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一级市场 primary market
一致行动 acting in concert
一般性授权 general mandate
一般谘询及支援工作小组 General Advisory and Support Working Team
一般豁免 general waiver; blanket waiver
一般权证 plain vanilla warrant
一线多机 multiple-workstations
一篮子指数买卖盘 index basket order
一篮子货币 basket of currencies; currency basket
一篮子备兑证 basket warrant
一篮子权证 basket warrant
九龙证券交易所 The Kowloon Stock Exchange
二手市场 used market
二级市场 secondary market; after market / aftermarket
「二项式」期权定价模式 binomial option pricing model
「二态」期权模式 "two-state" option valuation model
二线股 second liner; second line stock
二类股票(台湾) TIGER Board(Taiwan)
人均国内生产总值 per capita gross domestic product
人均国民生产总值 per capita gross national product
入市指令 order instruction
入市价 entry price
《十载挑战与发展》(刊物) A Decade of Challenge & Development(publication)
划
三角债 triangular debt
三个月拆息利率期货 Serial Month Hibor Futures
三线股 third liner
上下限协议 ceiling-floor agreement
上市 listing; flotation
上市(复核)委员会 Listing (Review) Committee
上市上诉委员会 Listing Appeals Committee
《上市公司董事指引》 Guide for Directors of Listed Companies
《上市公司董事进行证券交易的标准守则》 Model Code for Securities Transactions by Directors of Listed Issuers
上市公司资料库 Primary Market Database
上市事宜谅解备忘录补篇(附件一) First Supplement to the Addendum to Memorandum of Understanding Governing Listing Matters
上市事宜谅解备忘录补篇(重订版) Amended and Restated Addendum to Memorandum of Understanding Governing Listing Matters
上市协议 Listing Agreement
上市委员会 Listing Committee
上市法团 listed corporation
上市后的收购活动 post-listing acquisition
上市规则 listing rules
上市开放式基金 listed open-end fund (LOF)
上市发行人 listed issuer
上市证券 listed securities
上市证券变动之月报 Monthly Return on Movement of Listed Securities
上海市期货同业公会 Shanghai Municipal Futures Industry Association
上海联合产权交易所 Shanghai United Assets and Equity Exchange
上海证券中央登记结算公司 Shanghai Securities Central Clearing and Registration Corporation
上海证券交易所 Shanghai Stock Exchange
上诉委员会(证监会) Appeals Panel(SFC)
下一交收日到期/逾期数额报告(中央结算系统) Next Settlement Day Due / Overdue Position Report(CCASS)
下载 download
口头竞价 / 口头唱价*(= 公开喊价) auction(= open outcry)
大手交易 block trade
大手交易机制；大手交易设施 Block Trade Facility; Block Trading Facility (BTF)
大利市 Teletext
大利市版页 Teletext page
大利市资讯服务 Teletext Information Service
大利市网络供应商费用 Teletext carrier charge
大利市影像广播服务 Teletext video broadcast service
大批登记服务 bulk registration service
大宗交易* block trade
大股东 substantial shareholder; major shareholder
大型股 large cap stock
大量户口转移指示 Mass Account Transfer Instruction (Mass ATI)
大量开盘 mass quote
大额未平仓合约 large open position
大额股票(中央结算系统) jumbo certificate(CCASS)
大额持仓汇报协议 Large Exposure Report Agreement
大额买卖盘 block order
小型恒生指数期货合约 Mini-HSI Futures
小型恒生指数期权合约 Mini-HSI Options
已交收数额报告(中央结算系统) Settled Position Report(CCASS)
已停业公司 dormant company
已终止经营之业务 discontinued operations
已发行股份/股本/股票 issued shares; outstanding stock
「已划分的买卖」制度(中央结算系统) isolated trades system(CCASS)
「不公平损害」补救 "unfair prejudice" remedy
不公平竞争 uneven playing field(cf level playing field)
不可抗力 force majeure
不定额供款 variable contribution
不活跃公司 dormant company
不派息欧式认沽期权 non-dividend paying European put option
不派息欧式认购期权 non-dividend paying European call option
