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假市 ---- false market
做價 ---- kiting
停止過戶期間 ---- book closure period
停市措施 ---- speed bump
停板 ---- trading halt
停牌 ---- suspended trading; suspension
兜售證券 ---- hawking of securities
副保薦人(創(chuàng)業(yè)板) ---- co-sponsor(GEM)
「勒束式」股票掛鉤票據(jù) ---- Range Equity Linked Instrument (Range ELI)
勒束式組合(期權) ---- strangle(options)
動態(tài)對沖 ---- dynamic hedging
區(qū)域網(wǎng)絡 ---- Local Area Network (LAN)
參考平衡成交量 ---- Indicative Equilibrium Volume (IEV)
參考平衡價格 ---- Indicative Equilibrium Price (IEP)
參考發(fā)行價 ---- indicated issue price
參與者自設系統(tǒng) ---- Participant Supplied System (PSS)
參與者資料提取系統(tǒng)(期貨) ---- Participant Access Services(futures)
參與者網(wǎng)間連接器 ---- Participant gateway
「啤打」系數(shù) ---- beta coefficient
商人銀行 ---- merchant bank
《商品交易所（禁止經(jīng)營）條例》 ---- Commodity Exchanges (Prohibition) Ordinance
商品交易商 ---- commodities dealer
《商品交易條例》 ---- Commodities Trading Ordinance
商品期貨交易委員會(美國) ---- Commodity Futures Trading Commission (CFTC)(US)
商業(yè)承兌匯票 ---- trade acceptance
商業(yè)票據(jù) ---- commercial paper
商業(yè)登記證 ---- business registration certificate
商議傭金 ---- negotiated commission
商譽 ---- goodwill
問責 ---- accountability
問題證券 ---- defective securities
國內生產(chǎn)總值 ---- gross domestic product (GDP)
國民生產(chǎn)總值 ---- gross national product (GNP)
國有資產(chǎn)監(jiān)督管理委員會 ---- State-owned Assets Supervision and Administration Commission (SASAC)
國家工商局(中國內地) ---- State Bureau for Industrial and Commercial Administration(Mainland China)
國家外匯管理局(中國內地) ---- State Administration of Foreign Exchange (SAFE)(Mainland China)
國家股 / 國有股(中國內地) ---- state share(Mainland China)
國家建設債券(中國內地) ---- National Construction Treasury(Mainland China)
國家科技風險開發(fā)事業(yè)中心 ---- National Science and Technology Venture Capital Development Center
國家重點建設債券(中國內地) ---- Priority Construction Treasury (Mainland China)
國家國有資產(chǎn)管理局(中國內地) ---- State Bureau for State Property Administration(Mainland China)
國家統(tǒng)計局(中國內地) ---- State Statistics Bureau(Mainland China)
國家稅務局(中國內地) ---- State Taxation Bureau(Mainland China)
國家經(jīng)濟貿易委員會（國家經(jīng)貿委）
(中國內地) ---- State Economic and Trade Commission
(Mainland China)
國庫券 ---- Treasuries
國務院證券委員會（證券委）(中國內地) ---- State Council Securities Committee (Mainland China)
國債* ---- ---- government bond
國債期貨* ---- treasury bond futures
國際外匯同業(yè)聯(lián)會 ---- Association Cambiste Internationale
國際收支平衡 / 國際收支差額 ---- balance of payments
國際股票期貨及期權 ---- International Stock Futures and Options (ISFO)
國際金融公司 ---- International Finance Corporation (IFC)
國際金融行動專責小組 ---- International Financial Action Task Force
國際掉期業(yè)務及衍生投資工具協(xié)會 ---- International Swaps and Derivatives Association (ISDA)
國際貨幣基金 ---- International Monetary Fund (IMF)
國際期權市場協(xié)會 ---- International Options Markets Association (IOMA)
國際結算銀行 ---- Bank for International Settlements (BIS)
國際集資市場協(xié)會 ---- International Primary Markets Association (IPMA)
國際會計師公會 ---- ---- The Association of International Accountants
國際會計準則 ---- International Accounting Standards (IAS)
國際會計準則委員會 ---- International Accounting Standards Committee (IASC)
國際標準化組織 ---- International Organisation for Standardisation (ISO)
國際編碼機構協(xié)會 ---- Association of National Numbering Agencies(ANNA)
國際證券市場協(xié)會 ---- International Securities Markets Association (ISMA)
國際證券交易所聯(lián)會 ---- World Federation of Exchanges (WFE)
國際證券事務監(jiān)察委員會組織 (國際證監(jiān)會組織) ---- International Organisation of Securities Commissions (IOSCO)
國際證券服務業(yè)聯(lián)會 ---- International Securities Services Association (ISSA)
國際證券號碼 ---- International Securities Identification Numbers (ISIN)
國際證券號碼編制系統(tǒng) ---- International Securities Numbering System
國際證監(jiān)會組織亞太區(qū)委員會 ---- Asia Pacific Regional Committee (APRC) of IOSCO
國營企業(yè)(中國內地) ---- state-owned enterprise(Mainland China)
堅定承諾(包銷) ---- firm commitment(underwriting)
執(zhí)行董事 ---- executive director
執(zhí)業(yè)會計師公會(美國) ---- Institute of Certified Public Accountants (ICPA)(US)
基本按金(期貨) ---- initial margin(futures)
基金份額持有人* ---- ---- fund unit holder
基金經(jīng)理 ---- fund manager
《基金經(jīng)理操守準則》(證監(jiān)會) ---- Fund Manager Code of Conduct(SFC)
基建工程/項目 ---- infrastructure project
基準日 ---- base day
基準收益率曲線 ---- benchmark yield curve
基點 ---- basis point
基礎上市文件 ---- base listing document．nbsp
專用交易系統(tǒng) ---- proprietary trading system
專用網(wǎng)絡系統(tǒng) ---- proprietary routing terminal
專用線路 ---- dedicated line
專家諮詢小組 ---- Advisory Specialist Group
專責監(jiān)察主任 ---- Designated Compliance Officer
《專業(yè)會計師條例》 ---- Professional Accountants Ordinance
專業(yè)銀行* ---- specialised bank
《專業(yè)操守規(guī)例》 ---- Code of Conduct Regulations
《專業(yè)操守規(guī)則及規(guī)例》(刊物) ---- Professional Conduct Rules and Regulations(publication)
專線網(wǎng)絡系統(tǒng) ---- ---- Proprietary Network System (PNS)
將股票化零為整 ---- jumbomize
將會員制轉為股份制 ---- demutualisation
屏幕* ---- screen
常務委員會 ---- Executive Committee
強制性公積金 ---- Mandatory Provident Fund (MPF)
強制性公積金計劃管理局 ---- Mandatory Provident Fund Schemes Authority (MPFA)
強制性收購建議 ---- mandatory bid; mandatory offer
強制補購 ---- compulsory buy-in; forced buy-in
強勢美元 ---- strong dollar
從價印花稅 ---- ad valorem stamp duty
授權代表 ---- authorised representative
授權書 ---- power of attorney
掉期 ---- swap
掛牌買賣 ---- flotation
掛鉤匯率制 ---- pegged rate system
掛盤冊 ---- order book
接口費 ---- port fee
接收(期權) ---- take-up(options)
接受存款公司 ---- deposit-taking company (DTC)
接駁站費用 ---- port fee
接價盤 ---- accept order
控股公司 ---- holding company
控股股東 ---- controlling shareholder
控股權益 ---- controlling interest
控權股東 ---- controlling shareholder
排媒現(xiàn)象 ---- disintermediation
排期申請表格 ---- advance booking form
敏感度分析 ---- sensitivity analysis
救市特別交易征費 ---- "Lifeboat" levy
救市貸款 ---- Lifeboat Loan
斬倉 ---- margin cut; liquidation; forced liquidation
條文 ---- provision
淡倉 ---- short position
凈值比率 ---- net worth ratio
凈額按金計算 ---- net margining
凈額結算 ---- netting
深圳證券交易所 ---- Shenzhen Stock Exchange
深圳證券登記有限公司 ---- Shenzhen Securities Registration Company Limited
深圳證券結算有限公司 ---- Shenzhen Securities Clearing Company Limited
清洗交易 ---- whitewash transaction; wash sale
清算 ---- clearing
清算價 ---- clearing price
清盤 ---- liquidation
淺白語言計劃 ---- Project on the Use of Plain Language
淺白語言計劃工作小組 ---- Working Group on Plain Language
牽頭包銷商 ---- lead underwriter
