accredited
隸屬

adjusted liabilities
經(jīng)調(diào)整負(fù)債

advertisement
廣告

advising on corporate finance
就機(jī)構(gòu)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(huì)

agents
代理人

aggregate gross foreign currency position
合計(jì)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(jià)格行動(dòng)

appeal panel
上訴委員會(huì)

applicant
申請人

application
申請

application for review
復(fù)核申請

appointed day
指定日期

approved bank incorporated outside Hong Kong
法團(tuán)的銀行以外成立為核準(zhǔn)的在香港

approved credit rating agency
核準(zhǔn)信貸評(píng)級(jí)機(jī)構(gòu)

approved custodian
核準(zhǔn)保管人

approved futures exchange
核準(zhǔn)期貨交易所

approved introducing agent
核準(zhǔn)介紹代理人

approved investment adviser
認(rèn)可投資顧問

approved lending agent
核準(zhǔn)借出代理人

approved person
核準(zhǔn)人士

approved redeemable shares
核準(zhǔn)可贖回股份

approved regional exchange
認(rèn)可地區(qū)性交易所

approved securities borrowing and lending counterparty
核準(zhǔn)證券借貸對(duì)手方

approved share registrar
認(rèn)可股份登記員

approved standby subordinated loan facility
核準(zhǔn)備用后償貸款融通

approved stock exchange
核準(zhǔn)證券交易所

approved subordinated loan
核準(zhǔn)后償貸款

arbitration panel
仲裁小組

arbitrator
仲裁人

articles
章程細(xì)則

asset management
資產(chǎn)管理

associate
有聯(lián)系者

associated corporation
相聯(lián)法團(tuán)

associated entity
有聯(lián)系實(shí)體

associated person
相聯(lián)者

audit working papers
審計(jì)工作材料

auditor
核數(shù)師

authorized ATS provider
認(rèn)可自動(dòng)化交易服務(wù)提供者

authorized automated trading services
認(rèn)可自動(dòng)化交易服務(wù)

authorized financial institution
認(rèn)可財(cái)務(wù)機(jī)構(gòu)

authorized mutual fund
認(rèn)可互惠基金

authorized person
獲授權(quán)人

authorized representative
獲授權(quán)代表

authorized unit trust
認(rèn)可單位信托

automated trading service provider
自動(dòng)化交易服務(wù)提供者

automated trading services
自動(dòng)化交易服務(wù)

average monthly turnover
平均每月成交額

back-to-back contract
背對(duì)背合約

balance
結(jié)余

bank
銀行

bank incorporated outside Hong Kong
法團(tuán)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(biāo)題#e#
雙邊凈額結(jié)算協(xié)議

blanket assurance
概括性保證

body
團(tuán)體

bond broker
債券經(jīng)紀(jì)

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(jì)

business day
營業(yè)日

calculation
有關(guān)計(jì)算

call
造訪

capital account
資本帳

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

CE number
中央編號(hào)

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(jié)算所

clearing participant
結(jié)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(xiàng)

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(quán)證

collective investment scheme
集體投資計(jì)劃

Commission
證監(jiān)會(huì)；監(jiān)察委員會(huì)

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(quán)實(shí)體

controlling entity relationship
控權(quán)實(shí)體關(guān)系

controlling person
控權(quán)人士

corporate finance adviser, corporate finance consultant
機(jī)構(gòu)融資顧問

corporation
法團(tuán)

court
法庭；法院

credit union
儲(chǔ)蓄互助社

criminal investigatory body
刑事調(diào)查機(jī)構(gòu)

currency futures contract
貨幣期貨合約

custodian
保管人

custodian statement
保管人結(jié)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(quán)證

debt securities
債務(wù)證券

defalcation
虧空

default
違責(zé)

default proceedings
違責(zé)處理程序

default rules
違責(zé)處理規(guī)則

defaulter
違責(zé)者

deliver
交付

depositary receipt
寄存單據(jù)

deputy chairman #p#分頁標(biāo)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(zé)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(quán)益證券

equivalent corporation
等同法團(tuán)

equivalent shares
相等股份

every officer of it who is in default
其每名違責(zé)的高級(jí)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(quán)益

