1、证券里的英语词汇accredited隶属adjusted liabilities经调整负债advertisement广告advising on corporate finance就机构融资提供意见advising on futures contracts就期货合约提供意见advising on securities就证券提供意见Advisory Committee咨询委员会agents代理人aggregate gross foreign currency position合计外币总持仓量agreement协议agreement in writing书面协议amount of margin re
2、quired to be deposited按规定须存放的保证金数额ancillary stabilizing action附带稳定价格行动appeal panel上诉委员会applicant申请人application申请application for review复核申请appointed day指定日期approved bank incorporated outside Hong Kong法团的银行以外成立为核准的在香港approved credit rating agency核准信贷评级机构approved custodian核准保管人approved futures exchange
3、核准期货交易所approved introducing agent核准介绍代理人approved investment adviser认可投资顾问approved lending agent核准借出代理人approved person核准人士approved redeemable shares核准可赎回股份approved regional exchange认可地区性交易所approved securities borrowing and lending counterparty核准证券借贷对手方approved share registrar认可股份登记员approved standby s
4、ubordinated loan facility核准备用后偿贷款融通approved stock exchange核准证券交易所approved subordinated loan核准后偿贷款arbitration panel仲裁小组arbitrator仲裁人articles章程细则asset management资产管理associate有联系者associated corporation相联法团associated entity有联系实体associated person相联者audit working papers审计工作材料auditor核数师authorized ATS provi
5、der认可自动化交易服务提供者authorized automated trading services认可自动化交易服务authorized financial institution认可财务机构authorized mutual fund认可互惠基金authorized person获授权人authorized representative获授权代表authorized unit trust认可单位信托automated trading service provider自动化交易服务提供者automated trading services自动化交易服务average monthly tu
6、rnover平均每月成交额back-to-back contract背对背合约balance结余bank银行bank incorporated outside Hong Kong法团的银行地方成立为在香港以外banker银行bankers book银行簿册basic amount基本数额basic information基本数据bilateral netting agreement 双边净额结算协议blanket assurance概括性保证body团体bond broker债券经纪bond dealer债券交易商books簿册borrow借用安排broadcast广播broadcaster广
7、播业者broker经纪business day营业日calculation有关计算call造访capital account资本帐cash settled equity derivatives现金结算股本衍生工具CE number中央编号certificate of deposit存款证chairman主席charge押记chief executive最高行政人员claimant申索人Claims Rules申索规则clearing house结算所clearing participant结算所参与者clerk书记client客户client assets客户资产client collater
8、al客户抵押品client contract客户合约client money客户款项client securities客户证券client securities and collateral客户证券及抵押品closing date截止日期codes守则collateral抵押品collateralized warrants有抵押权证collective investment scheme集体投资计划Commission证监会；监察委员会commission佣金Commissioner of the Independent Commission Against Corruption廉政专员com
9、mon client共同客户companies inspector公司审查员company公司compensation赔偿compensation fund赔偿基金complaints officer投诉主任completion完成concentration discounting factor集中折扣系数conditional offer有条件要约conduct行为constitution章程contract multiplier合约乘数controller控制人controlling entity控权实体controlling entity relationship控权实体关系contro
10、lling person控权人士corporate finance adviser, corporate finance consultant机构融资顾问corporation法团court法庭；法院credit union储蓄互助社criminal investigatory body刑事调查机构currency futures contract货币期货合约custodian保管人custodian statement保管人结单data material数据材料dealing交易dealing in futures contracts期货合约交易dealing in securities证券
11、交易debenture债权证debt securities债务证券defalcation亏空default违责default proceedings违责处理程序default rules违责处理规则defaulter违责者deliver交付depositary receipt寄存单据deputy chairman 副主席derivative contract衍生工具合约derivatives衍生工具digital signature数码签署director董事dispute争议disqualification order取消资格令document文件duty of disclosure披露责任
12、employee雇员equity derivatives股本衍生工具equity linked instruments股票挂钩票据equity securities权益证券equivalent corporation等同法团equivalent shares相等股份every officer of it who is in default其每名违责的高级人员Exchange Company交易所公司exchange contract交易所合约Exchange Fund外汇基金Exchange Fund Bill外汇基金票据Exchange Fund Note外汇基金债券exchange par
13、ticipant交易所参与者exchange participants representative交易所参与者代表exchange traded fund交易所买卖基金exchange traded funds market maker交易所买卖基金庄家excluded clients豁除客户excluded interests豁除权益excluded liabilities豁除负债excluded person豁除人士executive执行人员executive director执行董事executive officer主管人员exempted body获豁免团体；豁免团体existing
14、 client原有客户expert专家fee费用financial accommodation财务通融financial product金融产品financial resources rule财政资源规则financial statement财务报表financial year财政年度first public announcement date首次公开宣告日期floating losses浮动亏损floating profits浮动利润foreign currency外币foreign exchange agreement外汇协议foreign exchange trading外汇交易fore