現(xiàn)金交收 ---- cash settlement; cash on delivery (COD)
現(xiàn)金回傭 ---- cash commission rebate; cash rebate
現(xiàn)金收益凈值 ---- net present value
現(xiàn)金客戶 ---- cash client
現(xiàn)金差額繳款 ---- cash marks
現(xiàn)金流向 / 現(xiàn)金周轉 ---- cash flow
現(xiàn)金流動表 ---- cash flow statement
現(xiàn)金流量折現(xiàn)/貼現(xiàn)法 ---- discounted cash flow
現(xiàn)金資產(chǎn)公司 ---- cash company
現(xiàn)金選擇 ---- cash alternative
現(xiàn)貨月 ---- spot month
現(xiàn)貨市場 ---- spot market; cash market; physical market; actual market
現(xiàn)貨市場諮詢小組 ---- Cash Market Consultative Panel
現(xiàn)貨價 ---- spot price; cash price; physical price; actual price
現(xiàn)價 ---- nominal price
《理解股票期權（及其風險）》(刊物) ---- Understanding Stock Options (and Their Risks)(publication)
理論性參考價格系統(tǒng)(期貨) ---- Theoretical Indicative Pricing System (TIPS)(futures)
產(chǎn)權負擔 ---- encumbrances
票面利率 ---- coupon; coupon rate
票面值 ---- par value
票面息率 ---- coupon; coupon rate
票對票方式 ---- "paper-to-paper" arrangement
票據(jù)交換所自動轉賬系統(tǒng) ---- Clearing House Automated Transfer System (CHATS)
票據(jù)交換所自動轉賬系統(tǒng)付款指示 ---- CHATS Payment Instruction
票據(jù)密集交收 ---- paper intensive settlement
移動平均值背馳指標 ---- Moving Average Convergence-Divergence (MACD)
第一上市 ---- primary listing
第一板 ---- main board
第二上市 ---- secondary listing
第二代自動對盤及成交系統(tǒng)（第二代自動對盤系統(tǒng)） ---- Automatic Order Matching and Execution System / Second Generation (AMS/2)
第二板 / 第二板市場 ---- second board; second market
第三代自動對盤及成交系統(tǒng)（第三代自動對盤系統(tǒng)） ---- Automatic Order Matching and Execution System / Third Generation (AMS/3)
第三者結算 ---- Third Party Clearing (TPC)
累計/累積利息 ---- accumulated interest
累計/累積利潤 ---- accumulated profits
累計/累積折舊 ---- accumulated depreciation
累計/累積墊款 ---- cumulative advance
累計投標制 ---- book building method
細價股 ---- small cap stock; penny stock
細盤撮合系統(tǒng)(美國) ---- Small Order Entry System; Small Order Execution System (SOES)(US)
細額先到先得 ---- Small Order First-In-First-Out
「終止及停止」令 ---- "cease and desist" order
組合分析儀(期權) ---- Portfolio Analyser(options)
「組合股」 ---- ---- Exchange Traded Fund
組合盤 / 綜合盤 ---- combination order; combo order; composite order
組織大綱 ---- memorandum of association
《組織大綱及章程》 ---- Memorandum and Articles of Association
組織架構檢討指導委員會 ---- Steering Committee on Organisational Review
組織細則 ---- articles of association
組織章程 ---- constitution; articles of association
翌日凈額結算系統(tǒng) ---- next day net settlement system
莊家 ---- market maker
莊家之經(jīng)銷交易 ---- jobbing transaction
莊家名錄 ---- Market Maker List
莊家活動 ---- market making
規(guī)范聲明 ---- normative statement
訪客廊 ---- Viewing Gallery
設定增值稅 ---- deemed VAT
貨幣市場 ---- money market
貨幣交叉盤買賣 ---- cross currency trade
貨幣供應 ---- money supply
貨幣政策委員會(中國人民銀行) ---- Monetary Policy Committee(PBOC)
貨幣基礎 ---- monetary base
貨幣期貨 ---- currency futures
貨幣發(fā)行局制度 ---- currency board system
貨幣經(jīng)紀 ---- money broker
貨幣資產(chǎn) ---- monetary assets
貨幣權證 ---- currency warrant
貨銀同步交收 ---- delivery vs payment (DvP)
貨銀兩訖 ---- delivery vs payment (DvP)
貨銀對付 ---- cash on delivery (COD)
貨銀對付方式交收 ---- delivery vs payment (DvP)
責任承擔 ---- accountability
責任承諾書 ---- responsibility letter
責任聲明書 ---- responsibility statement
責務變更 ---- novation
責務變更合約 ---- novated contract
軟傭金 ---- soft commission
軟貨幣 ---- soft currency
軟著陸 ---- soft landing
透明度 ---- transparency
透視價 ---- "see-through" price
逐項交收 ---- trade-for-trade settlement
通訊線路現(xiàn)況顯示行 ---- communication status message line
通貨緊縮 / 通縮 ---- deflation
通脹指標貨幣政策 ---- inflation indexed monetary policy
速動市場 ---- fast market
速動資金 ---- liquid capital
速動資產(chǎn) ---- liquid asset
造市 ---- market manipulation
造價 ---- price manipulation
連鎖關系原則 ---- chain principle
連續(xù)競價 ---- continuous auction
部份完成的買賣指示 ---- partially filled order
部份區(qū)域網(wǎng)絡 ---- Local Area Network (LAN)
閉端式基金 ---- closed-end fund
陰陽燭圖 ---- candlestick chart
備考全面攤薄市盈率 ---- pro forma fully diluted price/earnings ratio
備考報表 ---- pro forma statement
備兌期權 ---- covered option
備兌權證 ---- covered warrant
備兌認購期權 ---- covered call
備抵(會計) ---- allowance(accounting)
傘子基金 ---- umbrella fund
凱伯里委員會(英國) ---- Cadbury Committee(UK)
凱伯里報告書(英國) ---- Cadbury Report(UK)
創(chuàng)新及科技基金 ---- Innovation and Technology Fund
創(chuàng)業(yè)板 ---- Growth Enterprise Market (GEM)
創(chuàng)業(yè)板上市委員會 ---- GEM Listing Committee
《創(chuàng)業(yè)板上市規(guī)則》（《香港聯(lián)合交易所有限公司創(chuàng)業(yè)板證券上市規(guī)則》） ---- GEM Listing Rules(Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited)
《創(chuàng)業(yè)板投資者指南》 ---- GEM Investor Guide
創(chuàng)業(yè)板指數(shù) ---- Growth Enterprise Index (GEI)
創(chuàng)業(yè)基金 ---- venture capital
單一董事會制 ---- unitary board system
單一種股份的衍生認股權證 ---- single share derivative warrant
單一價格競價市場 ---- single price auction system
單日貨幣市場 ---- intra-day money market
《單位信托及互惠基金守則》 ---- Code on Unit Trusts and Mutual Funds
單位信托委員會(證監(jiān)會) ---- Committee on Unit Trusts(SFC)
單位信托基金 ---- unit trust
單價配對(期權) ---- netting(options)
報價 ---- quote
報價系統(tǒng)(期貨) ---- Price Reporting System(futures)
報價要求 ---- quote request; request for quote (RFQ)
報價規(guī)則 ---- quotation rules
場內交易 ---- pit trading
場內交易產(chǎn)品 ---- exchange traded product
場內規(guī)則 ---- on-market rules
場內買賣期權 ---- exchange traded option
場內買賣盤 ---- on-floor order
場外交易 ---- off-floor trading; off-board trading
場外交易議價板 (美國) ---- OTC Bulletin Board (US)
場外衍生工具 ---- over-the-counter derivative
場外規(guī)則 ---- off-market rules
場外期權 ---- over-the-counter option
場外購回股份 ---- off-market share repurchase
場外證券市場 ---- over-the-counter market
孳息 ---- yield
富時指數(shù)有限公司（原金融時報指數(shù)） ---- FTSE
幀中繼交易網(wǎng) ---- frame relay trading network
復牌 ---- resumption of trading
《提升香港的金融基礎設施報告》 ---- Report on the Enhancement of the Financial Infrastructure in Hong Kong
提升數(shù)碼資料輸送專線 ---- enhanced digital datafeed
提早補購 ---- early buy-in
提呈發(fā)售 ---- offer for sale
提高運作的能力 ---- scalable
揚基債券 ---- Yankee bond
換股比率 ---- conversion ratio
換算 ---- translation
散戶投資者 / 散戶 ---- retail investor
散戶經(jīng)紀 ---- retail broker
普通股 ---- ordinary share
普通債券 ---- straight bond
替任人 ---- alternate
最大差價限額 ---- maximum spread
最少開價數(shù)量 ---- minimum quote quantity
最低上落價位 ---- minimum price fluctuation; tick (size)
最低交易數(shù)額 ---- minimum transaction size
最低供款額 ---- minimum contribution
最低價格變動 ---- minimum price fluctuation; tick (size)
最低豁免規(guī)定 ---- de minimus waiver provision
