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一篮子货币  basket of currencies; currency basket

一篮子备兑证  basket warrant

一篮子权证  basket warrant

九龙证券交易所  The Kowloon Stock Exchange

二手市场  used market

二级市场  secondary market; after market / aftermarket

「二项式」期权定价模式  binomial option pricing model

「二态」期权模式  "two-state" option valuation model

二线股  second liner; second line stock

二类股票(台湾)  TIGER Board(Taiwan)

人均国内生产总值  per capita gross domestic product

人均国民生产总值  per capita gross national product

入市指令  order instruction

入市价  entry price

《十载挑战与发展》(刊物)  A Decade of Challenge & Development(publication)

三角债  triangular debt

三个月拆息利率期货  Serial Month Hibor Futures

三线股  third liner

上下限协议  ceiling-floor agreement

上市  listing; flotation

上市(复核)委员会  Listing (Review) Committee

上市上诉委员会  Listing Appeals Committee

《上市公司董事指引》  Guide for Directors of Listed Companies

《上市公司董事进行证券交易的标准守则》  Model Code for Securities Transactions by Directors of Listed Issuers

上市公司资料库  Primary Market Database

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

上市协议  Listing Agreement

上市委员会  Listing Committee

上市法团  listed corporation

一级市场  primary market

一致行动  acting in concert

一般性授权  general mandate

一般谘询及支援工作小组  General Advisory and Support Working Team

一般豁免  general waiver; blanket waiver

一般权证  plain vanilla warrant

一线多机  multiple-workstations

一篮子指数买卖盘  index basket order

上市后的收购活动  post-listing acquisition

上市规则  listing rules

上市开放式基金  listed open-end fund (LOF)

上市发行人  listed issuer

上市证券  listed securities

上市证券变动之月报  Monthly Return on Movement of Listed Securities

上海市期货同业公会  Shanghai Municipal Futures Industry Association

上海联合产权交易所  Shanghai United Assets and Equity Exchange

上海证券中央登记结算公司  Shanghai Securities Central Clearing and Registration Corporation

上海证券交易所  Shanghai Stock Exchange

上诉委员会(证监会)  Appeals Panel (SFC)

下一交收日到期/逾期数额报告(中央结算系统) 

Next Settlement Day Due / Overdue Position Report(CCASS)

下载  download

口头竞价 / 口头唱价*(= 公开喊价)  auction(= open outcry)

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)

大利市  Teletext

大利市版页  Teletext page

大利市资讯服务  Teletext Information Service

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

大批登记服务  bulk registration service

大宗交易*  block trade

大股东  substantial shareholder; major shareholder

大型股  large cap stock

大量户口转移指示  Mass Account Transfer Instruction (Mass ATI)

大量开盘  mass quote

大额未平仓合约  large open position

大额股票(中央结算系统)  jumbo certificate(CCASS)

大额持仓汇报协议  Large Exposure Report Agreement

大额买卖盘  block order

小型恒生指数期货合约  Mini-HSI Futures

小型恒生指数期权合约  Mini-HSI Options

已交收数额报告(中央结算系统)  Settled Position Report(CCASS)

已停业公司  dormant company

已终止经营之业务  discontinued operations

已发行股份/股本/股票  issued shares; outstanding stock

「已划分的买卖」制度(中央结算系统)  isolated trades system(CCASS)

「不公平损害」补救  "unfair prejudice" remedy

不公平竞争  uneven playing field(cf level playing field)

不可抗力  force majeure

不定额供款  variable contribution

不活跃公司  dormant company

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

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

不限量发行  tap issue

不记名式国库券(中国内地)  Bearer Treasury(Mainland China)

不记名证券  bearer securities

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

不动盘  inactive order

不当行为  misconduct

中小企业板块(深圳证券交易所)  SME Board(Shenzhen Stock Exchange)

中介人财务规管制度工作小组  Working Group on Review of Financial Regulatory Framework fro Intermediaries

中介控股公司  intermediate holding company

中介现象  intermediation

中介机构/团体  intermediary

中午资料传送服务  Mid-day Data File Transfer Service

中文资讯系统  Chinese News System

中外合资企业  Sino-foreign equity joint venture

中央代理人  central nominee

中央交易纪录  central transaction log

中央存管处  central depository

中央股份借贷系统  centralised borrowing and lending system

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 Government Securities Depository Trust & Clearing Co. Ltd. (CDC)

中央控制工作站  controller workstation

中央结算及交收系统 (中央结算系统)  Central Clearing and Settlement System (CCASS)

《中央结算系统一般规则》  General Rules of CCASS

中央结算系统互联网系统  CCASS Internet System

中央结算系统保证基金  CCASS Guarantee Fund

中央结算系统强制证券借贷服务  Compulsory Stock Borrowing and Lending Service in CCASS

中央结算系统参与者及指定银行名录  CCASS Participant & Designated Bank List

中央结算系统参与者保荐户口  CCASS Participant Sponsored Account

中央结算系统登记册  CCASS Register

《中央结算系统运作程序规则》  CCASS Operational Procedures

中央结算系统证券存管处  CCASS Depository

中央结算对手  central counterparty (CCP)

中央买卖盘纪录  central order book

中央证券交收系统(欧洲)  Centrale de Livraison de Valeurs Mobilieres (CEDEL)(Europe)

中央证券存管处国际会议  Conference of Central Securities Depositories (CCSD)

中位价期权  middle-priced option

中型股  mid-cap stock

中国人民银行  People's Bank of China (PBOC)

中国内地发行人  PRC issuer

《中国公司在香港上市指南》(刊物)  Listing Chinese Companies in Hong Kong(publication)

中国存托凭证*  China depository receipt (CDR)

中国投资发展促进会  China Association for the Promotion of Investment (CAPI)

中国保险监督管理委员会（中国保监会）  China Insurance Regulatory Commission (CIRC)

中国国际经济贸易仲裁委员会  China International Economic and Trade Arbitration Commission

中国注册会计师协会  Chinese Institute of Certified Public Accountants (CICPA)

中国会计学会  Accounting Society of China (ASC)

中国证券市场网页  China Stock Markets Web

中国预托证券  China depository receipt (CDR)

中国银行业监督管理委员会（中国银监会）  China Banking Regulatory Commission (CBRC)

中国证券登记结算有限责任公司（中国结算公司）  China Securities Depository & Clearing Corporation Limited (CSDCC)

中国证券业协会  The Securities Association of China (SAC)

中国证券业协会基金公会  The Chinese Association of Securities Investment Funds(CASIF)

中国证券业协会证券分析师专业委员会  Securities Analysts Association of China (SAAC)

中国证券监督管理委员会（中国证监会）  China Securities Regulatory Commission (CSRC)

《中国证券监督管理委员会公告》  China Securities Regulatory Commission Official Bulletin (publication)

中期报告  interim report

中华民国证券柜台买卖中心  GreTai Securities Market (GTSM)

中间行使价  middle exercise price

互保基金  Fidelity Fund

互动语音电话系统  Interactive Voice Response System (IVRS)

互惠基金  mutual fund

互联网  Internet

介绍形式上市  listing by introduction

介绍代理人  introducing agent

内在值  intrinsic value

《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

内部核数师  internal auditor

内部监控  internal control

《内部监控规例》  Internal Control Regulations

内部稽核  internal audit

内部储备  inner reserve

内部谴责  internal censure

内资股(中国内地)  domestic share(Mainland China)

内幕交易  insider dealing

内幕交易者  insider dealer

内幕交易审裁处  Insider Dealing Tribunal

内联网  intranet

《公司(上市公司的财务摘要报告)规例》  Companies (Summary Financial Reports of Listed Companies) Regulation

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

《公司收购及合并守则》  Code on Takeovers and Mergers

公司投资者户口  Corporate Investor Account

公司治理*  corporate governance

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

公司仓  house position; firm position

公司专用户口  proprietary account

公司通讯  corporate communication

公司通讯工作小组  Working Group on Corporate Communications

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

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

公司盘  firm order

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

公布系统  public address system

公平市值  fair market value

公平竞争  level playing field(cf uneven playing field)

公正交易  arm' s length transaction

公告板  bulletin board

公众利益  public interest

公众利益董事  Public Interest Director

公众持股市值  public float capitalisation

公众持股量  public float; free float

公开叫价交易  open outcry trading

公开市场活动  open market operations

公开作价  call-over

公开招股  offer to the public

公开售股  open offer

公开密码匙基础建设  Public Key Infrastructure (PKI)

公开喊价/叫价(= 口头竞价)  open outcry(= auction)

公开发售  offer for sale; open offer

公开认购  offer for subscription

公开谴责  public censure

公开权益  disclosure of interests

《公认会计原则》  Generally Accepted Accounting Principles(GAAP)

公积金计划  Provident Fund Scheme

分包销商  sub-underwriter

分列登记册  Split Register

分行证明书  branch certificate

分拆 / 分拆上市  spin-off

分派  distribution

分销  distribution

分类指数  sub-index

分类账  sub-ledger

午市  afternoon session

反向可转换产品  reverse convertibles

反收购  reverse takeover

反收购文件  defence document

反通货膨胀  disinflation

反驳交易  rejected sales

反弹  rally

反馈测试模式  beta test mode

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

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

太平洋证券交易所  Pacific Stock Exchange (PSE)

少数股东  minority shareholder

少数股东权益  minority interest

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)

引伸波幅  implied volatility

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

手  board lot; round lot

支付系统小组委员会(金管局)  Committee of Payment System(HKMA)

文件风险  documentation risk

日本中央银行  Bank of Japan

日本公社债研究所  Japan Bond Research Institute (JBRI)

日经平均指数  Nikkei Stock Average

日转期汇  Rolling Forex

欠款  arrears

止蚀限价盘  stop limit order

止蚀盘  stop order; stop-loss order

牛市  bull market

主承销商*  lead underwriter

主板  main board

主要主管(创业板)  principal supervisor(GEM)

主要交易  major transaction

主要股东  major shareholder; substantial shareholder

主要保荐人  primary sponsor

主要经办人  lead manager

主要经济指标  leading economic indicator

主权风险  sovereign risk

世界银行  World Bank

仔细审查/审核  due diligence

付运中货品  goods-in-transit

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

代履行权责服务费  corporate actions service fee

代客买卖  agency trade

代客买卖户口  agency account

代表委任表格  proxy form

代理人  agent

代理人户口  nominee account

代理户口  agency account

代价  consideration

代价股份  consideration share

代价发行  consideration issue

代办股份转让系统(中国内地)  Agency Share Transfer System (Mainland China)

以（马克）计值 / 为计价货币 / 为单位  denominated in (DM)

以先旧后新方式配售  placing and top-up; top up placing

以披露为本  disclosure-based

以物易物的虚晃交易  banner barter transaction

以股代息  dividend in specie; scrip dividend

以股换股  share exchange

以信息披露为重  disclosure-based

以按金形式缴付的期权金  margined premium

以现金折算的息股证  cash settled ELI

以责务变更的方式进行净额结算  netting by novation

以最佳价格 / 条件执行交易的原则  principle of best execution

以报价 / 开盘带动  quote-driven

以买卖盘带动  order-driven

以监管机构评审为本  merit-based

出市代表 / 出市员  floor trader; authorised clerk

加权指数  Weighted Index(Taiwan Stock Exchange)

加速折旧  accelerated depreciation

包销  underwrite

包销承担净值  net underwriting commitment

包销商  underwriter

包销银团  underwriting syndicate

北京产权交易所  China Beijing Equity Exchange

另项投资市场(英国)  Alternative Investment Market (AIM)(UK)

另选登记服务  optional registration service

另类投资  alternative investment

「只限长仓」期权经纪  Long Only Brokers for Options (LOBO)

可分派溢利  distributable profit

可用年限  useful life

可行性研究  feasibility study

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

可赎回股份  redeemable share

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)

台湾证券交易所  Taiwan Stock Exchange Corporation

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

外部核数师  external auditor

外围市场  fringe market

外债  sovereign debt

外汇风险  foreign exchange exposure

外汇基金投资有限公司  Exchange Fund Investment Limited (EFIL)

《外汇基金条例》  Exchange Fund Ordinance

外汇基金票据  Exchange Fund Bill

外汇基金债券  Exchange Fund Note (EFN)

外汇掉期  forex swap

外汇期权  forex option

外汇管制  exchange control

外聘核数师  external auditor

外资股(中国内地)  foreign share(Mainland China)

外币折算风险  currency translation exposure

失责  default

失责人士  defaulter

失责追收供款  default recovery contribution

失实陈述  misrepresentation

《失实陈述条例》  Misrepresentation Ordinance

失职行为  misconduct

市盈率  price/earnings ratio (P/E)

市值  market value; capitalisation

市值租金  market rental

市场失当行为审裁处  Market Misconduct Tribunal

市场占有率  market share

市场定价  price discovery

市场波幅  market volatility

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

市场风险  market risk

市场气氛  market sentiment

市场参与者  market participant

市场从业员  market practitioner

市场敏感资料  market-sensitive information

市场深度  market depth

《市场统计月报》  Monthly Market Statistics

市场价格厘定  price discovery

市场数据传送专线  Market Datafeed

市场操纵；市场操纵行为  market manipulation

市场总值  market capitalisation

市场阔度  breadth of the market

市价计值按金  mark-to-market margin

市价盘  market order

市价总值  market capitalisation

平均每日成交额  average daily turnover

平均价盘  average value order

平仓  close out; cover; position squaring

平仓交易  closing transaction

平仓合约  closing contract

平仓价  exit price

平买入仓(期权)  closing buy(options)

平价(期权)  parity(options)

平价期权  at-the-money option

平卖出仓(期权)  closing sale(options)

平衡项目  balancing item

平衡价格  equilibrium price

平衡价值  parity value

扒头交易  front running; trading ahead

打和点  breakeven point

未分派溢利/利润  undistributed profits

未分配溢利/利润  unappropriated profits

未平仓合约  open contract; open position; open interest

未完成买卖盘  outstanding order

未能履行责任  default

未偿或然负债  outstanding contingent liabilities

未偿还借款  outstanding loan

未缴足股份  partly-paid share

未缴股款股权  nil-paid rights

未缴款供股权  nil-paid rights

本地生产总值  gross domestic product (GDP)

《本地注册认可机构的企业管治指引》(金管局)  Guideline on Corporate Governance of Locally Incorporated Authorized Institutions(HKMA)

《本地注册认可机构披露财务资料》(金管局)  Financial Disclosure by Locally Incorporated Authorized Institutions (HKMA)

正股  underlying stock

正常买卖盘差额  normal order imbalance

正常运行比率  uptime

母公司  parent company; holding company

永久债券  perpetual bond

用户代号  User ID

用户接纳测试 / 用户接收测试  user acceptance test (UAT)

用户终端设施  user access

「用者自付」原则  "user pay" principle

申报期  reporting period

申报会计师  reporting accountant

立约成价  contracted price

交叉买卖 / 交叉盘买卖  crossed trade; cross trade; crossing

交叉盘系统  crossing system

交付  delivery

交收上限  settlement cap

交收日  settlement date

交收指示  settlement instruction (SI)

「交收指示」交易  settlement instruction transaction

交收指示状况报告(中央结算系统)  SI Status Report(CCASS)

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)

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

交收风险  settlement risk

交收报告(中央结算系统)  Settlement Report(CCASS)

交收期  settlement period

交收银行  settlement bank

交收积压  settlement backlog

交投呆滞  slow trading

交投活跃  active market

交投淡静  quiet trading

交投疏落  light trading

交投畅旺  heavy trading

交易大堂  trading floor; trading hall

交易工作站  trading workstation

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

交易日  trading day

交易日表  trading calendar

交易市场  secondary market

交易系统使用费(现货市场)  trading tariff(cash market)

《交易所（特别征费）条例》  Exchanges (Special Levy) Ordinance

《交易所及结算所（合并）条例》  Exchanges and Clearing Houses (Merger)Ordinance

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

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

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

《交易所参与者市场占有率报告》  Exchange Participants' Market Shares Report

交易所参与者证明书  Exchange Participant Certificate

交易所国际自动报价系统(英国)  Stock Exchange Automated Quotations System for International Equities (SEAQI)(UK)

《交易所规则》  Rules of the Exchange

交易所买卖之期权  exchange traded option

交易所买卖基金  exchange traded fund

交易流通速度  turnover velocity

交易能力  trading capacity

交易商  dealer

交易圈 / 交易场  pit; trading pit

交易设施  trading facilities; execution facilities

交易单位  trading unit

交易费  Trading Fee

交易量  trading capacity

《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

交易对手  counterparty

交易征费  Transaction Levy

交易柜位  trading booth

交易转移(期权)  trade give-ups(options)

交易议价板  Bulletin Board

交错到期组合  staggering maturities

企业狙击手  corporate raider

企业资讯资料库  Enterprise Information Database

企业管治  corporate governance

企业管治工作小组  Working Group on Corporate Governance

《企业管治常规守则及企业管治报告征求意见草拟本》

 Exposure of Draft Code on Corporate Governance Practices and Corporate Governance Report

企业融资协会  The Corporate Finance Association (CFA)

《企业融资顾问操守准则》(证监会)  Corporate Finance Adviser Code of Conduct(SFC)

先进先出  first in, first out (FIFO)

全面收购建议  general offer

全面披露  full disclosure

全面结算参与者  General Clearing Participant (GCP)

全面豁免  blanket waiver; general waiver

全面摊薄每股盈利  fully diluted earnings per share

全球期货交易系统  Globex

全国社会保障基金  National Social Security Fund

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

全部完成或放弃买卖盘  all-or-none order

全资附属公司  wholly-owned subsidiary

全数执行或立刻取消  Fill-or-Kill (FOK)

全额或取消  Fill-or-Kill (FOK)

全权代客买卖账户  discretionary account

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

全权管理人  discretionary manager

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

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

再贴现  rediscount

印花税  stamp duty

《印花税条例》  Stamp Duty Ordinance

印花税署署长  Collector of Stamp Revenue

合成工具  synthetics

合成期权  synthetic option

合成认购期权长仓  synthetic long call

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

合约互惠基金  contractual mutual fund

合约股数  contract size

合约乘数  contract multiplier

合约规格  contract specifications

合约单位  contract unit

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)

合资企业  joint venture

合资合同  joint venture contract

合资格主管  Eligible Supervisor

合资格机构买家  qualified institutional buyer

合资格证券  eligible securities

合营企业  joint venture

同日行使  same day exercise

同系附属公司 / 同集团附属公司  fellow subsidiary

名义汇率  nominal exchange rate

吊销资格令  disqualification order

回升  rally

回本期  payoff period

回扣 / 回佣  rebate; commission rebate; sub-commission

回收期  payoff period

回抽佣金  sub-commission

回报  return; payoff

回报率  rate of return

回补机制  claw back mechanism

回应时间  response time

回购  buy-back(cf repurchase agreement)

回购协议  repurchase agreement (repo)

回购权证  call warrant

在交易所买卖的期权  traded option

在建工程  construction-in-progress

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

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

多种货币买卖  multi-currency trading

多头*  long position; bull position

《如何撰写清楚易明的公布》(刊物)(证监会) 

How to Create Clear Announcements(publication)(SFC)

存货  inventory

存款公司公会  The Deposit-Taking Companies Association

存管代理人  depository nominee

存管处及共用代理人系统  Depository and Common Nominee System (DNS)

孖展  margin

孖展客户  margin client

孖展买卖  margin trading

孖展融资  margin financing

孖展覆盖率  margin coverage ratio

年度账目  annual accounts

年报  annual report

年结日  balance sheet date

成本效益  cost effectiveness

成交纪录  trading record

成交单 / 成交单据 / 买卖单据  contract note

成交调整  trade amendment

成交额比率  turnover ratio

扣减率  discount rate

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

收市差额缴款  day-end marks

收市价  closing price

收市盘  at-the-close order

收取内幕消息人士  tipper

收取即日差额缴款机制  intra-day marks collection mechanism

收益  revenue; income; gain

收益率  yield

收益率曲线  yield curve

收益图  payoff diagram

收款代理  receiving agent

收款银行  receiving bank

《收款银行在新股发行中扮演的角色指引》(金管局) 

Guideline on Role of the Receiving Bank in New Share Issues(HKMA)

收费  charge

收费结构  charging structure

收紧信贷  credit squeeze

收盘价  closing price

收购  acquisition; takeover; buy-out / buyout

收购上诉委员会(证监会)  Takeovers Appeal Committee(SFC)

收购及合并委员会(证监会)  Takeovers & Mergers Panel(SFC)

收购建议  offer

早市  morning session

有形资产净值  net tangible assets

有抵押权证  collateralised warrant

有限制牌照银行  restricted licence bank

有限责任公司  limited liability company

有条件协议  conditional agreement

有条件现金收购/要约  conditional cash offer

有资产支持的债务证券  asset-backed securities (ABS)

有担保的卖空交易  covered short selling

《有关申报卖空活动及备存证券借出纪录规定的指引》(证监会) 

Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements(SFC)

《有关在互联网上提供财经资讯的通告 ─ 发牌规定》(证监会)

 Circular on Provision of Financial Information on the Internet ─ Licensing Requirements(SFC)

《有关改善规管上市事宜的建议谘询文件》 

Consultation Paper on Proposals to Enhance the Regulation of Listing

《有关改善规管上市事宜的建议谘询总结》 

Consultation Conclusions on Proposals to Enhance the Regulation of Listing

有关长时间停牌公司之报告  Prolonged Suspension Status Report

《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谘询文件》  Consultation Paper on the Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel

有关创业板内地发行人监管合作事宜之换文 

Letter of Exchanges regarding regulatory co-operation for mainland companies to be listed on GEM

《有关无纸化证券市场的建议运作模式的谘询文件》

 Consultation Paper on a Proposed Operational Model for a Scripless Securities Market

有关发行人延迟公布业绩之报告 

Status Report on Issuers' Delay in Releasing Results Announcement

《有关电子交易条例内适用于成交单据的规定的指引》(证监会)

 Guidance Note on the Application of the Electronic Transactions Ordinance to Contract Notes(SFC)

《有关对保荐人及独立财务顾问监管的谘询文件》

 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谘询总结》

 Consultation Conclusions on the Regulation of Sponsors and Independent Financial Advisers

《有关监管证券及期货的网上交易谘询文件》

 Consultation Paper on the Regulation of On-Line Trading of Securities and Futures

有关暂时停牌公司之报告  Temporary Suspension Status Report

《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谘询文件》  Consultation Paper on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Action on Behalf of a Company

次要控制人  minority controller

老鼠仓活动  rat trading; scalping

自主评级(银行)  Individual rating(banking)

自由兑换  free convertibility

自由增购率  "trading only" stocks

自行结算  self-clearing

自行结算参与者  Self Clearing Participant (SCP)

自律监管机构  self-regulatory organisation; self-regulating organisation

自动行使(期权)  automatic exercise(options)

