society of China (ASC) 中国会计学会 accounting standard 会计准则；会计标准 accounting treatment 会计处理方式 accounts payable 应付账款 accounts receivable 应收账款 accretion 增值 accrual basis【accounting】 应计制；权责发生制*【会计】 accrued expenses 应计费用 accrued interest 应计利息 accrued revenue 应计收益 accumulated depreciation 累计折旧；累积折旧 accumulated interest 累计利息；累积利息 accumulated profits 累计利润；累积利润 acid-test ratio 酸性测试比率 acquisition 收购 acquisition of shells 买壳 acting in concert 一致行动 active business pursuits【GEM】 活跃业务纪录【创业板】 active market 交投活跃 actual market 现货市场 actual price 现货价 actual useful life 实际可用年期 actuary 精算师 ad valorem stamp duty 从价印花税 add-on 附加利益；优惠 additional AMS terminal user 附加自动对盘终端机用家 additional margin 额外按金 Adjudication Division 审裁科 adjustable rate mortgage (ARM) 调息按揭 adjusted basis 调整基数 adjusted net assets 调整后资产净值 adjusted net tangible assets 调整后有形资产净值 adjustment 调整 administering bank 承办银行；经办银行 admissible securities value 证券的认可价值 admitted value 认可值 advance 垫款 advance booking form 排期申请表格 Advertising Guidelines for Collective Investment Schemes 《集合投资计划的广告宣传指引》 Advertising Guidelines for Pooled Retirement Funds 《集资退休基金的广告宣传指引》 Advisory Committee【SFC】 咨询委员会【证监会】 Advisory Specialist Group 专家咨询小组 affiliate; affiliated company 联属公司 after market / aftermarket 二级市场 after-hours dealing 收市后交易 after-tax profits 税后盈利；税后利润；税后溢利 after-tax real rate of return 税后实际回报率 afternoon session 午市 agency account 代理户口；代客买卖户口 Agency Share Transfer System 【Mainland China】 代办股份转让系统 【中国内地】 agency trade 经纪交易；代客买卖 agent 代理人 aggregate auction 集合竞价 aggregate market value 总市值 aging analysis of accounts 账龄分析 All Ordinaries Index (AOI) 所有普通股指数 all-or-none order 全部完成或放弃买卖盘 allotment 配发；股份配发 allottee 获配发人 allowance【accounting】 备抵【会计】 allowance for bad and doubtful debts 坏账及呆账备抵 alpha coefficient alpha 系数 alternate 替任人 alternative investment 另类投资 Alternative Investment Market (AIM)【UK】 另项投资市场【英国】 amalgamation 合并 Amended and Restated Addendum to Memorandum of Understanding Governing Listing Matters 上市事宜谅解备忘录补篇(重订版) American Chamber of Commerce (AMCHAM) 美国商会 American depository receipt (ADR) 美国预托证券 American Stock Exchange (AMEX) 美国证券交易所 American style option 美式期权 amortisation 摊销 AMS order book 自动对盘系统未完成买卖盘纪录 AMS Second Terminal 自动对盘系统第二终端机 annual accounts 年度账目 annual general meeting (AGM) 股东周年大会 annual report 年报 Appeals Panel【SFC】 上诉委员会【证监会】 appetite for risk 风险容量 Applied Research Fund 应用研究基金 appreciation 增值 appropriation 拨款 approved borrower 核准借入人 approved deposit fund 认可存款基金 approved lending agent 核准借出代理人 approved redeemable share 核准可赎回股份 arbitrage 套戥；套汇*；套利* arithmetic average; arithmetic mean 【statistics】 算术平均数【统计】 arm's length transaction 公正交易 arrears 积欠款项；欠款 articles of association 组织章程；组织细则 ASEAN Free Trade Area (AFTA) 东盟自由贸易区 ASEAN Regional Forum 东盟地区论坛 Asia Pacific Economic Cooperation (APEC) 亚太经济合作组织 Asia-Pacific Central Securities Depository Group(ACG) 亚太区中央证券存管处组织 Asia Pacific Loan Market Association 亚太贷款市场协会 Asia Pacific Regional Committee (APRC) of IOSCO 国际证监会组织亚太区委员会 Asian Development Bank (ADB) 亚洲开发银行 Asian dollar bond 亚洲美元债券 Asian dollar market 亚洲美元市场 Asian Securities' Analysts Council (ASAC) 亚洲证券分析员公会 Asian Securities Analysts Federation 亚洲证券分析家协会 ask price; asked price 沽盘价；卖盘价 asset 资产 asset allocation 资产调配；资产调度 asset coverage 资产覆盖率；资产保证 asset injection 注入资产 asset stripper 「拆骨专家」 asset stripping 拆卖资产；资产拆卖 asset swap 资产调换 asset-backed securities (ABS) 抵押证券；有资产支持的债务证券 assignee 受让人；承让人；获分配人士 assignment 转让 assignment【options】 指定分配【期权】 assignor 转让人 assistant supervisor【GEM】 助理主管【创业板】 associate 联系人士 associate; associate company; associated company 联营公司 Association Cambiste Internationale 国际外汇同业联会 associated person 相联人 Association for Investment Management and Research (AIMR) 投资管理研究联会 Association of Chartered Certified Accountants, The 特许公认会计师公会 Association of International Accountants, The 国际会计师公会 Association of National Numbering Agencies (ANNA) 国际编码机构协会 Association of South-East Asian Nations (ASEAN) 东南亚国家协会（东协） Association of Stockbrokers in Hong Kong (1891) 香港经纪协会（1891年） at-auction limit order 竞价限价盘 at-auction order 竞价盘 at-best order 最佳价格盘 at-the-close order 收市盘；尾盘 at-the-money option 平价期权；等价期权 at-the-opening order 开市盘；头盘 ATI Batch File Transfer 户口转移指示整批档案传送 attributable equity interest 应占股权 auction 竞价投标 auction【= open outcry】 口头竞价【= 公开喊价】 auction market 竞价市场 Audit Committee【SFC】 核数委员会【证监会】 Audit Committee 审核委员会 audit