最初發(fā)起人 ---- ultimate originator
最佳成交價 ---- best execution price
最佳價格 ---- best price
最佳價格盤 ---- at-best order
《最佳應用守則》 ---- Code of Best Practice
最后一輪交收處理程序 ---- Final Settlement Run
最后成交價 ---- last recorded price; last traded price
最后行使日 ---- last exercise day
最后結算表 ---- Final Clearing Statement
最后結算價 ---- Final Settlement Price
最后貸款人 ---- lender of last resort
最后復核聆訊 ---- final review hearing
最終用戶/使用者 ---- end user
最終受益人 ---- ultimate beneficiary
最終實益持有人 ---- ultimate beneficial holder
最短回復開價時間 ---- minimum response time
期末存貨 ---- closing stock
期初存貨 ---- opening stock
期貨賠償基金 ---- Futures Compensation Fund
期貨賠償基金委員會(證監(jiān)會) ---- Futures Compensation Fund Committee(SFC)
期權 ---- option
期權交付指令 ---- options delivery instruction
期權交易主任 ---- Options Trading Officer
期權交易主任及代表考試 ---- Options Trading Officer and Representative Examinations
期權交易代表 ---- Options Trading Representative
期權交易所參與者 ---- Options Exchange Participant
《期權交易規(guī)則》 ---- Options Trading Rules
期權交易確認書 ---- options trade confirmation
期權合約 ---- option contract
期權合約凈持倉 ---- net open options contract; net options position
期權系列 ---- option series
期權定價 ---- option valuation
期權定價模式 ---- option pricing model
期權金 ---- premium
期權金成交額 ---- premium turnover
期權長倉合約 ---- long options contract
期權客戶協(xié)議書 ---- Options Client's Agreement
期權持有人 ---- option holder
期權持倉 ---- option position
期權短倉 ---- short option
期權短倉合約 ---- short options contract
期權結算主任 ---- Options Clearing Officer
期權結算主任考試 ---- Options Clearing Officer Examination
《期權結算規(guī)則》 ---- Options Clearing Rules
期權費用 ---- options tariff
期權買方 ---- option buyer
期權買賣交易所參與者 ---- Options Trading Participant
期權經(jīng)紀交易所參與者 ---- Options Broker Exchange Participant
期權資訊服務 ---- Options Information Service
期權數(shù)碼資料傳送專線 ---- options digital datafeed
期權賣方 ---- option seller; option writer
期權類別 ---- option class
款項交收費 ---- money settlement fee
款項凈額結算每日平均效率 ---- daily average funds netting efficiency
款項過戶系統(tǒng) ---- money transfer system
款項預繳服務 ---- cash prepayment service
殘值 ---- salvage value
減傭經(jīng)紀 ---- discount broker
港元同業(yè)拆息 ---- Hong Kong Interbank Offered Rate (HIBOR)
《港元利率期貨市場通訊》 ---- HIBOR Futures Market Update
港元利率期貨迭期 ---- HIBOR Futures Strip
港匯指數(shù) / 港元實際匯兌指數(shù) ---- Effective Exchange Rate Index for the Hong Kong Dollar (EERI)
無人申領之經(jīng)紀傭金 ---- unclaimed brokerage
無力償債 ---- insolvency
無形資產(chǎn) ---- intangible asset
無抵押貸款 ---- unsecured loan
無抵押權證 ---- non-collateralised warrant
無風險利率 ---- risk-free interest rate
無風險對沖 ---- delta hedge
無時限盤 ---- good-till-cancelled order (GTC)
無紙化交易 ---- paperless trading; scripless trading
無條件及不可撤回之擔保 ---- unconditional and irrevocable guarantee
無條件現(xiàn)金收購建議/要約 ---- unconditional cash offer
無責任聲明 ---- disclaimer
無備兌期權 ---- uncovered option
無備兌認購期權 ---- uncovered call
「無超額虧蝕」規(guī)則 ---- No-Over-Loss Rules
無價期權形式 ---- tails(options)
無憑證式股東 ---- uncertificated shareholder
無償債能力 ---- insolvency
《為便利股份或債權證要約而就《公司
條例》提出的修訂建議諮詢文件》 ---- Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures
牌照 ---- licence
登記持有人 ---- registered owner
登記過戶費 ---- scrip fee
發(fā)行人 ---- issuer
《發(fā)行人及專業(yè)顧問意見調查》 ---- Issuers and Professional Advisers Survey
發(fā)行人可選擇支付現(xiàn)金 /
發(fā)行人現(xiàn)金選擇權 ---- issuer's cash option
發(fā)行人登記冊 ---- Issuer Register
發(fā)行人電子存檔系統(tǒng) ---- issuer electronic filing system
發(fā)行紅股 ---- scrip issue
發(fā)行章程 ---- prospectus
發(fā)行量加權股價指數(shù)(臺灣交易所) ---- Weighted Index(Taiwan Stock Exchange)
發(fā)行新股 ---- new issue
發(fā)行資料摘要(權證) ---- indicative terms sheet(warrants)
發(fā)行價 ---- issue price
發(fā)行機構 ---- issuer
《發(fā)展路向》(刊物) ---- The Way Forward(publication)
發(fā)起人 ---- promoter
發(fā)牌資料冊 ---- licensing information booklet
發(fā)鈔局制度 ---- currency board system
發(fā)盤價 ---- offer price
短期同業(yè)拆放市場 ---- call market
短期資金 ---- short-term money
短期資金借貸市場 ---- money market
短期舉債/借貸 ---- short term borrowings
短期證券 ---- short-dated securities
硬貨幣 ---- hard currency
稅后盈利/利潤/溢利 ---- after-tax profits
稅后實際回報率 ---- after-tax real rate of return
《稅務條例》 ---- Inland Revenue Ordinance
稅務優(yōu)惠 ---- tax relief
稅項減免 ---- tax break; tax concession
稀釋* ---- dilution
程式買賣/交易 ---- programme trading
程序覆檢委員會 ---- Process Review Panel
等價期權 ---- at-the-money option
結清 ---- close out
結構改進 ---- institutional advancement
結算 ---- clearing
結算所 ---- clearing house
結算所電子附屬登記系統(tǒng)(澳洲) ---- Clearing House Electronic Subregister System (CHESS)(Australia)
結算協(xié)議書 ---- clearing agreement
結算參與者(期權買賣) ---- Clearing Participant(options trading)
「結算通」電話系統(tǒng) ---- CCASS Phone System
《結算運作程序 ─ 期權買賣交易所參與者專用》 ---- Operational Clearing Procedures for Options Trading Exchange Participants
結算價 ---- clearing price
結算機構參與者 ---- Clearing Agency Participant
結算諮詢小組 ---- Clearing Consultative Panel
《結算縱橫》(刊物) ---- Clear Talk(publication)
結余 ---- balance
結轉(會計) ---- carried forward(accounting)
統(tǒng)一保證金客戶協(xié)議書 ---- Uniform Margin Client's Agreement
統(tǒng)一現(xiàn)金客戶協(xié)議書 ---- Uniform Cash Client's Agreement
統(tǒng)一結算所 ---- universal clearing house
統(tǒng)制賬戶 ---- control account
虛假市場 ---- false market
虛假聲明 ---- misstatement
虛售交易；虛賣 ---- wash sale
虛報 ---- misrepresentation
虛擬市場 ---- virtual market
「街名」股票 ---- "street name" share certificate
補充/增補上市文件 ---- supplemental/supplementary listing document．nbsp
補倉按金(期貨) ---- maintenance margin(futures)
補倉通知 ---- margin call
補發(fā)證書服務 ---- certificate replacement service
補購 ---- buy in
注冊中介團體 ---- registered intermediary
注冊商號 ---- registered firm
注冊莊家 ---- ---- Registered Trader
注冊融資人 ---- registered financier
注冊證券商 ---- registered dealer
注銷股份 ---- cancelled share
注釋備忘錄 ---- explanatory memorandum
貶值 ---- depreciation
買家 ---- bidder
「買者自負」原則 ---- "let the buyer beware" principle;
"Caveat Emptor" (let the buyer beware)
買殼 ---- acquisition of shells
買價 / 買盤價 ---- bid price
買盤 ---- buy order
買賣因公眾持股量不足而停牌證券的申報表 ---- Form for Reporting Dealings in Securities Suspended due to Insufficient Public Float
買賣指示 ---- order
買賣差價 ---- bid-asked spread
買賣單位 ---- board lot
買賣單據(jù) ---- contract note
買賣慣例 ---- dealing practice
買賣盤 ---- order
買賣盤紀錄 ---- order book
買賣盤紙 ---- deal ticket
買賣盤處理率 ---- order throughput
買賣盤傳遞 ---- order routing
買賣盤傳遞系統(tǒng) ---- Order Routing System (ORS); router system
買賣盤輸入 ---- order entry
貸出費 ---- lending fee
貸股人 ---- stock lender