不限量发行 tap issue
不记名式国库券(中国内地) Bearer Treasury(Mainland China)
不记名证券 bearer securities
不停电电源装置；不间断电源装置 uninterrupted power supply (ups)
不动盘 inactive order
不当行为 misconduct
中小企业板块(深圳证券交易所) SME Board(Shenzhen Stock Exchange)
中介人财务规管制度工作小组 Working Group on Review of Financial Regulatory Framework fro Intermediaries
中介控股公司 intermediate holding company
中介现象 intermediation
中介机构/团体 intermediary
中午资料传送服务 Mid-day Data File Transfer Service
中文资讯系统 Chinese News System
中外合资企业 Sino-foreign equity joint venture
中央代理人 central nominee
中央交易纪录 central transaction log
中央存管处 central depository
中央股份借贷系统 centralised borrowing and lending system
中央国债登记结算有限责任公司 (中央国债登记结算公司) China Government Securities Depository Trust & Clearing Co. Ltd. (CDC)
中央控制工作站 controller workstation
中央结算及交收系统 (中央结算系统) Central Clearing and Settlement System (CCASS)
《中央结算系统一般规则》 General Rules of CCASS
中央结算系统互联网系统 CCASS Internet System
中央结算系统保证基金 CCASS Guarantee Fund
中央结算系统强制证券借贷服务 Compulsory Stock Borrowing and Lending Service in CCASS
中央结算系统参与者及指定银行名录 CCASS Participant & Designated Bank List
中央结算系统参与者保荐户口 CCASS Participant Sponsored Account
中央结算系统登记册 CCASS Register
《中央结算系统运作程序规则》 CCASS Operational Procedures
中央结算系统证券存管处 CCASS Depository
中央结算对手 central counterparty (CCP)
中央买卖盘纪录 central order book
中央证券交收系统(欧洲) Centrale de Livraison de Valeurs Mobilieres (CEDEL)(Europe)
中央证券存管处国际会议 Conference of Central Securities Depositories (CCSD)
中位价期权 middle-priced option
中型股 mid-cap stock
中国人民银行 People's Bank of China (PBOC)
中国内地发行人 PRC issuer
《中国公司在香港上市指南》(刊物) Listing Chinese Companies in Hong Kong(publication)
中国存托凭证* China depository receipt (CDR)
中国投资发展促进会 China Association for the Promotion of Investment (CAPI)
中国保险监督管理委员会（中国保监会） China Insurance Regulatory Commission (CIRC)
中国国际经济贸易仲裁委员会 China International Economic and Trade Arbitration Commission
中国注册会计师协会 Chinese Institute of Certified Public Accountants (CICPA)
中国会计学会 Accounting Society of China (ASC)
中国证券市场网页 China Stock Markets Web
中国预托证券 China depository receipt (CDR)
中国银行业监督管理委员会（中国银监会） China Banking Regulatory Commission (CBRC)
中国证券登记结算有限责任公司（中国结算公司） China Securities Depository & Clearing Corporation Limited (CSDCC)
中国证券业协会 The Securities Association of China (SAC)
中国证券业协会基金公会 The Chinese Association of Securities Investment Funds(CASIF)
中国证券业协会证券分析师专业委员会 Securities Analysts Association of China (SAAC)
中国证券监督管理委员会（中国证监会） China Securities Regulatory Commission (CSRC)
《中国证券监督管理委员会公告》 China Securities Regulatory Commission Official Bulletin (publication)
中期报告 interim report
中华民国证券柜台买卖中心 GreTai Securities Market (GTSM)
中间行使价 middle exercise price
互保基金 Fidelity Fund
互动语音电话系统 Interactive Voice Response System (IVRS)
互惠基金 mutual fund
互联网 Internet
介绍形式上市 listing by introduction
介绍代理人 introducing agent
内在值 intrinsic value
《内地与香港关于建立更紧密经贸关系的安排》 Mainland/Hong Kong Closer Economic Partnership Arrangement
《内地与香港关于建立更紧密经贸关系的安排 -
与证券及期货人员资格有关的安排》 Mainland/Hong Kong Closer Economic Partnership Arrangement - Arrangements relating to Qualifications of Securities and Futures Industry Practitioners
内部核数师 internal auditor
内部监控 internal control
《内部监控规例》 Internal Control Regulations