test 稽核测试 audit trail 审核线索；复核/追查根据 audited accounts 经审核账目 auditor 核数师；审计师* auditors' report 核数师报告 austerity measures 紧缩措施 Australian Securities and Investments Commission (ASIC) 澳洲证券及投资监察委员会（澳洲证监会） Australian Stock Exchange (ASX) 澳洲证券交易所 authorised capital 法定股本 authorised clerk 出市员；出市代表 authorised fund 认可基金 authorised representative 授权代表 authorised user 认可用户 automatched stock 自动配对股份 automated screen trading system (AST system) 自动荧幕交易系统 automatic exercise【options】 自动行使【期权】 Automatic Order Matching and Execution System (AMS) 自动对盘及成交系统（自动对盘系统） Automatic Order Matching and ExecutionSystem / Second Generation（AMS/2） 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 / Third Generation (AMS/3) 第三代自动对盘及成交系统 （第三代自动对盘系统） average daily turnover 平均每日成交额 average value order 平均价盘 B B/C date book close date Bear ELI Bear Equity Linked Instrument BESS Brokers' Electronic Support Services BFI Brokers' Fidelity Insurance Scheme BIS Bank for International Settlements BTF Block Trade Facility; Block Trading Facility BSS Broker Supplied System Bull ELI Bull Equity Linked Instrument back office 后勤办公室 back-office system 办公室后勤系统；办公室后勤运作系统 back month; distant month 远期月份 backdoor listing 借壳上市 backup interactive line 后备联线通讯线路 bad debt 坏账 bait order 饵盘 balance 结余；余额 balance of payments 国际收支平衡；国际收支差额 balance sheet 资产负债表 balance sheet date 年结日 balance sheet equation 资产负债表编制程式 balancing item 平衡项目 bank confirmation 银行确认书；银行证明文件 Bank for International Settlements (BIS) 国际结算银行 Bank of England 英伦银行 Bank of Japan 日本中央银行 bank reconciliation statement 银行对账表 banker's acceptance 银行承兑汇票 banking company 银行 banking facility 银行融通额；银行融资额 Banking Ordinance 《银行业条例》 banner barter transaction 以物易物的虚晃交易 base day 基准日 bare trustee 被动受托人 base listing document 基础上市文件 Basel Agreement 巴塞尔协议 Basel Committee on Banking Supervision (Basel Committee) 巴塞尔银行监管委员会 (巴塞尔委员会) Basel Concordat 巴塞尔协定 basis point 点子；基点 basket of currencies 一篮子货币 basket warrant 一篮子权证；一篮子备兑证 batch settlement run 多批交收处理程序 Bear Equity Linked Instrument (Bear ELI) 「看跌」股票挂钩票据 bear market 熊市 bear position 空仓；空头* bear raid 疯狂抛售 bearer securities 不记名证券 Bearer Treasury【Mainland China】 不记名式国库券【中国内地】 below par 低于面值 below the line 线下项目 benchmark mortgage pool 按揭贷款基准组合 benchmark yield curve 基准收益率曲线 beneficial holder 实益持有人 beneficial interests 实益权益 beneficial owner 实益拥有人 beneficiary 受益人 benefits-in-kind 实物利益 best execution price 最佳成交价 Best Practice Guide on Financial Disclosure by Authorised Institutions【HKMA】 《认可机构披露财务数据的最佳执行指引》 【金管局】 best price 最佳价格 beta coefficient 「啤打」系数 beta test mode 反馈测试模式 bid price 买价；买盘价 bid-asked spread 买卖差价 bidder 买家 Big Bang【UK】 金融大改革【英国】 bilateral netting 双边净额结算 bill of exchange 汇票 binomial option pricing model 「二项式」期权定价模式 Black-Scholes option pricing model 「柏力克－舒尔斯」期权定价模式 "black out" period 限制买卖期 blanket waiver 全面豁免；一般豁免 block order 大额买卖盘 block trade 大手交易；大宗交易*；大额交易 Block Trade Facility; Block Trading Facility (BTF) 大手交易机制；大手交易设施 blocking period 暂停时段 blue chip 蓝筹股 board lot 手；买卖单位 board of directors 董事会 boiler room 锅炉室 bond 债券 bonus issue 派送股份；派送红股；红股发行 bonus share 红股 book building method 累计投标制 book close date (B/C date) 截止过户日期 book closure period 停止过户期间 book entry 账面记录；账面过账 book runner 配售经办人 book value 账面值 bought deal 全数包销 branch certificate 分行证明书 breadth of the market 市场阔度 breakeven point 损益平衡点；打和点 bridging loan 过渡性贷款 Broker Activities Working Team 经纪活动工作小组 Broker Participant【CCASS Participants】 经纪参与者【中央结算系统参与者】 Broker's Representatives Course 经纪代表课程 Broker's Representatives Examination 经纪代表考试 brokerage 经纪佣金 brokerage house 经纪行 Broker Supplied System (BSS) 经纪自设系统 Brokers' Accounting System 经纪会计系统 Brokers' Electronic Support Services (BESS) 经纪后勤办公室支持服务 Brokers' Fidelity Insurance Committee 经纪忠诚保险计划委员会 Brokers' Fidelity Insurance Scheme (BFI) 经纪忠诚保险计划 brought forward【accounting】 承前【会计】 browse and pick 浏览及挑选 bubble economy 泡沫经济 bucketing 对敲 bulk registration service 大批登记服务 Bull Equity Linked Instrument (Bull ELI) 「看涨」股票挂钩票据 bull market 牛市 bull position 长仓；多头* Bulletin Board 交易议价板 business day 营业日 business registration certificate 商业登记证 butterfly spread 蝶式买卖 buy and hold strategy 囤仓策略 buy in 补购 buy order 买盘 buy-back【cf repurchase agreement】 回购 buy-out / buyout 收购 C CAPI China Association for the Promotion of Investment CASIF Chinese Association of Securities Investment Funds, The CBO Collateralised Bond Obligation CBOE