貸股人參與者(中央結算系統(tǒng)參與者) ---- ---- Stock Lender Participant(CCASS)
貸款抵押證券 ---- collateralised loan obligation (CLO)
貸款股 / 貸款債券 ---- loan stock
貸款銀團 ---- loan syndicate
貸款融通 ---- ---- loan facility
貼現(xiàn) ---- discount
貼現(xiàn)率 ---- discount rate
貼現(xiàn)窗 ---- discount window
超國家機構 ---- supranational entity
超連結 ---- hyperlink
超買 ---- overbought
超賣 ---- oversold
超額配發(fā)/配股權 ---- over-allotment option
超額配發(fā)機制 ---- over-allotment option scheme
超額認購 ---- oversubscribed; overbooked
跌停板措施 ---- circuit breaker
《周年報告的參考披露資料》(刊物) ---- Reference for Disclosures in Annual Reports(publication)
進項增值稅 ---- input VAT
開市分配時段(HKATS) ---- ---- open allocation session(HKATS)
開市前分配時段(HKATS) ---- ---- pre-open allocation session(HKATS)
開市前時段 ；開市前議價時段 ---- pre-opening session
開市報價規(guī)則 ---- opening quotations rules
開市價 ---- opening price
開市盤 ---- open order; at-the-opening order
開市議價機制(期貨) ---- Pre-market Opening Mechanism(futures)
開放式基金 ---- open-end fund
開放式網(wǎng)間連接器 ---- open gateway
開放式網(wǎng)間聯(lián)系買賣 ---- internet order connection
開倉交易 ---- opening transaction
開倉合約 ---- opening contract
開價盤 ---- quote
開價盤要求 ---- quote request
開盤狀況報告 ---- quote maintenance report
開盤價 ---- opening price
集中持倉量 ---- concentrated position
集中風險 ---- concentration risk
集中風險調整 ---- concentration risk adjustment
《集合投資計劃的廣告宣傳指引》 ---- Advertising Guidelines for Collective Investment Schemes
集合競價 ---- aggregate auction
集資 ---- capital formation
集資市場 ---- primary market
《集資退休基金守則》 ---- Code on Pooled Retirement Funds
《集資退休基金的廣告宣傳指引》 ---- Advertising Guidelines for Pooled Retirement Funds
集資凈額 ---- net proceeds
集團內部交易 ---- intra-group transactions
集團會計 ---- corporate accounting
集體投資計劃 ---- ---- collective investment schemes (CIS)
集體投資基金 ---- collective investment fund
項目融資 ---- project finance
順差 ---- favourable variance; favourable difference
須予公布的交易 ---- notifiable transaction
須予披露的交易 ---- discloseable transaction
傳統(tǒng)基金會(美國) ---- The Heritage Foundation(US)
傳統(tǒng)債券 ---- plain vanilla bond
債券 ---- bond; debenture; debt securities; loan stock
債券市場工作小組 ---- ---- Working Group on Debt Market
債券抵押證券 ---- Collateralised Bond Obligation (CBO)
債務 ---- indebtedness
債務人 ---- debtor
債務工具中央結算系統(tǒng)(金管局) ---- Central Moneymarkets Unit (CMU)(HKMA)
債務市場 ---- debt market
債務報表 ---- indebtedness statement
債務償還 ---- debt repayment
債務證券 ---- debt securities; loan stock
債務鏈 ---- debt chain
債轉股 ---- debt-for-equity swap
債權人 ---- creditor
債權股額 ---- loan stock
債權證 ---- debenture
匯兌限額 ---- exchange quota
匯兌損失 ---- exchange loss
匯票 ---- bill of exchange
匯款同步交收(銀行) ---- payment vs payment (PvP)(banking)
微值入價 ---- cabinet bid
微值交易(期權) ---- cabinet trade; cabinet bid
損益平衡點 ---- breakeven point
損益賬 ---- profit and loss account
新一代中央結算系統(tǒng) ---- CCASS/3
新加坡交易所 ---- Singapore Exchange (SGX)
新加坡證券交易所交易及自動報價系統(tǒng) ---- Stock Exchange of Singapore Dealing and Automated Quotation System (SESDAQ)
新市場發(fā)展工作小組 ---- Working Group on New Market Development
新企業(yè)上市國際委員會 ---- International Committee on the Listing of New Enterprises
新股發(fā)行 ---- new issue
新恒生50中型股指數(shù) ---- New Hang Seng MidCap 50 Index (New HSMCI)
新華富時中國25指數(shù) ---- FTSE/Xinhua China 25 Index
《新監(jiān)管制度》(證監(jiān)會) ---- The New Regulatory Framework(SFC)
新聞欄(大利市機股份頁) ---- Free Text Area(Teletext)
新興市場 ---- emerging market
會計師報告 ---- accountants' report
會計處理方式 ---- accounting treatment
會計期間 ---- accounting period
會計程式 ---- accounting equation
會計準則/標準 ---- accounting standard
《會計實務準則》 ---- Statement of Standard Accounting Practice (SSAP)
會計慣例/實務 ---- accounting practice
極端波動乘數(shù) ---- extreme move multiplier
極端波動覆蓋分數(shù) ---- extreme move covered fraction
極價內期權 ---- deep-in-the-money option
極價外期權 ---- deep-out-of-the-money option; tails
業(yè)務紀錄 ---- track record
業(yè)務劃分 ---- delineation of activities
業(yè)績公布 ---- results announcement
概念股 ---- concept stock
源指令碼 ---- source code
準備(會計) ---- provision(accounting)
溢利 ---- profit
溢利預測 ---- profit forecast
溢價 ---- premium
瑞士商品、期貨及期權協(xié)會 ---- Swiss Commodities, Futures and Options Association
碎股 ---- odd lot
節(jié)流率 ---- throttle rate
經(jīng)紀代表考試 ---- Broker's Representatives Examination
經(jīng)紀代表課程 ---- Broker's Representatives Course
經(jīng)紀交易 ---- agency trade
經(jīng)紀自設系統(tǒng) ---- Broker Supplied System (BSS)
經(jīng)紀行 ---- brokerage house
經(jīng)紀傭金 ---- brokerage
經(jīng)紀忠誠保險計劃 ---- Brokers' Fidelity Insurance Scheme (BFI)
經(jīng)紀忠誠保險計劃委員會 ---- Brokers' Fidelity Insurance Committee
經(jīng)紀后勤辦公室支援服務 ---- Brokers' Electronic Support Services (BESS)
經(jīng)紀活動工作小組 ---- Broker Activities Working Team
經(jīng)紀參與者(中央結算系統(tǒng)參與者) ---- Broker Participant(CCASS Participants)
經(jīng)紀會計系統(tǒng) ---- Brokers' Accounting System
經(jīng)紀電子郵遞及集體傳呼服務 ---- E-mail and Group Paging Services
經(jīng)修訂的股份賣空計劃 ---- revised short selling scheme
經(jīng)常賬 ---- current account
經(jīng)審核賬目 ---- audited accounts
經(jīng)辦人 ---- manager
經(jīng)辦銀行 ---- administering bank
經(jīng)濟自由指數(shù) ---- Index of Economic Freedom
經(jīng)濟發(fā)展及勞工局 ---- Economic Development and Labour Bureau
經(jīng)濟發(fā)展及勞工局局長 ---- Secretary for Economic Development and Labour
經(jīng)營租賃 ---- operating lease
經(jīng)擴大股本 ---- enlarged share capital
群集式伺服器 ---- cluster server
《與證券服務有關的收費及費用的良好披露指引草擬本諮詢文件》 ---- ---- Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges
落盤 ---- placing order
董事/行政總裁具報書 ---- Director's / Chief Executive's Notifications
《董事的聲明及承諾》 ---- Declaration and Undertaking with regard to Directors
董事袍金 ---- directors' fee
董事會 ---- board of directors
董事會報告 ---- directors' report
董事酬金 ---- directors' remuneration
試算表 ---- trial balance
誠信責任 ---- fiduciary duties
資不抵債 ---- insolvency
資方信托人 ---- employer trustee
資本化 ---- capitalisation
資本化發(fā)行 ---- capitalisation issue
資本支出 ---- capital expenditure
資本充裕/充足比率 ---- capital adequacy ratio
資本充裕程度 ---- capital adequacy
資本市場 ---- capital market
資本負債比率 ---- gearing ratio
資本重整 ---- recapitalisation
資本值 ---- capital value
資本項目* ---- capital account
資本增值 ---- capital appreciation; capital gain
資本增值權證 ---- capital plus warrant
資本增益 ---- capital gain
資本增益/增值稅 ---- capital gains tax (CGT)
資本調整 ---- capital adjustment
資本賬 ---- capital account
資本儲備 ---- capital reserve
資本虧損 ---- capital loss
資本籌集 ---- capital formation
資金平衡 ---- fund balancing
資金股本化 ---- capitalisation issue
