accredited
隸屬

adjusted liabilities
經(jīng)調(diào)整負債

advertisement
廣告

advising on corporate finance
就機構融資提供意見

advising on futures contracts
就期貨合約提供意見

advising on securities
就證券提供意見

Advisory Committee
咨詢委員會

agents
代理人

aggregate gross foreign currency position
合計外幣總持倉量

agreement
協(xié)議

agreement in writing
書面協(xié)議

amount of margin required to be deposited
按規(guī)定須存放的保證金數(shù)額

ancillary stabilizing action
附帶穩(wěn)定價格行動

appeal panel
上訴委員會

applicant
申請人

application
申請

application for review
復核申請

appointed day
指定日期

approved bank incorporated outside Hong Kong
法團的銀行以外成立為核準的在香港

approved credit rating agency
核準信貸評級機構

approved custodian
核準保管人

approved futures exchange
核準期貨交易所

approved introducing agent
核準介紹代理人

approved investment adviser
認可投資顧問

approved lending agent
核準借出代理人

approved person
核準人士

approved redeemable shares
核準可贖回股份

approved regional exchange
認可地區(qū)性交易所

approved securities borrowing and lending counterparty
核準證券借貸對手方

approved share registrar
認可股份登記員

approved standby subordinated loan facility
核準備用后償貸款融通

approved stock exchange
核準證券交易所

approved subordinated loan
核準后償貸款

arbitration panel
仲裁小組

arbitrator
仲裁人

articles
章程細則

asset management
資產(chǎn)管理

associate
有聯(lián)系者

associated corporation
相聯(lián)法團

associated entity
有聯(lián)系實體

associated person
相聯(lián)者

audit working papers
審計工作材料

auditor
核數(shù)師

authorized ATS provider
認可自動化交易服務提供者

authorized automated trading services
認可自動化交易服務

authorized financial institution
認可財務機構

authorized mutual fund
認可互惠基金

authorized person
獲授權人

authorized representative
獲授權代表

authorized unit trust
認可單位信托

automated trading service provider
自動化交易服務提供者

automated trading services
自動化交易服務

average monthly turnover
平均每月成交額

back-to-back contract
背對背合約

balance
結余

bank
銀行

bank incorporated outside Hong Kong
法團的銀行地方成立為在香港以外

banker
銀行

banker´s book
銀行簿冊

basic amount
基本數(shù)額

basic information
基本數(shù)據(jù)

bilateral netting agreement #p#分頁標題#e#
雙邊凈額結算協(xié)議

blanket assurance
概括性保證

body
團體

bond broker
債券經(jīng)紀

bond dealer
債券交易商

books
簿冊

borrow
借用安排

broadcast
廣播

broadcaster
廣播業(yè)者

broker
經(jīng)紀

business day
營業(yè)日

calculation
有關計算

call
造訪

capital account
資本帳

cash settled equity derivatives
現(xiàn)金結算股本衍生工具

CE number
中央編號

certificate of deposit
存款證

chairman
主席

charge
押記

chief executive
最高行政人員

claimant
申索人

Claims Rules
《申索規(guī)則》

clearing house
結算所

clearing participant
結算所參與者

clerk
書記

client
客戶

client assets
客戶資產(chǎn)

client collateral
客戶抵押品

client contract
客戶合約

client money
客戶款項

client securities
客戶證券

client securities and collateral
客戶證券及抵押品

closing date
截止日期

codes
守則

collateral
抵押品

collateralized warrants
有抵押權證

collective investment scheme
集體投資計劃

Commission
證監(jiān)會；監(jiān)察委員會

commission
傭金

Commissioner of the Independent Commission Against Corruption
廉政專員

common client
共同客戶

companies inspector
公司審查員

company
公司

compensation
賠償

compensation fund
賠償基金

complaints officer
投訴主任

completion
完成

concentration discounting factor
集中折扣系數(shù)