Chicago Board Options Exchange CBOT Chicago Board of Trade CBRC China Banking Regulatory Commission CCASS Central Clearing and Settlement System CCP Central Counterparty CCSD Conference of Central Securities Depositories CDC China Governmnet Securities Depository Trust & Clearing Co. Ltd. CDR China depository receipt CEDEL Centrale de Livraison de Valeurs Mobilieres【Europe】 CEPA Closer Economic Partnership Arrangement CFA Corporate Finance Association CFTC Commodity Futures Trading Commission【US】 CGT capital gains tax CHATS Clearing House Automated Transfer System CHESS see Clearing House Electronic Subregister System【Australia】 CHIS see Computershare Hong Kong Investor Services Limited CICPA see Chinese Institute of Certified Public Accountants CIMA see Chartered Institute of Management Accountants CIRC see China Insurance Regulatory Commission CIS see collective investment schemes CLO see Collateralised Loan Obligation CME see Chicago Mercantile Exchange CMU see Central Moneymarkets Unit【HKMA】 CNS see continuous net settlement COD see cash on delivery COP see Calculated Opening Price CPI see Capital Protected Instrument CPT see Continuous Professional Training CSDCC see China Securities Depository and Clearing Corporation Limited CSRC see China Securities Regulatory Commission cabinet bid 微值入价；微值交易 cabinet trade 微值交易 Cadbury Committee【UK】 凯伯里委员会【英国】 Cadbury Report【UK】 凯伯里报告书【英国】 Calculated Opening Price (COP) 拟定开市价格 calendar spread【options】 跨期买卖【期权】 call market 短期同业拆放市场 call option 认购期权 call premium【bonds】 赎回溢价【债券】 call spread derivative warrant 跨价衍生权证 call warrant 认购权证；回购权证 call writer 认购期权沽出者 call-over 公开作价 cancelled share 注销股份 candlestick chart 阴阳烛图；烛柱图 capital account 资本账；资本项目* capital adequacy 资本充裕程度 capital adequacy ratio 资本充裕/充足比率 capital adjustment 资本调整 capital appreciation 资本增值 capital expenditure 资本支出 capital formation 资本筹集；集资 capital gain 资本增值；资本增益 capital gains tax (CGT) 资本增值税；资本增益税 capital loss 资本亏损 capital market 资本市场 capital plus warrant 资本增值权证 capital preservation product 保本产品 Capital Protected Instrument (CPI) 保本证 capital reserve 资本储备 capital value 资本值 capitalisation 资本化；市值 capitalisation issue 资本化发行；资金股本化 capitalisation of interest 利息资本化 carried forward【accounting】 结转【会计】 cash alternative 现金选择 cash client 现金客户 cash commission rebate; cash rebate 现金回佣 cash company 现金资产公司 cash flow 现金流向；现金周转 cash flow statement 现金流动表 cash market 现货市场 Cash Market Consultative Panel 现货市场咨询小组 cash marks 现金差额缴款 cash on delivery (COD) 货银对付；现金交收 cash prepayment service 款项预缴服务 cash price 现货价 cash settled ELI 以现金折算的息股证 cash settlement 现金交收 "Caveat Emptor" (let the buyer beware) 「买者自负」原则 CCASS/3 新一代中央结算系统 CCASS Depository 中央结算系统证券存管处 CCASS Guarantee Fund 中央结算系统保证基金 CCASS Internet System 中央结算系统互联网系统 CCASS Operational Procedures 《中央结算系统运作程序规则》 CCASS Participant & Designated Bank List 《中央结算系统参与者及指定银行名录》 CCASS Phone System 「结算通」电话系统 "cease and desist" order 「终止及停止」令 ceiling-floor agreement 上下限协议 censure 谴责；指责 Central Clearing and Settlement System (CCASS) 中央结算及交收系统（中央结算系统） central counterparty (CCP) 中央结算对手 central depository 中央存管处 Central Moneymarkets Unit (CMU)【HKMA】 债务工具中央结算系统【金管局】 central nominee 中央代理人 central order book 中央买卖盘纪录 central transaction log 中央交易纪录 Centrale de Livraison de Valeurs Mobilieres (CEDEL)【Europe】 中央证券交收系统【欧洲】 centralised borrowing and lending system 中央股份借贷系统 certificate of incorporation 公司注册证书 certificate replacement service 补发证书服务 Certificate Treasury【Mainland China】 凭证式国库券【中国内地】 chain principle 连锁关系原则 Chamber of Hong Kong Listed Companies 香港上市公司商会 change of domicile 迁册 change of year end 更改财政年度结算日期 charge 抵押；押记；收费 charging structure 收费结构 chartered financial analyst 特许财务分析员 Chartered Institute of Management Accountants (CIMA) 特许管理会计师公会 CHATS Payment Instruction 票据交换所自动转账系统付款指示 Chicago Board of Trade (CBOT) 芝加哥期货交易所 Chicago Board Options Exchange (CBOE) 芝加哥期权交易所 Chicago Mercantile Exchange (CME) 芝加哥商品交易所 chief dealer 首席交易员 China Association for the Promotion of Investment (CAPI) 中国投资发展促进会 China Banking Regulatory Commission (CBRC) 中国银行业监督管理委员会（中国银监会） China depository receipt (CDR) 中国预托证券；中国存托凭证* China Government Securities Depository Trust & Clearing Co. Ltd. (CDC) 中央国债登记结算有限责任公司(中央国债登记结算公司) China Insurance Regulatory Commission (CIRC) 中国保险监督管理委员会（中国保监会） China International Economic and Trade Arbitration Commission 中国国际经济贸易仲裁委员会 China