内部稽核 internal audit
内部储备 inner reserve
内部谴责 internal censure
内资股(中国内地) domestic share(Mainland China)
内幕交易 insider dealing
内幕交易者 insider dealer
内幕交易审裁处 Insider Dealing Tribunal
内联网 intranet
《公司(上市公司的财务摘要报告)规例》 Companies (Summary Financial Reports of Listed Companies) Regulation
公司户口 house account; principal account
公司交易板(英国) Company Bulletin Board(UK)
公司交易所参与者 Corporate Exchange Participant
《公司收购及合并守则》 Code on Takeovers and Mergers
公司投资者户口 Corporate Investor Account
公司治理* corporate governance
公司法改革常务委员会 Standing Committee on Company Law Reform
公司仓 house position; firm position
公司专用户口 proprietary account
公司通讯 corporate communication
公司通讯工作小组 Working Group on Corporate Communications
公司注册处 Companies Registry
公司注册处处长 Registrar of Companies
公司注册证书 certificate of incorporation
公司董事学会(英国) Institute of Directors (IoD)(UK)
公司盘 firm order
《公司购回本身股份守则》 Code on Share Repurchases
公布系统 public address system
公平市值 fair market value
公平竞争 level playing field(cf uneven playing field)
公正交易 arm' s length transaction
公告板 bulletin board
公众利益 public interest
公众利益董事 Public Interest Director
公众持股市值 public float capitalisation
公众持股量 public float; free float
公开叫价交易 open outcry trading
公开市场活动 open market operations
公开作价 call-over
公开招股 offer to the public
公开售股 open offer
公开密码匙基础建设 Public Key Infrastructure (PKI)
公开喊价/叫价(= 口头竞价) open outcry(= auction)
公开发售 offer for sale; open offer
公开认购 offer for subscription
公开谴责 public censure
公开权益 disclosure of interests
《公认会计原则》 Generally Accepted Accounting Principles(GAAP)
公积金计划 Provident Fund Scheme
分包销商 sub-underwriter
分列登记册 Split Register
分行证明书 branch certificate
分拆 / 分拆上市 spin-off
分派 distribution
分销 distribution
分类指数 sub-index
分类账 sub-ledger
午市 afternoon session
反向可转换产品 reverse convertibles
反收购 reverse takeover
反收购文件 defence document．
反通货膨胀 disinflation
反驳交易 rejected sales
反弹 rally
反馈测试模式 beta test mode
太平洋区资本市场研究中心 Pacific-Basin Capital Markets Research Center
太平洋经济合作会议 Pacific Economic Cooperation Council (PECC)
太平洋证券交易所 Pacific Stock Exchange (PSE)
少数股东 minority shareholder
少数股东权益 minority interest
巴塞尔协定 Basel Concordat
巴塞尔协议 Basel Agreement
巴塞尔银行监管委员会(巴塞尔委员会) Basel Committee on Banking Supervision (Basel Committee)
引伸波幅 implied volatility
户口结单 statement of account
户口结余月结单(中央结算系统) Monthly Balance Statement(CCASS)
户口转移指示 Account Transfer Instruction (ATI)
户口转移指示整批档案传送 ATI Batch File Transfer
手 board lot; round lot
支付系统小组委员会(金管局) Committee of Payment System(HKMA)
文件风险 document．tion risk
日本中央银行 Bank of Japan
日本公社债研究所 Japan Bond Research Institute (JBRI)
日经平均指数 Nikkei Stock Average
日转期汇 Rolling Forex
欠款 arrears
止蚀限价盘 stop limit order
止蚀盘 stop order; stop-loss order
牛市 bull market
主承销商* lead underwriter
主板 main board
主要主管(创业板) principal supervisor(GEM)
主要交易 major transaction
主要股东 major shareholder; substantial shareholder
主要保荐人 primary sponsor
主要经办人 lead manager
主要经济指标 leading economic indicator
主权风险 sovereign risk
世界银行 World Bank
仔细审查/审核 due diligence
付运中货品 goods-in-transit
代收股息/债券利息服务费 dividend and debt securities interest collection service fee
代履行权责服务费 corporate actions service fee
代客买卖 agency trade