conditional offer
有條件要約

conduct
行為

constitution
章程

contract multiplier
合約乘數(shù)

controller
控制人

controlling entity
控權實體

controlling entity relationship
控權實體關系

controlling person
控權人士

corporate finance adviser, corporate finance consultant
機構融資顧問

corporation
法團

court
法庭；法院

credit union
儲蓄互助社

criminal investigatory body
刑事調(diào)查機構

currency futures contract
貨幣期貨合約

custodian
保管人

custodian statement
保管人結單

data material
數(shù)據(jù)材料

dealing
交易

dealing in futures contracts
期貨合約交易

dealing in securities
證券交易

debenture
債權證

debt securities
債務證券

defalcation
虧空

default
違責

default proceedings
違責處理程序

default rules
違責處理規(guī)則

defaulter
違責者

deliver
交付

depositary receipt
寄存單據(jù)

deputy chairman #p#分頁標題#e#
副主席

derivative contract
衍生工具合約

derivatives
衍生工具

digital signature
數(shù)碼簽署

director
董事

dispute
爭議

disqualification order
取消資格令

document
文件

duty of disclosure
披露責任

employee
雇員

equity derivatives
股本衍生工具

equity linked instruments
股票掛鉤票據(jù)

equity securities
權益證券

equivalent corporation
等同法團

equivalent shares
相等股份

every officer of it who is in default
其每名違責的高級人員

Exchange Company
交易所公司

exchange contract
交易所合約

Exchange Fund
外匯基金

Exchange Fund Bill
外匯基金票據(jù)

Exchange Fund Note
外匯基金債券

exchange participant
交易所參與者

exchange participant´s representative
交易所參與者代表

exchange traded fund
交易所買賣基金

exchange traded funds market maker
交易所買賣基金莊家

excluded clients
豁除客戶

excluded interests
豁除權益

excluded liabilities
豁除負債

excluded person
豁除人士

executive
執(zhí)行人員

executive director
執(zhí)行董事

executive officer
主管人員

exempted body
獲豁免團體；豁免團體

existing client
原有客戶

expert
專家

fee
費用

financial accommodation
財務通融

financial product
金融產(chǎn)品

financial resources rule
財政資源規(guī)則

financial statement
財務報表

financial year
財政年度

first public announcement date
首次公開宣告日期

floating losses
浮動虧損

floating profits
浮動利潤

foreign currency
外幣

foreign exchange agreement
外匯協(xié)議

foreign exchange trading
外匯交易

foreign intermediary
外地中介人

former associated entity of an intermediary
中介人的前有聯(lián)系實體

former licensed corporation
前持牌法團

founder
成立人

fraudulent misrepresentation
欺詐的失實陳述

free delivery basis
信用交付形式

function
職能

futures adviser
期貨顧問

futures broker
期貨經(jīng)紀

futures consultant
期貨顧問

futures contract
期貨合約

futures dealer
期貨交易商

Futures Exchange Company
期交所

Futures Exchange Compensation Fund
期交所賠償基金

futures market
期貨市場

Futures Market Maker
期貨莊家

futures non-clearing dealer
期貨非結算交易商

futures or options clearing house
期貨或期權結算所

GEM
創(chuàng)業(yè)板

gross foreign currency position
外幣總持倉量

group of companies
公司集團

guaranteed #p#分頁標題#e#
作出擔保

guilty of misconduct
犯失當行為

haircut amount
扣減數(shù)額

haircut percentage
扣減百分率

HKEC
交易結算公司

HKFECC
期貨結算公司

HKIAC
仲裁中心

HKSCC
香港結算公司

hold
持有

holding company
控股公司

Hong Kong Exchange Fund
香港外匯基金

Hong Kong register
香港登記冊

incorporated
成立；成立為法團

indirect controller
間接控制人

information
信息；資料；消息

information system
信息系統(tǒng)