資金表 ---- fund statement
資金流向 ---- fund flow
資金會計法 ---- fund accounting approach
資金運用 ---- fund utilisation
資料印證工作函 ---- Comfort Letter
資料披露 ---- disclosure
資料備忘錄 ---- information memorandum
資格股 ---- qualification share
資訊供應商 ---- information vendor
資訊服務 ---- information service
資訊發(fā)布/發(fā)放 ---- information dissemination; news dissemination
資訊檔案 ---- news file
資產(chǎn) ---- asset
資產(chǎn)拆賣 ---- asset stripping
資產(chǎn)保證 ---- asset coverage
資產(chǎn)負債表 ---- balance sheet
資產(chǎn)負債表以外之承擔/項目 ---- off-balance sheet exposure
資產(chǎn)負債表外金融工具 ---- off-balance sheet (financial) instrument
資產(chǎn)負債表編制程式 ---- balance sheet equation
資產(chǎn)凈值 ---- net asset value
資產(chǎn)調配/調度 ---- asset allocation
資產(chǎn)調換 ---- asset swap
資產(chǎn)覆蓋率 ---- asset coverage
跨司法區(qū)招股活動 ---- multi-jurisdictional equity offering
跨市場協(xié)調委員會 ---- Inter-Market Coordination Committee
跨市場抵押品 ---- cross collateral
跨市場按金制度 ---- cross margining
跨國多重上市 ---- mutual cross-listing
跨期買賣(期權) ---- calendar spread; time spread; horizontal spread (options)
跨期買賣 ---- spread trading
跨境上市 ---- cross-border listing
跨價衍生權證 ---- call spread derivative warrant
跨價買賣(期權) ---- price spread; vertical spread; spread trading(options)
《跟蹤指數(shù)交易所買賣基金監(jiān)管指引》(證監(jiān)會) ---- ---- Guidelines for Regulating Index Tracking Exchange Traded Funds(SFC)
路透社證券投資傳視服務 ---- Reuters Monitor Equities Investment Service
運作風險 ---- operational risk
逾時交易 ---- late trading
過戶 ---- transfer
過戶(期權) ---- give-up(options)
過戶文件 ---- instrument of transfer
過戶代理 ---- transfer agent
過戶紙（轉讓）印花稅 ---- transfer deed stamp duty
過戶處 / 過戶登記處 ---- registrar; share registrar
過戶費 ---- transfer fee
過渡性貸款 ---- bridging loan
過量交易 ---- overtrading
道德及指引委員會 ---- Ethics and Guidance Committee
道瓊斯工業(yè)平均指數(shù) ---- Dow Jones Industrial Average
道瓊斯工業(yè)平均指數(shù)期貨及期權 ---- Dow Jones Industrial Average Futures and Options
鄉(xiāng)鎮(zhèn)企業(yè) ---- township and village enterprises
隔夜流動資金(銀行) ---- overnight liquidity(banking)
零交易日 ---- zero-trading day
零和游戲 ---- zero-sum game
零股* ---- odd lot
零息債券 ---- zero coupon bond
零售資訊服務 ---- retail information service
《電子公開發(fā)售指引》(證監(jiān)會) ---- ---- Guidelines for Electronic Public Offerings(SFC)
電子化財政資源規(guī)則報表系統(tǒng) ---- e-FRRR system
電子交易 ---- electronic trading
電子收付款指示 ---- Electronic Payment Instruction (EPI)
電子呈交系統(tǒng) ---- e-Submission system
電子款項交收服務 ---- Electronic Money Settlement Services
電子款項交收費 ---- electronic money settlement fee
電子通訊網(wǎng)絡 ---- electronic communications network (ECN)
電子郵件；電子郵遞；電郵 ---- e-mail
電子傳遞證券資訊服務 ---- Electronic Mailing Stock Information Service (EMSIS)
電子認購首次公開招股服務 ---- Electronic Initial Public Offering service (EIPO)
電子認購新股指示 ---- Electronic Application Instruction for New Issue Shares
「電子數(shù)據(jù)收集、分析及檢索」系統(tǒng)(美國) ---- Electronic Data Gathering, Analysis and Retrieval (EDGAR)(US)
預計平均結算價 ---- estimated average settlement price (EAS price)
預計資本值 ---- estimated capital value
預托證券 ---- depository receipt
預設期貨跨期合約 ---- Predefined Futures Calendar Spreads
預警系統(tǒng) ---- early warning system
偽冒電子郵件 ---- phishing
《境內企業(yè)申請到香港創(chuàng)業(yè)板上市審批與監(jiān)管指引》(中國內地) ---- Guidelines on the Vetting and Regulation of Applications for Listing on the GEM in Hong Kong by Mainland Enterprises(Mainland China)
境外上市外資股(中國內地) ---- overseas listed foreign share(Mainland China)
境外發(fā)行股票和上市管理通知 (國務院) ---- Notice on Regulation of Share Issues and Listing in
Overseas Markets (State Council)
墊款 ---- advance; monies advanced
實地盤存 ---- physical inventory
實物分派 ---- distribution in specie
實物交收 ---- physical delivery
實物利益 ---- benefits-in-kind
實物股票 ---- physical scrip
實時計算 ---- real time calculation
實時資訊 ---- real time information
實益持有人 ---- beneficial holder
實益擁有人 ---- beneficial owner
實益權益 ---- beneficial interests
實際可用年期 ---- actual useful life
實盤 ---- firm order
實質匯率 ---- real exchange rate
實繳股本 ---- paid-up capital; paid-in capital
對手方 ---- counterparty
對手風險 ---- counterparty risk
對手經(jīng)紀 ---- contra broker
對外經(jīng)濟貿易合作部（外經(jīng)貿部）(中國內地) ---- Ministry of Foreign Trade and Economic Cooperation(Mainland China)
對沖 ---- hedging
對沖比率 ---- hedging ratio
對沖值(期權) ---- delta(options)
《對沖基金匯報規(guī)定指引》(證監(jiān)會) ---- Guidelines on Hedge Funds Reporting Requirements(SFC)
對沖基金 ---- hedge fund
對角買賣 ---- diagonal spread
對敲 ---- bucketing
對盤 ---- order matching
對盤前時段 ---- pre-order matching period
對盤時段 ---- order matching period
對賬 ---- reconciliation
截止過戶日期 ---- book close date (B/C date)
摘牌* ---- delisting
杠桿比率 ---- gearing ratio
杠桿市場 ---- leveraged market
杠桿式外匯交易 / 買賣 ---- leveraged foreign exchange trading
《杠桿式外匯買賣（財政資源）規(guī)則》 ---- Leveraged Foreign Exchange Trading (Financial Resources) Rules
《杠桿式外匯買賣（造訪）規(guī)則》 ---- Leveraged Foreign Exchange Trading (Calls) Rules
杠桿式外匯買賣介紹代理人 ---- leveraged foreign exchange introducing agent
杠桿式外匯買賣商 ---- leveraged foreign exchange trader
《杠桿式外匯買賣條例》 ---- Leveraged Foreign Exchange Trading Ordinance
杠桿收購 ---- leveraged buy-out (LBO)
杠桿效應 ---- leverage
滯脹 ---- disinflation; stagflation
熊市 ---- bear market
熒幕 ---- screen
瘋狂拋售 ---- bear raid
盡職審查 ---- due diligence
監(jiān)事(中國內地) ---- supervisor(Mainland China)
監(jiān)事會(中國內地) ---- supervisory committee(Mainland China)
監(jiān)察主任 ---- compliance officer
監(jiān)管 ---- regulation
《監(jiān)管合作備忘錄》 ---- Memorandum of Regulatory Cooperation (MORC)
監(jiān)管制度 ---- regulatory regime
監(jiān)管套戥 ---- regulatory arbitrage
監(jiān)管機構 ---- regulatory body
算術平均數(shù)(統(tǒng)計) ---- arithmetic average; arithmetic mean(statistics)
管制法例 ---- governing law
《 管理、監(jiān)督及內部監(jiān)控指引》(證監(jiān)會) ---- Management, Supervision and Internal Control Guideline(SFC)
管理費用 ---- management fee
管理層收購 ---- management buy-out (MBO)
管理層股東 ---- management shareholder
精算師 ---- actuary
綜合戶口 ---- omnibus account / omnibus client account
綜合表 ---- composite table
綜合風險 ---- composite risk
綜合財務報表 ---- consolidated financial statement
綜合買賣 ---- composite trades
綜合盤 / 組合盤 ---- combination order; combo order; composite order
維持前成交價但低于上一個差異價 ---- zero-minus tick
維持前成交價但高于上一個差異價 ---- zero-plus tick
維持按金(期貨) ---- maintenance margin(futures)
網(wǎng)上交易 ---- online trading
網(wǎng)上交易工作小組 ---- On-line Trading Working Group
網(wǎng)上投資者資源中心(證監(jiān)會) ---- Electronic Investor Resources Centre (eIRC)(SFC)