代客买卖户口 agency account
代表委任表格 proxy form
代理人 agent
代理人户口 nominee account
代理户口 agency account
代价 consideration
代价股份 consideration share
代价发行 consideration issue
代办股份转让系统(中国内地) Agency Share Transfer System (Mainland China)
以（马克）计值 / 为计价货币 / 为单位 denominated in (DM)
以先旧后新方式配售 placing and top-up; top up placing
以披露为本 disclosure-based
以物易物的虚晃交易 banner barter transaction
以股代息 dividend in specie; scrip dividend
以股换股 share exchange
以信息披露为重 disclosure-based
以按金形式缴付的期权金 margined premium
以现金折算的息股证 cash settled ELI
以责务变更的方式进行净额结算 netting by novation
以最佳价格 / 条件执行交易的原则 principle of best execution
以报价 / 开盘带动 quote-driven
以买卖盘带动 order-driven
以监管机构评审为本 merit-based
出市代表 / 出市员 floor trader; authorised clerk
加权指数 Weighted Index(Taiwan Stock Exchange)
加速折旧 accelerated depreciation
包销 underwrite
包销承担净值 net underwriting commitment
包销商 underwriter
包销银团 underwriting syndicate
北京产权交易所 China Beijing Equity Exchange
另项投资市场(英国) Alternative Investment Market (AIM)(UK)
另选登记服务 optional registration service
另类投资 alternative investment
「只限长仓」期权经纪 Long Only Brokers for Options (LOBO)
可分派溢利 distributable profit
可用年限 useful life
可行性研究 feasibility study
可转换/可换股可赎回票据 convertible redeemable note
可转换/可换股票据 convertible note
可转换/可换股债券 convertible bond
可转换/可换股证券 convertible securities
可转让票据 negotiable instrument
可赎回股份 redeemable share
台湾创新成长企业类股 Taiwan Innovative Growing Entrepreneurs (TIGER)
台湾期货交易所 Taiwan Futures Exchange (TAIFEX)
台湾证券交易所 Taiwan Stock Exchange Corporation
台湾证券集中保管公司 Taiwan Securities Central Depository Company Limited
外部核数师 external auditor
外围市场 fringe market
外债 sovereign debt
外汇风险 foreign exchange exposure
外汇基金投资有限公司 Exchange Fund Investment Limited (EFIL)
《外汇基金条例》 Exchange Fund Ordinance
外汇基金票据 Exchange Fund Bill
外汇基金债券 Exchange Fund Note (EFN)
外汇掉期 forex swap
外汇期权 forex option
外汇管制 exchange control
外聘核数师 external auditor
外资股(中国内地) foreign share(Mainland China)
外币折算风险 currency translation exposure
失责 default
失责人士 defaulter
失责追收供款 default recovery contribution
失实陈述 misrepresentation
《失实陈述条例》 Misrepresentation Ordinance
失职行为 misconduct
市盈率 price/earnings ratio (P/E)
市值 market value; capitalisation
市值租金 market rental
市场失当行为审裁处 Market Misconduct Tribunal
市场占有率 market share
市场定价 price discovery
市场波幅 market volatility
市场架构改革统筹委员会 Co-ordinating Committee on Market Structure Reform
市场风险 market risk
市场气氛 market sentiment
市场参与者 market participant
市场从业员 market practitioner
市场敏感资料 market-sensitive information
市场深度 market depth
《市场统计月报》 Monthly Market Statistics
市场价格厘定 price discovery
市场数据传送专线 Market Datafeed
市场操纵；市场操纵行为 market manipulation
市场总值 market capitalisation
市场阔度 breadth of the market
市价计值按金 mark-to-market margin
市价盘 market order
市价总值 market capitalisation
平均每日成交额 average daily turnover
平均价盘 average value order
平仓 close out; cover; position squaring
平仓交易 closing transaction
平仓合约 closing contract
平仓价 exit price
平买入仓(期权) closing buy(options)
平价(期权) parity(options)
平价期权 at-the-money option
平卖出仓(期权) closing sale(options)
平衡项目 balancing item
平衡价格 equilibrium price
平衡价值 parity value
扒头交易 front running; trading ahead
打和点 breakeven point
未分派溢利/利润 undistributed profits
未分配溢利/利润 unappropriated profits