15、ign intermediary外地中介人former associated entity of an intermediary中介人的前有联系实体former licensed corporation前持牌法团founder成立人fraudulent misrepresentation欺诈的失实陈述free delivery basis信用交付形式function职能futures adviser期货顾问futures broker期货经纪futures consultant期货顾问futures contract期货合约futures dealer期货交易商Futures Exchange
16、 Company期交所Futures Exchange Compensation Fund期交所赔偿基金futures market期货市场Futures Market Maker期货庄家futures non-clearing dealer期货非结算交易商futures or options clearing house期货或期权结算所GEM创业板gross foreign currency position外币总持仓量group of companies公司集团guaranteed 作出担保guilty of misconduct犯失当行为haircut amount扣减数额haircut
17、 percentage扣减百分率HKEC交易结算公司HKFECC期货结算公司HKIAC仲裁中心HKSCC香港结算公司hold持有holding company控股公司Hong Kong Exchange Fund香港外汇基金Hong Kong register香港登记册incorporated成立；成立为法团indirect controller间接控制人information信息；资料；消息information system信息系统initial margin requirement规定开仓保证金initial stabilizing action初步稳定价格行动initial stabi
18、lizing price初步稳定价格insider dealing内幕交易inspector审查员Insurance Authority保险业监督insurer保险人interest权益interest rate swap agreement掉期息率协议intermediary中介人in-the-money amount价内值investigator调查员investment manager投资经理Investor Compensation Company投资者赔偿公司invitation邀请issue发出issued equity share capital已发行权益股本issuer发行人j
19、udge法官judicial or other proceedings司法或其它法律程序law of insolvency破产清盘法legal officer律政人员lender借出人leveraged foreign exchange contract杠杆式外汇交易合约leveraged foreign exchange trader杠杆式外汇交易商leveraged foreign exchange trading杠杆式外汇交易levy征费licence牌；牌照licensed获发牌；持牌licensed corporation持牌法团licensed person持牌人licensed
20、representative持牌代表linked corporation相连法团liquid assets速动资产liquid capital速动资金liquidator清盘人listed上市listed corporation上市法团listed currency warrant上市货币权证listed securities上市证券listing上市listing rules上市规则live broadcast直播Mandatory Provident Fund Schemes Authority积金局margin client保证金客户margin lender证券保证金融资人margin
21、 ratio保证金比率margin value保证金价值margined transaction保证金交易mark to market按照市值计算差额market capitalization市场资本值market charge市场押记market collateral市场抵押品market contract市场合约market information市场消息market misconduct市场失当行为Market Misconduct Tribunal市场失当行为审裁处market value #p#分页标题#e#市值material time关键时间member成员memorandum章
22、程大纲Mini-Hang Seng Index Futures Contract小型恒生指数期货合约Mini-Hang Seng Index Options Contract小型恒生指数期权合约minor未成年minor offence轻微罪行minority controller次要控制人misconduct失当行为misfeasance不当行为Monetary Authority金融管理专员Monetary Authority guideline金融管理专员指引Monetary Authority- appointed Market Maker金融管理专员委任的庄家money launde
23、ring activities洗钱活动money lender放债人multilateral agency多边机构mutual fund互惠基金negligent misrepresentation疏忽的失实陈述net equity权益净额net position净持仓量net tangible assets有形资产净值net underwriting commitment包销承担净额new futures contract新期货合约non-collateralized warrants非抵押权证non-executive director非执行董事note issuance and revo
24、lving underwriting facility票据的发行及循环式包销融通notifiable interest须具报权益notifiable percentage level须具报百分率水平notional principal amount名义本金额number数目offer要约offer document要约文件offer price要约价offeree company要约标的公司offeror要约人off-exchange traded derivative contracts场外买卖衍生工具合约off-exchange transaction场外交易officer高级人员Offi
25、cial Receiver破产管理署署长Official Trustee法定受托人off-market share repurchase场外股份购回off-market share repurchase circular场外股份购回通告off-market transaction场外交易Ombudsman申诉专员omnibus account客户汇集综合账户on-exchange transaction场内交易options contract期权合约order命令ordinary member普通成员other collateral其它抵押品out-of-the-money amount价外值
26、overseas company海外公司overseas stock market海外证券市场panel member上诉委员parties各方party当事一方percentage figure百分率数字percentage level百分率水平performance执行period of insurance保险期permanent identity card永久性居民身分证person under investigation受调查人physically settled equity derivatives实物结算股本衍生工具pilot programme试验计划pilot programm
27、e market maker试验计划庄家pilot programme securities试验计划证券portfolio #p#分页标题#e#投资组合possession管有prescribed country订明国家prescribed event订明事件prescribed fee订明费用prescribed gain订明收益prescribed limit订明上限prescribed manner订明方式prescribed purpose订明目的prescribed requirement订明规定Presenting Officer提控官primary stabilizing act
28、ion基本稳定价格行动principal主事人Privacy Commissioner for Personal Data私隐专员proceedings研讯程序professional accountant专业会计师professional investor专业投资者prohibited person受禁制人士property财产prospectus招股章程public公众；大众public announcement公开宣告purchase买；购买qualified corporation合资格法团qualified lender合资格借出人qualified overseas scheme合
29、资格海外计划qualified shares合资格股份qualifying client合资格客户qualifying credit rating合资格信贷评级qualifying debt securities合资格债务证券ranking liabilities认可负债recipient接收人reckless misrepresentation罔顾实情的失实陈述recognized certificate认可证书recognized certification authority认可核证机关recognized clearing house认可结算所recognized counterpar