initial margin requirement
規(guī)定開倉保證金

initial stabilizing action
初步穩(wěn)定價格行動

initial stabilizing price
初步穩(wěn)定價格

insider dealing
內(nèi)幕交易

inspector
審查員

Insurance Authority
保險業(yè)監(jiān)督

insurer
保險人

interest
權益

interest rate swap agreement
掉期息率協(xié)議

intermediary
中介人

in-the-money amount
價內(nèi)值

investigator
調(diào)查員

investment manager
投資經(jīng)理

Investor Compensation Company
投資者賠償公司

invitation
邀請

issue
發(fā)出

issued equity share capital
已發(fā)行權益股本

issuer
發(fā)行人

judge
法官

judicial or other proceedings
司法或其它法律程序

law of insolvency
破產(chǎn)清盤法
legal officer
律政人員

lender
借出人

leveraged foreign exchange contract
杠桿式外匯交易合約

leveraged foreign exchange trader
杠桿式外匯交易商

leveraged foreign exchange trading
杠桿式外匯交易

levy
征費

licence
牌；牌照

licensed
獲發(fā)牌；持牌

licensed corporation
持牌法團

licensed person
持牌人

licensed representative
持牌代表

linked corporation
相連法團

liquid assets
速動資產(chǎn)

liquid capital
速動資金

liquidator
清盤人

listed
上市

listed corporation
上市法團

listed currency warrant
上市貨幣權證

listed securities
上市證券

listing
上市

listing rules
上市規(guī)則

live broadcast
直播

Mandatory Provident Fund Schemes Authority
積金局

margin client
保證金客戶

margin lender
證券保證金融資人

margin ratio
保證金比率

margin value
保證金價值

margined transaction
保證金交易

mark to market
按照市值計算差額

market capitalization
市場資本值

market charge
市場押記

market collateral
市場抵押品

market contract
市場合約

market information
市場消息

market misconduct
市場失當行為

Market Misconduct Tribunal
市場失當行為審裁處

market value #p#分頁標題#e#
市值

material time
關鍵時間

member
成員

memorandum
章程大綱

Mini-Hang Seng Index Futures Contract
小型恒生指數(shù)期貨合約

Mini-Hang Seng Index Options Contract
小型恒生指數(shù)期權合約

minor
未成年

minor offence
輕微罪行

minority controller
次要控制人

misconduct
失當行為

misfeasance
不當行為

Monetary Authority
金融管理專員

Monetary Authority guideline
《金融管理專員指引》

Monetary Authority- appointed Market Maker

金融管理專員委任的莊家

money laundering activities
洗錢活動

money lender
放債人

multilateral agency
多邊機構

mutual fund
互惠基金

negligent misrepresentation
疏忽的失實陳述

net equity
權益凈額

net position
凈持倉量

net tangible assets
有形資產(chǎn)凈值

net underwriting commitment
包銷承擔凈額

new futures contract
新期貨合約

non-collateralized warrants
非抵押權證

non-executive director
非執(zhí)行董事

note issuance and revolving underwriting facility
票據(jù)的發(fā)行及循環(huán)式包銷融通

notifiable interest
須具報權益

notifiable percentage level
須具報百分率水平

notional principal amount
名義本金額

number
數(shù)目

offer
要約

offer document
要約文件

offer price
要約價

offeree company
要約標的公司

offeror
要約人

off-exchange traded derivative contracts
場外買賣衍生工具合約

off-exchange transaction
場外交易

officer
高級人員

Official Receiver
破產(chǎn)管理署署長

Official Trustee
法定受托人

off-market share repurchase
場外股份購回

off-market share repurchase circular
場外股份購回通告

off-market transaction
場外交易

Ombudsman
申訴專員

omnibus account
客戶匯集綜合賬戶

on-exchange transaction
場內(nèi)交易