網(wǎng)上認購新股服務 ---- Internet Initial Public Offering (iIPO) service
網(wǎng)間連接器(電腦) ---- gateway(computer)
緊急貸款者 ---- lender of last resort
緊縮措施 ---- austerity measures
蒙受風險的價值 ---- value-at-risk
認可用戶 ---- authorised user
認可行業(yè)資格 ---- Recognised Industry Qualifications (RIQ)
認可存款基金 ---- approved deposit fund
認可負債 ---- ranking liabilities
認可值 ---- admitted value
認可基金 ---- authorised fund
認可資產(chǎn)凈值 ---- net admissible assets
《認可機構披露財務資料的最佳執(zhí)行指引》(金管局) ---- Best Practice Guide on Financial Disclosure by Authorised Institutions(HKMA)
認沽期權 ---- put option
認沽期權沽出者 ---- put writer
認沽期權空倉 ---- short put
認沽短倉 ---- short put
認沽認購等價關系 ---- relationship of put-call parity
認沽權證 ---- put warrant
認股期權 ---- share option
認股權證 ---- warrant
認購 ---- subscription
認購不足 ---- undersubscribed; underbooked
認購期權 ---- call option
認購期權沽出者 ---- call writer
認購期權空倉 ---- short call
認購短倉 ---- short call
認購權證 ---- call warrant
說明函件 ---- explanatory statement
說明指引 ---- interpretive guidelines
輕微違紀事件 / 行為 ---- summary offence
遙距交易設施 ---- remote trading access
遞延股 ---- deferred share
遞延稅項 ---- deferred tax
遠東交易所 ---- The Far East Exchange
遠期月份 ---- distant month; back month
遠期貨幣合約 ---- currency forward
遠期權利 ---- forward entitlement
酸性測試比率 ---- acid-test ratio
銀行同業(yè)拆借市場 ---- interbank market
銀行承兌匯票 ---- banker's acceptance
銀行結匯體系 ---- exchange surrender system
《銀行業(yè)條例》 ---- Banking Ordinance
銀行對賬表 ---- bank reconciliation statement
銀行確認書 ---- bank confirmation
銀行融通額/融資額 ---- banking facility
《銀行營運守則》(金管局) ---- Code of Banking Practice(HKMA)
銀行證明文件 ---- bank confirmation
銀團貸款 ---- syndicated loan; syndicated lending
銀團融資 ---- syndicated credit
駁腳經(jīng)紀 ---- runner
價內期權 ---- in-the-money option
價外期權 ---- out-of-the-money option
價位 ---- spread
價位表 ---- Spread Table
價位值 ---- tick value
價值狀況 ---- moneyness
價值穩(wěn)定的貨幣 ---- hard currency
價格發(fā)現(xiàn) ---- price discovery
增值 ---- accretion; appreciation
增值服務 ---- value-added service
增值稅 ---- value added tax (VAT)
增售條款(包銷) ---- greenshoe(underwriting)
增強自動對盤系統(tǒng)的市場接觸力 ---- enhanced access to AMS
增強限價盤 ---- enhanced limit order
增補/補充上市文件 ---- supplementary/supplemental listing document．nbsp
審計師* ---- auditor
審核委員會 ---- Audit Committee
審核線索 ---- audit trail
審裁科 ---- Adjudication Division
審慎原則 ---- principle of prudence
審閱 ---- vetting
《寬免繳付若干牌照費用的指引》(證監(jiān)會) ---- Guidelines on Waivers of Certain Licensing Fees(SFC)
寬限期 ---- grace period
廣域網(wǎng)絡 ---- Wide Area Network
影子董事 ---- shadow director
影響市場資料 ---- market-sensitive information
影響股價資料 ---- price-sensitive information
德國期貨及期權交易所 ---- Deutsche Terminborse (DTB)
德意志聯(lián)邦銀行 ---- Deutsche Bundesbank
征收印花稅運作程序 ---- Operation Procedures for Stamp Duty Collection
征求建議書 ---- request for proposal
征求意見稿 ---- exposure draft
撇銷 ---- write off
撥備 ---- provision
撥款 ---- appropriation
數(shù)碼資料傳送專線 ---- Digital Data Feed (DDF)
數(shù)碼資訊服務 ---- digital information service
數(shù)據(jù)傳送專線 ---- data feed
暫收款 ---- temporary receipts
暫定配額通知書 ---- provisional letter of allotment
暫記賬 ---- suspense account
暫停時段 ---- blocking period
暫停辦理過戶登記手續(xù) ---- closure of books; closure of register
暫緩執(zhí)行配對交收指示 ---- hold matched SI
暫緩還款協(xié)議 ---- standstill agreement
暫擱注冊(美國) ---- shelf registration facility(US)
標準合約 ---- standard contract
標準差 ---- standard deviation
標準授權書 ---- Model Authorisation Letter
標準組合風險分析 ---- Standard Portfolio Analysis of Risk (SPAN)
標準普爾500綜合指數(shù)預托證券 ---- Standard & Poor's Depository Receipt (SPDR)
標準普爾/香港交易所大型股指數(shù) ---- S&P/HKEx LargeCap
標準普爾/香港交易所小型股50指數(shù) ---- S&P/HKEx SmallCap 50
標準普爾/香港交易所中型股25指數(shù) ---- S&P/HKEx MidCap 25
標準普爾/香港交易所綜合指數(shù) ---- S&P/HKEx Composite
標準普爾/香港交易所創(chuàng)業(yè)板指數(shù) ---- S&P/HKEx GEM
標準普爾評級 ---- Standard & Poor's Rating
標準登記服務 ---- standard registration service
標準會計準則 ---- standard accounting practice
模擬交易 ---- mock trading
模擬系統(tǒng) ---- simulation system
歐式期權 ---- European style option
歐洲日圓東京銀行同業(yè)拆息期貨 ---- Euroyen Tibor Futures
歐洲可換股擔保債券 ---- Euro-convertible guaranteed bond
歐洲貨幣債券 ---- Eurobond
歐洲復興及開發(fā)銀行（即 世界銀行） ---- European Bank of Reconstruction and Development (EBRD) (ie World Bank)
歐洲結算系統(tǒng) ---- Euroclear
歐洲結算銀行 ---- Euroclear Bank
歐洲債券 ---- Eurobond
歐洲經(jīng)濟及貨幣聯(lián)盟 ---- European Economic and Monetary Union (EMU)
歐洲證券交易商協(xié)會自動報價系統(tǒng) ---- European Association of Securities Dealers Automated Quotations (EASDAQ)
歐洲議會 ---- European Parliament
歐羅 / 歐元 ---- euro / Euro
盤 ---- order; position
盤存 ---- inventory
盤房 ---- dealing room
盤紙 ---- order form
稽核測試 ---- audit test
線上交易 ---- online trading
線上項目 ---- above the line
線下項目 ---- below the line
線路費 ---- circuit fee
緩行注冊(美國) ---- shelf registration facility(US)
蝶式買賣 ---- butterfly spread
復式按金 ---- spread margin
復式期權 ---- spread option
復式盤 ---- spread order
調息日 ---- coupon-reset date
調息按揭 ---- adjustable rate mortgage (ARM)
調整 ---- adjustment
調整表 / 調整聲明 ---- statement of adjustments
調整后有形資產(chǎn)凈值 ---- adjusted net tangible assets
調整后資產(chǎn)凈值 ---- adjusted net assets
調整持倉 ---- position adjustment
調整基數(shù) ---- adjusted basis
諒解備忘錄 ---- memorandum of understanding (MOU)
賠償委員會 ---- Compensation Committee
賠償基金儲備賬 ---- Compensation Fund Reserve Account
賣空 ---- short selling
賣空空倉 ---- open short position
賣空股份總額 ---- short interest
賣空價規(guī)則 ---- tick rule
賣空賣方 ---- short seller
賣家(期權) ---- writer(options)
賣價 ---- offer price
賣盤 ---- sell order
賣盤價 ---- ask price; asked price
賬面值 ---- book value
賬面記錄 ---- book entry
賬面凈值 ---- net book value
賬面過賬 ---- book entry
賬齡分析 ---- aging analysis of accounts
《適用于在互聯(lián)網(wǎng)上宣傳或銷售集體投資計劃的人士的指引》 ---- Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet (CIS Internet Guidance Note)
《適當人選的準則》(證監(jiān)會) ---- The Fit and Proper Criteria(SFC)
遷冊 ---- change of domicile
銷售收入 ---- sales revenue
銷項增值稅 ---- output VAT
餌盤 ---- bait order
余額 ---- balance
學術界諮詢委員會(證監(jiān)會) ---- Academic Advisory Committee(SFC)
學術評審諮詢委員會(證監(jiān)會) ---- Academic and Accreditation Advisory Committee (AAAC)(SFC)
憑證式股東 ---- certificated shareholder
憑證式國庫券(中國內地) ---- Certificate Treasury(Mainland China)
《操守準則》 ---- Code of Conduct
操縱價格 ---- price manipulation
擔保人 ---- guarantor
擔保交易 ---- guarantee transaction
擔保物* ---- collateral; security
擔保計劃 ---- Guarantee Scheme
擔保權益 ---- security interest
整合 ---- consolidation; integration