Securities Depository and Clearing Company Limited (CSDCC) 中国证券登记结算有限责任公司 China Securities Regulatory Commission (CSRC) 中国证券监督管理委员会（中国证监会） China Securities Regulatory Commission Official Bulletin 【publication】 《中国证券监督管理委员会公告》【刊物】 China Stock Markets Web 中国证券市场网页 Chinese Association of Securities Investment Funds, The (CASIF) 中国证券业协会基金公会 Chinese Gold and Silver Exchange Society, The 金银业贸易场 Chinese Institute of Certified Public Accountants (CICPA) 中国注册会计师协会 Chinese News System 中文信息系统 Chinese Wall 职能划分制度；职能分管制度 churning 频密交易 circuit breaker 跌停板措施；自动暂缓交易机制 circuit fee 线路费 Circular on Provision of Financial Information on the Internet - Licensing Requirements【SFC】 有关在互联网上提供财经信息的通告 - 发牌规定【证监会】 claim notice 索偿通知 class action shareholder lawsuit 股东集体诉讼 claw back mechanism 回补机制 Clear Talk【publication】 《结算纵横》【刊物】 clearing 结算；清算* Clearing Agency Participant【CCASS Participants】 结算机构参与者【中央结算系统参与者】 clearing agreement 结算协议书 Clearing Consultative Panel 结算咨询小组 clearing house 结算所 Clearing House Automated Transfer System (CHATS) 票据交换所自动转账系统 Clearing House Electronic Subregister System (CHESS)【Australia】 结算所电子附属登记系统【澳洲】 Clearing Participant【options trading】 结算参与者【期权买卖】 clearing price 结算价；清算价* client account 客户户口 Client Identity Rule【SFC】 客户身分规则【证监会】 client margin 客户按金 client server architecture 客户服务器结构 client's agreement 客户协议书；客户合约 close out 平仓；结清 closed-end fund 闭端式基金 Closer Economic Partnership Arrangement (CEPA) 更紧密经贸关系安排 closing buy【options】 平买入仓【期权】 closing contract 平仓合约 closing price 收市价；收盘价 closing sale【options】 平卖出仓【期权】 closing stock 期末存货 closing transaction 平仓交易 closure of books; closure of register 暂停办理过户登记手续 cluster server 群集式服务器 Coalition on Service Industry【Hong Kong General Chamber of Commerce】 服务业联会【香港总商会】 Code of Banking Practice【HKMA】 《银行营运守则》【金管局】 Code of Best Practice 《最佳应用守则》 Code of Conduct 《操守准则》 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 《证券及期货事务监察委员会持牌人或注册人操守准则》 Code of Conduct for Share Registrars 【SFC】 《股份登记机构操守准则》【证监会】 Code of Conduct for Sponsors and Independent Financial Advisers 《保荐人及独立财务顾问的操守准则》 Code of Conduct Regulations 《专业操守规例》 Code on Investment-linked Assurance Schemes 《与投资有关的人寿保险计划守则》 Code on Pooled Retirement Funds 《集资退休基金守则》 Code on Real Estate Investment Trusts 《房地产投资信托基金守则》 Code on Share Repurchases 《公司购回本身股份守则》 （《股份购回守则》） Code on Takeovers and Mergers 《公司收购及合并守则》 Code on Unit Trusts and Mutual Funds 《单位信托及互惠基金守则》 cold shoulder order 冷淡对待令 collateral 抵押品；担保物* collateral eligibility 抵押品资格 Collateralised Bond Obligation (CBO) 债券抵押证券 Collateralised Loan Obligation (CLO) 贷款抵押证券 collateralised warrant 有抵押权证 collective investment fund 集体投资基金 collective investment scheme (CIS) 集体投资计划 Collector of Stamp Revenue 印花税署署长 co-manager 联席经办人 combination order 综合盘；组合盘 combined net tangible assets 合并有形资产净值 combo order 综合盘；组合盘 comfort letter 联系证明书；信心保证书 commercial paper 商业票据 commission rebate 佣金回扣；回佣 Commissioner of Insurance 保险业监理专员 Committee of Payment System【HKMA】 支付系统小组委员会【金管局】 Committee on Unit Trusts【SFC】 单位信托委员会【证监会】 commodities dealer 商品交易商 Commodities Trading Ordinance 《商品交易条例》 Commodity Exchanges (Prohibition) Ordinance 《商品交易所（禁止经营）条例》 Commodity Futures Trading Commission (CFTC)【US】 商品期货交易委员会【美国】 Common Collateral Management System 共同抵押品管理系统 common nominee 共享代理人 "common nominee" share certificate 「共享代理人」股票 Common Risk Management System 共同风险管理系统 communication status message line 通讯线路现况显示行 Companies (Amendment) Bill 2003 《2003年公司(修订)条例草案》 Companies (Summary Financial Reports of Listed Companies) Regulation 《公司(上市公司的财务摘要报告)规例》 Companies Registry 公司注册处 Company Bulletin Board【UK】 公司交易板【英国】 Compensation Committee 赔偿委员会 Compensation Fund Reserve Account 赔偿基金储备账 compliance officer【GEM】 法规主任【创业板】 composite order 综合盘；组合盘 composite risk 综合风险 composite table 综合表 composite trades 综合买卖 Comptroller of the Currency【US】 美元总会计长【美国】 compulsory buy-in 强制补购 Compulsory Stock Borrowing and Lending Service in CCASS 中央结算系统强制证券借贷服务 Computershare Hong Kong Investor Services Limited (CHIS) 香港中央证券登记有限公司 concentrated position 集中持仓量 concentration risk 集中风险 concentration risk adjustment 集中风险调整 concept stock 概念股 conditional agreement 有条件协议 conditional cash offer 有条件现金收购；有条件现金要约 Conference of Central Securities Depositories (CCSD) 中央证券存管处国际会议 Conflict Committee 利益冲突事宜委员会 connected person 关连人士 connected transaction 关连交易 consideration 代价；约价* consideration issue 代价发行 