自动配对股份  automatched stock

自动对盘及成交系统（自动对盘系统） 

Automatic Order Matching and Execution System (AMS)

自动对盘系统未完成买卖盘纪录  AMS order book

自动对盘系统第二终端机  AMS Second Terminal

自动荧幕交易系统  automated screen trading system (AST system)

自动暂缓交易机制  circuit breaker

自发性收购  management buy-out (MBO)

自置光纤线路  private fibre optical circuit

自营买卖  proprietary trading

行  hong

行使  exercise

行使方式  exercise style

行使日  exercise day (E day)

行使后按金  margin-after-exercise

行使期 / 行使时限  exercise period

行使价  strike price(options); exercise price

行使价间距  exercise price interval

行仓  firm position

行业覆盖层面  spread of sector

行头盘  front running

估计使用年期  estimated useful life

估值师  valuer

估值报告  valuation report

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

作实买卖价  firm bid and ask quotations

作价买卖  market making

佣金回扣  commission rebate

兑付*  redemption

免责声明  disclaimer

冷淡对待令  cold shoulder order

利差交易  carry trade

利息补贴(中国内地)  interest rate subsidy(Mainland China)

利息资本化  capitalisation of interest

利益冲突事宜委员会  Conflict Committee

利率上限  interest-rate ceiling

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

利率衔接  interest collar; interest rate collar

利润  profit

初次公开招股  initial public offering (IPO)

初步认购价  initial subscription price

助理主管(创业板)  assistant supervisor(GEM)

即日平仓交易  day trade

即日回购协议(银行)  intraday repurchase agreement(banking)

即日有效买卖盘  good-for-day order

即日拆借市场  intra-day money market

即日流动资金  intraday liquidity

即日差额缴款报告(中央结算系统)  Intra-day Marks Collection Report(CCASS)

即日追补按金  intra-day margin call

即日报价  intraday quotation

即日买卖  day trade

即日盘 / 即日买卖盘  day order

「即日鲜」  day trade

即日额外按金  intra-day margin

即月  front-month

即夜传送报告资料服务(中央结算系统)  Overnight Report Distribution(CCASS)

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

即时或取消  Immediate-or-Cancel (IOC)

即时汇款同时交收(银行)  payment vs payment (PvP)(banking)

即时资讯  real time information

即时数码资料传送专线  realtime digital datafeed

即时数码数据服务  Realtime Digital Data Service (RDDS)

即时转送  online transfer

否定声明  negative statement; disclaimer

囤仓策略  buy and hold strategy

均衡价格  equilibrium price

坐盘  proprietary trading

夹仓  squeeze; short squeeze

尾盘  at-the-close order

技术分析  technical analysis

投资分析员  investment analyst

投资服务指令(欧洲联盟)  Investment Services Directive (ISD)(European Union)

投资者户口服务  Investor Account Service

投资者户口持有人  Investor Participant (IP)

《投资者户口持有人规则》  Terms and Conditions for Investor Participants

《投资者与证券市场》(刊物)  Investors and the Stock Market(publication)

投资者赔偿有限公司  Investor Compensation Company Limited

《投资者应知多点》(刊物)  Know More About Your Investment(publication)

投资级别  investment grade

投资理念  investment philosophy

投资组合  portfolio

投资组合经理  portfolio manager

投资对象  investee

投资管理研究联会  Association for Investment Management and Research (AIMR)

投资顾问  investment adviser

投资顾问委员会  Investment Advisory Committee

投标程序  tender procedure

折扣  discount; haircut

折扣经纪  discount broker

折算  translation

折旧  depreciation

折让  discount

折让经纪  discount broker

抛空  short selling

改良特别股份交易方法  Enhanced Special Stock Trading Method

更正交易  trade amendment

更改财政年度结算日期  change of year end

更紧密经贸关系安排  Closer Economic Partnership Arrangement (CEPA)

每日平均交收效率  daily average settlement efficiency

每日交易活动及持仓报告(期货)

 Daily Trading Activity and Open Positions Summary Report(futures)

每日回报标准差  standard deviation of daily return

每日按金  daily margin

每日按金要求  daily margin call

每日价格上限  daily trading limit

《每周港股统计数字》  Weekly Hong Kong Stock Market Statistics

每股有形资产净值  net tangible assets per share

每股盈利  earnings per share (EPS)

每股资产净值  net asset value per share

没有利益关系的股东  disinterested shareholder

没有预先借货的卖空活动  naked short selling

没有担保的卖空交易  uncovered short selling

私人户口交易指引  personal account dealing guidelines

私人配售  private placing

私人密码  personal identification number (PIN)

私有化 / 私营化  privatisation

私募基金  privately-offered fund

系列按金价值  series margin value

系统性风险  systematic risk

系统参数  system parameter

系统终止  system closure

系统整合商  system integrator

系统联通权  system access right

系统联通权收费(期权)  System Access Right Fee(options)

巡回推介  roadshow

《防止洗黑钱修订指引》  Revised Guidance Notes Regarding Money Laundering

《亚太股市脉络》  Regional Monitor

亚洲证券分析家协会  Asian Securities Analysts Federation

亚太区中央证券存管处组织  Asia-Pacific Central Securities Depository Group (ACG)

亚太贷款市场协会  Asia Pacific Loan Market Association

亚太经济合作组织  Asia Pacific Economic Cooperation (APEC)

亚洲美元市场  Asian dollar market

亚洲美元债券  Asian dollar bond

亚洲货币世界（新加坡）有限公司  Money World Asia Pte Limited

亚洲开发银行  Asian Development Bank (ADB)

亚洲证券分析员公会  Asian Securities' Analysts Council (ASAC)

亚洲证券借贷协会  Pan Asian Securities Lending Association (PASLA)

「来回」期权交易  "round trip" option transaction

供股  rights issue

供款  contribution

供应商电子存档系统  Vendor Electronic Filing System (VEF)

两用画面终端机  dual mode terminal (DMT)

两边客交易  direct business; direct business transaction

两边客买卖盘  two-sided order

两边开盘  two-way quote

到期 / 到期日  maturity; expiry date

到期日  expiration date

到期月份  expiry month

到期收益率  yield to maturity

到期前有效买卖盘  good-till-date order (GTD)

制订系统规模  system sizing

制裁权  power of sanction

券面利率  coupon; coupon rate

协议安排 / 协议计划  scheme of arrangement

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)

受信人  fiduciary

受信责任  fiduciary duty

受益人  beneficiary

受托人  trustee; fiduciary

受监管之股份卖空活动  regulated short selling

受让人  assignee; transferee

垃圾债券  junk bond

委托存款*  designated deposit

委派代表书  proxy form

定界认股证  barrier warrant

定息按揭  fixed-rate mortgage

定期债券  term bond

定价模式  pricing model

「定镜」处理(电脑)  snapshot(computer)

延时资讯  delayed data

往来账  current account

或有保费  contingent premium

或然负债  contingent liabilities

所有普通股指数  All Ordinaries Index (AOI)

所需回报率  required rate of return

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

承兑  acceptance

承兑行  acceptance house

承前(会计)  brought forward(accounting)

承配人  placee

承销*  underwrite

承销商*  underwriter

承办银行  administering bank

承让人  assignee; transferee

披露 / 披露事项  disclosure

披露权益  disclosure of interests

押记  pledge

抵押  charge; pledge

抵押安排  security arrangement

抵押品  collateral; security

抵押品资格  collateral eligibility

抵押债项  secured debts

抵押证券  asset-backed securities (ABS)

抵销  set off

「拆骨专家」  asset stripper

拆卖资产  asset stripping

招股书 / 招股章程  prospectus

招股价  issue price

招股机制  offering mechanism

招标发售  offer by tender

放宽利率管制  deregulation of interest rates

放宽管制  deregulation

服务业联会(香港总商会) 

Coalition on Service Industry (Hong Kong General Chamber of Commerce)

东亚及大洋洲证券交易所联会 

East Asian and Oceanian Stock Exchanges Federation (EAOSEF)

东南亚国家协会（东协）  Association of South-East Asian Nations (ASEAN)

东盟地区论坛  ASEAN Regional Forum

东盟自由贸易区  ASEAN Free Trade Area (AFTA)

武士债券  samurai bond

沽出未抵押期权  naked option writing

沽出备兑期权  covered writing

沽出认沽期权  write a put option

沽出认购期权  write a call option

沽空  short selling

沽盘  sell order

沽盘价  ask price; asked price

法人股(中国内地)  legal person share(Mainland China)

法定公益金(中国内地)  statutory public welfare fund (Mainland China)

法定公积金(中国内地)  statutory surplus reserve(Mainland China)

法定股本  authorised capital

法定储备  statutory reserve

法律风险  legal risk

法律实体  legal entity

法团大股东具报书  Corporate Substantial Shareholders Notification

泡沫经济  bubble economy

波幅  volatility

波幅校验范围  Volatility Scan Range (VSR)

注入资产  asset injection

炒高价格  ramping; price ramping

争夺式收购  contested takeover

物业估值师  property valuer

物业增值税  property gains tax

狙击手(收购)  predator; raider(takeover)

直接存款/存账指示  Direct Credit Instruction (DCI)

直接扣款/扣账指示  Direct Debit Instruction (DDI)

直接纳入中央结算系统的新股  direct stock admission(CCASS)

直接结算  direct clearing

直接结算参与者  Direct Clearing Participant (DCP)

直通式交易程序  straight-through processing

直驳光纤  dark fibre

直线折旧法  straightline method of depreciation

空仓 / 空头*  bear position; short position

《股市资料》  Fact Book; Fact Sheet

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

股本  share capital

股本基数  equity base

股本价值  value of equity capital

股本证券  equity securities

股本权证  equity warrant; subscription warrant (vs derivative warrant)

股份化  demutualisation

股份代号  stock code

股份交收费  stock settlement fee

股份存入表格  Stock Deposit Form

股份存入费  stock deposit fee

股份收纳  stock conversion

股份有限公司  joint stock company

股份制  demutualisation

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)

股份拆细  split; stock split

股份计划  share scheme

股份页(大利市机)  stock page(Teletext)

股份托管费  stock custody fee

股份提取费  stock withdrawal fee

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

股份结算费  stock clearing fee

股份认购权  share option

股份卖空试验计划  Short Selling Pilot Scheme

股份购回  share repurchase

《股份购回守则》  Code on Share Repurchases

股份转移日结单(中央结算系统)  Daily Movement Statement(CCASS)

股份转移报告(中央结算系统)  Statement of Stock Movement(CCASS)

股份权益  share entitlements

《股价敏感资料披露指引》  Guide on disclosure of price-sensitive information

股东名册  register of members; share register

股东周年大会  annual general meeting (AGM)

股东特别大会  extraordinary general meeting (EGM)

股东贷款  shareholder loan

股东应占溢利  profits attributable to shareholders

股东权益  equity interest

股东权益小组(证监会)  Shareholders Group (SFC)

股息率  dividend yield

股息单  dividend warrant

股票出借人  stock lender

股票承押人  stock pledgee

股票非流动化  immobilisation of share certificate

股票按贷财务活动  share margin financing

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

股票期权系统  Traded OPtions System (TOPS)

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

股票登记费  scrip fee

股票贷出户口  Stock Lending Account

股票归还  stock return

股价不动时回报  standstill return

股价敏感资料  price-sensitive information

股权  equity interest; shareholding

芝加哥交易所  Chicago Board of Trade (CBOT)

芝加哥商品交易所  Chicago Mercantile Exchange (CME)

芝加哥期权交易所  Chicago Board Options Exchange (CBOE)

近价盘  about order

金银业贸易场  Chinese Gold and Silver Exchange Society

金银证券交易所  The Kam Ngan Stock Exchange

金融大改革(英国)  Big Bang(UK)

金融工具  financial instrument

金融中介现象  financial intermediation

金融中介机构/团体  financial intermediary

金融市场  financial market

《金融市场检讨报告》  Report on Financial Market Review

金融行动专责委员会  Financial Action Task Force (FATF)

《金融服务法令》(英国)  Financial Services Act(UK)

金融服务网络  FinNet

金融租赁*  financial lease

金融基础设施督导委员会 

The Steering Committee on the Enhancement of Financial Infrastructure (SCEFI)

金融期货  financial futures

金融债*  financial bond

金融监督管理委员会（金管会）(台湾)

 Financial Supervisory Commission(Taiwan)

金融机构  financial institution

金边证券  gilt-edged securities

长仓  long position; bull position

附加自动对盘终端机用家  additional AMS terminal user

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]

附带执行买卖盘(伦敦交易所)  contingent order(LSE)

附属公司  subsidiary

附属贷款  subordinated loan

「非上市可交易」股份  "trading only" stocks

非中介化  disintermediation

非市场庄家的交易  non-market-making transaction

非正常项目  abnormal item

非成立为有限公司的注册人士  unincorporated registered person

非即日平仓交易  overnight trade

非即时数据  delayed data

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"

非金钱佣金  soft commission

非金钱利益  soft-dollar benefits

非执行董事  non-executive director

非常重大的出售事项  very substantial disposal

非常重大的收购事项  very substantial acquisition

非现货月恒生指数期货合约  non-spot month Hang Seng Index futures contract

非登记持有人  non-registered holder

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)

非经常项目  extraordinary item

非实物化  dematerialisation

非认可负债  non-ranking liabilities

非标准型认股证；特种认股证  exotic warrants

非整手买卖盘  round-lot-plus order

保本信托基金  guaranteed unit trust

保本产品  capital preservation product

保本证  Capital Protected Instrument (CPI)

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

保留意见  qualified opinion

保单贴现  viatical settlements

保管人  custodian

保障安排  security arrangement

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

保险业监理专员  Commissioner of Insurance

保险业监理处  Office of the Commissioner of Insurance

保荐人  sponsor

《保荐人及独立财务顾问的操守准则》 

Code of Conduct for Sponsors and Independent Financial Advisers

《保荐人标准守则》  Model Code for Sponsors

《保荐人声明》  Sponsor's Declaration

保荐经纪  sponsoring broker

保证  warranty

保证人  guarantor

保证金  margin

保证金客户  margin client

保证金保险范围比率  margin coverage ratio

保证金借贷活动  margin financing

保证金价值  margin value

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

保证金融资  margin financing

保证基金  Guarantee Fund

「保护偿付」规则(期权)  Payout-Protection Rule(options)

信心保证书  comfort letter

信用评级  credit rating

信息交流  exchange of information

信托人  trustee

信贷  credit

信贷风险  credit risk

信贷评级  credit rating

信贷管制  credit control

信贷紧缩  credit squeeze

信贷额度*  credit limit

前收市价  previous closing price

《宣誓及声明条例》  Oaths and Declarations Ordinance

客户户口  client account

《客户身分规则》(证监会)  Client Identity Rule(SFC)

客户伺服器结构  client server architecture

客户协议书/合约  client's agreement

客户按金  client margin

《建议就认可海外规则修订〈证券及期货(稳定价格)规则〉谘询总结》

 Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules

待转名股份  "street name" share certificate

后备资料复原软件  file backup-restore macro

后备联线通讯线路  backup interactive line

后进先出  last in, first out (LIFO)

后勤办公室  back office

后偿贷款  subordinated loan

恒生100  Hang Seng 100 (HS100)

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)

恒生亚洲指数  Hang Seng Asia Index (HSAI)

恒生指数  Hang Seng Index (HSI)

恒生香港大型股指数  Hang Seng HK LargeCap Index (HSHKLI)

恒生香港小型股指数  Hang Seng HK SmallCap Index (HSHKSI)

恒生香港中型股指数  Hang Seng HK MidCap Index (HSHKMI)

恒生香港中资企业指数（中资企业指数） 

Hang Seng China-Affiliated Corporations Index (HSCCI)

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

恒生香港综合指数  Hang Seng Hong Kong Composite Index (HSHKCI)

恒生伦敦参考指数  Hang Seng London Reference Index (HSLRI)

恒生流通50  Hang Seng Freefloat 50

恒生流通中国内地25  Hang Seng Freefloat Mainland 25

恒生流通香港25  Hang Seng Freefloat HK 25

恒生流通综合指数  Hang Seng Freefloat Composite Index (HSFCI)

恒生资讯科技指数  Hang Seng IT Index (HSITI)

恒生资讯科技组合指数  Hang Seng IT Portfolio Index (HSITP)

恒生综合指数  Hang Seng Composite Index (HSCI)

恒生/富时亚洲大企业指数  FTSE/Hang Seng Asiatop Index

恒生/富时亚洲分类指数  FTSE/Hang Seng Asian Sector Indexes

恒生/富时指数系列  FTSE/Hang Seng Indexes

恒指服务有限公司  HSI Services Limited

恒指国际有限公司  HSI International Limited

恒指期货  Hang Seng Index Futures

恒指期权  Hang Seng Index Options

恢复买卖  resumption of trading

持有成本  cost of carry

持股人的分布情况  spread of holders

持股编号  shareholder Reference Number (SRN)

持仓  position

持仓上限 / 限额  position limit

持仓比例  position ratio

《持仓限额及大额未平仓合约的申报规定指引》(证监会)

 Guidance Note on Position Limits and Large Open Position Reporting Requirements(SFC)

持仓限额比率  position limit ratio

持仓风险调整  position risk adjustment

持仓净额  net position

持仓类别(期权)  tier(options)

《持牌人, 胜任能力的指引》  Guidance Note on Competence

《持牌人进行持续培训的指引》  Guidance Note on Continuous Professional Training

持续专业培训课程  Continuous Professional Training (CPT)

持续净额交收  continuous net settlement (CNS)

持续责任  continuing obligation; on-going obligation

持续发售机制  tap facility

持续经营(会计)  going concern(accounting)

持续经营之业务  continuing operation

持续关连交易  continuing connected transaction

持权成本(期权)  cost of carry

指引摘要  Guidance Note

指示价格  indicative price

指定分配(期权)  assignment(options)

指定百分比  prescribed percentage

指定银行  designated bank

指定证券  designated securities

指数加权移动平均方法  exponentially-weighted moving average

指数套戥  index arbitrage

指数参与单位  index participation unit

指数掉期  index swap

指数期货  index futures

指数债券  index bond

指数预托证券  index depository receipt; index share

指数认购权证  index call warrant

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指数权证  index warrant

按市价计值  mark to market / mark-to-market

按金  margin

按金比例  margin ratio

按金交易  margin trading

按金减免  margin relief

按金对销  margin offset

按揭贷款基准组合  benchmark mortgage pool

按揭贷款发放者  mortgage loan originator

按金间距  margin interval

按揭证券  mortgage-backed securities

按盘价  nominal price

政府债券  government bond

故障包容  fault tolerance

「柏力克－舒尔斯」期权定价模式  Black-Scholes option pricing model

查访  inspection visit

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)

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

洗黑钱  money laundering

活跃业务纪录(创业板)  active business pursuits(GEM)

派送股份/红股  bonus issue

界面联系  interfacing

盈利  earnings; profit

盈利对利息倍数  interest cover; interest coverage

盈富基金  Tracker Fund of Hong Kong (TraHK)

盈余储备  surplus reserve

相互上市  cross listing; dual listing

相抵持仓  offsetting position

相对回报率  relative return

相对强弱指数  Relative Strength Indicator (RSI)

相联人  associated person

相关/指定资产  underlying asset

相关/指定证券  underlying securities

「看跌」股票挂钩票据  Bear Equity Linked Instrument (Bear ELI)

「看涨」股票挂钩票据  Bull Equity Linked Instrument (Bull ELI)

约务更替  novation

约价*  consideration

纪律上诉委员会  Disciplinary Appeals Committee

纪律委员会  Disciplinary Committee

《纪律案例》  Disciplinary Casebook

《纪律处分程序手册》  Handbook on Disciplinary Proceedings

纪律处分权力  disciplinary power

纪律程序  disciplinary procedures

红股  bonus share

红股发行  bonus issue

红筹股  red chip

美元总会计长(美国)  Comptroller of the Currency(US)

美式期权  American style option

美国本土债券  Yankee bond

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)

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

美国商会  American Chamber of Commerce (AMCHAM)

美国国家经济研究局  National Bureau of Economic Research(US)

美国预托证券  American depository receipt (ADR)

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)

美国证券交易所  American Stock Exchange (AMEX)

英伦银行  Bank of England

英格兰及威尔斯特许会计师公会  Institute of Chartered Accountants in England and Wales (ICA England & Wales)

英国投资管理监管组织  Investment Management Regulatory Organisation (IMRO)

英国金融业管理局  Financial Services Authority (FSA)(UK)

衍生产品 / 衍生工具  derivatives

衍生产品及风险管理文凭课程  Diploma Course in Derivatives and Risk Management

衍生产品市场 / 衍生工具市场  derivatives market

衍生产品市场谘询小组  Derivatives Market Consultative Panel

衍生产品结算及交收系统  Derivatives Clearing and Settlement System (DCASS)

衍生权证  derivative warrant

要约  offer

计算按金程序  margining process

负债  liabilities

负债日  indebtedness date

负债比率  debt-to-equity ratio

重大交易  major transaction

重估  revaluation

重组  reorganisation

重置成本  replacement cost

重新实物化  rematerialisation

重复认购  multiple application

重整账目  restatement of accounts

限制通知书  restriction notice

限制买卖期  "black out" period

限价盘  limit order

限价卖空规则  tick rule

面值  face value; nominal value

风险披露  risk disclosure

风险披露声明书(创业板)  Risk Disclosure Statement(GEM)

风险值  value-at-risk

风险容限  risk tolerance

风险容量  appetite for risk

风险参数  risk parameter

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风险控制  risk control

风险排列方法  risk array method

风险排列按金制度  risk array margining system

风险排列算式  risk array algorithm

风险评估  risk evaluation

风险管理  risk management; exposure management

风险管理委员会  Risk Management Committee

风险鉴别  risk identification

食价  price cheating; scalping

首次上市费  initial listing fee

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

首席交易员  chief dealer

香港上市公司商会  Chamber of Hong Kong Listed Companies

香港中央结算（代理人）有限公司  HKSCC Nominees Limited

香港中央结算有限公司（香港结算） 

Hong Kong Securities Clearing Company Limited (HKSCC)

香港中央证券登记有限公司  Computershare Hong Kong Investor Services Limited (CHIS)

香港中国企业协会  Hong Kong Chinese Enterprises Association

《香港公司收购、合并及股份购回守则》(刊物)

 Hong Kong Codes on Takeovers and Mergers and Share Repurchases(publication)

香港公司秘书公会  The Hong Kong Institute of Company Secretaries (HKICS)

香港交易及结算所有限公司（香港交易所） 

Hong Kong Exchanges and Clearing Limited (HKEx)

香港交易及结算所有限公司北京代表处 

Hong Kong Exchanges and Clearing Limited Beijing Representative Office

香港交易所(中国)有限公司  HKEx (China) Limited

香港交易所股份资讯板  HKEx Share Information Board

香港交易所组合风险按金系统  Portfolio Risk Margining System of HKEx (PRiME)