options contract
期權合約

order
命令

ordinary member
普通成員

other collateral
其它抵押品

out-of-the-money amount
價外值

overseas company
海外公司

overseas stock market
海外證券市場

panel member
上訴委員

parties
各方

party
當事一方

percentage figure
百分率數(shù)字

percentage level
百分率水平

performance
執(zhí)行

period of insurance
保險期

permanent identity card
永久性居民身分證

person under investigation
受調(diào)查人

physically settled equity derivatives
實物結算股本衍生工具

pilot programme
試驗計劃

pilot programme market maker
試驗計劃莊家

pilot programme securities
試驗計劃證券

portfolio #p#分頁標題#e#
投資組合

possession
管有

prescribed country
訂明國家

prescribed event
訂明事件

prescribed fee
訂明費用

prescribed gain
訂明收益

prescribed limit
訂明上限

prescribed manner
訂明方式

prescribed purpose
訂明目的

prescribed requirement
訂明規(guī)定

Presenting Officer
提控官

primary stabilizing action
基本穩(wěn)定價格行動

principal
主事人

Privacy Commissioner for Personal Data
私隱專員

proceedings
研訊程序

professional accountant
專業(yè)會計師

professional investor
專業(yè)投資者

prohibited person
受禁制人士

property
財產(chǎn)

prospectus
招股章程

public
公眾；大眾

public announcement
公開宣告

purchase
買；購買

qualified corporation
合資格法團

qualified lender
合資格借出人

qualified overseas scheme
合資格海外計劃

qualified shares
合資格股份

qualifying client
合資格客戶

qualifying credit rating
合資格信貸評級

qualifying debt securities
合資格債務證券

ranking liabilities
認可負債

recipient
接收人

reckless misrepresentation
罔顧實情的失實陳述

recognized certificate
認可證書

recognized certification authority
認可核證機關

recognized clearing house
認可結算所

recognized counterparty
認可對手方

recognized exchange company
認可交易所

recognized exchange controller
認可控制人

recognized futures market
認可期貨市場

recognized investor compensation company
認可投資者賠償公司

recognized occupational retirement scheme
認可職業(yè)退休計劃

recognized stock market
認可證券市場

record
紀錄

redeemable shares
可贖回股份

register of companies
公司登記冊

register of directors´ and chief executives´ interests and short positions
董事及最高行政人員權益及淡倉登記冊

register of interests in shares and short positions
股份權益及淡倉登記冊

registered
注冊

registered company
注冊公司

registered institution
注冊機構

Registrar of Companies
公司注冊處處長

registration
注冊

regulated activity
受規(guī)管活動

regulated function
受規(guī)管職能

regulated investment agreement
受規(guī)管投資協(xié)議

regulated person
受規(guī)管人士

regulations
規(guī)例

regulatory body
規(guī)管機構

related assets
有連系資產(chǎn)

relevant agreement
有關協(xié)議

relevant authority
有關當局；監(jiān)管當局

relevant authorized automated trading services
有關認可自動化交易服務

relevant communication
有關通訊 #p#分頁標題#e#

relevant condition
有關條件

relevant contract
有關合約

relevant contravention
違例事件

relevant corporation
相關法團

relevant date
有關日期

relevant event
有關事件

relevant exchange company
有關交易所公司

relevant information
有關消息

relevant market
有關市場

relevant offer
有關要約

relevant office-holder
有關人員

relevant overseas market
有關境外市場

relevant period
有關期間

relevant property
有關財產(chǎn)