consideration share 代价股份 consolidated financial statement 综合财务报表 consolidation 合并；整合 constitution 组织章程 construction-in-progress 在建工程 Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules 《建议就认可海外规则修订〈证券及期货(稳定价格)规则〉咨询总结》 Consultation Conclusions on Proposals to Enhance the Regulation of Listing 《有关改善规管上市事宜的建议咨询总结》 Consultation Paper on a Proposed Operational Model for a Scripless Securities Market 《有关无纸化证券市场的建议运作模式的咨询文件》 Consultation Paper on Proposals for a Scripless Securities Market 《关于建立无纸化证券市场的建议的咨询文件》 Consultation Paper on Proposals to Enhance the Regulation of Listing 《有关改善规管上市事宜的建议咨询文件》 Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures 《为便利股份或债权证要约而就《公司条例》提出的修订建议咨询文件》 Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges 《与证券服务有关的收费及费用的良好披露指引草拟本咨询文件》 Consultation Paper on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Action On Behalf of a Company 《有关赋权证券及期货事务监察委员会代表公司提出衍生诉讼的建议咨询文件》 Consultation Paper on the Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel 《有关建议加强监督核数师的公众利益活动及成立财务汇报检讨委员会的咨询文件》 Consultation Paper on the Regulation of On-Line Trading of Securities and Futures 《有关监管证券及期货的网上交易咨询文件》 Consultation Paper on the Regulation of Sponsors and Independent Financial Advisers 《有关对保荐人及独立财务顾问监管的咨询文件》 Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest 《关于处理分析员利益冲突的监管架构的咨询文件》 contested takeover 争夺式收购 contingent liabilities 或然负债 contingent order【LSE】 附带执行买卖盘【伦敦交易所】 contingent premium 或有保费 continuing connected transaction 持续关连交易 continuing obligation 持续责任 continuing operation 持续经营之业务 continuous auction 连续竞价 continuous net settlement (CNS) 持续净额交收 Continuous Professional Training (CPT) 持续专业培训课程 contra broker 对手经纪 contract multiplier 合约乘数 contract note 成交单；成交单据；买卖单据 contract size 合约股数 contract specifications 合约规格 contract unit 合约单位 contracted price 立约成价 contractual mutual fund 合约互惠基金 contrarian 逆向投资者 contribution 供款 control account 统制账户 controller workstation 中央控制工作站 controlling interest 控股权益 controlling shareholder 控股股东；控权股东 conversion【options】 变换交易【期权】 conversion ratio 换股比率 convertible bond 可转换债券；可换股债券 convertible note 可转换票据；可换股票据 convertible redeemable note 可转换可赎回票据；可换股可赎回票据 convertible securities 可转换证券；可换股证券 Co-ordinating Committee on Market Structure Reform 市场架构改革统筹委员会 core earnings 核心盈利 cornering 挟仓 corporate accounting 集团会计 corporate actions service fee 代履行权责服务费 corporate communication 公司通讯 Corporate Exchange Participant 公司交易所参与者 Corporate Finance Adviser Code of Conduct 【SFC】 《企业融资顾问操守准则》【证监会】 Corporate Finance Association, The (CFA) 企业融资协会 corporate governance 企业管治；公司治理* Corporate Governance Action Plan for 2003 2003年企管行动纲领 Corporate Investor Account 公司投资者户口 Corporate Plan【SFC】 机构计划书【证监会】 corporate raider 企业狙击手 Corporate Substantial Shareholders Notification 法团大股东具报书 co-sponsor 副保荐人【创业板】；联席保荐人 cost effectiveness 成本效益 cost of carry 持权成本【期权】；持有成本 co-trustee 联合受托人 counter order 还盘 counterparty 交易对手；对手方 counterparty risk 对手风险 coupon; coupon rate 票面息率；票面利率；券面利率 coupon-reset date 调息日 cover【ie close out a short position = buy in】 平仓 covered call【options】 备兑认购期权 covered option 备兑期权 covered short selling 有担保的卖空交易 covered warrant 备兑权证 covered writing 沽出备兑期权 credit 信贷 credit control 信贷管制 credit limit 信贷额度* credit rating 信贷评级；信用评级 credit risk 信贷风险 credit squeeze 信贷紧缩；收紧信贷 creditor 债权人 creeper 自由增购率 cross collateral 跨市场抵押品 cross currency trade 货币交叉盘买卖 cross listing 相互上市 cross margining 跨市场按金制度 cross-border listing 跨境上市 crossed market 对敲 crossed trade; cross trade; crossing 交叉买卖；交叉盘买卖 crossing system 交叉盘系统 crude oil futures 原油期货 cumulative advance 累计垫款；累积垫款 currency basket 一篮子货币 currency board system 货币发行局制度；发钞局制度 currency forward 远期货币合约 currency futures 货币期货 currency translation exposure 外币折算风险 currency warrant 货币权证 current account 经常账；往来账 custodian 托管人；保管人 Custodian Participant【CCASS Participants】 托管商参与者【中央结算系统参与者】 D DvP see delivery vs payment DCASS see Derivatives Clearing and Settlement System DCI see Direct Credit Instruction DCP see Direct Clearing Participant DDF see Digital Data Feed DDI see Direct Debit Instruction DMT see dual mode terminal DNS see Depository and Common Nominee System DTB see Deutsche Terminborse DTC see deposit-taking company DTC【US】 see Depository Trust Company【US】 daily average funds netting efficiency 款项净额结算每日平均效率 daily average settlement efficiency 每日平均交收效率 daily margin 每日按金 daily margin call 每日按金要求 