香港交易所资讯服务有限公司  HKEx Information Services Limited

香港交易所数据产品  HKEx Data Products

香港投资分析员公会  Hong Kong Institute of Investment Analysts

香港投资者学会  Hong Kong Institute of Investors (HKII)

香港投资基金公会  Hong Kong Investment Funds Association (HKIFA)

香港投资通函呈报准则 

Hong Kong Standards on Investment Circular Reporting Engagements (HKSIR)

香港股份商会（1921年）  Hong Kong Stockbrokers' Association (1921)

香港股票经纪会（1891年）  Stockbrokers' Association of Hong Kong (1891)

香港金融研究中心  Hong Kong Institute for Monetary Research (HKIMR)

香港金融管理局（金管局）  Hong Kong Monetary Authority (HKMA)

香港律师会  The Law Society of Hong Kong

香港按揭证券有限公司  The Hong Kong Mortgage Corporation Limited

香港财务策划师学会  The Institute of Financial Planners of Hong Kong

香港财务顾问学会  Hong Kong Association of Financial Advisors

香港财资市场公会  Hong Kong Financial Markets Association

香港国际仲裁中心  Hong Kong International Arbitration Centre

香港专业财经分析及评论家协会 

The Hong Kong Institute of Financial Analysts and Professional Commentators

香港货币及投资汇展  Money World Asia Hong Kong

香港创业投资协会  Hong Kong Venture Capital Association

香港期货交易所有限公司（期交所）  Hong Kong Futures Exchange Limited (HKFE)

香港期货结算有限公司  HKFE Clearing Corporation Limited (HKCC)

香港税务学会  Taxation Institute of Hong Kong

香港证券培训赞助基金  Hong Kong Securities Training Sponsorship Foundation

香港会计师公会  Hong Kong Institute of Certified Public Accountants (HKICPA)

香港经纪协会（1891年）  Association of Stockbrokers in Hong Kong (1891)

香港经纪商会（1914年）  The Hong Kong Stock Exchange

香港董事学会  The Hong Kong Institute of Directors

香港资本市场公会  Hong Kong Capital Markets Association

香港管理专业协会  Hong Kong Management Association

香港网上经纪协会  The Hong Kong Association of Online Brokers (HKAOB)

香港银行公会  Hong Kong Association of Banks

香港银行同业拆息  Hong Kong Interbank Offered Rate (HIBOR)

香港银行同业结算有限公司  Hong Kong Interbank Clearing Limited

香港总商会  The Hong Kong General Chamber of Commerce

香港联合交易所月刊  SEHK Monthly Bulletin

香港联合交易所有限公司（联交所） 

The Stock Exchange of Hong Kong Limited (SEHK)

《香港联合交易所有限公司创业板证券上市规则》（《创业板上市规则》）

 Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited (GEM Listing Rules)

《香港联合交易所有限公司证券上市规则》（《证券上市规则》） 

Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (Exchange Listing Rules)

香港联合交易所期权结算所有限公司

（联交所期权结算所）  The SEHK Options Clearing House Limited (SEOCH)

香港联合交易所资讯服务有限公司  Stock Exchange Information Services Limited (SEIS)

香港证券市场文献及文物征集计划  Hong Kong Securities Market Archives and Artifacts Collection Campaign

香港证券交易所（1947年）  The Hong Kong Stock Exchange

香港证券专业学会  Hong Kong Securities Institute

香港证券业同学会  Hong Kong Securities Professionals Alumni Association

《香港证券业参考手册》(刊物)  The Hong Kong Securities Industry(publication)

香港证券经纪业工作小组  Working Group on Stockbroking in Hong Kong

香港证券经纪业协会  Hong Kong Stockbrokers Association

香港证券学会  Hong Kong Securities Professionals Association

并购活动*  mergers and acquisitions

仓  position

个人大股东具报书  Individual Substantial Shareholders Notification

个人投资者户口  Individual Investor Account

个人客户  individual client

个人交易所参与者  Individual Exchange Participant

个人电脑终端机用户  PC terminal user

借方结余  debit balance

借款股  loan stock

借壳上市  backdoor listing

借贷资本  loan capital

借额  debit

伦敦国际金融期货及期权交易所 

London International Financial Futures and Options Exchange (LIFFE)

伦敦期权市场  London Traded Options Market (LTOM)

伦敦证券交易所  London Stock Exchange (LSE)

冻结  locked up

冻结股份机制  securities-on-hold mechanism

原油期货  crude oil futures

套戥 / 套汇* / 套利*  arbitrage

差价  spread

差额缴款  marks / marks payment

库存股份/股票  treasury stock

弱势货币  soft currency

息股证  Equity Linked Instrument (ELI)

挟仓  cornering; squeeze; short squeeze

时间值  time value; time premium

时间戳记  time stamp

核心盈利  core earnings

核准可赎回股份  approved redeemable share

核准借入人  approved borrower

核准借出代理人  approved lending agent

核数委员会(证监会)  Audit Committee(SFC)

核数师  auditor

核数师报告  auditors' report

核证附注  verification notes

浮息存款证  floating rate certificate of deposit (FRCD)

浮息按揭  variable-rate mortgage

浮息票据  floating rate note (FRN)

海外发行人  overseas issuer

消耗性资产(期权)  wasting asset(options)

流动性不足 / 流通性不足  illiquidity

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)

流动资产  liquid asset

流通性  liquidity

流通风险  liquidity risk

流通量提供者  liquidity provider

特别限价盘  special limit order

特别处理股(中国内地)  Special Treatment(Mainland China)

特别征费  Special Levy

特别转让股(中国内地)  Particular Transfer(Mainland China)

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)

特许使用者  privileged user

特许财务分析员  chartered financial analyst

特许财务分析员公会  Institute of Chartered Financial Analysts

特许管理会计师公会  Chartered Institute of Management Accountants (CIMA)

「特许证券商」制度(美国)  Specialist System(US)

特种国债(中国内地)  Special Treasury(Mainland China)

特种备兑证资讯(大利市)  exotic warrant information(Teletext)

特种认股证/非标准型认股证  exotic warrant

留存股票  treasury stock

留存盈利/收益  retained earnings; retained income

「粉红价单」(美国)  Pink Sheets(US)

留存溢利/盈利  retained profits

留成资金 / 保留资金  retained capital

「粉红价单」(美国)  Pink Sheets(US)

纯交易板  trading-only board

纸黄金  paper gold

索偿通知  claim notice

蚊型股  penny stock

被动受托人  bare trustee

讯息提示  alert message

讯框传送交易网络  frame relay trading network

托管人  custodian

托管商参与者(中央结算系统参与者)  Custodian Participant(CCASS Participants)

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)

财政司司长  Financial Secretary

财政年度  financial year

财政股东  financial shareholder

财政健全  financial integrity

财政部(中国内地)  Ministry of Finance(Mainland China)

《财政资源规则》  Financial Resources Rules

财务申报  financial reporting

财务风险  financial risk; financial exposure

财务租赁  financial lease

财务通融  financial accomodation

财务业绩  financial results

财务摘要报告  summary financial report

财务监管  financial regulation

财务顾问  financial adviser

财经市场发展专责小组  The Financial Market Development Task Force

《财经有道 - - - 证券、期货及投资界专业道德实务指引》

 Ethics in Practice - A Practical Guide for Financial Practitioners

财经事务及库务局  Financial Services and the Treasury Bureau

财经事务及库务局局长  Secretary for Financial Services and the Treasury

财经事务及库务局常任秘书长  Permanent Secretary for Financial Services and the Treasury

财资企业集团  financial conglomerate

追补按金  margin call

退市  delisting

退税  tax rebate; tax refund

逃税  tax evasion

逆向投资者  contrarian

逆差  deficit; unfavourable difference; unfavourable variance

逆差额(中央结算系统)  unfavourable marks(CCASS)

逆转交易(期权)  trade reversals(options)

逆转交易合约(期权)  reversal contract(options)

酌情支付的花红  discretionary bonus payment

酌情权  discretionary power

配售  placing

配售代理  placing agent

配售指引  placing guidelines

配售新股  rights issue

配售经办人  book runner

配发  allotment

除息基准  ex-dividend basis

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

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)

马城条约  Maastricht Treaty

马鞍式组合(期权)  straddle(options)

高水(期货)  premium(futures)

高于前成交价  plus tick; uptick

高于面值  above par

高持股量股东(创业板)  significant shareholder(GEM)

高息票据  equity linked note (ELN)

高杠杆效应的投资  high leveraged investment

假市  false market

做价  kiting

停止过户期间  book closure period

停市措施  speed bump

停板  trading halt

停牌  suspended trading; suspension

兜售证券  hawking of securities

副保荐人(创业板)  co-sponsor(GEM)

「勒束式」股票挂钩票据  Range Equity Linked Instrument (Range ELI)

勒束式组合(期权)  strangle(options)

动态对冲  dynamic hedging

区域网络  Local Area Network (LAN)

参考平衡成交量  Indicative Equilibrium Volume (IEV)

参考平衡价格  Indicative Equilibrium Price (IEP)

参考发行价  indicated issue price

参与者自设系统  Participant Supplied System (PSS)

参与者资料提取系统(期货)  Participant Access Services(futures)

参与者网间连接器  Participant gateway

「啤打」系数  beta coefficient

商人银行  merchant bank

《商品交易所（禁止经营）条例》  Commodity Exchanges (Prohibition) Ordinance

商品交易商  commodities dealer

《商品交易条例》  Commodities Trading Ordinance

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

商业承兑汇票  trade acceptance

商业票据  commercial paper

商业登记证  business registration certificate

商议佣金  negotiated commission

商誉  goodwill

问责  accountability

问题证券  defective securities

国内生产总值  gross domestic product (GDP)

国民生产总值  gross national product (GNP)

国有资产监督管理委员会  State-owned Assets Supervision and Administration Commission (SASAC)

国家工商局(中国内地)  State Bureau for Industrial and Commercial Administration(Mainland China)

国家外汇管理局(中国内地)  State Administration of Foreign Exchange (SAFE)(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)

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

国家重点建设债券(中国内地)  Priority Construction Treasury (Mainland China)

国家国有资产管理局(中国内地)  State Bureau for State Property Administration(Mainland China)

国家统计局(中国内地)  State Statistics Bureau(Mainland China)

国家税务局(中国内地)  State Taxation Bureau(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)

国库券  Treasuries

国务院证券委员会（证券委）(中国内地) 

State Council Securities Committee (Mainland China)

国债*  　  government bond

国债期货*  treasury bond futures

国际外汇同业联会  Association Cambiste Internationale

国际收支平衡 / 国际收支差额  balance of payments

国际股票期货及期权  International Stock Futures and Options (ISFO)

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

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

国际货币基金  International Monetary Fund (IMF)

国际期权市场协会  International Options Markets Association (IOMA)

国际结算银行  Bank for International Settlements (BIS)

国际集资市场协会  International Primary Markets Association (IPMA)

国际会计师公会  　  The Association of International Accountants

国际会计准则  International Accounting Standards (IAS)

国际会计准则委员会  International Accounting Standards Committee (IASC)

国际标准化组织  International Organisation for Standardisation (ISO)

国际编码机构协会  Association of National Numbering Agencies(ANNA)

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

国际证券交易所联会  World Federation of Exchanges (WFE)

国际证券事务监察委员会组织 (国际证监会组织)

 International Organisation of Securities Commissions (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

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

国营企业(中国内地)  state-owned enterprise(Mainland China)

坚定承诺(包销)  firm commitment(underwriting)

执行董事  executive director

执业会计师公会(美国)  Institute of Certified Public Accountants (ICPA)(US)

基本按金(期货)  initial margin(futures)

基金份额持有人*  　  fund unit holder

基金经理  fund manager

《基金经理操守准则》(证监会)  Fund Manager Code of Conduct(SFC)

基建工程/项目  infrastructure project

基准日  base day

基准收益率曲线  benchmark yield curve

基点  basis point

基础上市文件  base listing document

专用交易系统  proprietary trading system

专用网络系统  proprietary routing terminal

专用线路  dedicated line

专家谘询小组  Advisory Specialist Group

专责监察主任  Designated Compliance Officer

《专业会计师条例》  Professional Accountants Ordinance

专业银行*  specialised bank

《专业操守规例》  Code of Conduct Regulations

《专业操守规则及规例》(刊物)  Professional Conduct Rules and Regulations(publication)

专线网络系统  　  Proprietary Network System (PNS)

将股票化零为整  jumbomize

将会员制转为股份制  demutualisation

屏幕*  screen

常务委员会  Executive Committee

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

强制补购  compulsory buy-in; forced buy-in

强势美元  strong dollar

从价印花税  ad valorem stamp duty

授权代表  authorised representative

授权书  power of attorney

掉期  swap

挂牌买卖  flotation

挂钩汇率制  pegged rate system

挂盘册  order book

接口费  port fee

接收(期权)  take-up(options)

接受存款公司  deposit-taking company (DTC)

接驳站费用  port fee

接价盘  accept order

控股公司  holding company

控股股东  controlling shareholder

控股权益  controlling interest

控权股东  controlling shareholder

排媒现象  disintermediation

排期申请表格  advance booking form

敏感度分析  sensitivity analysis

救市特别交易征费  "Lifeboat" levy

救市贷款  Lifeboat Loan

斩仓  margin cut; liquidation; forced liquidation

条文  provision

淡仓  short position

净值比率  net worth ratio

净额按金计算  net margining

净额结算  netting

深圳证券交易所  Shenzhen Stock Exchange

深圳证券登记有限公司  Shenzhen Securities Registration Company Limited

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

清洗交易  whitewash transaction; wash sale

清算  clearing

清算价  clearing price

清盘  liquidation

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

牵头包销商  lead underwriter

现金交收  cash settlement; cash on delivery (COD)

现金回佣  cash commission rebate; cash rebate

现金收益净值  net present value

现金客户  cash client

现金差额缴款  cash marks

现金流向 / 现金周转  cash flow

现金流动表  cash flow statement

现金流量折现/贴现法  discounted cash flow

现金资产公司  cash company

现金选择  cash alternative

现货月  spot month

现货市场  spot market; cash market; physical market; actual market

现货市场谘询小组  Cash Market Consultative Panel

现货价  spot price; cash price; physical price; actual price

现价  nominal price

《理解股票期权（及其风险）》(刊物) 

Understanding Stock Options (and Their Risks)(publication)

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

产权负担  encumbrances

票面利率  coupon; coupon rate

票面值  par value

票面息率  coupon; coupon rate

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

移动平均值背驰指标  Moving Average Convergence-Divergence (MACD)

第一上市  primary listing

第一板  main board

第二上市  secondary listing

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)

第二板 / 第二板市场  second board; second market

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)

第三者结算  Third Party Clearing (TPC)

累计/累积利息  accumulated interest

累计/累积利润  accumulated profits

累计/累积折旧  accumulated depreciation

累计/累积垫款  cumulative advance

累计投标制  book building method

细价股  small cap stock; penny stock

细盘撮合系统(美国)  Small Order Entry System; Small Order Execution System (SOES)(US)

细额先到先得  Small Order First-In-First-Out

「终止及停止」令  "cease and desist" order

组合分析仪(期权)  Portfolio Analyser(options)

「组合股」  　  Exchange Traded Fund

组合盘 / 综合盘  combination order; combo order; composite order

组织大纲  memorandum of association

《组织大纲及章程》  Memorandum and Articles of Association

组织架构检讨指导委员会  Steering Committee on Organisational Review

组织细则  articles of association

组织章程  constitution; articles of association

翌日净额结算系统  next day net settlement system

庄家  market maker

庄家之经销交易  jobbing transaction

庄家名录  Market Maker List

庄家活动  market making

规范声明  normative statement

访客廊  Viewing Gallery

设定增值税  deemed VAT

货币市场  money market

货币交叉盘买卖  cross currency trade

货币供应  money supply

货币政策委员会(中国人民银行)  Monetary Policy Committee(PBOC)

货币基础  monetary base

货币期货  currency futures

货币发行局制度  currency board system

货币经纪  money broker

货币资产  monetary assets

货币权证  currency warrant

货银同步交收  delivery vs payment (DvP)

货银两讫  delivery vs payment (DvP)

货银对付  cash on delivery (COD)

货银对付方式交收  delivery vs payment (DvP)

责任承担  accountability

责任承诺书  responsibility letter

责任声明书  responsibility statement

责务变更  novation

责务变更合约  novated contract

软佣金  soft commission

软货币  soft currency

软着陆  soft landing

透明度  transparency

透视价  "see-through" price

逐项交收  trade-for-trade settlement

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

通货紧缩 / 通缩  deflation

通胀指标货币政策  inflation indexed monetary policy

速动市场  fast market

速动资金  liquid capital

速动资产  liquid asset

造市  market manipulation

造价  price manipulation

连锁关系原则  chain principle

连续竞价  continuous auction

部份完成的买卖指示  partially filled order

部份区域网络  Local Area Network (LAN)

闭端式基金  closed-end fund

阴阳烛图  candlestick chart

备考全面摊薄市盈率  pro forma fully diluted price/earnings ratio

备考报表  pro forma statement

备兑期权  covered option

备兑权证  covered warrant

备兑认购期权  covered call

备抵(会计)  allowance(accounting)

伞子基金  umbrella fund

凯伯里委员会(英国)  Cadbury Committee(UK)

凯伯里报告书(英国)  Cadbury Report(UK)

创新及科技基金  Innovation and Technology Fund

创业板  Growth Enterprise Market (GEM)

创业板上市委员会  GEM Listing Committee

《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)

《创业板投资者指南》  GEM Investor Guide

创业板指数  Growth Enterprise Index (GEI)

创业基金  venture capital

单一董事会制  unitary board system

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

单一价格竞价市场  single price auction system

单日货币市场  intra-day money market

《单位信托及互惠基金守则》  Code on Unit Trusts and Mutual Funds

单位信托委员会(证监会)  Committee on Unit Trusts(SFC)

单位信托基金  unit trust

单价配对(期权)  netting(options)

报价  quote

报价系统(期货)  Price Reporting System(futures)

报价要求  quote request; request for quote (RFQ)

报价规则  quotation rules

场内交易  pit trading

场内交易产品  exchange traded product

场内规则  on-market rules

场内买卖期权  exchange traded option

场内买卖盘  on-floor order

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

场外交易议价板 (美国)  OTC Bulletin Board (US)

场外衍生工具  over-the-counter derivative

场外规则  off-market rules

场外期权  over-the-counter option

场外购回股份  off-market share repurchase

场外证券市场  over-the-counter market

孳息  yield

富时指数有限公司（原金融时报指数）  FTSE

帧中继交易网  frame relay trading network

复牌  resumption of trading

《提升香港的金融基础设施报告》  Report on the Enhancement of the Financial Infrastructure in Hong Kong

提升数码资料输送专线  enhanced digital datafeed

提早补购  early buy-in

提呈发售  offer for sale

提高运作的能力  scalable

扬基债券  Yankee bond

换股比率  conversion ratio

换算  translation

散户投资者 / 散户  retail investor

散户经纪  retail broker

普通股  ordinary share

普通债券  straight bond

标书翻译 http://www.tran-masters.com

替任人  alternate

最大差价限额  maximum spread

最少开价数量  minimum quote quantity

最低上落价位  minimum price fluctuation; tick (size)

最低交易数额  minimum transaction size

最低供款额  minimum contribution

最低价格变动  minimum price fluctuation; tick (size)

最低豁免规定  de minimus waiver provision

最初发起人  ultimate originator

最佳成交价  best execution price

最佳价格  best price

最佳价格盘  at-best order

《最佳应用守则》  Code of Best Practice

最后一轮交收处理程序  Final Settlement Run

最后成交价  last recorded price; last traded price

最后行使日  last exercise day

最后结算表  Final Clearing Statement

最后结算价  Final Settlement Price

最后贷款人  lender of last resort

最后复核聆讯  final review hearing

最终用户/使用者  end user

最终受益人  ultimate beneficiary

最终实益持有人  ultimate beneficial holder

最短回复开价时间  minimum response time

期末存货  closing stock

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)

期权  option

期权交付指令  options delivery instruction

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

期权交易代表  Options Trading Representative

期权交易所参与者  Options Exchange Participant

《期权交易规则》  Options Trading Rules

期权交易确认书  options trade confirmation

期权合约  option contract

期权合约净持仓  net open options contract; net options position

期权系列  option series

期权定价  option valuation

期权定价模式  option pricing model

期权金  premium

期权金成交额  premium turnover

期权长仓合约  long options contract

期权客户协议书  Options Client's Agreement

期权持有人  option holder

期权持仓  option position

期权短仓  short option

期权短仓合约  short options contract

期权结算主任  Options Clearing Officer

期权结算主任考试  Options Clearing Officer Examination

《期权结算规则》  Options Clearing Rules

期权费用  options tariff

期权买方  option buyer

期权买卖交易所参与者  Options Trading Participant

期权经纪交易所参与者  Options Broker Exchange Participant

期权资讯服务  Options Information Service

期权数码资料传送专线  options digital datafeed

期权卖方  option seller; option writer

期权类别  option class

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

款项过户系统  money transfer system

款项预缴服务  cash prepayment service

残值  salvage value

减佣经纪  discount broker

港元同业拆息  Hong Kong Interbank Offered Rate (HIBOR)

《港元利率期货市场通讯》  HIBOR Futures Market Update

港元利率期货迭期  HIBOR Futures Strip

港汇指数 / 港元实际汇兑指数

 Effective Exchange Rate Index for the Hong Kong Dollar (EERI)

无人申领之经纪佣金  unclaimed brokerage

无力偿债  insolvency

无形资产  intangible asset

无抵押贷款  unsecured loan

无抵押权证  non-collateralised warrant

无风险利率  risk-free interest rate

无风险对冲  delta hedge

无时限盘  good-till-cancelled order (GTC)

无纸化交易  paperless trading; scripless trading

无条件及不可撤回之担保  unconditional and irrevocable guarantee

无条件现金收购建议/要约  unconditional cash offer

无责任声明  disclaimer

无备兑期权  uncovered option

无备兑认购期权  uncovered call

「无超额亏蚀」规则  No-Over-Loss Rules

无价期权形式  tails(options)

无凭证式股东  uncertificated shareholder

无偿债能力  insolvency

《为便利股份或债权证要约而就《公司

条例》提出的修订建议谘询文件》

 Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures

牌照  licence

登记持有人  registered owner

登记过户费  scrip fee

发行人  issuer

《发行人及专业顾问意见调查》  Issuers and Professional Advisers Survey

发行人可选择支付现金 /

发行人现金选择权  issuer's cash option

发行人登记册  Issuer Register

发行人电子存档系统  issuer electronic filing system

发行红股  scrip issue

发行章程  prospectus

发行量加权股价指数(台湾交易所)  Weighted Index(Taiwan Stock Exchange)