整批輸入交收指示 ---- SI Batch File Service
整體持倉 ---- overall position
機構交易員組合系統(tǒng)(澳洲) ---- Portfolio System for Institutional Traders (POSIT)(Australia)
機構投資者 ---- institutional investor
機構客戶 ---- institutional client
機構計劃書(證監(jiān)會) ---- Corporate Plan(SFC)
機構風險 ---- institutional risk
歷史成本 ---- historical cost
歷史波幅 ---- historical volatility
澳洲證券交易所 ---- Australian Stock Exchange (ASX)
澳洲證券及投資監(jiān)察委員會（澳洲證監(jiān)會） ---- Australian Securities and Investments Commission (ASIC)
獨立上市 ---- separate listing
獨立非執(zhí)行董事 ---- independent non-executive director
獨立信托戶口 ---- segregated trust account
獨立財務顧問 ---- independent financial adviser
獨立調查局 ---- ---- Independent Investigation Board
獨立顧問 ---- independent adviser
獨資經(jīng)營者 ---- sole proprietor
穆迪投資評級 ---- Moody's Investment Grade
積欠款項 ---- arrears
融通票據(jù) ---- accommodation bill
融資人 ---- financier
融資租賃承擔 ---- finance lease commitment
諮詢委員會(證監(jiān)會) ---- Advisory Committee(SFC)
輸入買賣盤時段 ---- order input period
「輸入與核對分工」功能(中央結算系統(tǒng)) ---- maker-checker facility(CCASS)
辦公室前線系統(tǒng) ---- front-office system
辦公室后勤/后勤運作系統(tǒng) ---- back-office system
遲報交易 ---- late reported sales
選時交易 ---- market timing
選擇性銷售方式 ---- selective marketing basis
醒目卡 ---- smart card
錯誤包容 ---- fault tolerance
錯誤交易合約 ---- mistraded contract
錯誤陳述 ---- misstatement
隨意提增法 ---- arbitrary scale up method
隨機分配 ---- random assignment
靜態(tài)資訊 ---- static information
頭寸 ---- position
頭寸交易商(商品市場) ---- position trader(commodity market)
頭盤 ---- at-the-opening order
龍債券 ---- dragon bond
償債能力風險 ---- insolvency risk
償債基金 ---- sinking fund
優(yōu)先股 ---- preference share; preferred share
優(yōu)先普通股 ---- preferred ordinary share
優(yōu)先認購權 ---- pre-emptive right
優(yōu)質證券 ---- seasoned securities
應付即日差額繳款 ---- intra-day marks payment obligations
應付賬款 ---- accounts payable
應用指引 ---- Practice Note
應用研究基金 ---- Applied Research Fund
應用程式界面 ---- Application Programming Interface (API)
應收賬款 ---- accounts receivable
應占股權 ---- attributable equity interest
應計收益 ---- accrued revenue
應計利息 ---- accrued interest
應計制(會計) ---- accrual basis(accounting)
應計費用 ---- accrued expenses
應退增值稅 ---- recoverable VAT
擬定開市價格 ---- Calculated Opening Price (COP)
檔案傳送協(xié)定 ---- file transfer protocol
檔案轉換 ---- file transfer
檢討持牌法團財務規(guī)管制度工作小組 ---- Working Group on Review of the Financial Regulatory Framework for Licensed Corporations
檢討證券及期貨市場規(guī)管架構運作專家小組 ---- ---- Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure
《檢討證券及期貨市場規(guī)管架構運作專家小組報告書》 ---- ---- Report by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure
營業(yè)日 ---- business day
營業(yè)代表 ---- sales representative
營運指令 ---- working order
營運風險 ---- operational risk
營運/營業(yè)租賃 ---- operating lease
營運買賣盤 ---- working order
營運資金 ---- working capital
燭柱圖 ---- candlestick chart
獲分配人士 ---- assignee
獲配售人 ---- placee
獲配發(fā)人 ---- allottee
獲提名董事 ---- proposed director
環(huán)球股本證券市場 ---- Global Equity Market
環(huán)球債券 ---- global bond
環(huán)球預托證券 ---- global depository receipt (GDR)
環(huán)球銀行財務電信協(xié)會 ---- Society for Worldwide Interbank Financial Telecommunications (SWIFT)
瞬像 / 瞬態(tài)(電腦) ---- snapshot(computer)
總市值 ---- total market capitalisation; aggregate market value
總按金價值 ---- total margin value
總持倉限額 ---- gross limit
總賬 ---- general ledger
總額按金計算 ---- gross margining
聯(lián)交所交易權 ---- Stock Exchange Trading Right
聯(lián)交所交易權持有人 ---- Holder of Stock Exchange Trading Right
聯(lián)交所期權結算所抵押品 ---- SEOCH collateral
聯(lián)交所期權結算所參與者 ---- SEOCH Participant
聯(lián)交所資訊服務熱線 ---- SEHK Enquiry Hotline
聯(lián)名個人投資者戶口 ---- Joint Individual Investor Account
聯(lián)合交易所賠償基金 ---- Unified Exchange Compensation Fund
聯(lián)合受托人 ---- co-trustee
聯(lián)邦基金 ---- Federal funds
聯(lián)邦基金利率 ---- Federal funds rate
聯(lián)邦結算系統(tǒng) ---- Fed wire; Fedwire; FedWire
聯(lián)邦儲備系統(tǒng) ---- Federal Reserve System
聯(lián)席保薦人 ---- co-sponsor
聯(lián)席經(jīng)辦人 ---- co-manager
聯(lián)網(wǎng) ---- networking
聯(lián)線投資服務 ---- on-line investment service
聯(lián)機界面聯(lián)系 ---- on-line interface
聯(lián)營公司 ---- associated company; associate company; associate
聯(lián)系人士 ---- associate
聯(lián)系設施(電腦) ---- gateway(computer)
聯(lián)系匯率 ---- pegged exchange rate
聯(lián)系匯率制 ---- pegged rate system
聯(lián)系證明書 / 信心保證書 ---- ---- comfort letter
聯(lián)屬公司 ---- affiliated company; affiliate
聰明咭 ---- smart card
臨時清盤人 ---- provisional liquidator
臨時結算表 ---- Provisional Clearing Statement (PCS)
薪酬利益 ---- remuneration package
豁免 / 豁免規(guī)定 ---- waiver
豁免上市地位 ---- exempt listing status
豁免交易商 ---- exempt trader
豁免自營買賣商 ---- Exempt Principal Trader
豁免基金經(jīng)理 ---- Exempt Fund Manager
購回 / 購回股份 ---- repurchase; share repurchase
購股權 ---- share option
購買力平價 ---- purchasing power parity (PPP)
避稅 ---- tax avoidance
《邁進新紀元》(刊物) ---- Positioning for a New Era(publication)
還本付息* ---- redemption
還盤 ---- counter order
鍋爐室 ---- ---- boiler room
隱藏交易額買賣盤 ---- hidden-size order
點子 ---- basis point
儲備 ---- reserve
儲備基金 ---- reserve fund
戴維森報告書（即 證券業(yè)檢討委員會報告書） ---- Ian Hay Davison Report (ie Report of the Securities Review Committee)
瀆職行為 ---- misconduct
瀏覽及挑選 ---- browse and pick
簡便指南(自動對盤系統(tǒng)) ---- Quick Reference Guide(AMS)
職工股(中國內地) ---- employee share(Mainland China)
職能劃分制度 / 職能分管制度 ---- Chinese Wall
《職業(yè)退休計劃條例》 ---- Occupational Retirement Schemes Ordinance
職權范圍 ---- terms of reference
藍籌股 ---- blue chip
轉手紙 ---- transfer deed; transfer form
轉倉 ---- roll-over
轉配股(中國內地) ---- individually held state and legal-person share; transfer right share(Mainland China)
轉撥 ---- transfer
轉讓 ---- assignment; transfer
轉讓人 ---- assignor; transferor
鎖倉 ---- locked position
雙重上市 / 雙邊上市 ---- dual listing
雙重存檔制度；雙重呈報規(guī)定 ---- ---- dual filing
雙邊凈額結算 ---- bilateral netting
雙邊價 ---- two-way quote
離岸金融中心 ---- offshore financial centre
離岸盈利重組 ---- offshore profit regrouping
離岸基金 ---- offshore fund
離岸調期 ---- offshore swap
離差(統(tǒng)計) ---- dispersion(statistics)
離場交易 ---- off-floor trading; off-board trading
離場買賣盤 ---- off-floor order
額外按金 ---- additional margin
壞賬 ---- bad debt
壞賬及呆賬撥備/備抵 ---- provision for bad and doubtful debts;
allowance for bad and doubtful debts
繳入股本 ---- paid-up capital; paid-in capital
繳足股本 ---- fully paid-up capital
《2000年證券（保證金融資）（修訂）條例》 ---- Securities (Margin Financing) (Amendment) Ordinance 2000
《證券（內幕交易）條例》 ---- Securities (Insider Dealing) Ordinance