Daily Movement Statement【clearing】 股份转移日结单【结算】 Daily Trading Activity and Open Positions Summary Report【futures】 每日交易活动及持仓报告【期货】 daily trading limit 每日价格上限 dark fibre 直驳光纤 data feed 数据传送专线 day order 即日买卖盘；即日盘 day trade 即日买卖；「即日鲜」；即日平仓交易 day-end marks 收市差额缴款 de minimus (waiver) provision 最低豁免规定 deal ticket 买卖盘纸 dealer 证券商；交易商 dealer's representative 证券商代表 dealing director 证券商董事 dealing partnership 证券合伙商号 dealing practice 买卖惯例 dealing room 盘房 debenture 债券；债权证 debit 借额 debit balance 借方结余 debt chain 债务链 debt-for-equity swap 债转股 debt market 债务市场 debt repayment 债务偿还 debt securities 债务证券；债券 debt-to-equity ratio 负债比率 debtor 债务人 Declaration and Undertaking with regard to Directors 《董事的声明及承诺》 dedicated line 专用线路 deemed VAT 设定增值税 deep-in-the-money option 极价内期权 deep-out-of-the-money option 极价外期权 default 失责；未能履行责任 default recovery contribution 失责追收供款 defaulter 失责人士 defective securities 问题证券 defence document 反收购文件 deferred share 递延股 deferred tax 递延税项 deflation 通货紧缩；通缩 delayed data 延时信息；非实时数据 delineation of activities 业务划分 delisting 除牌；退市；摘牌* delivery 交付 delivery vs payment (DvP) 货银两讫；货银同步交收； 货银对付方式交收 delta【options】 对冲值【期权】 delta hedge delta 式对冲；无风险对冲 delta neutral delta 零值 dematerialisation of share certificate 非实物化 demutualisation 股份化；股份制；将会员制转为股份制 denominated in (DM) 以（马克）计值；以（马克）为计价货币；以（马克）为单位 Deposit-Taking Companies Association, The 存款公司公会 deposit-taking company (DTC) 接受存款公司 Depository and Common Nominee System (DNS) 存管处及共享代理人系统 depository nominee 存管代理人 depository receipt 预托证券 Depository Trust Company (DTC)【US】 美国存管信托公司 depreciation 折旧；贬值 deregulation 放宽管制 deregulation of interest rates 放宽利率管制 derivative action 衍生诉讼 derivative warrant 衍生权证 derivatives 衍生产品；衍生工具 Derivatives Clearing and Settlement System(DCASS) 衍生产品结算及交收系统 derivatives market 衍生产品市场；衍生工具市场 Derivatives Market Consultative Panel 衍生产品市场咨询小组 designated bank 指定银行 Designated Compliance Officer 专责监察主任 designated deposit 委托存款* designated securities 指定证券 Deutsche Bundesbank 德意志联邦银行 Deutsche Terminborse (DTB) 德国期货及期权交易所 diagonal spread 对角买卖 differential reporting 权衡报告制度 Digital Data Feed (DDF) 数码数据传送专线 digital information service 数码信息服务 dilution 摊薄；稀释* Diploma Course in Advanced Securities Market Analysis 证券市场分析文凭深造课程 Diploma Course in Derivatives and Risk Management 衍生产品及风险管理文凭课程 direct business; direct business transaction 两边客交易；直接成交 direct clearing 直接结算 Direct Clearing Participant (DCP) 直接结算参与者 Direct Credit Instruction (DCI) 直接存款/存账指示 Direct Debit Instruction (DDI) 直接扣款/扣账指示 direct stock admission【CCASS】 直接纳入中央结算系统的新股 Director's / Chief Executive's Notifications 董事/行政总裁具报书 directors' fee 董事袍金 directors' remuneration 董事酬金 directors' report 董事会报告 Disciplinary Appeals Committee 纪律上诉委员会 Disciplinary Casebook 《纪律案例》 Disciplinary Committee 纪律委员会 disciplinary power 纪律处分权力 disciplinary procedures 纪律程序 disclaimer 免责声明；否定声明；无责任声明 discloseable transaction 须予披露的交易 disclosure 披露；公开；披露事项；资料披露 disclosure-based 以披露为本；以信息披露为重 disclosure of interests 披露权益；公开权益 discontinued operations 已终止经营之业务 discount 低水【期货】；折让；贴现 discount broker 折让经纪；折扣经纪；减佣经纪；低收费经纪 discount rate 贴现率；扣减率 discount window 贴现窗 discounted cash flow 现金流量折现 / 贴现法 discretionary account 全权代客买卖账户；全权委托户口 discretionary bonus payment 酌情支付的花红 discretionary manager 全权管理人 discretionary order 全权委托盘 discretionary power 酌情权 discretionary trust 全权信托 disinflation 滞胀；反通货膨胀 disinterested shareholder 没有利益关系的股东 disintermediation 非中介化；排媒现象 dispersion【statistics】 离差【统计】 disqualification order 吊销资格令 distant month; back month 远期月份 distributable profit 可分派溢利 distribution 分销；分派 distribution in specie 实物分派 dividend and debt securities interest collection service fee 代收股息/债券利息服务费 dividend in specie 以股代息 dividend warrant 股息单 dividend yield 股息率 documentation risk 文件风险 domestic share【Mainland China】 内资股【中国内地】 dormant company 已停业公司；不活跃公司 Dow Jones Industrial Average 道琼斯工业平均指数 Dow Jones Industrial Average Futures and Options 道琼斯工业平均指数期货及期权 download 下载；收录 downtick 低于最佳卖盘价；低于最好沽盘价 dragon bond 龙债券 dual filing 双重存档制度；双重呈报规定 dual listing 双重上市；双边上市；相互上市 dual mode terminal (DMT) 两用画面终端机 due diligence 尽职审查；仔细审查；仔细审核 dynamic hedging 动态对冲 E E day see exercise day EAOSEF see East Asian and Oceanian Stock Exchanges Federation EAS price see estimated average settlement price EASDAQ see European Association of Securities Dealers Automated Quotations EBRD see European Bank of Reconstruction and Development