发行新股  new issue

发行资料摘要(权证)  indicative terms sheet(warrants)

发行价  issue price

发行机构  issuer

《发展路向》(刊物)  The Way Forward(publication)

发起人  promoter

发牌资料册  licensing information booklet

发钞局制度  currency board system

发盘价  offer price

短期同业拆放市场  call market

短期资金  short-term money

短期资金借贷市场  money market

短期举债/借贷  short term borrowings

短期证券  short-dated securities

硬货币  hard currency

税后盈利/利润/溢利  after-tax profits

税后实际回报率  after-tax real rate of return

《税务条例》  Inland Revenue Ordinance

税务优惠  tax relief

税项减免  tax break; tax concession

稀释*  dilution

程式买卖/交易  programme trading

程序覆检委员会  Process Review Panel

等价期权  at-the-money option

结清  close out

结构改进  institutional advancement

结算  clearing

结算所  clearing house

结算所电子附属登记系统(澳洲)  Clearing House Electronic Subregister System (CHESS)(Australia)

结算协议书  clearing agreement

结算参与者(期权买卖)  Clearing Participant(options trading)

「结算通」电话系统  CCASS Phone System

《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

结算价  clearing price

结算机构参与者  Clearing Agency Participant

结算谘询小组  Clearing Consultative Panel

《结算纵横》(刊物)  Clear Talk(publication)

结余  balance

结转(会计)  carried forward(accounting)

统一保证金客户协议书  Uniform Margin Client's Agreement

统一现金客户协议书  Uniform Cash Client's Agreement

统一结算所  universal clearing house

统制账户  control account

虚假市场  false market

虚假声明  misstatement

虚售交易；虚卖  wash sale

虚报  misrepresentation

虚拟市场  virtual market

「街名」股票  "street name" share certificate

补充/增补上市文件  supplemental/supplementary listing document

补仓按金(期货)  maintenance margin(futures)

补仓通知  margin call

补发证书服务  certificate replacement service

补购  buy in

注册中介团体  registered intermediary

注册商号  registered firm

注册庄家  　  Registered Trader

注册融资人  registered financier

注册证券商  registered dealer

注销股份  cancelled share

注释备忘录  explanatory memorandum

贬值  depreciation

买家  bidder

「买者自负」原则  "let the buyer beware" principle;

"Caveat Emptor" (let the buyer beware)

买壳  acquisition of shells

买价 / 买盘价  bid price

买盘  buy order

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

买卖差价  bid-asked spread

买卖单位  board lot

买卖单据  contract note

买卖惯例  dealing practice

买卖盘  order

买卖盘纪录  order book

买卖盘纸  deal ticket

买卖盘处理率  order throughput

买卖盘传递  order routing

买卖盘传递系统  Order Routing System (ORS); router system

买卖盘输入  order entry

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  collateralised loan obligation (CLO)

贷款股 / 贷款债券  loan stock

贷款银团  loan syndicate

贷款融通  　  loan facility

贴现  discount

贴现率  discount rate

贴现窗  discount window

超国家机构  supranational entity

超连结  hyperlink

超买  overbought

超卖  oversold

超额配发/配股权  over-allotment option

超额配发机制  over-allotment option scheme

超额认购  oversubscribed; overbooked

跌停板措施  circuit breaker

《周年报告的参考披露资料》(刊物)  Reference for Disclosures in Annual Reports(publication)

进项增值税  input VAT

开市分配时段(HKATS)  　  open allocation session(HKATS)

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-opening session

开市报价规则  opening quotations rules

开市价  opening price

开市盘  open order; at-the-opening order

开市议价机制(期货)  Pre-market Opening Mechanism(futures)

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

开仓交易  opening transaction

开仓合约  opening contract

开价盘  quote

开价盘要求  quote request

开盘状况报告  quote maintenance report

开盘价  opening price

集中持仓量  concentrated position

集中风险  concentration risk

集中风险调整  concentration risk adjustment

《集合投资计划的广告宣传指引》

 Advertising Guidelines for Collective Investment Schemes

集合竞价  aggregate auction

集资  capital formation

集资市场  primary market

《集资退休基金守则》  Code on Pooled Retirement Funds

《集资退休基金的广告宣传指引》 

Advertising Guidelines for Pooled Retirement Funds

集资净额  net proceeds

集团内部交易  intra-group transactions

集团会计  corporate accounting

集体投资计划  　  collective investment schemes (CIS)

集体投资基金  collective investment fund

项目融资  project finance

顺差  favourable variance; favourable difference

须予公布的交易  notifiable transaction

须予披露的交易  discloseable transaction

传统基金会(美国)  The Heritage Foundation(US)

传统债券  plain vanilla bond

债券  bond; debenture; debt securities; loan stock

债券市场工作小组  　  Working Group on Debt Market

债券抵押证券  Collateralised Bond Obligation (CBO)

债务  indebtedness

债务人  debtor

债务工具中央结算系统(金管局)  Central Moneymarkets Unit (CMU)(HKMA)

债务市场  debt market

债务报表  indebtedness statement

债务偿还  debt repayment

债务证券  debt securities; loan stock

债务链  debt chain

债转股  debt-for-equity swap

债权人  creditor

债权股额  loan stock

债权证  debenture

汇兑限额  exchange quota

汇兑损失  exchange loss

汇票  bill of exchange

汇款同步交收(银行)  payment vs payment (PvP)(banking)

微值入价  cabinet bid

微值交易(期权)  cabinet trade; cabinet bid

损益平衡点  breakeven point

损益账  profit and loss account

新一代中央结算系统  CCASS/3

新加坡交易所  Singapore Exchange (SGX)

新加坡证券交易所交易及自动报价系统 

Stock Exchange of Singapore Dealing and Automated Quotation System (SESDAQ)

新市场发展工作小组  Working Group on New Market Development

新企业上市国际委员会  International Committee on the Listing of New Enterprises

新股发行  new issue

新恒生50中型股指数  New Hang Seng MidCap 50 Index (New HSMCI)

新华富时中国25指数  FTSE/Xinhua China 25 Index

《新监管制度》(证监会)  The New Regulatory Framework(SFC)

新闻栏(大利市机股份页)  Free Text Area(Teletext)

新兴市场  emerging market

会计师报告  accountants' report

会计处理方式  accounting treatment

会计期间  accounting period

会计程式  accounting equation

会计准则/标准  accounting standard

《会计实务准则》  Statement of Standard Accounting Practice (SSAP)

会计惯例/实务  accounting practice

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

业务纪录  track record

业务划分  delineation of activities

业绩公布  results announcement

概念股  concept stock

源指令码  source code

准备(会计)  provision(accounting)

溢利  profit

溢利预测  profit forecast

溢价  premium

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

碎股  odd lot

节流率  throttle rate

经纪代表考试  Broker's Representatives Examination

经纪代表课程  Broker's Representatives Course

经纪交易  agency trade

经纪自设系统  Broker Supplied System (BSS)

经纪行  brokerage house

经纪佣金  brokerage

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

经纪参与者(中央结算系统参与者)  Broker Participant(CCASS Participants)

经纪会计系统  Brokers' Accounting System

经纪电子邮递及集体传呼服务  E-mail and Group Paging Services

经修订的股份卖空计划  revised short selling scheme

经常账  current account

经审核账目  audited accounts

经办人  manager

经办银行  administering bank

经济自由指数  Index of Economic Freedom

经济发展及劳工局  Economic Development and Labour Bureau

经济发展及劳工局局长  Secretary for Economic Development and Labour

经营租赁  operating lease

经扩大股本  enlarged share capital

群集式伺服器  cluster server

《与证券服务有关的收费及费用的良好披露指引草拟本谘询文件》  　  Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges

落盘  placing order

董事/行政总裁具报书  Director's / Chief Executive's Notifications

《董事的声明及承诺》  Declaration and Undertaking with regard to Directors

董事袍金  directors' fee

董事会  board of directors

董事会报告  directors' report

董事酬金  directors' remuneration

试算表  trial balance

诚信责任  fiduciary duties

资不抵债  insolvency

资方信托人  employer trustee

资本化  capitalisation

资本化发行  capitalisation issue

资本支出  capital expenditure

资本充裕/充足比率  capital adequacy ratio

资本充裕程度  capital adequacy

资本市场  capital market

资本负债比率  gearing ratio

资本重整  recapitalisation

资本值  capital value

资本项目*  capital account

资本增值  capital appreciation; capital gain

资本增值权证  capital plus warrant

资本增益  capital gain

资本增益/增值税  capital gains tax (CGT)

资本调整  capital adjustment

资本账  capital account

资本储备  capital reserve

资本亏损  capital loss

资本筹集  capital formation

资金平衡  fund balancing

资金股本化  capitalisation issue

资金表  fund statement

资金流向  fund flow

资金会计法  fund accounting approach

资金运用  fund utilisation

资料印证工作函  Comfort Letter

资料披露  disclosure

资料备忘录  information memorandum

资格股  qualification share

资讯供应商  information vendor

资讯服务  information service

资讯发布/发放  information dissemination; news dissemination

资讯档案  news file

资产  asset

资产拆卖  asset stripping

资产保证  asset coverage

资产负债表  balance sheet

资产负债表以外之承担/项目  off-balance sheet exposure

资产负债表外金融工具  off-balance sheet (financial) instrument

资产负债表编制程式  balance sheet equation

资产净值  net asset value

资产调配/调度  asset allocation

资产调换  asset swap

资产覆盖率  asset coverage

跨司法区招股活动  multi-jurisdictional equity offering

跨市场协调委员会  Inter-Market Coordination Committee

跨市场抵押品  cross collateral

跨市场按金制度  cross margining

跨国多重上市  mutual cross-listing

跨期买卖(期权)  calendar spread; time spread; horizontal spread (options)

跨期买卖  spread trading

跨境上市  cross-border listing

跨价衍生权证  call spread derivative warrant

跨价买卖(期权)  price spread; vertical spread; spread trading(options)

《跟踪指数交易所买卖基金监管指引》(证监会)  　

 Guidelines for Regulating Index Tracking Exchange Traded Funds(SFC)

路透社证券投资传视服务  Reuters Monitor Equities Investment Service

运作风险  operational risk

逾时交易  late trading

过户  transfer

过户(期权)  give-up(options)

过户文件  instrument of transfer

过户代理  transfer agent

过户纸（转让）印花税  transfer deed stamp duty

过户处 / 过户登记处  registrar; share registrar

过户费  transfer fee

过渡性贷款  bridging loan

过量交易  overtrading

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货及期权  Dow Jones Industrial Average Futures and Options

乡镇企业  township and village enterprises

隔夜流动资金(银行)  overnight liquidity(banking)

零交易日  zero-trading day

零和游戏  zero-sum game

零股*  odd lot

零息债券  zero coupon bond

零售资讯服务  retail information service

《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

电子收付款指示  Electronic Payment Instruction (EPI)

电子呈交系统  e-Submission system

电子款项交收服务  Electronic Money Settlement Services

电子款项交收费  electronic money settlement fee

电子通讯网络  electronic communications network (ECN)

电子邮件；电子邮递；电邮  e-mail

电子传递证券资讯服务  Electronic Mailing Stock Information Service (EMSIS)

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

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

预计平均结算价  estimated average settlement price (EAS price)

预计资本值  estimated capital value

预托证券  depository receipt

预设期货跨期合约  Predefined Futures Calendar Spreads

预警系统  early warning system

伪冒电子邮件  phishing

《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 Applicat, ions for Listing on the GEM in Hong Kong by Mainland Enterprises(Mainland China)

境外上市外资股(中国内地)  overseas listed foreign share(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)

垫款  advance; monies advanced

实地盘存  physical inventory

实物分派  distribution in specie

实物交收  physical delivery

实物利益  benefits-in-kind

实物股票  physical scrip

实时计算  real time calculation

实时资讯  real time information

实益持有人  beneficial holder

实益拥有人  beneficial owner

实益权益  beneficial interests

实际可用年期  actual useful life

实盘  firm order

实质汇率  real exchange rate

实缴股本  paid-up capital; paid-in capital

对手方  counterparty

对手风险  counterparty risk

对手经纪  contra broker

对外经济贸易合作部（外经贸部）(中国内地) 

Ministry of Foreign Trade and Economic Cooperation(Mainland China)

对冲  hedging

对冲比率  hedging ratio

对冲值(期权)  delta(options)

《对冲基金汇报规定指引》(证监会) 

Guidelines on Hedge Funds Reporting Requirements(SFC)

对冲基金  hedge fund

对角买卖  diagonal spread

对敲  bucketing

对盘  order matching

对盘前时段  pre-order matching period

对盘时段  order matching period

对账  reconciliation

截止过户日期  book close date (B/C date)

摘牌*  delisting

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（财政资源）规则》 

Leveraged Foreign Exchange Trading (Financial Resources) Rules

《杠杆式外汇买卖（造访）规则》  Leveraged Foreign Exchange Trading (Calls) Rules

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

《杠杆式外汇买卖条例》  Leveraged Foreign Exchange Trading Ordinance

杠杆收购  leveraged buy-out (LBO)

杠杆效应  leverage

滞胀  disinflation; stagflation

熊市  bear market

荧幕  screen

疯狂抛售  bear raid

尽职审查  due diligence

监事(中国内地)  supervisor(Mainland China)

监事会(中国内地)  supervisory committee(Mainland China)

监察主任  compliance officer

监管  regulation

《监管合作备忘录》  Memorandum of Regulatory Cooperation (MORC)

监管制度  regulatory regime

监管套戥  regulatory arbitrage

监管机构  regulatory body

算术平均数(统计)  arithmetic average; arithmetic mean(statistics)

管制法例  governing law

《 管理、监督及内部监控指引》(证监会)  Management, Supervision and Internal Control Guideline(SFC)

管理费用  management fee

管理层收购  management buy-out (MBO)

管理层股东  management shareholder

精算师  actuary

综合户口  omnibus account / omnibus client account

综合表  composite table

综合风险  composite risk

综合财务报表  consolidated financial statement

综合买卖  composite trades

综合盘 / 组合盘  combination order; combo order; composite order

维持前成交价但低于上一个差异价  zero-minus tick

维持前成交价但高于上一个差异价  zero-plus tick

维持按金(期货)  maintenance margin(futures)

网上交易  online trading

网上交易工作小组  On-line Trading Working Group

网上投资者资源中心(证监会)  Electronic Investor Resources Centre (eIRC)(SFC)

网上认购新股服务  Internet Initial Public Offering (iIPO) service

网间连接器(电脑)  gateway(computer)

紧急贷款者  lender of last resort

紧缩措施  austerity measures

蒙受风险的价值  value-at-risk

认可用户  authorised user

认可行业资格  Recognised Industry Qualifications (RIQ)

认可存款基金  approved deposit fund

认可负债  ranking liabilities

认可值  admitted value

认可基金  authorised fund

认可资产净值  net admissible assets

《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)

认沽期权  put option

认沽期权沽出者  put writer

认沽期权空仓  short put

认沽短仓  short put

认沽认购等价关系  relationship of put-call parity

认沽权证  put warrant

认股期权  share option

认股权证  warrant

认购  subscription

认购不足  undersubscribed; underbooked

认购期权  call option

认购期权沽出者  call writer

认购期权空仓  short call

认购短仓  short call

认购权证  call warrant

说明函件  explanatory statement

说明指引  interpretive guidelines

轻微违纪事件 / 行为  summary offence

遥距交易设施  remote trading access

递延股  deferred share

递延税项  deferred tax

远东交易所  The Far East Exchange

远期月份  distant month; back month

远期货币合约  currency forward

远期权利  forward entitlement

酸性测试比率  acid-test ratio

银行同业拆借市场  interbank market

银行承兑汇票  banker's acceptance

银行结汇体系  exchange surrender system

《银行业条例》  Banking Ordinance

银行对账表  bank reconciliation statement

银行确认书  bank confirmation

银行融通额/融资额  banking facility

《银行营运守则》(金管局)  Code of Banking Practice(HKMA)

银行证明文件  bank confirmation

银团贷款  syndicated loan; syndicated lending

银团融资  syndicated credit

驳脚经纪  runner

价内期权  in-the-money option

价外期权  out-of-the-money option

价位  spread

价位表  Spread Table

价位值  tick value

价值状况  moneyness

价值稳定的货币  hard currency

价格发现  price discovery

增值  accretion; appreciation

增值服务  value-added service

增值税  value added tax (VAT)

增售条款(包销)  greenshoe(underwriting)

增强自动对盘系统的市场接触力  enhanced access to AMS

增强限价盘  enhanced limit order

增补/补充上市文件  supplementary/supplemental listing document

审计师*  auditor

审核委员会  Audit Committee

审核线索  audit trail

审裁科  Adjudication Division

审慎原则  principle of prudence

审阅  vetting

《宽免缴付若干牌照费用的指引》(证监会)  Guidelines on Waivers of Certain Licensing Fees(SFC)

宽限期  grace period

广域网络  Wide Area Network

影子董事  shadow director

影响市场资料  market-sensitive information

影响股价资料  price-sensitive information

德国期货及期权交易所  Deutsche Terminborse (DTB)

德意志联邦银行  Deutsche Bundesbank

征收印花税运作程序  Operation Procedures for Stamp Duty Collection

征求建议书  request for proposal

征求意见稿  exposure draft

撇销  write off

拨备  provision

拨款  appropriation

数码资料传送专线  Digital Data Feed (DDF)

数码资讯服务  digital information service

数据传送专线  data feed

暂收款  temporary receipts

暂定配额通知书  provisional letter of allotment

暂记账  suspense account

暂停时段  blocking period

暂停办理过户登记手续  closure of books; closure of register

暂缓执行配对交收指示  hold matched SI

暂缓还款协议  standstill agreement

暂搁注册(美国)  shelf registration facility(US)

标准合约  standard contract

标准差  standard deviation

标准授权书  Model Authorisation Letter

标准组合风险分析  Standard Portfolio Analysis of Risk (SPAN)

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

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

标准普尔/香港交易所创业板指数  S&P/HKEx GEM

标准普尔评级  Standard & Poor's Rating

标准登记服务  standard registration service

标准会计准则  standard accounting practice

模拟交易  mock trading

模拟系统  simulation system

欧式期权  European style option

欧洲日圆东京银行同业拆息期货  Euroyen Tibor Futures

欧洲可换股担保债券  Euro-convertible guaranteed bond

欧洲货币债券  Eurobond

欧洲复兴及开发银行（即 世界银行）  European Bank of Reconstruction and Development (EBRD) (ie World Bank)

欧洲结算系统  Euroclear

欧洲结算银行  Euroclear Bank

欧洲债券  Eurobond

欧洲经济及货币联盟  European Economic and Monetary Union (EMU)

欧洲证券交易商协会自动报价系统  European Association of Securities Dealers Automated Quotations (EASDAQ)

欧洲议会  European Parliament

欧罗 / 欧元  euro / Euro

盘  order; position

盘存  inventory

盘房  dealing room

盘纸  order form

稽核测试  audit test

线上交易  online trading

线上项目  above the line

线下项目  below the line

线路费  circuit fee

缓行注册(美国)  shelf registration facility(US)

蝶式买卖  butterfly spread

复式按金  spread margin

复式期权  spread option

复式盘  spread order

调息日  coupon-reset date

调息按揭  adjustable rate mortgage (ARM)

调整  adjustment

调整表 / 调整声明  statement of adjustments

调整后有形资产净值  adjusted net tangible assets

调整后资产净值  adjusted net assets

调整持仓  position adjustment

调整基数  adjusted basis

谅解备忘录  memorandum of understanding (MOU)

赔偿委员会  Compensation Committee

赔偿基金储备账  Compensation Fund Reserve Account

卖空  short selling

卖空空仓  open short position

卖空股份总额  short interest

卖空价规则  tick rule

卖空卖方  short seller

卖家(期权)  writer(options)

卖价  offer price

卖盘  sell order

卖盘价  ask price; asked price

账面值  book value

账面记录  book entry

账面净值  net book value

账面过账  book entry

账龄分析  aging analysis of accounts

《适用于在互联网上宣传或销售集体投资计划的人士的指引》

 Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet (CIS Internet Guidance Note)

《适当人选的准则》(证监会)  The Fit and Proper Criteria(SFC)

迁册  change of domicile

销售收入  sales revenue

销项增值税  output VAT

饵盘  bait order

余额  balance

学术界谘询委员会(证监会)  Academic Advisory Committee(SFC)

学术评审谘询委员会(证监会)  Academic and Accreditation Advisory Committee (AAAC)(SFC)

凭证式股东  certificated shareholder

凭证式国库券(中国内地)  Certificate Treasury(Mainland China)

《操守准则》  Code of Conduct

操纵价格  price manipulation

担保人  guarantor

担保交易  guarantee transaction

担保物*  collateral; security

担保计划  Guarantee Scheme

担保权益  security interest

整合  consolidation; integration

整批输入交收指示  SI Batch File Service

整体持仓  overall position

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

机构投资者  institutional investor

机构客户  institutional client

机构计划书(证监会)  Corporate Plan(SFC)

机构风险  institutional risk

历史成本  historical cost

历史波幅  historical volatility

澳洲证券交易所  Australian Stock Exchange (ASX)

澳洲证券及投资监察委员会（澳洲证监会） 

Australian Securities and Investments Commission (ASIC)

独立上市  separate listing

独立非执行董事  independent non-executive director

独立信托户口  segregated trust account

独立财务顾问  independent financial adviser

独立调查局  　  Independent Investigation Board

独立顾问  independent adviser

独资经营者  sole proprietor

穆迪投资评级  Moody's Investment Grade

积欠款项  arrears

融通票据  accommodation bill

融资人  financier

融资租赁承担  finance lease commitment

谘询委员会(证监会)  Advisory Committee(SFC)

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)

办公室前线系统  front-office system

办公室后勤/后勤运作系统  back-office system

迟报交易  late reported sales

选时交易  market timing

选择性销售方式  selective marketing basis

醒目卡  smart card

错误包容  fault tolerance

错误交易合约  mistraded contract

错误陈述  misstatement

随意提增法  arbitrary scale up method

随机分配  random assignment

静态资讯  static information

头寸  position

头寸交易商(商品市场)  position trader(commodity market)

头盘  at-the-opening order

龙债券  dragon bond

偿债能力风险  insolvency risk

偿债基金  sinking fund

优先股  preference share; preferred share

优先普通股  preferred ordinary share

优先认购权  pre-emptive right

优质证券  seasoned securities

应付即日差额缴款  intra-day marks payment obligations

应付账款  accounts payable

应用指引  Practice Note

应用研究基金  Applied Research Fund

应用程式界面  Application Programming Interface (API)

应收账款  accounts receivable

应占股权  attributable equity interest

应计收益  accrued revenue

应计利息  accrued interest

应计制(会计)  accrual basis(accounting)

应计费用  accrued expenses

应退增值税  recoverable VAT

拟定开市价格  Calculated Opening Price (COP)