未平仓合约 open contract; open position; open interest
未完成买卖盘 outstanding order
未能履行责任 default
未偿或然负债 outstanding contingent liabilities
未偿还借款 outstanding loan
未缴足股份 partly-paid share
未缴股款股权 nil-paid rights
未缴款供股权 nil-paid rights
本地生产总值 gross domestic product (GDP)
《本地注册认可机构的企业管治指引》(金管局) Guideline on Corporate Governance of Locally Incorporated Authorized Institutions(HKMA)
《本地注册认可机构披露财务资料》(金管局) Financial Disclosure by Locally Incorporated Authorized Institutions (HKMA)
正股 underlying stock
正常买卖盘差额 normal order imbalance
正常运行比率 uptime
母公司 parent company; holding company
永久债券 perpetual bond
用户代号 User ID
用户接纳测试 / 用户接收测试 user acceptance test (UAT)
用户终端设施 user access
「用者自付」原则 "user pay" principle
申报期 reporting period
申报会计师 reporting accountant
立约成价 contracted price
交叉买卖 / 交叉盘买卖 crossed trade; cross trade; crossing
交叉盘系统 crossing system
交付 delivery
交收上限 settlement cap
交收日 settlement date
交收指示 settlement instruction (SI)
「交收指示」交易 settlement instruction transaction
交收指示状况报告(中央结算系统) SI Status Report(CCASS)
交收指示的交易 SI transaction
交收指示活动报告(中央结算系统) SI Activity Report(CCASS)
交收指示整批传送(中央结算系统) Settlement Instruction Batch Upload(CCASS)
交收风险 settlement risk
交收报告(中央结算系统) Settlement Report(CCASS)
交收期 settlement period
交收银行 settlement bank
交收积压 settlement backlog
交投呆滞 slow trading
交投活跃 active market
交投淡静 quiet trading
交投疏落 light trading
交投畅旺 heavy trading
交易大堂 trading floor; trading hall
交易工作站 trading workstation
交易及交收委员会 Trading and Settlement Committee
交易及结算综合系统 integrated trading and clearing system
交易日 trading day
交易日表 trading calendar
交易市场 secondary market
交易系统使用费(现货市场) trading tariff(cash market)
《交易所（特别征费）条例》 Exchanges (Special Levy) Ordinance
《交易所及结算所（合并）条例》 Exchanges and Clearing Houses (Merger)Ordinance
交易所另项交易系统(英国) Stock Exchange Alternative Trading System (SEATS)(UK)
交易所自动报价系统(英国) Stock Exchange Automated Quotations System (SEAQ)(UK)
交易所参与者 Exchange Participant
《交易所参与者及联交所交易权持有人名录》 List of Exchange Participants & Holders of Stock Exchange Trading Rights
《交易所参与者市场占有率报告》 Exchange Participants' Market Shares Report
交易所参与者证明书 Exchange Participant Certificate
交易所国际自动报价系统(英国) Stock Exchange Automated Quotations System for International Equities (SEAQI)(UK)
《交易所规则》 Rules of the Exchange
交易所买卖之期权 exchange traded option
交易所买卖基金 exchange traded fund
交易流通速度 turnover velocity
交易能力 trading capacity
交易商 dealer
交易圈 / 交易场 pit; trading pit
交易设施 trading facilities; execution facilities
交易单位 trading unit
交易费 Trading Fee
交易量 trading capacity
《交易运作程序 ─ 期权买卖交易所参与者专用》 Operational Trading Procedures for Options Trading Exchange Participants
交易对手 counterparty
交易征费 Transaction Levy
交易柜位 trading booth
交易转移(期权) trade give-ups(options)
交易议价板 Bulletin Board
交错到期组合 staggering maturities
企业狙击手 corporate raider
企业资讯资料库 Enterprise Information Database
企业管治 corporate governance
企业管治工作小组 Working Group on Corporate Governance
《企业管治常规守则及企业管治报告征求意见草拟本》 Exposure of Draft Code on Corporate Governance Practices and Corporate Governance Report
企业融资协会 The Corporate Finance Association (CFA)
《企业融资顾问操守准则》(证监会) Corporate Finance Adviser Code of Conduct(SFC)
先进先出 first in, first out (FIFO)