ECN see electronic communications network EDGAR see Electronic Data Gathering, Analysis and Retrieval【US】 EERI see Effective Exchange Rate Index for the Hong Kong Dollar EFIL see Exchange Fund Investment Limited EFN see Exchange Fund Note EGM see extraordinary general meeting EIPO see Electronic Initial Public Offering service eIRC see Electronic Investor Resources Centre【SFC】 ELI see Equity Linked Instrument ELN see equity linked note EMSIS see Electronic Mailing Stock Information Service EMU see European Economic and Monetary Union EPI see Electronic Payment Instruction EPS see earnings per share early buy-in 提早补购 early warning system 预警系统 earnings per share (EPS) 每股盈利 East Asian and Oceanian Stock Exchanges Federation (EAOSEF) 东亚及大洋洲证券交易所联会 Economic Development and Labour Bureau 经济发展及劳工局 Effective Exchange Rate Index for the Hong Kong Dollar (EERI) 港汇指数；港元实际汇兑指数 e-FRRR system 电子化财政资源规则报表系统 Electronic Application Instruction for New Issue Shares 电子认购新股指示 electronic communications network (ECN) 电子通讯网络 Electronic Data Gathering, Analysis and Retrieval (EDGAR)【US】 「电子数据收集、分析及检索」系统【美国】 Electronic Initial Public Offering service (EIPO) 电子认购首次公开招股服务 Electronic Investor Resources Centre (eIRC)【SFC】 网上投资者资源中心【证监会】 Electronic Mailing Stock Information Service (EMSIS) 电子传递证券信息服务 electronic money settlement fee 电子款项交收费 Electronic Money Settlement Services 电子款项交收服务 Electronic Payment Instruction (EPI) 电子收付款指示 electronic trading 电子交易 eligible securities 合资格证券 Eligible Supervisor 合资格主管 e-mail 电子邮件；电子邮递；电邮 E-mail and Group Paging Services 经纪电子邮递及集体传呼服务 emerging market 新兴市场 employee share【Mainland China】 职工股【中国内地】 employer trustee 资方信托人 encumbrances 产权负担 end user 最终用户；最终使用者 End-of-day Trade Data File Transfer Service 收市后数据传送服务 enhanced access to AMS 增强自动对盘系统的市场接触力 enhanced digital datafeed 提升数码数据输送专线 enhanced limit order 增强限价盘 Enhanced Special Stock Trading Method 改良特别股份交易方法 enlarged share capital 经扩大股本 Enquire Announcement Information【CCASS】 查询公布数据【中央结算系统】 Enquire Reported Lost Certificate【CCASS】 「查询报失股票数据」功能【中央结算系统】 Enquire Unmatched SI Reason【CCASS】 查询交收指示未获配对原因【中央结算系统】 Enterprise Information Database 企业信息数据库 Entitlement Statement【CCASS】 权益报表【中央结算系统】 entitlement table 权益列表 entry price 入市价 equilibrium price 均衡价格；平衡价格 equity base 股本基数 equity capital; equity share capital 权益股本 equity interest 股东权益；股权 Equity Linked Instrument (ELI) 股票挂钩票据 equity linked note (ELN) 与股票挂钩票据；高息票据 equity method【accounting】 权益法【会计】 equity option 股票期权 equity securities 股本证券 equity warrant 股本权证 estimated average settlement price(EAS price) 预计平均结算价 estimated capital value 预计资本值 estimated useful life 估计使用年期 e-Submission system 电子呈交系统 Ethics in Practice - A Practical Guide for Financial Practitioners 《财经有道 - - - 证券、期货及投资界专业道德实务指引》 euro / Euro 欧罗；欧元 Eurobond 欧洲债券；欧洲货币债券 Euroclear 欧洲结算系统 Euroclear Bank 欧洲结算银行 Euro-convertible guaranteed bond 欧洲可换股担保债券 European Association of Securities Dealers Automated Quotations (EASDAQ) 欧洲证券交易商协会自动报价系统 European Bank of Reconstruction and Development (EBRD) (ie World Bank) 欧洲复兴及开发银行（即 世界银行） European Economic and Monetary Union (EMU) 欧洲经济及货币联盟 European Parliament 欧洲议会 European style option 欧式期权 Euroyen Tibor Futures 欧洲日圆东京银行同业拆息期货 ex unadjusted close 除净日未经调整之收市价 exceptional item 特殊项目 exchange control 外汇管制 Exchange Fund Bill 外汇基金票据 Exchange Fund Investment Limited (EFIL) 外汇基金投资有限公司 Exchange Fund Note (EFN) 外汇基金债券 Exchange Fund Ordinance 《外汇基金条例》 Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited) 《证券上市规则》（《香港联合交易所有限公司证券上市规则》） exchange loss 汇兑损失 exchange of information 信息交流 Exchange Participant 交易所参与者 Exchange Participant Certificate 交易所参与者证明书 Exchange Participants' Market Shares Report 《交易所参与者市场占有率报告》 exchange quota 汇兑限额 exchange surrender system 银行结汇体系 Exchanges and Clearing Houses (Merger) Ordinance 《交易所及结算所（合并）条例》 Exchanges (Special Levy) Ordinance 《交易所（特别征费）条例》 exchange traded option 交易所买卖之期权；场内买卖期权 exchange traded product 场内交易产品 Exchange Traded Fund 交易所买卖基金；「组合股」 ex-date 除净日 ex-dividend basis 除息基准 execution facilities 交易设施 Executive Committee 常务委员会 executive director 执行董事 Exempt Fund Manager 豁免基金经理 exempt listing status 豁免上市地位 Exempt Principal Trader 豁免自营买卖商 exempt trader 豁免交易商 exercise 行使 exercise day (E day) 行使日 exercise period 行使期；行使时限 exercise price 行使价 exercise price interval 行使价间距 exercise style 行使方式 exit price 平仓价 exotic warrant 非标准型认股证；特种认股证 