档案传送协定  file transfer protocol

档案转换  file transfer

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

《检讨证券及期货市场规管架构运作专家小组报告书》  　 

Report by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure

营业日  business day

营业代表  sales representative

营运指令  working order

营运风险  operational risk

营运/营业租赁  operating lease

营运买卖盘  working order

营运资金  working capital

烛柱图  candlestick chart

获分配人士  assignee

获配售人  placee

获配发人  allottee

获提名董事  proposed director

环球股本证券市场  Global Equity Market

环球债券  global bond

环球预托证券  global depository receipt (GDR)

环球银行财务电信协会  Society for Worldwide Interbank Financial Telecommunications (SWIFT)

瞬像 / 瞬态(电脑)  snapshot(computer)

总市值  total market capitalisation; aggregate market value

总按金价值  total margin value

总持仓限额  gross limit

总账  general ledger

总额按金计算  gross margining

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

联交所期权结算所抵押品  SEOCH collateral

联交所期权结算所参与者  SEOCH Participant

联交所资讯服务热线  SEHK Enquiry Hotline

联名个人投资者户口  Joint Individual Investor Account

联合交易所赔偿基金  Unified Exchange Compensation Fund

联合受托人  co-trustee

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

联邦储备系统  Federal Reserve System

联席保荐人  co-sponsor

联席经办人  co-manager

联网  networking

联线投资服务  on-line investment service

联机界面联系  on-line interface

联营公司  associated company; associate company; associate

联系人士  associate

联系设施(电脑)  gateway(computer)

联系汇率  pegged exchange rate

联系汇率制  pegged rate system

联系证明书 / 信心保证书  　  comfort letter

联属公司  affiliated company; affiliate

聪明咭  smart card

临时清盘人  provisional liquidator

临时结算表  Provisional Clearing Statement (PCS)

薪酬利益  remuneration package

豁免 / 豁免规定  waiver

豁免上市地位  exempt listing status

豁免交易商  exempt trader

豁免自营买卖商  Exempt Principal Trader

豁免基金经理  Exempt Fund Manager

购回 / 购回股份  repurchase; share repurchase

购股权  share option

购买力平价  purchasing power parity (PPP)

避税  tax avoidance

《迈进新纪元》(刊物)  Positioning for a New Era(publication)

还本付息*  redemption

还盘  counter order

锅炉室  　  boiler room

隐藏交易额买卖盘  hidden-size order

点子  basis point

储备  reserve

储备基金  reserve fund

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)

渎职行为  misconduct

浏览及挑选  browse and pick

简便指南(自动对盘系统)  Quick Reference Guide(AMS)

职工股(中国内地)  employee share(Mainland China)

职能划分制度 / 职能分管制度  Chinese Wall

《职业退休计划条例》  Occupational Retirement Schemes Ordinance

职权范围  terms of reference

蓝筹股  blue chip

转手纸  transfer deed; transfer form

转仓  roll-over

转配股(中国内地)  individually held state and legal-person share; transfer right share(Mainland China)

转拨  transfer

转让  assignment; transfer

转让人  assignor; transferor

锁仓  locked position

双重上市 / 双边上市  dual listing

双重存档制度；双重呈报规定  　  dual filing

双边净额结算  bilateral netting

双边价  two-way quote

离岸金融中心  offshore financial centre

离岸盈利重组  offshore profit regrouping

离岸基金  offshore fund

离岸调期  offshore swap

离差(统计)  dispersion(statistics)

离场交易  off-floor trading; off-board trading

离场买卖盘  off-floor order

额外按金  additional margin

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

缴入股本  paid-up capital; paid-in capital

缴足股本  fully paid-up capital

《2000年证券（保证金融资）（修订）条例》 

Securities (Margin Financing) (Amendment) Ordinance 2000

《证券（内幕交易）条例》  Securities (Insider Dealing) Ordinance

《证券（交易商、投资顾问、合伙及代表）规则》 

Securities (Dealers, Investment Advisers, Partnerships and Representatives) Rules

《证券（披露权益）具报纪录》  Securities (Disclosure of Interests) Notification History Reports

《证券（披露权益）具报摘要》(刊物)  Securities (Disclosure of Interests) Notification Summaries(publication)

《证券（披露权益）条例》  Securities (Disclosure of Interests) Ordinance

《证券（结算所）条例》  Securities (Clearing Houses) Ordinance

《证券（证券借出）规则》  Securities (Stock Lending) Rules

《证券上市规则》（《香港联合交易所有限公司证券上市规则》）  Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited)

证券化  securitisation

证券及投资管理局(英国)  Securities and Investment Board (SIB)(UK)

证券及衍生工具团体网络  Securities and Derivatives Communication Network (SDNet)

《证券及期货（在证券市场上市 ）规则》  Securities and Futures (Stock Market Listing) Rules

《证券及期货（披露权益－免除 ）规例》  Securities and Futures (Disclosure of Interests - Exclusions) Regulation

《证券及期货（披露权益－证券借贷）规则》  Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules

《证券及期货（专业投资者）规则》  Securities and Futures (Professional Investor) Rules

《证券及期货（结算所）条例》  Securities and Futures (Clearing Houses) Ordinance

《证券及期货（认可对手方 ）规则》  Securities and Futures (Recognized Counterparty) Rules

《证券及期货（卖空豁免及证券借出）规则》  Securities and Futures (Short Selling Exemption and Stock Lending) Rules

《证券及期货（转移职能予联交所 ）令》  Securities and Futures (Transfer of Functions - Stock Exchange Company) Order

《证券及期货（稳定价格）规则》  　  Securities and Futures (Price Stabilising) Rules

《证券及期货中介机构业务调查》(证监会)  Securities and Futures Intermediaries Activities Surveys(SFC)

《证券及期货市场改革政策文件》  A Policy Paper on Securities and Futures Market Reform

证券及期货事务上诉委员会  Securities and Futures Appeals Panel (SFAT)

《证券及期货事务上诉委员会（费用）令》  Securities and Futures Appeals Panel (Fee) Order

《证券及期货事务上诉委员会程序规则》  Securities and Futures Appeals Panel Proceedings Rules

证券及期货事务上诉审裁处  Securities and Futures Appeals Tribunal

证券及期货事务监察委员会（证监会）  The Securities and Futures Commission (SFC)

《证券及期货事务监察委员会（费用）规则》  Securities and Futures Commission (Fees) Rules

《证券及期货事务监察委员会（周年报表）规则》  Securities and Futures Commission (Annual Returns) Rules

《证券及期货事务监察委员会（职能移交）令》  Securities and Futures Commission (Transfer of Functions) Order

《证券及期货事务监察委员会（征费）（证券）（修订）令》  Securities and Futures Commission (Levy) (Securities) (Amendment) Order

《证券及期货事务监察委员会（征费）规则》  Securities and Futures Commission (Levy) Rules

《证券及期货事务监察委员会（征费）（期货合约）令》  Securities and Futures Commission (Levy) (Futures Contracts) Order

《证券及期货事务监察委员会条例》  Securities and Futures Commission Ordinance

《证券及期货事务监察委员会注册人操守准则》  Code of Conduct for Persons Registered with the Securities and Futures Commission

《证券及期货条例》  Securities and Futures Ordinance

证券代号  stock code

《证券代号名录》  List of Stock Codes

证券市场分析文凭深造课程  Diploma Course in Advanced Securities Market Analysis

证券市场资料研究、培训及监察自动化系统  Securities Market Automated Research, Training & Surveillance System (SMARTS)

《证券市场导报》  Securities Market Herald (publication)

证券市场历史研究计划  Stock Market History Project

证券交易自动报价系统(中国内地)  Securities Trading Automated Quotation System(STAQS)(Mainland China)

证券交易委员会(美国)  Securities and Exchange Commission (SEC) (US)

《证券交易所合并条例》  Stock Exchanges Unification Ordinance

证券交易法(台湾)  Securities and Exchange Act(Taiwan)

证券交易纪录(光碟)  Trade Record (Equity)(CD Rom)

证券合伙商号  dealing partnership

证券批销经纪  jobber

证券抵押品  securities collateral

证券的认可价值  admissible securities value

证券保证金融资  share margin financing

证券保证金融资人  securities margin financier

证券按贷财务提供者  share margin finance provider (SMFP)

证券借出人  securities lender

证券借贷协议书  securities borrowing and lending agreement (SBLA)

证券商  dealer

证券商代表  dealer's representative

证券商协会  Institute of Securities Dealers

证券商董事  dealing director

证券登记公司总会有限公司  Federation of Shares Registrars Limited

证券发售事宜工作小组  Securities Offering Issues sub-group

证券期货市场发展工作小组  Securities and Futures Market Development Working Group

证券期货局(台湾)  Securities and Futures Bureau(Taiwan)

证券汇集转按  margin pooling

证券业培训课程  Securities Training Programme

《证券业检讨委员会报告书》  Report of the Securities Review Committee

证券经纪考试  Securities Brokers Examination

证券经纪业营商环境工作小组  Working Group on the Business Environment of the Stockbroking Industry

证券经纪课程  Securities Brokers Course

证券经销经纪  jobber

证券经销经纪印花税  jobber stamp duty

证券隔分  segregation of securities

证券赔偿基金委员会(证监会)  Securities Compensation Fund Committee(SFC)

《证监快讯》  SFC Alert

《证监会执法月报》  SFC Enforcement Reporter

《证监会强积金产品守则》  SFC Code on MPF Products

证监会双重存档事宜顾问小组  SFC Dual Filing Advisory Group

《关于建立无纸化证券市场的建议的谘询文件》(证监会)  　  Consultation Paper on Proposals for a Scripless Securities Market(SFC)

《关于律师及会计师提供附带投资意见的指引》(证监会)  Guidance Note on Incidental Investment Advice Provided by Solicitors and Accountants(SFC)

《关于注册人在首次公开发售中利用互联网收集证券认购申请的指引》(证监会)  Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering(SFC)

关连人士  connected person

关连人士交易  related party transaction

关连交易  connected transaction

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

竞价市场  auction market

竞价投标  auction

竞价限价盘  at-auction limit order

竞价盘  at-auction order

筹备董事会  Preparatory Board

议价交易  negotiated transaction

谴责  reprimand; censure

摊销  amortisation

摊薄  dilution

权益列表  entitlement table

权益法(会计)  equity method(accounting)

权益股本  equity capital; equity share capital

权益报表(中央结算系统)  Entitlement Statement(CCASS)

权责发生制*(会计)  accrual basis(accounting)

权衡报告制度  differential reporting

权证  warrant

赎回  redemption

赎回溢价(债券)  call premium(bonds)

变现  realisation

变换交易(期权)  conversion(options)

变价调整  variation adjustment

智能卡  smart card

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  线上项目

Academic Advisory Committee(SFC)  学术界谘询委员会(证监会)

Academic and Accreditation Advisory Committee (AAAC) (SFC)  学术评审谘询委员会(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  会计程式

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)  谘询委员会(证监会)

Advisory Specialist Group  专家谘询小组

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

alert message  讯息提示

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

Application Programming Interface (API)  应用程式界面

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*

arbitrary scale up method  随意提增法

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 Central Securities Depository Group (ACG)  亚太区中央证券存管处组织

Asia Pacific Economic Cooperation (APEC)  亚太经济合作组织

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

associated person  相联人

Association Cambiste Internationale  国际外汇同业联会

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 Execution System / 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/C date  see book close date

Bear ELI  see Bear Equity Linked Instrument

BESS  see Brokers' Electronic Support Services

BFI  see Brokers' Fidelity Insurance Scheme

BIS  see Bank for International Settlements

BSS  see Broker Supplied System

BTF  see Block Trade Facility; Block Trading Facility

Bull ELI  see Bull Equity Linked Instrument　

back month; distant month  远期月份

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

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

bare trustee  被动受托人

barrier warrant  定界认股证

base day  基准日

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)  《认可机构披露财务资料的最佳执行指引》

(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 Supplied System (BSS)  经纪自设系统

Broker's Representatives Course  经纪代表课程

Broker's Representatives Examination  经纪代表考试

Brokers' Accounting System  经纪会计系统

Brokers' Electronic Support Services (BESS)  经纪后勤办公室支援服务

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

brokerage  经纪佣金

brokerage house  经纪行

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

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

CCMS  = Common Collateral Management 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  = Clearing House Electronic Subregister System(Australia)

CHIS  s= Computershare Hong Kong Investor Services Limited

CICPA  = Chinese Institute of Certified Public Accountants

CIMA  = Chartered Institute of Management Accountants

CIRC  = China Insurance Regulatory Commission

CIS  =collective investment schemes

CLO  = Collateralised Loan Obligation

CME  = Chicago Mercantile Exchange

CMU  = Central Moneymarkets Unit(HKMA)

CNS = continuous net settlement

COD  = cash on delivery

COP  = Calculated Opening Price

CPI = Capital Protected Instrument

CPT  = Continuous Professional Training

CSDCC = China Securities Depository and Clearing Corporation Limited

CSRC = 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)

carry trade  利差交易

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  现货市场谘询小组

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)

certificated shareholder  凭证式股东

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 Beijing Equity Exchange  北京产权交易所

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 & Clearing Corporation Limited (CSDCC)  中国证券登记结算有限责任公司（中国结算公司）

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  中文资讯系统

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资讯的通告 - 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  结算谘询小组

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  客户伺服器结构

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  群集式伺服器

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；资料印证工作函

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 (CCMS)  共同抵押品管理系统

common nominee  共用代理人

"common nominee" share certificate  「共用代理人」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〉谘询总结》

Consultation Conclusions on Proposals to Enhance the Regulation of Listing  《有关改善规管上市事宜的建议谘询总结》

Consultation Conclusions on the Regulation of Sponsors and Independent Financial Advisers  《有关对保荐人及独立财务顾监管的谘询总结》

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谘询文件》

Consultation Paper on Proposals for a Scripless Securities Market  　  《关于建立无纸化证券市场的建议的谘询文件》

Consultation Paper on Proposals to Enhance the Regulation of Listing  　  《有关改善规管上市事宜的建议谘询文件》

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》提出的修订建议谘询文件》

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谘询文件》

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谘询文件》

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谘询文件》

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谘询文件》

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谘询文件》

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谘询文件》

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)

DvP  =  delivery vs payment

DCASS  see Derivatives Clearing and Settlement System

DCI  = Direct Credit Instruction

DCP  =Direct Clearing Participant

DDF  = Digital Data Feed

DDI  = Direct Debit Instruction

DMT  = dual mode terminal

DNS  = Depository and Common Nominee System

DTB  = Deutsche Terminborse

DTC  = deposit-taking company

DTC(US)  = 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  延时资讯；非即时数据

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)  存管处及共用代理人系统

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  衍生产品市场谘询小组

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)  数码资料传送专线

digital information service  数码资讯服务

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 day  = exercise day

EAOSEF  = East Asian and Oceanian Stock Exchanges Federation

EAS price  = estimated average settlement price

EASDAQ  = European Association of Securities Dealers Automated Quotations

EBRD  = European Bank of Reconstruction and Development

ECN  = electronic communications network

EDGAR  = Electronic Data Gathering, Analysis and Retrieval(US)

EERI  = Effective Exchange Rate Index for the Hong Kong Dollar

EFIL = Exchange Fund Investment Limited

EFN  = Exchange Fund Note

EGM  = extraordinary general meeting

EIPO  = Electronic Initial Public Offering service

eIRC  =Electronic Investor Resources Centre(SFC)

ELI  = Equity Linked Instrument

ELN  = equity linked note

EMSIS  = Electronic Mailing Stock Information Service

EMU  = European Economic and Monetary Union

EPI  = Electronic Payment Instruction

EPS  =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)  电子传递证券资讯服务

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  收市后资料传送服务

enhanced access to AMS  增强自动对盘系统的市场接触力

enhanced digital datafeed  提升数码资料输送专线

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)  查询公布资料(中央结算系统)

Enquire Reported Lost Certificate(CCASS)  「查询报失股票资料」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  企业资讯资料库

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

Exchange Traded Fund  交易所买卖基金；「组合股」

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

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》

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)  特种备兑证资讯(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

expiration date  到期日

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 draft  征求意见稿

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

extreme move covered fraction  极端波动覆盖分数

extreme move multiplier  极端波动乘数

Fannie Mae  see Federal National Mortgage Association

FATF  = Financial Action Task Force

FIFO  = First in, first out

FOK  = Fill-or-Kill

FOMC  = Federal Open Market Committee

FRCD  = floating rate certificate of deposit

FRN  = floating rate note

FRR  = Financial Resources Rules

FSA  = 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；资料传送

file transfer protocol  档案传送协定

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资料》(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 Supervisory Commission(Taiwan)  金融监督管理委员会（金管会）(台湾)

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  期货赔偿基金

Futures Compensation Fund Committee(SFC)  期货赔偿基金委员会(证监会)

GAAP  = Generally Accepted Accounting Principles

GATT  = General Agreement on Tariffs and Trade

GCP = General Clearing Participant

GDP  = gross domestic product

GDR  = global depository receipt

GEI  = Growth Enterprise Index

GEM  = Growth Enterprise Market

GNP  = gross national product

GTC  = good-till-cancelled order

GTD  = good-till-date order

GTSM  = GreTai Securities Market(Taiwan)

gateway(computer)  联系设施；网间连接器(电脑)

gearing ratio  杠杆比率；资本负债比率

GEM Investor Guide  《创业板投资者指南》

GEM Listing Committee  创业板上市委员会

GEM Listing Rules (Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited)  《创业板上市规则》（《香港联合交易所有限公司创业板证券上市规则》）

General Advisory and Support Working Team  一般谘询及支援工作小组

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

General Clearing Participant (GCP)  全面结算参与者

general ledger  总账

general mandate  一般性授权

general offer  全面收购建议

General Rules of CCASS  《中央结算系统一般规则》

Generally Accepted Accounting Principles (GAAP)  《公认会计原则》

gilt-edged securities  金边证券

give-up(options)  过户(期权)

global bond  环球债券

global depository receipt (GDR)  环球预托证券

Global Equity Market  环球股本证券市场

Globex  全球期货交易系统

going concern(accounting)  持续经营(会计)

good for delivery  合格交付

good-for-day order  即日有效买卖盘

good-till-cancelled order (GTC)  取消前有效买卖盘；无时限盘

good-till-date order (GTD)  到期前有效买卖盘

goods-in-transit  付运中货品

goodwill  商誉

governing law  管制法例

government bond  　  政府债券；国债*

grace period  宽限期

greenshoe(underwriting)  增售条款(包销)

GreTai Securities Market (GTSM)(Taiwan)  中华民国证券柜台买卖中心(台湾)

gross domestic product (GDP)  本地生产总值；国内生产总值

gross margining  总额按金计算

gross national product (GNP)  国民生产总值

Growth Enterprise Index (GEI)  　  创业板指数

Growth Enterprise Market (GEM)  创业板

Guarantee Fund  保证基金

Guarantee Scheme  担保计划

guarantee transaction  担保交易

guaranteed unit trust  保本信托基金

guarantor  担保人；保证人

Guidance Note  指引摘要

Guidance Note Continuous Professional Training  《持牌人进行持续培训的指引》

Guidance Note for Persons Advertising or Offering Collective Investment Scheme on the Internet (CIS Internet Guidance Note)  《适用于在互联网上宣传或销售集体投资计划的人士的指引》《集体投资计划互联网指引》

Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements(SFC)  《有关申报卖空活动及备存证券借出纪录规定的指引》(证监会)

Guidance Note on Competence  《持牌人胜任能力的指引》

Guidance Note on Incidental Investment Advice Provided by Solicitors and Accountants(SFC)  《关于律师及会计师提供附带投资意见的指引》(证监会)

Guidance Note on the Application of the Electronic Transactions Ordinance to Contract Notes(SFC)  《有关电子交易条例内适用于成交单据的规定的指引》(证监会)

Guidance Note on Position Limits and Large Open Position Reporting Requirements(SFC)  《持仓限额及大额未平仓合约的申报规定指引》(证监会)

Guide for Directors of Listed Companies  《上市公司董事指引》

Guide on disclosure of price-sensitive information  《股价敏感资料披露指引》

Guideline on Corporate Governance of Locally Incorporated Authorized Institutions(HKMA)  《本地注册认可机构的企业管治指引》(金管局)

Guideline on Role of the Receiving Bank in New Share Issues(HKMA)  《收款银行在新股发行中扮演的角色指引》(金管局)

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

Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering(SFC)  《关于注册人在首次公开发售中利用互联网收集证券认购申请的指引》(证监会)

Guidelines on Hedge Funds Reporting Requirements(SFC)  《对冲基金汇报规定指引》(证监会)

Guidelines on the Vetting and Regulation of Applications for Listing on the GEM in Hong Kong by Mainland Enterprises(Mainland China)  《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 Waivers of Certain Licensing Fees(SFC)  《宽免缴付若干牌照费用的指引》(证监会)

HIBOR  = Hong Kong Interbank Offered Rate

HKAOB = Hong Kong Association of Online Brokers, The

HKATS  = Hong Kong Futures Automated Trading System

HKCC = HKFE Clearing Corporation Limited

HKEx  = Hong Kong Exchanges and Clearing Limited

HKFE  = Hong Kong Futures Exchange Limited

HKICPA  = Hong Kong Institute of Certified Public Accountants

HKICS  = Hong Kong Institute of Company Secretaries, The

HKIFA  = Hong Kong Investment Funds Association

HKII  = Hong Kong Institute of Investors

HKIMR  = Hong Kong Institute for Monetary Research

HKMA  = Hong Kong Monetary Authority

HKSCC  = Hong Kong Securities Clearing Company Limited

HKSIR = Hong Kong Standards on Investment Circular Reporting Engagements

HS100  = Hang Seng 100

HSAI  = Hang Seng Asia Index

HSCCI  = Hang Seng China-Affiliated Corporations Index

HSCEI  = Hang Seng China Enterprises Index

HSCI  =Hang Seng Composite Index

HSHKCI  = Hang Seng Hong Kong Composite Index

HSHKLI  = Hang Seng HK LargeCap Index

HSHKMI  = Hang Seng HK MidCap Index

HSHKSI  = Hang Seng HK SmallCap Index

HSI  = Hang Seng Index

HSITI  = Hang Seng IT Index

HSITP = Hang Seng IT Portfolio Index

HSLRI  = Hang Seng London Reference Index

HSMLCI  = Hang Seng Mainland Composite Index

HSMLFI  = Hang Seng Mainland Freefloat Index

haircut  折扣；减省

Handbook on Disciplinary Proceedings  《纪律处分程序手册》

Hang Seng 100 (HS100)  恒生100

Hang Seng Asia Index (HSAI)  恒生亚洲指数

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

Hang Seng China Enterprises Index (HSCEI)  恒生中国企业指数（恒生国企指数）

Hang Seng Composite Index (HSCI)  恒生综合指数

Hang Seng Freefloat 50  恒生流通50

Hang Seng Freefloat Composite Index (HSFCI)  恒生流通综合指数

Hang Seng Freefloat HK 25  恒生流通香港25

Hang Seng Freefloat Mainland 25  恒生流通中国内地25

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

Hang Seng HK LargeCap Index (HSHKLI)  恒生香港大型股指数

Hang Seng HK MidCap Index (HSHKMI)  恒生香港中型股指数

Hang Seng HK SmallCap Index (HSHKSI)  恒生香港小型股指数

Hang Seng Hong Kong Composite Index(HSHKCI)  恒生香港综合指数

Hang Seng Index (HSI)  恒生指数

Hang Seng Index Futures  恒指期货

Hang Seng Index Options  恒指期权

Hang Seng IT Index (HSITI)  恒生资讯科技指数

Hang Seng IT Portfolio Index (HSITP)  恒生资讯科技组合指数

Hang Seng London Reference Index (HSLRI)  恒生伦敦参考指数

Hang Seng Mainland Composite Index(HSMLCI)  恒生中国内地综合指数

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

hard currency  硬货币；价值稳定的货币

hawking of securities  兜售证券

heavy trading  交投畅旺

hedge fund  对冲基金

hedging  对冲

hedging ratio  对冲比率

Heritage Foundation, The(US)  传统基金会(美国)