30、ty认可对手方recognized exchange company认可交易所recognized exchange controller认可控制人recognized futures market认可期货市场recognized investor compensation company认可投资者赔偿公司recognized occupational retirement scheme认可职业退休计划recognized stock market认可证券市场record纪录redeemable shares可赎回股份register of companies公司登记册register of
31、directors and chief executives interests and short positions董事及最高行政人员权益及淡仓登记册register of interests in shares and short positions股份权益及淡仓登记册registered注册registered company注册公司registered institution注册机构Registrar of Companies公司注册处处长registration注册regulated activity受规管活动regulated function受规管职能regulated inv
32、estment agreement受规管投资协议regulated person受规管人士regulations规例regulatory body规管机构related assets有连系资产relevant agreement有关协议relevant authority有关当局；监管当局relevant authorized automated trading services有关认可自动化交易服务relevant communication有关通讯 #p#分页标题#e#relevant condition有关条件relevant contract有关合约relevant contraven
33、tion违例事件relevant corporation相关法团relevant date有关日期relevant event有关事件relevant exchange company有关交易所公司relevant information有关消息relevant market有关市场relevant offer有关要约relevant office-holder有关人员relevant overseas market有关境外市场relevant period有关期间relevant property有关财产relevant provisions有关条文relevant recognized e
34、xchange controller相关认可控制人relevant recognized market有关认可市场relevant securities有关证券relevant share capital有关股本relevant shares有关股份relevant time有关时间remittance转付remuneration报酬repealed Ordinance已废除条例repealed Securities Rules已废除的证券规则report报告reportable matter须报告事项reportable position须申报的持仓量reporting currency申报
35、货币reporting day申报日reporting period申报期representation陈述representative代表repurchase transaction回购交易required liquid capital规定速动资金required liquid capital deficit规定速动资金短欠数额respondent答辩人responsible officer负责人员review复核rights issue供股Risk Management Committee风险管理委员会rolling balance cash client滚存结余现金客户rules规章rul
36、ing裁定Secretary局长securities证券securities adviser证券顾问Securities and Futures Appeals Tribunal上诉审裁处securities and futures industry证券期货业securities and futures market证券期货市场securities borrowing and lending agreement证券借贷协议securities collateral证券抵押品securities consultant证券顾问securities dealer证券交易商；证券经纪securitie
37、s margin financing证券保证金融资Securities Market Maker证券庄家segregated account独立账户SEOCH期权结算公司served送达service bureau服务单位settlement交收settlement date交收日期shadow director幕后董事share股份share registrar股份登记员Share Repurchase Code股份购回守则shareholder controller股东控制人short position淡仓short selling卖空short selling order卖空指示spec
38、ial debt securities 特别债务证券specified amount指明款额specified amount requirements指明数额规定specified bank regulator指明银行规管当局specified credit rating指明信贷评级specified debt securities指明债务证券specified decision指明决定specified exchange指明交易所specified futures exchange指明期货交易所specified instrument指明文书specified investments指明投资
39、项目specified jurisdiction指明司法管辖区specified licensed corporation指明持牌法团specified licensing condition指明发牌条件specified percentage level指明百分率水平specified person指明人士specified recipient指明收受者specified risks指明风险specified securities指明证券specified securities or futures contracts指明证券或期货合约specified stock exchange指明证券
40、交易所specified titles指明称衔stabilizing action稳定价格行动stabilizing manager稳定价格操作人stabilizing period稳定价格期间stabilizing price稳定价格standby subordinated loan facility备用后偿贷款融通standing authority常设授权stock adviser股票顾问stock dealer, stockbroker股票经纪Stock Exchange Company联交所stock futures contract股票期货合约stock market证券市场sto
41、ck options contract股票期权合约stock return证券交还subordinated loan后偿贷款substantial shareholder大股东systems of control监控系统take delivery提取take-over offer收购要约Takeovers Appeal Committee收购上诉委员会Takeovers Code收购守则Takeovers Panel收购委员会target corporation目标法团the corporation concerned有关法团title称衔top 3 collateral首3位抵押品top m
42、argin client前列保证金客户trade date交易日期trader交易商trading day交易日trading right交易权Tribunal审裁处trust corporation信托法团trustee受托人Type 1 intermediary第1类中介人Type 1 intermediary or representative第1类中介人或代表Type 2 intermediary第2类中介人Type 4 intermediary or representative第4类中介人或代表Type 6 intermediary or representative第6类中介人或
43、代表unconscionable不合情理underlying shares相关股份Unified Exchange联合交易所Unified Exchange Compensation Fund联交所赔偿基金unit trust单位信托unsolicited call未获邀约的造访valid business registration certificate有效商业登记证variable required liquid capital可变动规定速动资金whitewash document清洗交易文件whitewashed offer清洗交易要约written direction书面指示written document书面文件