exotic warrant information【Teletext】 特种备兑证信息【大利市】 expedited registration service 特快过户登记服务 Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure 检讨证券及期货市场规管架构运作专家小组 expiry date 到期日 expiry month 到期月份 explanatory memorandum 注释备忘录 explanatory statement 说明函件 exponentially-weighted moving average 指数加权移动平均方法 exposure management 风险管理 Exposure of Draft Code on Corporate Governance Practices and Corporate Governance Report 《企业管治常规守则及企业管治报告征求意见草拟本》 ex-rights 除权 external auditor 外聘核数师；外部核数师 extraordinary general meeting (EGM) 股东特别大会 extraordinary item 非经常项目 F Fannie Mae see Federal National Mortgage Association FATF see Financial Action Task Force FIFO see First in, first out FOK see Fill-or-Kill FOMC see Federal Open Market Committee FRCD see floating rate certificate of deposit FRN see floating rate note FRR see Financial Resources Rules FSA see Financial Services Authority【UK】 face value 面值 Fact Book 《股市资料》 Fact Sheet 《股市资料》 fair market value 公平市值 false market 虚假市场；假市 Far East Exchange, The 远东交易所 fast market 速动市场 fault tolerance 错误包容；故障包容 favourable variance; favourable difference 顺差 feasibility study 可行性研究 Fed wire / Fedwire / FedWire 联邦结算系统 Federal funds 联邦基金 Federal funds rate 联邦基金利率 Federal National Mortgage Association (Fannie Mae) 美国联邦国家房屋贷款协会（房利美） Federal Open Market Committee (FOMC) 美国联邦公开市场委员会 Federal Reserve System 联邦储备系统 Federation of Shares Registrars Limited 证券登记公司总会有限公司 fellow subsidiary 同系附属公司；同集团附属公司 Fidelity Fund 互保基金 fiduciary 受信人；受托人 fiduciary duty 诚信责任；受信责任 file backup-restore macro 后备资料复原软件 file transfer 档案转换；数据传送 file transfer protocol 档案传送协议 Fill-or-Kill (FOK) 全额或取消；全数执行或立刻取消；全数配对否则取消 Final Clearing Statement【CCASS】 最后结算表【中央结算系统】 final review hearing 最后复核聆讯 Final Settlement Price 最后结算价 Final Settlement Run 最后一轮交收处理程序 Finance Bureau 库务局 finance lease commitment 融资租赁承担 financial accommodation 财务通融 Financial Action Task Force (FATF) 金融行动专责委员会 financial adviser 财务顾问 financial bond 金融债* financial conglomerate 财资企业集团 Financial Disclosure by Locally Incorporated Authorized Institutions 【HKMA】 《本地注册认可机构披露财务数据》【金管局】 financial exposure 财务风险 financial futures 金融期货 financial institution 金融机构 financial instrument 金融工具 financial integrity 财政健全 financial intermediary 金融中介机构/团体 financial intermediation 金融中介现象 financial lease 财务租赁；金融租赁* financial market 金融市场 Financial Market Development Task Force, The 财经市场发展专责小组 financial regulation 财务监管 financial reporting 财务申报 Financial Resources Rules (FRR) 《财政资源规则》 financial results 财务业绩 financial risk 财务风险 Financial Secretary 财政司司长 Financial Services Act【UK】 《金融服务法令》【英国】 Financial Services Authority (FSA)【UK】 英国金融业管理局 Financial Services and the Treasury Bureau 财经事务及库务局 financial shareholder 财政股东 financial year 财政年度 financier 融资人 FinNet 金融服务网络 firm bid and ask quotations 作实买卖价 firm commitment【underwriting】 坚定承诺【包销】 firm order 公司盘 firm order 实盘 firm position 公司仓；行仓 first in, first out (FIFO) 先进先出 First Supplement to the Addendum to Memorandum of Understanding Governing Listing Matters 上市事宜谅解备忘录补篇(附件一) Fit and Proper Criteria, The【SFC】 《适当人选的准则》【证监会】 fixed-rate mortgage 定息按揭 floating rate certificate of deposit (FRCD) 浮息存款证 floating rate note (FRN) 浮息票据 floor trader 出市代表；出市员 flotation 挂牌买卖；上市 force majeure 不可抗力 forced buy-in 强制补购 forced liquidation 斩仓 foreign exchange exposure 外汇风险 foreign share【Mainland China】 外资股【中国内地】 forex option 外汇期权 forex swap 外汇掉期 Form for Reporting Dealings in Securities Suspended due to Insufficient Public Float 买卖因公众持股量不足而停牌证券的申报表 forward entitlement 远期权利 frame relay trading network 帧中继交易网；讯框传送交易网络 free convertibility 自由兑换 free float 公众持股量 Free Text Area【Teletext】 新闻栏【大利市机股份页】 fringe market 外围市场 front running 行头盘；扒头交易 front-end load 首次认购费 front-month 即月 front-office system 办公室前线系统 FTSE 富时指数有限公司 (原金融时报指数) FTSE/Hang Seng Asian sector Indexes 恒生/富时亚洲分类指数 FTSE/Hang Seng Asiatop Index 恒生/富时亚洲大企业指数 FTSE/Hang Seng Indexes 恒生/富时指数系列 FTSE/Xinhua China 25 Index 新华富时中国25指数 full disclosure 全面披露 fully diluted earnings per share 全面摊薄每股盈利 fully paid-up capital 缴足股本 fund accounting approach 资金会计法 fund balancing 资金平衡 fund flow 资金流向 fund manager 基金经理 Fund Manager Code of Conduct【SFC】 《基金经理操守准则》【证监会】 fund statement 资金表 fund unit holder 基金份额持有人* fund utilisation 资金运用 Futures Compensation Fund Committee【SFC】 期货赔偿基金委员会【证监会】 Futures Compensation Fund 期货赔偿基金 |
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