excluded liabilities
豁除負(fù)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(tuán)體；豁免團(tuán)體

existing client
原有客戶

expert
專家

fee
費(fèi)用

financial accommodation
財(cái)務(wù)通融

financial product
金融產(chǎn)品

financial resources rule
財(cái)政資源規(guī)則

financial statement
財(cái)務(wù)報(bào)表

financial year
財(cái)政年度

first public announcement date
首次公開宣告日期

floating losses
浮動(dòng)虧損

floating profits
浮動(dòng)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(shí)體

former licensed corporation
前持牌法團(tuán)

founder
成立人

fraudulent misrepresentation
欺詐的失實(shí)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(jì)

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(jié)算交易商

futures or options clearing house
期貨或期權(quán)結(jié)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(tuán)

guaranteed #p#分頁標(biāo)題#e#
作出擔(dān)保

guilty of misconduct
犯失當(dāng)行為

haircut amount
扣減數(shù)額

haircut percentage
扣減百分率

HKEC
交易結(jié)算公司

HKFECC
期貨結(jié)算公司

HKIAC
仲裁中心

HKSCC
香港結(jié)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(tuán)

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(jià)格行動(dòng)

initial stabilizing price
初步穩(wěn)定價(jià)格

insider dealing
內(nèi)幕交易

inspector
審查員

Insurance Authority
保險(xiǎn)業(yè)監(jiān)督

insurer
保險(xiǎn)人

interest
權(quán)益

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

intermediary
中介人

in-the-money amount
價(jià)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(quán)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(fèi)

licence
牌；牌照

licensed
獲發(fā)牌；持牌

licensed corporation
持牌法團(tuán)

licensed person
持牌人

licensed representative
持牌代表

linked corporation
相連法團(tuán)

liquid assets
速動(dòng)資產(chǎn)

liquid capital
速動(dòng)資金

liquidator
清盤人

listed
上市

listed corporation
上市法團(tuán)

listed currency warrant
上市貨幣權(quán)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(jià)值

margined transaction
保證金交易

mark to market
按照市值計(jì)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(dāng)行為

Market Misconduct Tribunal
市場失當(dāng)行為審裁處

market value #p#分頁標(biāo)題#e#
市值

material time
關(guān)鍵時(shí)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(quán)合約

minor
未成年

minor offence
輕微罪行

minority controller
次要控制人

misconduct
失當(dāng)行為

misfeasance
不當(dāng)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(dòng)

money lender
放債人

multilateral agency
多邊機(jī)構(gòu)

mutual fund
互惠基金

negligent misrepresentation
疏忽的失實(shí)陳述

net equity
權(quán)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(dān)凈額

new futures contract
新期貨合約

non-collateralized warrants
非抵押權(quán)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(bào)權(quán)益

notifiable percentage level
須具報(bào)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(jià)

offeree company
要約標(biāo)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(jí)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(quán)合約

order
命令

ordinary member
普通成員

other collateral
其它抵押品

out-of-the-money amount
價(jià)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(dāng)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(xiǎn)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(shí)物結(jié)算股本衍生工具

pilot programme
試驗(yàn)計(jì)劃

pilot programme market maker
試驗(yàn)計(jì)劃莊家

pilot programme securities
試驗(yàn)計(jì)劃證券

portfolio #p#分頁標(biāo)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(fèi)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(jià)格行動(dòng)

principal
主事人

Privacy Commissioner for Personal Data
私隱專員

proceedings
研訊程序

professional accountant
專業(yè)會(huì)計(jì)師

professional investor
專業(yè)投資者

prohibited person
受禁制人士

property
財(cái)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(tuán)

qualified lender
合資格借出人

qualified overseas scheme
合資格海外計(jì)劃

qualified shares
合資格股份

qualifying client
合資格客戶

qualifying credit rating
合資格信貸評(píng)級(jí)

qualifying debt securities
合資格債務(wù)證券

ranking liabilities
認(rèn)可負(fù)債

recipient
接收人

reckless misrepresentation
罔顧實(shí)情的失實(shí)陳述

recognized certificate
認(rèn)可證書

recognized certification authority
認(rèn)可核證機(jī)關(guān)

recognized clearing house
認(rèn)可結(jié)算所

recognized counterparty
認(rèn)可對(duì)手方

recognized exchange company
認(rèn)可交易所

recognized exchange controller
認(rèn)可控制人

recognized futures market
認(rèn)可期貨市場

recognized investor compensation company
認(rèn)可投資者賠償公司

recognized occupational retirement scheme
認(rèn)可職業(yè)退休計(jì)劃

recognized stock market
認(rèn)可證券市場

record
紀(jì)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(quán)益及淡倉登記冊

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

registered
注冊

registered company
注冊公司

registered institution
注冊機(jī)構(gòu)