《證券（交易商、投資顧問、合伙及代表）規(guī)則》 ---- Securities (Dealers, Investment Advisers, Partnerships and Representatives) Rules
《證券（披露權益）具報紀錄》 ---- Securities (Disclosure of Interests) Notification History Reports
《證券（披露權益）具報摘要》(刊物) ---- Securities (Disclosure of Interests) Notification Summaries(publication)
《證券（披露權益）條例》 ---- Securities (Disclosure of Interests) Ordinance
《證券（結算所）條例》 ---- Securities (Clearing Houses) Ordinance
《證券（證券借出）規(guī)則》 ---- Securities (Stock Lending) Rules
《證券上市規(guī)則》（《香港聯(lián)合交易所有限公司證券上市規(guī)則》） ---- Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited)
證券化 ---- securitisation
證券及投資管理局(英國) ---- Securities and Investment Board (SIB)(UK)
證券及衍生工具團體網(wǎng)絡 ---- Securities and Derivatives Communication Network (SDNet)
《證券及期貨（在證券市場上市 ）規(guī)則》 ---- Securities and Futures (Stock Market Listing) Rules
《證券及期貨（披露權益－免除 ）規(guī)例》 ---- Securities and Futures (Disclosure of Interests - Exclusions) Regulation
《證券及期貨（披露權益－證券借貸）規(guī)則》 ---- Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
《證券及期貨（專業(yè)投資者）規(guī)則》 ---- Securities and Futures (Professional Investor) Rules
《證券及期貨（結算所）條例》 ---- Securities and Futures (Clearing Houses) Ordinance
《證券及期貨（認可對手方 ）規(guī)則》 ---- Securities and Futures (Recognized Counterparty) Rules
《證券及期貨（賣空豁免及證券借出）規(guī)則》 ---- Securities and Futures (Short Selling Exemption and Stock Lending) Rules
《證券及期貨（轉移職能予聯(lián)交所 ）令》 ---- Securities and Futures (Transfer of Functions - Stock Exchange Company) Order
《證券及期貨（穩(wěn)定價格）規(guī)則》 ---- ---- Securities and Futures (Price Stabilising) Rules
《證券及期貨中介機構業(yè)務調查》(證監(jiān)會) ---- Securities and Futures Intermediaries Activities Surveys(SFC)
《證券及期貨市場改革政策文件》 ---- A Policy Paper on Securities and Futures Market Reform
證券及期貨事務上訴委員會 ---- Securities and Futures Appeals Panel (SFAT)
《證券及期貨事務上訴委員會（費用）令》 ---- Securities and Futures Appeals Panel (Fee) Order
《證券及期貨事務上訴委員會程序規(guī)則》 ---- Securities and Futures Appeals Panel Proceedings Rules
證券及期貨事務上訴審裁處 ---- Securities and Futures Appeals Tribunal
證券及期貨事務監(jiān)察委員會（證監(jiān)會） ---- The Securities and Futures Commission (SFC)
《證券及期貨事務監(jiān)察委員會（費用）規(guī)則》 ---- Securities and Futures Commission (Fees) Rules
《證券及期貨事務監(jiān)察委員會（周年報表）規(guī)則》 ---- Securities and Futures Commission (Annual Returns) Rules
《證券及期貨事務監(jiān)察委員會（職能移交）令》 ---- Securities and Futures Commission (Transfer of Functions) Order
《證券及期貨事務監(jiān)察委員會（征費）（證券）（修訂）令》 ---- Securities and Futures Commission (Levy) (Securities) (Amendment) Order
《證券及期貨事務監(jiān)察委員會（征費）規(guī)則》 ---- Securities and Futures Commission (Levy) Rules
《證券及期貨事務監(jiān)察委員會（征費）（期貨合約）令》 ---- Securities and Futures Commission (Levy) (Futures Contracts) Order
《證券及期貨事務監(jiān)察委員會條例》 ---- Securities and Futures Commission Ordinance
《證券及期貨事務監(jiān)察委員會注冊人操守準則》 ---- Code of Conduct for Persons Registered with the Securities and Futures Commission
《證券及期貨條例》 ---- Securities and Futures Ordinance
證券代號 ---- stock code
《證券代號名錄》 ---- List of Stock Codes
證券市場分析文憑深造課程 ---- Diploma Course in Advanced Securities Market Analysis
證券市場資料研究、培訓及監(jiān)察自動化系統(tǒng) ---- Securities Market Automated Research, Training & Surveillance System (SMARTS)
《證券市場導報》 ---- Securities Market Herald (publication)
證券市場歷史研究計劃 ---- Stock Market History Project
證券交易自動報價系統(tǒng)(中國內地) ---- Securities Trading Automated Quotation System(STAQS)(Mainland China)
證券交易委員會(美國) ---- Securities and Exchange Commission (SEC) (US)
《證券交易所合并條例》 ---- Stock Exchanges Unification Ordinance
證券交易法(臺灣) ---- Securities and Exchange Act(Taiwan)
證券交易紀錄(光碟) ---- Trade Record (Equity)(CD Rom)
證券合伙商號 ---- dealing partnership
證券批銷經(jīng)紀 ---- jobber
證券抵押品 ---- securities collateral
證券的認可價值 ---- admissible securities value
證券保證金融資 ---- share margin financing
證券保證金融資人 ---- securities margin financier
證券按貸財務提供者 ---- share margin finance provider (SMFP)
證券借出人 ---- securities lender
證券借貸協(xié)議書 ---- securities borrowing and lending agreement (SBLA)
證券商 ---- dealer
證券商代表 ---- dealer's representative
證券商協(xié)會 ---- Institute of Securities Dealers
證券商董事 ---- dealing director
證券登記公司總會有限公司 ---- Federation of Shares Registrars Limited
證券發(fā)售事宜工作小組 ---- Securities Offering Issues sub-group
證券期貨市場發(fā)展工作小組 ---- Securities and Futures Market Development Working Group
證券期貨局(臺灣) ---- Securities and Futures Bureau(Taiwan)
證券匯集轉按 ---- margin pooling
證券業(yè)培訓課程 ---- Securities Training Programme
《證券業(yè)檢討委員會報告書》 ---- Report of the Securities Review Committee
證券經(jīng)紀考試 ---- Securities Brokers Examination
證券經(jīng)紀業(yè)營商環(huán)境工作小組 ---- Working Group on the Business Environment of the Stockbroking Industry
證券經(jīng)紀課程 ---- Securities Brokers Course
證券經(jīng)銷經(jīng)紀 ---- jobber
證券經(jīng)銷經(jīng)紀印花稅 ---- jobber stamp duty
證券隔分 ---- segregation of securities
證券賠償基金委員會(證監(jiān)會) ---- Securities Compensation Fund Committee(SFC)
《證監(jiān)快訊》 ---- SFC Alert
《證監(jiān)會執(zhí)法月報》 ---- SFC Enforcement Reporter
《證監(jiān)會強積金產(chǎn)品守則》 ---- SFC Code on MPF Products
證監(jiān)會雙重存檔事宜顧問小組 ---- SFC Dual Filing Advisory Group
《關于建立無紙化證券市場的建議的諮詢文件》(證監(jiān)會) ---- ---- Consultation Paper on Proposals for a Scripless Securities Market(SFC)
《關于律師及會計師提供附帶投資意見的指引》(證監(jiān)會) ---- Guidance Note on Incidental Investment Advice Provided by Solicitors and Accountants(SFC)
《關于注冊人在首次公開發(fā)售中利用互聯(lián)網(wǎng)收集證券認購申請的指引》(證監(jiān)會) ---- Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering(SFC)
關連人士 ---- connected person
關連人士交易 ---- related party transaction
關連交易 ---- connected transaction
關稅及貿易總協(xié)定（關貿總協(xié)定） ---- General Agreement on Tariffs and Trade (GATT)
競價市場 ---- auction market
競價投標 ---- auction
競價限價盤 ---- at-auction limit order
競價盤 ---- at-auction order
籌備董事會 ---- Preparatory Board
議價交易 ---- negotiated transaction
譴責 ---- reprimand; censure
攤銷 ---- amortisation
攤薄 ---- dilution
權益列表 ---- entitlement table
權益法(會計) ---- equity method(accounting)
權益股本 ---- equity capital; equity share capital
權益報表(中央結算系統(tǒng)) ---- Entitlement Statement(CCASS)
權責發(fā)生制*(會計) ---- accrual basis(accounting)
權衡報告制度 ---- differential reporting
權證 ---- warrant
贖回 ---- redemption
贖回溢價(債券) ---- call premium(bonds)
變現(xiàn) ---- realisation
變換交易(期權) ---- conversion(options)
變價調整 ---- variation adjustment
智能卡 ---- smart card
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