HIBOR Futures Market Update  《港元利率期货市场通讯》

HIBOR Futures Strip  港元利率期货迭期

hidden-size order  隐藏交易额买卖盘

high leveraged investment  高杠杆效应的投资

historical cost  历史成本

historical volatility  历史波幅

HKEx (China) Limited  香港交易所(中国)有限公司

HKEx Information Services Limited  香港交易所资讯服务有限公司

HKEx Share Information Board  香港交易所股份资讯板

HKFE Clearing Corporation Limited (HKCC)  香港期货结算有限公司

HKSCC Nominees Limited  香港中央结算（代理人）有限公司

hold matched SI  暂缓执行配对交收指示

Holder of Stock Exchange Trading Right  联交所交易权持有人

holding company  控股公司；母公司

hong  行

Hong Kong Association of Banks  香港银行公会

Hong Kong Association of Financial Advisors  香港财务顾问学会

Hong Kong Association of Online Brokers,The (HKAOB)  香港网上经纪协会

Hong Kong Capital Markets Association  香港资本市场公会

Hong Kong Chinese Enterprises Association  香港中国企业协会

Hong Kong Codes on Takeovers and Mergers and Share Repurchases(publication)  《香港公司收购、合并及股份购回守则》(刊物)

Hong Kong Exchanges and Clearing Limited (HKEx)  香港交易及结算所有限公司（香港交易所）

Hong Kong Exchanges and Clearing Limited Beijing Representative Office  香港交易及结算所有限公司北京代表处

Hong Kong Financial Markets Association  香港财资市场公会

Hong Kong Financial Markets Development Limited  香港金融市场发展有限公司

Hong Kong Futures Automated Trading System (HKATS)  HKATS电子交易系统

Hong Kong Futures Exchange Limited (HKFE)  香港期货交易所有限公司（期交所）

Hong Kong General Chamber of Commerce, The  香港总商会

Hong Kong Institute for Monetary Research (HKIMR)  香港金融研究中心

Hong Kong Institute of Certified Public Accountants (HKICPA)  香港会计师公会

Hong Kong Institute of Company Secretaries, The (HKICS)  香港公司秘书公会

Hong Kong Institute of Directors, The  香港董事学会

Hong Kong Institute of Financial Analysts and Professional Commentators, The  　  香港专业财经分析及评论家协会

Hong Kong Institute of Investment Analysts  香港投资分析员公会

Hong Kong Institute of Investors (HKII)  香港投资者学会

Hong Kong Interbank Clearing Limited  香港银行同业结算有限公司

Hong Kong Interbank Offered Rate (HIBOR)  香港银行同业拆息；港元同业拆息

Hong Kong International Arbitration Centre  香港国际仲裁中心

Hong Kong Investment Funds Association (HKIFA)  香港投资基金公会

Hong Kong Management Association  香港管理专业协会

Hong Kong Monetary Authority (HKMA)  香港金融管理局（金管局）

Hong Kong Mortgage Corporation Limited, The  香港按揭证券有限公司

Hong Kong Securities Clearing Company Limited (HKSCC)  香港中央结算有限公司（香港结算）

Hong Kong Securities Industry, The(publication)  《香港证券业参考手册》(刊物)

Hong Kong Securities Institute  香港证券专业学会

Hong Kong Securities Market Archives and Artifacts Collection Campaign  香港证券市场文献及文物征集计划

Hong Kong Securities Professionals Alumni Association  香港证券业同学会

Hong Kong Securities Professionals Association  香港证券学会

Hong Kong Securities Training Sponsorship Foundation  香港证券培训赞助基金

Hong Kong Society of Financial Analysts  　  香港财经分析师学会

Hong Kong Standards on Investment Circular Reporting Engagements (HKSIR)  香港投资通函呈报准则

Hong Kong Stock Exchange, The  香港经纪商会（1914年）；

香港证券交易所（1947年）

Hong Kong Stockbrokers Association  香港证券经纪业协会

Hong Kong Stockbrokers' Association (1921)  香港股份商会（1921年）

Hong Kong Venture Capital Association  香港创业投资协会

horizontal spread  跨期买卖

house account  公司户口

house position  公司仓

How to Create Clear Announcements(publication)(SFC)  《如何撰写清楚易明的公布》(刊物)(证监会)

H-shares Index Futures  　  H股指数期货

H-shares Index Options  H股指数期权

HSI International Limited  恒指国际有限公司

HSI Services Limited  恒指服务有限公司

hyperlink  超连结

IAS  International Accounting Standards

IASC  International Accounting Standards Committee

ICA England & Wales  =Institute of Chartered Accountants in England and Wales

ICPA  Institute of Certified Public Accountants(US)

IEP  Indicative Equilibrium Price

IEV  Indicative Equilibrium Volume

IFC  International Finance Corporation

iIPO  Internet Initial Public Offering service

IMF  s International Monetary Fund

IMRO  Investment Management Regulatory Organisation

IOC  Immediate-or-Cancel

IoD  Institute of Directors(UK)

IOMA  International Options Markets Association

IOSCO  International Organisation of Securities Commissions

IP  Investor Participant

IPMA  International Primary Markets Association

IPO  initial public offering

ISD  Investment Services Directive(European Union)

ISDA  International Swaps and Derivatives Association

ISFO  International Stock Futures and Options

ISIN  International Securities Identification Numbers

ISMA  International Securities Markets Association

ISO  International Organisation for Standardisation

ISSA  International Securities Services Association

IVRS  Interactive Voice Response System

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

illiquidity  流通性不足；流动性不足

Immediate-or-Cancel (IOC)  即时或取消

immobilisation of share certificate  股票非流动化

implied volatility  引伸波幅

inactive order  　  不动盘

income approach  收益法

indebtedness  债务

indebtedness date  负债日

indebtedness statement  债务报表

independent adviser  独立顾问

independent financial adviser  独立财务顾问

Independent Investigation Board  　  独立调查局

independent non-executive director  独立非执行董事

index arbitrage  指数套戥

index basket order  一篮子指数买卖盘

index bond  指数债券

index call warrant  指数认购权证

index depository receipt / index share  指数预托证券

index futures  指数期货

Index of Economic Freedom  经济自由指数

index participation unit  指数参与单位

index swap  指数掉期

index warrant  指数权证

index-linked product  与指数挂钩的金融产品

indicated issue price  参考发行价

Indicative Equilibrium Price (IEP)  参考平衡价格

Indicative Equilibrium Volume (IEV)  参考平衡成交量

indicative price  指示价格

indicative terms sheet(warrants)  发行资料摘要(权证)

individual client  个人客户

Individual Exchange Participant  个人交易所参与者

Individual Investor Account  个人投资者户口

individual rating(banking)  自主评级(银行)

Individual Substantial Shareholders Notification  个人大股东具报书

industry scheme  行业基金

inflation indexed monetary policy  通胀指标货币政策

information dissemination  资讯发放；资讯发布

information memorandum  资料备忘录

information service  资讯服务

information vendor  资讯供应商

infrastructure project  基建工程；基建项目

initial listing fee  首次上市费

initial margin(futures)  基本按金(期货)

initial public offering (IPO)  首次公开招股；初次公开招股

Initial Public Offerings Progress Report  首次公开招股之进度报告

initial subscription price  初步认购价

Inland Revenue Ordinance  《税务条例》

inner reserve  内部储备

Innovation and Technology Fund  创新及科技基金

input VAT  进项增值税

insider dealer  内幕交易者

insider dealing  内幕交易

Insider Dealing Tribunal  内幕交易审裁处

insolvency  无力偿债；无偿债能力；资不抵债

insolvency risk  偿债能力风险

inspection visit  查访

Institute of Certified Public Accountants (ICPA)(US)  执业会计师公会(美国)

Institute of Chartered Accountants in England and Wales (ICA England & Wales)  英格兰及威尔斯特许会计师公会

Institute of Chartered Financial Analysts  特许财务分析员公会

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

Institute of Financial Planners of Hong Kong, The  　  香港财务策划师学会

Institute of Securities Dealers  证券商协会

institutional advancement  结构改进

institutional client  机构客户

institutional investor  机构投资者

institutional risk  机构风险

instrument of transfer  过户文件

intangible asset  无形资产

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

Interactive Voice Response System (IVRS)  互动语音电话系统

interbank market  银行同业拆借市场

interest collar; interest rate collar  利率衔接

interest cover; interest coverage  盈利对利息倍数

interest-rate ceiling  利率上限

interest-rate futures  利率期货

interest rate subsidy(Mainland China)  利息补贴(中国内地)

interest-rate swap  利率掉期；利率调期*

Interest Rate Swap Futures  　  利率掉期期货

interfacing  界面联系

interim report  中期报告

Inter-Market Coordination Committee  跨市场协调委员会

intermediary  中介机构；中介团体

intermediate holding company  中介控股公司

intermediation  中介现象

internal audit  内部稽核

internal auditor  内部核数师

internal censure  内部谴责

internal control  内部监控

Internal Control Regulations  《内部监控规例》

International Accounting Standards (IAS)  国际会计准则

International Accounting Standards Committee (IASC)  国际会计准则委员会

International Committee on the Listing of New Enterprises  新企业上市国际委员会

International Finance Corporation (IFC)  国际金融公司

International Financial Action Task Force  国际金融行动专责小组

International Monetary Fund (IMF)  国际货币基金

International Options Markets Association (IOMA)  国际期权市场协会

International Organisation for Standardisation (ISO)  国际标准化组织

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

International Primary Markets Association (IPMA)  国际集资市场协会

International Securities Identification Numbers (ISIN)  国际证券号码

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

International Securities Numbering System  国际证券号码编制系统

International Securities Services Association (ISSA)  国际证券服务业联会

International Stock Futures and Options(ISFO)  国际股票期货及期权

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

Internet  互联网

Internet Initial Public Offering (iIPO) service  网上认购新股服务

internet order connection  开放式网间联系买卖

interpretive guidelines  说明指引

in-the-money option  价内期权

intraday liquidity  即日流动资金

intra-day margin  即日额外按金

intra-day margin call  即日追补按金

intra-day marks collection mechanism  收取即日差额缴款机制

Intra-day Marks Collection Report(clearing)  即日差额缴款报告(结算)

intra-day marks payment obligations  应付即日差额缴款

intra-day money market  单日货币市场；即日拆借市场

intraday quotation  即日报价

intraday repurchase agreement(banking)  即日回购协议(银行)

intra-group transactions  集团内部交易

intranet  内联网

intrinsic value  内在值

introducing agent  介绍代理人

introduction(listing method)  介绍形式上市

inventory  存货；盘存

investee  投资对象

investment adviser  投资顾问

Investment Advisory Committee  投资顾问委员会

investment analyst  投资分析员

investment grade  投资级别

Investment Management Regulatory Organisation (IMRO)  英国投资管理监管组织

investment philosophy  投资理念

Investment Services Directive (ISD)(European Union)  投资服务指令(欧洲联盟)

Investment-linked Assurance & Pooled Retirement Funds Committee(SFC)  与投资有关的人寿保险及集资退休金计划委员会(证监会)

Investor Account Service  投资者户口服务

Investor and the Stock Market(publication)  《投资者与证券市场》(刊物)

Investor Compensation Company Limited  投资者赔偿有限公司

Investor Participant (IP)  投资者户口持有人

isolated trades system(CCASS)  「已划分的买卖」制度(中央结算系统)

issue price  招股价；发行价

issuer  发行人；发行机构

issuer electronic filing system  发行人电子存档系统

Issuer Register  　  发行人登记册

Issuers and Professional Advisers Survey  《发行人及专业顾问意见调查》

issuer's cash option  发行人可选择支付现金；发行人现金选择权JBRI  see Japan Bond Research Institute

Japan Bond Research Institute (JBRI)  日本公社债研究所

jobber  证券经销经纪；证券批销经纪

jobber stamp duty  证券经销经纪印花税

jobbing transaction  庄家之经销交易

Joint Individual Investor Account  联名个人投资者户口

joint stock company  股份有限公司

joint venture  合营企业；合资企业

joint venture contract  合资合同

jumbo certificate(CCASS)  大额股票(中央结算系统)

jumbomize  将股票化零为整

junk bond  垃圾债券

Kam Ngan Stock Exchange, The  金银证券交易所

kiting  做价

Know More About Your Investment(publication)  《投资者应知多点》(刊物)

Kowloon Stock Exchange, The  九龙证券交易所

LAF  Liquidity Adjustment Facility(HKMA)

LAN  Local Area Network

LAW  Liquidity Adjustment Window

LBO  leveraged buy-out

LIFFE  London International Financial Futures and Options Exchange

LIFO   last in, first out

LOBO  Long Only Brokers for Options

LOF  s listed open-end fund

LSE  London Stock Exchange

LTOM  London Traded Options Market

large cap stock  大型股

Large Exposure Report Agreement  大额持仓汇报协议

large open position  大额未平仓合约

last accounting date  最后结算日期

last exercise day  最后行使日

last in, first out (LIFO)  后进先出

last recorded price; last traded price  最后成交价

late reported sales  迟报交易

late trading  逾时交易

Law Society of Hong Kong, The  　  香港律师会

lead manager  主要经办人

lead underwriter  牵头包销商；主承销商*

leading economic indicator  主要经济指标

legal entity  法律实体

legal person share(Mainland China)  法人股(中国内地)

legal risk  法律风险

lender of last resort  最后贷款人；紧急贷款者

lending fee  贷出费

"let the buyer beware" principle  「买者自负」原则

Letter of Exchanges regarding regulatory co-operation for mainland companies to be listed on GEM  有关创业板内地发行人监管合作事宜之换文

level playing field(cf uneven playing field)  公平竞争

leverage  杠杆效应,

leveraged buy-out (LBO)  杠杆收购

leveraged foreign exchange introducing agent  杠杆式外汇买卖介绍代理人

leveraged foreign exchange trader  杠杆式外汇买卖商

leveraged foreign exchange trading  杠杆式外汇交易；杠杆式外汇买卖

Leveraged Foreign Exchange Trading(Calls) Rules  《杠杆式外汇买卖（造访）规则》

Leveraged Foreign Exchange Trading (Financial Resources) Rules  《杠杆式外汇买卖（财政资源）规则》

Leveraged Foreign Exchange Trading Ordinance  《杠杆式外汇买卖条例》

leveraged market  杠杆市场

liabilities  负债；债务

licence  特许；牌照

licensed bank  持牌银行

licensing information booklet  发牌资料册

Lifeboat Loan  救市贷款

"Lifeboat" levy  救市特别交易征费

light trading  交投疏落

limit order  限价盘

limited liability company  有限责任公司

liquid asset  速动资产；流动资产

liquid capital  速动资金；流动资金

liquidation  清盘

liquidation(ie forced sale of securities to meet a margin call)  斩仓

liquidity  流通性

Liquidity Adjustment Facility (LAF)(HKMA)  流动资金调节机制(金管局)

Liquidity Adjustment Window (LAW)  流动资金调节窗

liquidity margin  流动资金比率/幅度

liquidity provider  流通量提供者

liquidity ratio  流动资金比率

liquidity risk  流通风险

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

List of Stock Codes  《证券代号名录》

Listed corporation  上市法团

listed issuer  上市发行人

listed open-end fund (LOF)  上市开放式基金

listed securities  上市证券

Listing Agreement  上市协议

Listing Chinese Companies in Hong Kong(publication)  《中国公司在香港上市指南》(刊物)

Listing Committee  上市委员会

listing rules  上市规则

loan capital  借贷资本

loan facility  　  贷款融通

loan stock  债务证券；债券；债权股额；贷款债券；

贷款股

loan syndicate  贷款银团

Local Area Network (LAN)  区域网络；部份区域网络

locked position  锁仓

locked up  冻结

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

London Stock Exchange (LSE)  伦敦证券交易所

London Traded Options Market (LTOM)  伦敦期权市场

Long Only Brokers for Options (LOBO)  「只限长仓」期权经纪

long options contract  期权长仓合约

long position  长仓；多头*

MACD  see Moving Average Convergence-Divergence

Mass ATI  see Mass Account Transfer Instruction

MBO  see management buy-out

MESDAQ  see Malaysian Exchange of Securities Dealing and Automated Quotation Bhd

MORC  see Memorandum of Regulatory Cooperation

MOU  see memorandum of understanding

MPF  see Mandatory Provident Fund

MSCI Hong Kong Index  see Morgan Stanley Capital International Hong Kong Index

MWS  see Multi-workstation System

M1  狭义货币供应量

M2  广义货币供应量

Maastricht Treaty  马城条约

main board  主板；第一板

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》

Mainland/Hong Kong Closer Economic Partnership Arrangement - Arrangements relating to Qualifications of Securities and Futures Industry Practitioners  　  《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》

maintenance margin(futures)  维持按金；补仓按金(期货)

major shareholder  主要股东；大股东

major transaction  主要交易；重大交易

maker-checker facility(CCASS)  「输入与核对分工」功能(中央结算系统)

Malaysian Exchange of Securities Dealing and Automated Quotation Bhd (MESDAQ)  马来西亚证券交易所交易及自动报价系统

management buy-out (MBO)  管理层收购；自发性收购

management fee  管理费用

management shareholder  管理层股东

Management, Supervision and Internal Control Guideline(SFC)  《管理、监督及内部监控指引》(证监会)

manager  经办人

mandatory bid; mandatory offer  强制性收购建议

Mandatory Provident Fund (MPF)  强制性公积金

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

margin  按金；保证金；「孖展」

margin call  追补按金；补仓通知

margin client  孖展客户；保证金客户

margin coverage ratio  孖展覆盖率；保证金保险范围比率

margin cut  斩仓

margin financing  保证金融资；孖展融资；保证金借贷活动

margin interval  按金间距

margin offset  按金对销

margin parameter  按金参数

margin pooling  　  证券汇集转按

margin ratio  按金比例

margin relief  按金减免

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

margin trading  按金交易；孖展买卖

margin value  保证金价值

margin-after-exercise  行使后按金

margined premium  以按金形式缴付的期权金

margining process  计算按金程序

mark to market / mark-to-market  按市价计值

mark-to-market margin  市价计值按金

market capitalisation  市场总值；市价总值

Market Datafeed  市场数据传送专线

market depth  市场深度

market maker  庄家

Market Maker List  庄家名录

market making  庄家活动；作价买卖

market manipulation  市场操纵；市场操纵行为；造市

Market Misconduct Tribunal  市场失当行为审裁处

market order  市价盘

market participant  市场参与者

market practitioner  市场从业员

market rental  市值租金

market risk  市场风险

market sentiment  市场气氛

market share  市场占有率

market timing  选时交易

market volatility  市场波幅

market-sensitive information  市场敏感资料；影响市场资料

marks / marks payment  差额缴款

Mass Account Transfer Instruction

(Mass ATI)  大量户口转移指示

mass quote  大量开盘

master trust scheme  集成信托计划

maturity  到期；到期日

maximum spread  最大差价限额

Memorandum and Articles of Association  《组织大纲及章程》

memorandum of association  组织大纲

Memorandum of Regulatory Cooperation (MORC)  《监管合作备忘录》

memorandum of understanding (MOU)  谅解备忘录

merchant bank  商人银行

merger  合并

mergers and acquisitions  合并与收购；并购活动*

merit-based  以监管机构评审为本

mid-cap stock  中型股

Mid-day Data File Transfer Service  中午资料传送服务

middle exercise price  中间行使价

middle-priced option  中位价期权

Mini-HSI Futures  小型恒生指数期货合约

Mini-HSI Options  小型恒生指数期权合约

minimum contribution  最低供款额

minimum price fluctuation  最低上落价位；最低价格变动

minimum quote quantity  最少开价数量

minimum response time  最短回复开价时间

minimum transaction size  最低交易数额

Ministry of Finance(Mainland China)  财政部(中国内地)

Ministry of Foreign Trade and Economic Cooperation(Mainland China)  对外经济贸易合作部（外经贸部）(中国内地)

minority controller  次要控制人

minority interest  少数股东权益

minority shareholder  少数股东

minus tick  低于前成交价

misconduct  不当行为；失职行为；渎职行为

misrepresentation  失实陈述；虚报

Misrepresentation Ordinance  《失实陈述条例》

misstatement  虚假声明；错误陈述

mistraded contract  错误交易合约

mock trading  模拟交易

Model Authorisation Letter  标准授权书

Model Code for Securities Transactions by Directors of Listed Issuers  《上市公司董事进行证券交易的标准守则》

Model Code for Sponsors  《保荐人标准守则》

monetary assets  货币资产

monetary base  货币基础

Monetary Policy Committee(PBOC)  货币政策委员会(中国人民银行)

money broker  货币经纪

money laundering  洗黑钱

money market  货币市场；短期资金借贷市场

money settlement fee  款项交收费

money supply  货币供应

money transfer system  款项过户系统

Money World Asia Hong Kong  香港货币及投资汇展

Money World Asia Pte Limited  亚洲货币世界（新加坡）有限公司

moneyness  价值状况

monies advanced  垫款

Monthly Balance Statement(CCASS)  户口结余月结单(中央结算系统)

Monthly Market Statistics  《市场统计月报》

Monthly Return on Movement of Listed Securities  上市证券变动之月报

Moody's Investment Grade  穆迪投资评级

moratorium  股份禁售期

morning session  早市

mortgage loan originator  按揭贷款发放者

mortgage-backed securities  按揭证券

Moving Average Convergence-Divergence (MACD)  移动平均值背驰指标

multi-currency trading  多种货币买卖

multi-jurisdictional equity offering  跨司法区招股活动

Multi-workstation System (MWS)  多工作站系统

multiple application  重复认购

multiple-workstations  多工作站；一线多机

mutual cross-listing  跨国多重上市

mutual fund  互惠基金

NASDAQ  see National Association of Securities Dealers Automated Quotations(US)