relevant provisions
有關條文

relevant recognized exchange controller
相關認可控制人

relevant recognized market
有關認可市場

relevant securities
有關證券

relevant share capital
有關股本

relevant shares
有關股份

relevant time
有關時間

remittance
轉(zhuǎn)付

remuneration
報酬

repealed Ordinance
已廢除條例

repealed Securities Rules
已廢除的《證券規(guī)則》

report
報告

reportable matter
須報告事項

reportable position
須申報的持倉量

reporting currency
申報貨幣

reporting day
申報日

reporting period
申報期

representation
陳述

representative
代表

repurchase transaction
回購交易

required liquid capital
規(guī)定速動資金

required liquid capital deficit
規(guī)定速動資金短欠數(shù)額

respondent
答辯人

responsible officer
負責人員

review
復核

rights issue
供股

Risk Management Committee
風險管理委員會

rolling balance cash client
滾存結余現(xiàn)金客戶

rules
規(guī)章

ruling
裁定

Secretary
局長

securities
證券

securities adviser
證券顧問

Securities and Futures Appeals Tribunal
上訴審裁處

securities and futures industry
證券期貨業(yè)

securities and futures market
證券期貨市場

securities borrowing and lending agreement
證券借貸協(xié)議

securities collateral
證券抵押品

securities consultant
證券顧問

securities dealer
證券交易商；證券經(jīng)紀

securities margin financing
證券保證金融資

Securities Market Maker
證券莊家

segregated account
獨立賬戶

SEOCH
期權結算公司

served
送達

service bureau
服務單位

settlement
交收

settlement date
交收日期

shadow director
幕后董事

share
股份

share registrar
股份登記員

Share Repurchase Code
《股份購回守則》

shareholder controller
股東控制人

short position
淡倉

short selling
賣空

short selling order
賣空指示

special debt securities #p#分頁標題#e#
特別債務證券

specified amount
指明款額

specified amount requirements
指明數(shù)額規(guī)定

specified bank regulator
指明銀行規(guī)管當局

specified credit rating
指明信貸評級

specified debt securities
指明債務證券

specified decision
指明決定

specified exchange
指明交易所

specified futures exchange
指明期貨交易所

specified instrument
指明文書

specified investments
指明投資項目

specified jurisdiction
指明司法管轄區(qū)

specified licensed corporation
指明持牌法團

specified licensing condition
指明發(fā)牌條件

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
指明風險

specified securities
指明證券

specified securities or futures contracts

指明證券或期貨合約

specified stock exchange
指明證券交易所

specified titles
指明稱銜

stabilizing action
穩(wěn)定價格行動

stabilizing manager
穩(wěn)定價格操作人

stabilizing period
穩(wěn)定價格期間

stabilizing price
穩(wěn)定價格

standby subordinated loan facility
備用后償貸款融通

standing authority
常設授權

stock adviser
股票顧問

stock dealer, stockbroker
股票經(jīng)紀

Stock Exchange Company
聯(lián)交所

stock futures contract
股票期貨合約

stock market
證券市場

stock options contract
股票期權合約

stock return
證券交還

subordinated loan
后償貸款

substantial shareholder
大股東

systems of control
監(jiān)控系統(tǒng)

take delivery
提取

take-over offer
收購要約

Takeovers Appeal Committee
收購上訴委員會

Takeovers Code
《收購守則》

Takeovers Panel
收購委員會

target corporation
目標法團

the corporation concerned
有關法團

title
稱銜

top 3 collateral
首3位抵押品

top margin client
前列保證金客戶

trade date
交易日期

trader
交易商

trading day
交易日

trading right
交易權

Tribunal
審裁處

trust corporation
信托法團

trustee
受托人

Type 1 intermediary
第1類中介人

Type 1 intermediary or representative
第1類中介人或代表

Type 2 intermediary
第2類中介人

Type 4 intermediary or representative
第4類中介人或代表

Type 6 intermediary or representative
第6類中介人或代表

unconscionable
不合情理

underlying shares
相關股份

Unified Exchange
聯(lián)合交易所

Unified Exchange Compensation Fund
聯(lián)交所賠償基金

unit trust
單位信托

unsolicited call
未獲邀約的造訪 #p#分頁標題#e#

valid business registration certificate
有效商業(yè)登記證

variable required liquid capital
可變動規(guī)定速動資金

whitewash document
清洗交易文件

whitewashed offer
清洗交易要約

written direction
書面指示

written document
書面文件