Registrar of Companies
公司注冊處處長

registration
注冊

regulated activity
受規(guī)管活動(dòng)

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(jī)構(gòu)

related assets
有連系資產(chǎn)

relevant agreement
有關(guān)協(xié)議

relevant authority
有關(guān)當(dāng)局；監(jiān)管當(dāng)局

relevant authorized automated trading services
有關(guān)認(rèn)可自動(dòng)化交易服務(wù)

relevant communication
有關(guān)通訊 #p#分頁標(biāo)題#e#

relevant condition
有關(guān)條件

relevant contract
有關(guān)合約

relevant contravention
違例事件

relevant corporation
相關(guān)法團(tuán)

relevant date
有關(guān)日期

relevant event
有關(guān)事件

relevant exchange company
有關(guān)交易所公司

relevant information
有關(guān)消息

relevant market
有關(guān)市場

relevant offer
有關(guān)要約

relevant office-holder
有關(guān)人員

relevant overseas market
有關(guān)境外市場

relevant period
有關(guān)期間

relevant property
有關(guān)財(cái)產(chǎn)

relevant provisions
有關(guān)條文

relevant recognized exchange controller
相關(guān)認(rèn)可控制人

relevant recognized market
有關(guān)認(rèn)可市場

relevant securities
有關(guān)證券

relevant share capital
有關(guān)股本

relevant shares
有關(guān)股份

relevant time
有關(guān)時(shí)間

remittance
轉(zhuǎn)付

remuneration
報(bào)酬

repealed Ordinance
已廢除條例

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

report
報(bào)告

reportable matter
須報(bào)告事項(xiàng)

reportable position
須申報(bào)的持倉量

reporting currency
申報(bào)貨幣

reporting day
申報(bào)日

reporting period
申報(bào)期

representation
陳述

representative
代表

repurchase transaction
回購交易

required liquid capital
規(guī)定速動(dòng)資金

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

respondent
答辯人

responsible officer
負(fù)責(zé)人員

review
復(fù)核

rights issue
供股

Risk Management Committee
風(fēng)險(xiǎn)管理委員會(huì)

rolling balance cash client
滾存結(jié)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(jì)

securities margin financing
證券保證金融資

Securities Market Maker
證券莊家

segregated account
獨(dú)立賬戶

SEOCH
期權(quán)結(jié)算公司

served
送達(dá)

service bureau
服務(wù)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(biāo)題#e#
特別債務(wù)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(dāng)局

specified credit rating
指明信貸評(píng)級(jí)

specified debt securities
指明債務(wù)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(xiàng)目

specified jurisdiction
指明司法管轄區(qū)

specified licensed corporation
指明持牌法團(tuán)

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(fēng)險(xiǎn)

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(jià)格行動(dòng)

stabilizing manager
穩(wěn)定價(jià)格操作人

stabilizing period
穩(wěn)定價(jià)格期間

stabilizing price
穩(wěn)定價(jià)格

standby subordinated loan facility
備用后償貸款融通

standing authority
常設(shè)授權(quán)

stock adviser
股票顧問

stock dealer, stockbroker
股票經(jīng)紀(jì)

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(quán)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(huì)

Takeovers Code
《收購守則》

Takeovers Panel
收購委員會(huì)

target corporation
目標(biāo)法團(tuán)

the corporation concerned
有關(guān)法團(tuán)

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(quán)

Tribunal
審裁處

trust corporation
信托法團(tuán)

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(guān)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(biāo)題#e#

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

variable required liquid capital
可變動(dòng)規(guī)定速動(dòng)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