NCP  see Non-Clearing Participant or Non-Clearing Options Trading Participant

(options trading)

NETS  see National Electronic Trading System (Mainland China)

New HSMCI  see New Hang Seng MidCap 50 Index

naked option writing  沽出未抵押期权

naked short selling  没有预先借货的卖空活动

National Association of Securities Dealers Automated Quotations (NASDAQ)(US)  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 Bureau of Economic Research(US)  美国国家经济研究局

National Construction Treasury(Mainland China)  国家建设债券(中国内地)

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

National Social Security Fund  全国社会保障基金

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

negative statement  否定声明

negotiable instrument  可转让票据

negotiated commission  商议佣金

negotiated transaction  议价交易

net admissible assets  认可资产净值

net asset value  资产净值

net asset value per share  每股资产净值

net book value  账面净值

net margining  净额按金计算

net open options contract; net options position  期权合约净持仓

net position  持仓净额

net present value  现金收益净值

net proceeds  集资净额

net tangible assets  有形资产净值

net tangible assets per share  每股有形资产净值

net underwriting commitment  包销承担净值

net worth ratio  净值比率

netting  单价配对(期权)；净额结算；对销

netting by novation(clearing)  以责务变更的方式进行净额结算

networking  联网

New Hang Seng MidCap 50 Index

(New HSMCI)  新恒生50中型股指数

new issue  发行新股；新股发行

New Regulatory Framework, The(SFC)  《新监管制度》(证监会)

news dissemination  资讯发布

news file  资讯档案

next day net settlement system  翌日净额结算系统

Next Settlement Day Due / Overdue Position Report(CCASS)  下一交收日到期/逾期数额报告(中央结算系统)

Nikkei Stock Average  日经平均指数

nil-paid rights  未缴股款股权；未缴款供股权

no-forcing order  全权委托盘

No-Over-Loss Rules  「无超额亏蚀」规则

nominal exchange rate  名义汇率

nominal price  按盘价；现价

nominal value  面值

nominee account  代理人户口

Non-Clearing Participant; Non-Clearing Options Trading Participant (NCP)(options trading)  非结算参与者；非结算的期权买卖参与者(期权买卖)

non-collateralised warrant  无抵押权证

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

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

non-executive director  非执行董事

non-market-making transaction  非市场庄家的交易

non-ranking liabilities  非认可负债

non-registered holder  非登记持有人

non-spot month Hang Seng Index futures contract  非现货月恒生指数期货合约

normal order imbalance  正常买卖盘差额

normative statement  规范声明

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

notifiable transaction  须予公布的交易

novated contract  责务变更合约

novation  责务变更；约务更替

ORS  see Order Routing System

Oaths and Declarations Ordinance  《宣誓及声明条例》

Occupational Retirement Schemes Ordinance  《职业退休计划条例》

odd lot  碎股；零股*

off-balance sheet exposure  资产负债表以外之承担/项目

off-balance sheet (financial) instrument  资产负债表外金融工具

off-board trading  场外交易；离场交易

off-floor order  离场买卖盘

off-floor trading  场外交易；离场交易

off-market rules  场外规则

off-market share repurchase  场外购回股份

offer  收购建议；要约

offer by tender  招标发售

offer for sale  公开发售；提呈发售

offer for subscription  公开认购

offer price  卖价；发盘价

offer to the public  公开招股

offering mechanism  招股机制

Office of the Commissioner of Insurance  保险业监理处

offsetting position  相抵持仓

offshore financial centre  离岸金融中心

offshore fund  离岸基金

offshore profit regrouping  离岸盈利重组

offshore swap  离岸调期

omnibus account  综合户口

omnibus client account  综合户口

on-floor order  场内买卖盘

on-going obligation  持续责任

on-line interface  联机界面联系

on-line investment service  联线投资服务

On-line Trading Working Group (SFC)  网上交易工作小组(证监会)

on-market rules  场内规则

online trading  网上交易；线上交易

online transfer  即时转送

open allocation session (HKATS)  开市分配时段(HKATS)

open contract  未平仓合约

open gateway  开放式网间连接器

open interest  未平仓合约

open market operations  公开市场活动

open offer  公开售股；公开发售

open order  开市盘

open outcry(= auction)  公开喊价；公开叫价；口头唱价*

(= 口头竞价)

open outcry trading  公开叫价交易

open position  未平仓合约

open short position  卖空空仓

open-end fund  开放式基金

opening contract  开仓合约

opening price  开市价；开盘价

opening quotations rules  开市报价规则

opening stock  期初存货

opening transaction  开仓交易

operating lease  营运/经营/营业租赁

Operation Procedures for Stamp Duty Collection  征收印花税运作程序

Operational Clearing Procedures for Options Trading Exchange Participants  《结算运作程序 ─ 期权买卖交易所参与者专用》

operational risk  运作风险；营运风险

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

option  期权

option buyer  期权买方

option class  期权类别

option contract  期权合约

option holder  期权持有人

option position  期权持仓

option pricing model  期权定价模式

option seller  期权卖方

option series  期权系列

option valuation  期权定价

option writer  期权卖方

optional registration service  另选登记服务

Options Broker Exchange Participant  期权经纪交易所参与者

Options Clearing Officer  期权结算主任

Options Clearing Officer Examination  期权结算主任考试

Options Clearing Rules  《期权结算规则》

Options Client's Agreement  期权客户协议书

options delivery instruction  期权交付指令

options digital datafeed  期权数码资料传送专线

Options Exchange Participant  期权交易所参与者

Options Information Service  期权资讯服务

options tariff  期权费用

options trade confirmation  期权交易确认书

Options Trading Exchange Participant  期权买卖交易所参与者

Options Trading Officer  期权交易主任

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

Options Trading Representative  期权交易代表

Options Trading Rules  《期权交易规则》

order  买卖盘；买卖指示

order at discretion  全权委托盘

order book  买卖盘纪录；挂盘册

order-driven  以买卖盘带动

order entry  买卖盘输入

order form  盘纸

order input period  输入买卖盘时段

order instruction  入市指令

order matching  对盘

order matching period  对盘时段

order routing  买卖盘传递

Order Routing System (ORS)  买卖盘传递系统

order throughput  买卖盘处理率

ordinary share  普通股

OTC Bulletin Board (US)  场外交易议价板 (美国)

out-of-the-money option  价外期权

output VAT  销项增值税

outstanding contingent liabilities  未偿或然负债

outstanding loan  未偿还借款

outstanding order  未完成买卖盘

outstanding stock  已发行股份/股本/股票

over-allotment option  超额配发权；超额配股权

over-allotment option scheme  超额配发机制

over-the-counter derivative  场外衍生工具

over-the-counter market  场外证券市场

over-the-counter option  场外期权

overall position  整体持仓

overbooked  超额认购

overbought  超买

overnight liquidity(banking)  隔夜流动资金(银行)

Overnight Report Distribution(CCASS)  即夜传送报告资料服务(中央结算系统)

overnight trade  非即日平仓交易

overseas issuer  海外发行人

overseas listed foreign share(Mainland China)  境外上市外资股(中国内地)

oversold  超卖

oversubscribed  超额认购

overtrading  过量交易

PASLA  Pan Asian Securities Lending Association

PBOC  People's Bank of China

PCS Provisional Clearing Statement

P/E  price/earnings ratio

PECC  Pacific Economic Cooperation Council

PIN  personal identification number

PKI  Public Key Infrastructure

POSIT  Portfolio System for Institutional Traders(Australia)

PNS  Proprietary Network System

PPP  purchasing power parity

PRiME  Portfolio Risk Margining System of HKEx

PSE  Pacific Stock Exchange

PSS  Participant Supplied System

PvP  payment vs payment(banking)

PABX Telephone System  内线电话系统

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

Pacific Stock Exchange (PSE)  太平洋证券交易所

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

paid-up capital; paid-in capital  实缴股本；缴入股本

painting the tape  操纵证券价格

Pan Asian Securities Lending Association (PASLA)  亚洲证券借贷协会

paper gold  纸黄金

paper intensive settlement  票据密集交收

paperless trading  无纸化交易

"paper-to-paper" arrangement  票对票方式

par value  票面值

parent company  母公司

parity(options)  平价(期权)

parity value  平衡价值

partially filled order  部份完成的买卖指示

Participant Access Services(futures)  参与者资料提取系统(期货)

Participant gateway  参与者网间连接器

Participant Supplied System (PSS)  　  参与者自设系统

Particular Transfer(Mainland China)  特别转让股(中国内地)

partly-paid share  未缴足股份

payment vs payment (PvP)(banking)  汇款同步交收；即时汇款同时交收(银行)

payoff  回报；收益

payoff diagram  收益图

payoff period  回收期；回本期

Payout-Protection Rule(options)  「保护偿付」规则(期权)

PC terminal user  个人电脑终端机用户

pegged exchange rate  联系汇率

pegged rate system  联系汇率制；挂钩汇率制

penny stock  细价股；蚊型股

People's Bank of China (PBOC)  中国人民银行

per capita gross domestic product  人均国内生产总值

per capita gross national product  人均国民生产总值

period of solicitation  招售期

Permanent Secretary for Financial Services and the Treasury  财经事务及库务局常任秘书长

perpetual bond  永久债券

personal account dealing guidelines  私人户口交易指引

personal identification number (PIN)  私人密码

phishing  伪冒电子邮件

physical delivery  实物交收

physical inventory  实地盘存

physical market  现货市场

physical price  现货价

physical scrip  实物股票

Pink Sheets (US)  「粉红价单」(美国)

pit  交易圈；交易场

pit trading  场内交易

placee  获配售人；承配人

placing  配售

placing agent  配售代理

placing and top-up  以先旧后新方式配售

placing guidelines  配售指引

placing order  落盘

plain vanilla bond  传统债券

plain vanilla warrant  一般权证

pledge  抵押

plus tick  高于前成交价

port fee  接驳站费用；接口费

portfolio  投资组合

Portfolio Analyser(options)  组合分析仪(期权)

portfolio manager  投资组合经理

Portfolio Risk Margining System of HKEx (PRiME)  香港交易所组合风险按金系统

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

position  持仓；仓；盘；头寸

position adjustment  调整持仓

position limit  持仓限额；持仓上限

position limit ratio  持仓限额比率

position ratio  持仓比例

position risk adjustment  持仓风险调整

position squaring  平仓

position trader(commodity market)  头寸交易商(商品市场)

Positioning for a New Era(publication)  《迈进新纪元》(刊物)

post-listing acquisition  上市后的收购活动

power of attorney  授权书

power of sanction  制裁权

Practice Note  应用指引

PRC issuer  中国内地发行人

predator(takeover)  狙击手(收购)

Predefined Futures Calendar Spreads  预设期货跨期合约

pre-emptive right  优先认购权

preference / preferred share  优先股

preferred ordinary share  优先普通股

Pre-market Opening Mechanism(futures)  开市议价机制(期货)

pre-open allocation session(HKATS)  　  开市前分配时段(HKATS)

premium  溢价

premium(futures)  高水(期货)

premium(options)  期权金(期权)

premium turnover  期权金成交额

pre-opening session  开市前时段；开市前议价时段

pre-order matching period  对盘前时段

Preparatory Board  筹备董事会

prescribed percentage  指定百分比

previous closing price  前收市价

price cheating  食价

price discovery  市场定价；市场价格厘定；价格发现

price manipulation  操纵价格；造价

price ramping  炒高价格

Price Reporting System(futures)  报价系统(期货)

price spread(options)  跨价买卖(期权)

price/earnings ratio (P/E)  市盈率

price-sensitive information  股价敏感资料；影响股价资料

pricing model  定价模式

primary listing  第一上市

Primary Market Database  上市公司资料库

primary market  集资市场；一级市场*

primary sponsor  　  主要保荐人

principal account  公司户口

principal supervisor(GEM)  主要主管(创业板)

principle of best execution  以最佳价格执行交易的原则；

以最佳条件执行交易的原则

Priority Construction Treasury(Mainland China)  国家重点建设债券(中国内地)

private fibre optical circuit  自置光纤线路

private placing  私人配售

privately-offered fund  　  私募基金*

privatisation  私有化；私营化

privileged user  特许使用者

pro forma fully diluted price/earnings ratio  备考全面摊薄市盈率

pro forma statement  备考报表

Process Review Panel  程序覆检委员会

Professional Accountants Ordinance  《专业会计师条例》

Professional Conduct Rules and Regulations(publication)  《专业操守规则及规例》(刊物)

Professional Course for Equity Options Practitioners  股票期权从业员专业课程

profit  溢利；利润；盈利

profit and loss account  损益账

profit forecast  溢利预测

profits attributable to shareholders  股东应占溢利

programme trading  程式买卖；程式交易

project finance  项目融资

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

Prolonged Suspension Status Report  有关长时间停牌公司之报告

promoter  发起人

property gains tax  物业增值税

property valuer  物业估值师

proposed director  获提名董事

proprietary account  公司专用户口

Proprietary Network System (PNS)  　  专线网络系统

proprietary routing terminal  专用网络系统

proprietary trading  自营买卖；坐盘

proprietary trading system  专用交易系统

prospectus  招股章程；招股书；发行章程

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

Provident Fund Scheme  公积金计划

provision  条文

provision(accounting)  准备；拨备(会计)

provision for bad and doubtful debts  坏账及呆账拨备

Provisional Clearing Statement (PCS)  临时结算表

provisional letter of allotment  暂定配额通知书

provisional liquidator  临时清盘人

proxy form  代表委任表格；委派代表书

prudence  审慎原则

public address system  公布系统

public censure  公开谴责

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

public float  公众持股量

public float capitalisation  公众持股市值

public interest  公众利益

Public Interest Director  公众利益董事

Public Key Infrastructure (PKI)  公开密码匙基础建设

purchasing power parity (PPP)  购买力平价

put option  认沽期权

put warrant  认沽权证

put writer  认沽期权沽出者

QDII  see Qualified Domestic Institutional Investor

QFII  see Qualified Foreign Institutional Investor

qualification share  资格股

Qualified Domestic Institutional Investor (QDII)  　  合格境内机构投资者

Qualified Foreign Institutional Investor (QFII)  合格境外机构投资者

qualified institutional buyer  合资格机构买家

qualified opinion  保留意见

Quick Reference Guide(AMS)  简便指南(自动对盘系统)

quiet trading  交投淡静

quotation rules  报价规则

quote  报价；开价盘

quote maintenance report  开盘状况报告

quote request  报价要求；开价盘要求

quote-driven  以报价带动；以开盘带动

Range ELI  see Range Equity Linked Instrument

RDDS  see Realtime Digital Data Service

REIT  see real estate investment trust

repo  see repurchase agreement

RFQ  see request for quote

RIQ  see Recognised Industry Qualifications

RSI  see Relative Strength Indicator

RTGS  see Real Time Gross Settlement System(HKMA)

raider(takeover)  狙击手(收购)

rally  回升；反弹

ramping  炒高价格

random assignment  随机分配

Range Equity Linked Instrument (Range ELI)  「勒束式」股票挂钩票据

ranking liabilities  认可负债

rat trading  老鼠仓活动

rate of return  回报率

real estate investment trust (REIT)  房地产投资信托基金

real exchange rate  实质汇率

real time calculation  实时计算

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

real time information  即时资讯；实时资讯

realisation  变现

Realtime Digital Data Service (RDDS)  即时数码数据服务

realtime digital datafeed  即时数码资料传送专线

rebate  回扣；回佣；佣金回扣

recapitalisation  资本重整

receiving agent  收款代理

receiving bank  收款银行

Recognised Industry Qualifications (RIQ)  认可行业资格

reconciliation  对账

recoverable VAT  应退增值税

red chip  红筹股

redeemable share  可赎回股份

redemption  赎回；兑付*；还本付息*

rediscount  再贴现

Reference for Disclosures in Annual Reports(publication)  《周年报告的参考披露资料》(刊物)

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

Regional Monitor  《亚太股市脉络》

register of members  股东名册

registered certificate  记名证书

registered dealer  注册证券商

registered financier  注册融资人

registered firm  注册商号

registered intermediary  注册中介团体

registered owner  登记持有人

registered securities  记名证券

Registered Trader  　  注册庄家

Registered Treasury(Mainland China)  记账式国库券(中国内地)

registrar  过户登记处；过户处

Registrar of Companies  公司注册处处长

registration and transfer fee  登记过户费

regulated short selling  受监管之股份卖空活动

regulation  监管

regulatory arbitrage  监管套戥

regulatory body  监管机构

regulatory regime  监管制度

rejected sales  反驳交易

related party transaction  关连人士交易

related person  关连人士

relationship of put-call parity  认沽认购等价关系

relative return  相对回报率

Relative Strength Indicator (RSI)  相对强弱指数

rematerialisation  　  重新实物化

remote trading access  遥距交易设施

remuneration package  薪酬利益

reorganisation  重组

replacement cost  重置成本

Report by the 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报告书》

Report of the Securities Review Committee  《证券业检讨委员会报告书》

Report on Financial Market Review  《金融市场检讨报告》

Report on the Enhancement of the Financial Infrastructure in Hong Kong  《提升香港的金融基础设施报告》

reporting accountant  申报会计师

reporting period  申报期

reprimand  谴责

repurchase  购回；购回股份

repurchase agreement (repo)  回购协议

request for proposal  征求建议书

request for quote (RFQ)(options)  报价要求(期权)

required rate of return  所需回报率

reserve  储备

reserve fund  储备基金

response time  回应时间

responsibility letter  责任承诺书

responsibility statement  责任声明书

restatement of accounts  重整账目

restricted licence bank  有限制牌照银行

restriction notice  限制通知书

results announcement  业绩公布

resumption of trading  复牌；恢复买卖

retail broker  散户经纪

retail information service  零售资讯服务

retail investor  散户投资者；散户

retained capital  留成资金；保留资金

retained earnings; retained income  留存盈利；留存收益

retained profits  留存溢利；留存盈利

Reuters Monitor Equities Investment Service  路透社证券投资传视服务

revaluation  重估

reversal contract(options)  逆转交易合约；取消交易合约(期权)

reverse takeover  反收购

reverse convertibles  反向可转换产品

Revised Guidance Notes Regarding Money Laundering  《防止洗黑钱修订指引》

revised short selling scheme  经修订的股份卖空计划

rights issue  供股；配售新股

risk array algorithm  风险排列算式

risk array margining system  风险排列按金制度

risk array method  风险排列方法

risk control  风险控制

risk disclosure  风险披露

Risk Disclosure Statement(GEM)  风险披露声明书(创业板)

risk evaluation  风险评估

risk identification  风险鉴别

risk management  风险管理

Risk Management Committee  风险管理委员会

risk parameter  风险参数

risk tolerance  风险容限

risk-free interest rate  无风险利率

roadshow  巡回推介

Rolling Forex  日转期汇

roll-over  转仓

round lot  手

"round trip" option transaction  「来回」期权交易

round-lot-plus order  非整手买卖盘

router system  买卖盘传递系统

Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited (GEM Listing Rules)  《香港联合交易所有限公司创业板证券上市规则》（《创业板上市规则》）

Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (Exchange Listing Rules)  《香港联合交易所有限公司证券上市规则》（《证券上市规则》）

Rules of the Exchange  《交易所规则》

runner  驳脚经纪

SAAC Securities Analysts Association of China

SAC  Securities Association of China, The

SAFE  State Administration of Foreign Exchange(Mainland China)

SASAC  State-owned Assets Supervision and Administration Commission

SBLA  securities borrowing and lending agreement

SCCLR  Standing Committee on Company Law Reform

SCEFI  Steering Committee on the Enhancement of Financial Infrastructure, The

SCORE  Stock Options Reference Educator

SCP  Self Clearing Participant

SDNet  Securities and Derivatives Communication Network

SEAQ  Stock Exchange Automated Quotations System(UK)

SEAQI    Stock Exchange Automated Quotations System for International Equities(UK)

SEATS  Stock Exchange Alternative Trading Service(UK)

SEC  Securities and Exchange Commission(US)

SEHK Stock Exchange of Hong Kong Limited, The

SEIS  Stock Exchange Information Services Limited

SEOCH  SEHK Options Clearing House Limited, The

SESDAQ Stock Exchange of Singapore Dealing and Automated Quotation System

SFC  Securities and Futures Commission, The

SFAT  Securities and Futures Appeals Tribunal

SGX  Singapore Exchange

SI  settlement instruction

SIB  Securities and Investment Board(UK)

SMARTS  Securities Market Automated Research, Training & Surveillance System

SMFP  share margin finance provider

SOES  Small Order Entry System/Small Order Execution System(US)

SPAN Standard Portfolio Analysis of Risk

SPDR  Standard & Poor's Depository Receipt

SRN  Shareholder Reference Number

SSAP  Statement of Standard Accounting Practice

STAQS  Securities Trading Automated Quotation System(Mainland China)

SWIFT  Society for Worldwide Interbank Financial Telecommunications

S&P/HKEx Composite  标准普尔/香港交易所综合指数

S&P/HKEx GEM  标准普尔/香港交易所创业板指数

S&P/HKEx LargeCap  标准普尔/香港交易所大型股指数

S&P/HKEx MidCap 25  标准普尔/香港交易所中型股25指数

S&P/HKEx SmallCap 50  标准普尔/香港交易所小型股50指数

sales representative  营业代表

sales revenue  销售收入

salvage value  残值

same day exercise  同日行使

samurai bond  武士债券

scalable  提高运作的能力

scalping  老鼠仓活动；食价

scheme of arrangement  协议安排；协议计划

screen  荧幕；屏幕*

scrip dividend  以股代息

scrip fee  股票登记费；登记过户费

scrip issue  发行红股

scripless trading  无纸化交易

seasoned securities  优质证券

second board  第二板；第二板市场

second liner; second line stock  二线股

second market  第二板；第二板市场

secondary listing  第二上市

secondary market  交易市场；二级市场

Secretary for Economic Development and Labour  经济发展及劳工局局长

Secretary for Financial Services and the Treasury  财经事务及库务局局长

secured debts  抵押债项

Securities (Clearing Houses) Ordinance  《证券（结算所）条例》

Securities (Dealers, Investment Advisers, Partnerships and Representatives) Rules  《证券（交易商、投资顾问、合伙及代表）规则》

Securities (Disclosure of Interests) Notification History Reports  《证券（披露权益）具报纪录》

Securities (Disclosure of Interests) Notification Summaries(publication)  《证券（披露权益）具报摘要》(刊物)

Securities (Disclosure of Interests) Ordinance  《证券（披露权益）条例》

Securities (Insider Dealing) Ordinance  《证券（内幕交易）条例》

Securities (Margin Financing) (Amendment) Ordinance 2000  《2000年证券（保证金融资）（修订）条例》

Securities (Stock Lending) Rules  《证券（证券借出）规则》

Securities Analysts Association of China (SAAC)  中国证券业协会证券分析师专业委员会

Securities and Derivatives Communication Network (SDNet)  证券及衍生工具团体网络

Securities and Exchange Act(Taiwan)  证券交易法(台湾)

Securities and Exchange Commission (SEC)(US)  证券交易委员会(美国)

Securities and Futures (Clearing Houses) Ordinance  《证券及期货（结算所）条例》

Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003  《2003年证券及期货（合约限量及须申报的持仓量）（修订）规则》

Securities and Futures (Disclosure of Interests - Exclusions) Regulation  《证券及期货（披露权益－免除 ）规例》

Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules  《证券及期货（披露权益－证券借贷）规则》

Securities and Futures (Price Stabilising) Rules  　  《证券及期货（稳定价格）规则》

Securities and Futures (Professional Investor) Rules  《证券及期货（专业投资者）规则》

Securities and Futures (Recognized Counterparty) Rules  《证券及期货（认可对手方 ）规则》

Securities and Futures (Short Selling Exemption and Stock Lending) Rules  《证券及期货（卖空豁免及证券借出 ）规则》

Securities and Futures (Stock Market Listing) Rules  《证券及期货（在证券市场上市 ）规则》

Securities and Futures (Transfer of Functions - Stock Exchange Company) Order  《证券及期货（转移职能予联交所 ）令》

Securities and Futures Appeals Panel  证券及期货事务上诉委员会

Securities and Futures Appeals Panel (Fee) Order  《证券及期货事务上诉委员会（费用）令》

Securities and Futures Appeals Panel Proceedings Rules  《证券及期货事务上诉委员会程序规则》

Securities and Futures Appeals Tribunal (SFAT)  证券及期货事务上诉审裁处

Securities and Futures Bureau(Taiwan)  证券期货局(台湾)

Securities and Futures Commission, The (SFC)  证券及期货事务监察委员会（证监会）

Securities and Futures Commission (Annual Returns) Rules  《证券及期货事务监察委员会（周年报表）规则》

Securities and Futures Commission (Fees) Rules  《证券及期货事务监察委员会（费用）规则》

Securities and Futures Commission (Levy) (Futures Contracts) Order  《证券及期货事务监察委员会（征费）（期货合约）令》

Securities and Futures Commission (Levy) (Securities) (Amendment) Order  《证券及期货事务监察委员会（征费）（证券）（修订）令》

Securities and Futures Commission (Levy) Rules  《证券及期货事务监察委员会（征费）规则》

Securities and Futures Commission Ordinance  《证券及期货事务监察委员会条例》

Securities and Futures Commission (Transfer of Functions) Order  《证券及期货事务监察委员会（职能移交）令》

Securities and Futures Intermediaries Activities Surveys(SFC)  《证券及期货中介机构业务调查》(证监会)

Securities and Futures Market Development Working Group  　  证券期货市场发展工作小组

Securities and Futures Ordinance  《证券及期货条例》

Securities and Investment Board (SIB)(UK)  证券及投资管理局(英国)

Securities Association of China, The (SAC)  中国证券业协会

securities borrowing and lending agreement (SBLA)  证券借贷协议书

Securities Brokers Course  证券经纪课程

Securities Brokers Examination  证券经纪考试

securities collateral  证券抵押品

Securities Compensation Fund Committee(SFC)  证券赔偿基金委员会(证监会)

securities lender  证券借出人

securities margin financier  证券保证金融资人

Securities Market Automated Research, Training & Surveillance System (SMARTS)  证券市场资料研究、培训及监察自动化系统

Securities Market Herald (publication)  《证券市场导报》

Securities Offering Issues sub-group  　  证券发售事宜工作小组

Securities Trading Automated Quotation System (STAQS)(Mainland China)  证券交易自动报价系统(中国内地)

Securities Training Programme  证券业培训课程

securities-on-hold mechanism  冻结股份机制

securitisation  证券化

security  抵押品；担保物*

security arrangement  抵押安排；保障安排

security interest  担保权益

"see-through" price  透视价

segregated trust account  独立信托户口

segregation of securities  证券隔分

SEHK Enquiry Hotline  联交所资讯服务热线

SEHK Monthly Bulletin  《香港联合交易所月刊》

SEHK Options Clearing House Limited, The (SEOCH)  香港联合交易所期权结算所有限公司（联交所期权结算所）

selective marketing basis  选择性销售方式

Self Clearing Participant (SCP)  自行结算参与者

self-clearing  自行结算

self-regulatory organisation; self-regulating organisation  自律监管机构

sell order  卖盘；沽盘

合同翻译 http://www.tran-masters.com

sensitivity analysis  敏感度分析

SEOCH collateral  联交所期权结算所抵押品

SEOCH Participant  联交所期权结算所参与者

separate listing  独立上市

Serial Month Hibor Futures  三个月拆息利率期货

series margin value  系列按金价值

set off  抵销

Settled Position Report(CCASS)  已交收数额报告(中央结算系统)

settlement backlog  交收积压

settlement bank  交收银行

settlement cap  交收上限

settlement date  交收日

settlement instruction (SI)  交收指示

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

settlement instruction transaction  「交收指示」交易

settlement period  交收期

Settlement Report(CCASS)  交收报告(中央结算系统)

settlement risk  交收风险

SFC (HKEC Listing) Appeals Committee  证监会（香港交易所上市）上诉委员会

SFC (HKEC Listing) Committee  证监会（香港交易所上市）委员会

SFC (HKEC Listing) Executive  证监会（香港交易所上市）执行人员

SFC Alert  《证监快讯》

SFC Code on MPF Products  《证监会强积金产品守则》

SFC Dual Filing Advisory Group  　  证监会双重存档事宜顾问小组

SFC Enforcement Reporter  《证监会执法月报》

shadow director  影子董事

Shanghai Municipal Futures Industry Association  上海市期货同业公会

Shanghai Securities Central Clearing and Registration Corporation  上海证券中央登记结算公司

Shanghai Stock Exchange  上海证券交易所

Shanghai United Assets and Equity Exchange  上海联合产权交易所

share capital  股本

share entitlements  股份权益

share exchange  以股换股

share margin finance provider (SMFP)  证券按贷财务提供者

share margin financing  证券保证金融资；股票按贷财务

share option  购股权；股份认购权；认股权；认股期权

share register  股东名册

share registrar  股票过户登记处；过户处

share repurchase  购回股份；股份购回

share scheme  股份计划

shareholder loan  股东贷款

Shareholders Group(SFC)  股东权益小组(证监会)

shareholding  股权

shareware  共用软件

shelf registration facility(US)  暂搁注册；缓行注册(美国)

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

Shenzhen Securities Registration Company Limited  深圳证券登记有限公司

Shenzhen Stock Exchange  深圳证券交易所

short call  认购期权空仓；认购短仓

short interest  卖空股份总额

short option  期权短仓

short options contract  期权短仓合约

short position  淡仓；空仓；空头*

short put  认沽期权空仓；认沽短仓

short seller  卖空卖方

short selling  卖空；沽空；抛空

Short Selling Pilot Scheme  股份卖空试验计划

short squeeze  挟仓

short term borrowings  短期举债；短期借贷

short-dated securities  短期证券

short-term money  短期资金

SI Activity Report(CCASS)  交收指示活动报告(中央结算系统)

SI Batch File Service  整批输入交收指示

SI Status Report(CCASS)  交收指示状况报告(中央结算系统)

SI transaction  交收指示的交易

significant shareholder(GEM)  高持股量股东(创业板)

simulation system  模拟系统

Singapore Exchange (SGX)  新加坡交易所

single price auction system  单一价格竞价市场

single share derivative warrant  单一种股份的衍生权证

sinking fund  偿债基金

Sino-foreign equity joint venture  中外合资企业

slow trading  交投呆滞

small cap stock  细价股

Small Order Entry System / Small Order Execution System (SOES)(US)  细盘撮合系统(美国)

Small Order First-In-First-Out  细额先到先得

smart card  聪明卡；醒目卡；灵巧卡

SME Board(Shenzhen Stock Exchange)  中小企业板块(深圳证券交易所)

snapshot  瞬像；瞬态；「定镜」处理

Society for Worldwide Interbank Financial Telecommunications (SWIFT)  环球银行财务电信协会

soft commission  软佣金；非金钱佣金

soft currency  软货币；弱势货币

soft landing  软着陆

soft-dollar benefits  非金钱利益

sole proprietor  独资经营者

source code  源指令码

sovereign debt  外债

sovereign risk  主权风险

Special Levy  特别征费

special limit order  特别限价盘

Special Treasury(Mainland China)  特种国债；特别国债(中国内地)

Special Treatment(Mainland China)  特别处理股(中国内地)

specialised bank  专业银行*

Specialist System(US)  「特许证券商」制度(美国)

speed bump  停市措施

spin-off  分拆；分拆上市

split  股份拆细

Split Register  分列登记册

sponsor  保荐人

Sponsor's Declaration  《保荐人声明》

sponsoring broker  保荐经纪

spot market  现货市场

spot month  现货月

spot price  现货价

spread  价位；差价

spread(options)  跨价/跨期式组合(期权)

spread margin  复式按金

spread of holders  持股人的分布情况

spread of sector  行业覆盖层面

spread option  复式期权

spread order  复式盘

spread table  价位表

spread trading  跨期买卖；跨价买卖

squeeze  挟仓

stagflation  滞胀

staggering maturities  交错到期组合

stamp duty  印花税

Stamp Duty Ordinance  《印花税条例》

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

Standard & Poor's Rating  标准普尔评级

standard accounting practice  标准会计准则

standard contract  标准合约

standard deviation  标准差

standard deviation of daily return  每日回报标准差

Standard Portfolio Analysis of Risk (SPAN)  标准组合风险分析

standard registration service  标准登记服务

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

standstill agreement  暂缓还款协议

standstill return  股价不动时回报

State Administration of Foreign Exchange (SAFE)(Mainland China)  国家外汇管理局(中国内地)

State Bureau for Industrial and Commercial Administration

(Mainland China)  国家工商局(中国内地)

State Council Securities Committee(Mainland China)  国务院证券委员会（证券委）(中国内地)

State Economic and Trade Commission(Mainland China)  国家经济贸易委员会（国家经贸委）(中国内地)

state share(Mainland China)  国家股；国有股(中国内地)

State Statistics Bureau(Mainland China)  国家统计局(中国内地)

State Taxation Bureau(Mainland China)  国家税务局(中国内地)

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

statement of account  户口结单

statement of adjustments  调整表；调整声明

Statement of Standard Accounting Practice (SSAP)  《会计实务准则》

Statement of Stock Movement(CCASS)  股份转移报告(中央结算系统)

State-owned Assets Supervision and Administration Commission (SASAC)  国有资产监督管理委员会

state-owned enterprise(Mainland China)  国营企业(中国内地)

static information  静态资讯

Status Report on Issuers' Delay in Releasing Results Announcement  有关发行人延迟公布业绩之报告

statutory public welfare fund(Mainland China)  法定公益金(中国内地)

statutory reserve  法定储备

statutory surplus reserve(Mainland China)  法定公积金(中国内地)

Steering Committee on Organisational Review(SEHK)  组织架构检讨指导委员会(联交所)

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

stock borrowing and lending  股票借贷

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

stock clearing fee  股份结算费

stock code  股份代号；证券代号

stock conversion  股份收纳

stock custody fee  股份托管费

stock deposit fee  股份存入费

Stock Deposit Form  股份存入表格

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

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

Stock Exchange Automated Quotations System for International Equities (SEAQI)(UK)  交易所国际自动报价系统(英国)

Stock Exchange Information Services Limited (SEIS)  香港联合交易所资讯服务有限公司

Stock Exchange of Hong Kong Limited, The (SEHK)  香港联合交易所有限公司（联交所）

Stock Exchange of Singapore Dealing and Automated Quotation System (SESDAQ)  新加坡证券交易所交易及自动报价系统

Stock Exchange Trading Right  联交所交易权

Stock Exchanges Unification Ordinance  《证券交易所合并条例》

stock futures  股票期货

stock lender  股票出借人；贷股人

Stock Lender Participant(CCASS Participant)  　  贷股人参与者(中央结算系统参与者)

Stock Lending Account(clearing)  股票贷出户口(结算)

Stock Market History Project  证券市场历史研究计划

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

stock option  股票期权

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

stock page(Teletext)  股份页(大利市机)

stock pledgee  股票承押人；股份承押人

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

stock return  股票归还

Stock Segregated Account with Statement Service(CCASS)  附寄结单服务的股份独立户口(中央结算系统)

stock settlement fee  股份交收费

stock split  股份拆细

stock withdrawal fee  股份提取费

Stockbrokers' Association of Hong Kong (1891)  香港股票经纪会（1891年）

stop limit order  止蚀限价盘

stop order; stop-loss order  止蚀盘

straddle(options)  马鞍式组合(期权)

straight bond  普通债券

straight-through processing  直通式交易程序

straightline method of depreciation  直线折旧法

strangle(options)  勒束式组合(期权)

"street name" share certificate  「街名」股票；待转名股份

strike price(options)  行使价；敲价(期权)

strong dollar  强势美元

sub-commission  回扣/回抽佣金；倒扣

sub-index  分类指数

sub-ledger  分类账

subordinated loan  附属贷款；后偿贷款

subscription  认购

subscription warrant (vs derivative warrant)  股本权证（相对于衍生权证）

subsidi, ary  附属公司

substantial shareholder  大股东；主要股东

sub-underwriter  分包销商

summary financial report  财务摘要报告

summary offence  轻微违纪事件/行为

supervisor(Mainland China)  监事(中国内地)

supervisory committee(Mainland China)  监事会(中国内地)

supplemental/supplementary listing document  补充/增补上市文件

supranational entity  超国家机构

surplus reserve  盈余储备

suspended trading; suspension  停牌

suspense account  暂记账

swap  掉期

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

syndicated credit  银团融资

syndicated lending  银团贷款

syndicated loan  银团贷款

synthetic long call  合成认购期权长仓

synthetic option  合成期权

synthetics  合成工具

system access right  系统联通权

System Access Right Fee(options)  系统联通权收费(期权)

system closure  系统终止

system integrator  系统整合商

system parameter  系统参数

system sizing  制订系统规模

systematic risk  系统性风险

TAIFEX  Taiwan Futures Exchange

TIGER  Taiwan Innovative Growing Entrepreneurs

TIPS Theoretical Indicative Pricing System(futures)

TOPIC  Teletext Output of Price Information by Computer(UK)

TOPS  Traded OPtions System

TPC  Third Party Clearing

TraHK  Tracker Fund of Hong Kong

T + 2  T + 2 交收期限

T + 2 settlement system  T + 2 交收制度

T + 3 Rule(US)  T + 3 规则(美国)

tails(options)  极价外期权；无价期权形式

Taiwan Futures Exchange (TAIFEX)  台湾期货交易所

Taiwan Innovative Growing Entrepreneurs (TIGER)  台湾创新成长企业类股

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

Taiwan Stock Exchange Corporation  台湾证券交易所

take-up(options)  接收(期权)

takeover  收购

Takeovers & Mergers Panel(SFC)  收购及合并委员会(证监会)

Takeovers Appeal Committee(SFC)  收购上诉委员会(证监会)

tap facility  持续发售机制

tap issue  不限量发行

tariff  交易费

tax avoidance  避税

tax break  税项减免

tax concession  税项减免

tax evasion  逃税

tax rebate; tax refund  退税

tax relief  税务优惠

Taxation Institute of Hong Kong  　  香港税务学会

technical analysis  技术分析

Teletext  大利市

Teletext carrier charge  大利市网络供应商费用

Teletext Information Service  大利市资讯服务

Teletext Output of Price Information by Computer (TOPIC)(UK)  TOPIC 系统(英国)

Teletext page  大利市版页

Teletext video broadcast service  大利市影像广播服务

temporary receipts  暂收款

Temporary Suspension Status Report  有关暂时停牌公司之报告

tender procedure  投标程序

term bond  定期债券

Terms and Conditions for Investor Participants  《投资者户口持有人规则》

terms of reference  职权范围

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

third liner  三线股

Third Party Clearing (TPC)  第三者结算

throttle rate  节流率

tick (size)  最低上落价位；最低价格变动

tick rule  卖空价规则；限价卖空规则

tick value  价位值

tier(options)  持仓类别(期权)

TIGER Board(Taiwan)  二类股票(台湾)

time premium  时间值

time spread  跨期买卖

time stamp  时间戳记

time value  时间值

tipper  收取内幕消息人士

top up placing  以先旧后新方式配售

top-up  补充

total margin value  总按金价值

total market capitalisation  总市值

township and village enterprises  乡镇企业

track record  业务纪录

Tracker Fund of Hong Kong (TraHK)  盈富基金

trade acceptance  商业承兑汇票

trade amendment  更正交易；成交调整

trade give-ups(options)  交易转移(期权)

trade reversals(options)  逆转交易；取消交易(期权)

trade-for-trade settlement  逐项交收

traded option  在交易所买卖的期权

Traded Options System (TOPS)  股票期权系统

trader jacket  交易员背心

trading ahead  扒头交易

Trading and Settlement Committee  交易及交收委员会

trading booth  交易柜位

trading calendar  交易日表

trading capacity  交易量；交易能力

trading day  交易日

trading facilities  交易设施

Trading Fee  交易费

trading floor; trading hall  交易大堂

trading halt  勒停板

"trading only" stocks  「非上市可交易」股份

trading pit  交易圈

trading record  成交纪录

trading tariff(cash market)  交易系统使用费(现货市场)

trading unit  交易单位

trading workstation  交易工作站

trading-only board  纯交易板

Transaction Levy  交易征费

transfer  转拨；转让；过户

transfer agent  过户代理

transfer deed  转手纸

transfer deed stamp duty  过户纸（转让）印花税

transfer fee  过户费

transfer form  转手纸

transferee  承让人；受让人

transferor  转让人

translation  换算；折算

transparency  透明度

Treasuries  国库券

treasury bond futures  国债期货*

treasury stock  库存股份；库存股票；留存股票

trial balance  试算表

triangular debt  三角债

trustee  信托人 ; 受托人

turnover ratio  成交额比率

turnover velocity  交易流通速度

two-sided order  两边客买卖盘

"two-state" option valuation model  「二态」期权模式

two-way quote  两边开盘；双边价

UAT  see user acceptance test

ups  see uninterrupted power supply

ultimate beneficial holder  最终实益持有人

ultimate beneficiary  最终受益人

ultimate originator  最初发起人

umbrella fund  伞子基金

unappropriated profits  未分配溢利；未分配利润

uncertificated shareholder  无凭证式股东

unclaimed brokerage  无人申领之经纪佣金

unconditional and irrevocable guarantee  无条件及不可撤回之担保

unconditional cash offer  无条件现金收购建议；无条件现金要约

uncovered call  无备兑认购期权

uncovered option  无备兑期权

uncovered short selling  没有担保的卖空交易

underbooked  认购不足

underlying asset  相关资产；指定资产

underlying securities  相关证券；指定证券

underlying stock  正股

Understanding Stock Options (and Their Risks)(publication)  《理解股票期权（及其风险）》(刊物)

undersubscribed  认购不足

underwrite  包销；承销*

underwriter  包销商；承销商*

underwriting syndicate  包销银团

undistributed profits  未分派溢利；未分派利润

uneven playing field(cf level playing field)  不公平竞争

"unfair prejudice" remedy  「不公平损害」补救

unfavourable marks(CCASS)  逆差额(中央结算系统)

unfavourable variance; unfavourable difference  逆差

Unified Exchange Compensation Fund  联合交易所赔偿基金

Uniform Cash Client's Agreement  统一现金客户协议书

Uniform Margin Client's Agreement  统一保证金客户协议书

unincorporated registered person  非成立为有限公司的注册人士

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

unit trust  单位信托基金

unitary board system  单一董事会制

universal clearing house  统一结算所

unregulated issuer  非受监管发行人

unsecured loan  无抵押贷款

Vendor Electronic Filing System (VEF)  供应商电子存档系统

venture capital  创业基金

verification notes  核证附注

vertical spread(options)  跨价买卖(期权)

very substantial acquisition  非常重大的收购事项

very substantial disposal  非常重大的出售事项

vetting  审阅

viatical settlements  保单贴现

Viewing Gallery  访客廊

virtual market  虚拟市场

volatility  波幅

Volatility Scan Range (VSR)  波幅校验范围

WFE  see World Federation of Exchanges

waiver  豁免；豁免规定

warrant  权证；认股权证

warranty  保证

wash sale  虚卖；虚售交易；清洗交易

wasting asset(options)  消耗性资产(期权)

Way Forward, The(publication)  《发展路向》(刊物)

Weekly Hong Kong Stock Market Statistics  《每周港股统计数字》

Weighted Index(Taiwan Stock Exchange)  发行量加权股价指数；加权指数

(台湾交易所)

whitewash transaction  清洗交易

wholly-owned subsidiary  全资附属公司

Wide Area Network  广域网络

working capital  营运资金

Working Group on Corporate Communications  公司通讯工作小组

Working Group on Corporate Governance  企业管治工作小组

Working Group on Debt Market  　  债券市场工作小组

Working Group on New Market Development  新市场发展工作小组

Working Group on Plain Language  浅白语言计划工作小组

Working Group on Review of Financial Regulatory Framework for Intermediaries  　  中介人财务规管制度工作小组

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

Working Group on Stockbroking in Hong Kong  香港证券经纪业工作小组

Working Group on the Business Environment of the Stockbroking Industry  证券经纪业营商环境工作小组

working order  营运买卖盘；营运指令

World Bank  世界银行

World Federation of Exchanges (WFE)  国际证券交易所联会

write a call option  沽出认购期权

write a put option  沽出认沽期权

write off  撇销

writer(options)  卖家(期权)

Yankee bond  美国本土债券；扬基债券

yield  收益率；孳息

yield curve  收益率曲线

yield to maturity  到期收益率

zero coupon bond  零息债券

zero-minus tick  维持前成交价但低于上一个差异价

zero-plus tick  维持前成交价但高于上一个差异价

zero-sum game  零和游戏

zero-trading day  零交易日

uptick  高于前成交价

uptime  正常运行比率

used market  二手市场

useful life  可用年限

user access  用户终端设施

user acceptance test (UAT)  用户接纳测试；用户接收测试

User ID  用户代号

"user pay" principle  「用者自付」原则

VAT  see value added tax

VEF  see Vendor Electronic Filing System

VSR  see Volatility Scan Range

valuation report  估值报告

value added tax (VAT)  增值税

value of equity capital  股本价值

value-added service  增值服务

value-at-risk  风险值；蒙受风险的价值

valuer  估值师

variable contribution  不定额供款

variable-rate mortgage  浮息按揭

variation adjustment  变价调整