全面收购建议 general offer
全面披露 full disclosure
全面结算参与者 General Clearing Participant (GCP)
全面豁免 blanket waiver; general waiver
全面摊薄每股盈利 fully diluted earnings per share
全球期货交易系统 Globex
全国社会保障基金 National Social Security Fund
全国电子交易系统(中国内地) National Electronic Trading System (NETS) (Mainland China)
全部完成或放弃买卖盘 all-or-none order
全资附属公司 wholly-owned subsidiary
全数执行或立刻取消 Fill-or-Kill (FOK)
全额或取消 Fill-or-Kill (FOK)
全权代客买卖账户 discretionary account
全权委托户口 discretionary account
全权委托盘 discretionary order; no-forcing order;order at discretion
全权信托 discretionary trust
全权管理人 discretionary manager
共用代理人(中央结算系统) common nominee(CCASS)
「共用代理人」股票 "common nominee" share certificate
共用软件 shareware
共同抵押品管理系统 Common Collateral Management System (CCMS)
共同风险管理系统 Common Risk Management System
再贴现 rediscount
印花税 stamp duty
《印花税条例》 Stamp Duty Ordinance
印花税署署长 Collector of Stamp Revenue
合成工具 synthetics
合成期权 synthetic option
合成认购期权长仓 synthetic long call
合并 amalgamation; consolidation; merger
合并有形资产净值 combined net tangible assets
合并与收购 mergers and acquisitions
合约互惠基金 contractual mutual fund
合约股数 contract size
合约乘数 contract multiplier
合约规格 contract specifications
合约单位 contract unit
合格交付 good for delivery
合格境内机构投资者 Qualified Domestic Institutional Investor (QDII)
合格境外机构投资者 Qualified Foreign Institutional Investor (QFII)
合资企业 joint venture
合资合同 joint venture contract
合资格主管 Eligible Supervisor
合资格机构买家 qualified institutional buyer
合资格证券 eligible securities
合营企业 joint venture
同日行使 same day exercise
同系附属公司 / 同集团附属公司 fellow subsidiary
名义汇率 nominal exchange rate
吊销资格令 disqualification order
回升 rally
回本期 payoff period
回扣 / 回佣 rebate; commission rebate; sub-commission
回收期 payoff period
回抽佣金 sub-commission
回报 return; payoff
回报率 rate of return
回补机制 claw back mechanism
回应时间 response time
回购 buy-back(cf repurchase agreement)
回购协议 repurchase agreement (repo)
回购权证 call warrant
在交易所买卖的期权 traded option
在建工程 construction-in-progress
地区性指数认购权证 regional index call warrant
多工作站 multiple-workstations
多工作站系统 Multi-workstation System (MWS)
多批交收处理程序 batch settlement run
多种货币买卖 multi-currency trading
多头* long position; bull position
《如何撰写清楚易明的公布》(刊物)(证监会) How to Create Clear Announcements(publication)(SFC)
存货 inventory
存款公司公会 The Deposit-Taking Companies Association
存管代理人 depository nominee
存管处及共用代理人系统 Depository and Common Nominee System (DNS)
孖展 margin
孖展客户 margin client
孖展买卖 margin trading
孖展融资 margin financing
孖展覆盖率 margin coverage ratio
年度账目 annual accounts
年报 annual report
年结日 balance sheet date
成本效益 cost effectiveness
成交纪录 trading record
成交单 / 成交单据 / 买卖单据 contract note
成交调整 trade amendment
成交额比率 turnover ratio
扣减率 discount rate
收市后交易 after-hours dealing
收市后资料传送服务 End-of-day Trade Data File Transfer Service
收市差额缴款 day-end marks
收市价 closing price
收市盘 at-the-close order
收取内幕消息人士 tipper
收取即日差额缴款机制 intra-day marks collection mechanism
收益 revenue; income; gain
收益率 yield
收益率曲线 yield curve
收益图 payoff diagram
收款代理 receiving agent
收款银行 receiving bank
《收款银行在新股发行中扮演的角色指引》(金管局) Guideline on Role of the Receiving Bank in New Share Issues(HKMA)
收费 charge
收费结构 charging structure
收紧信贷 credit squeeze
收盘价 closing price
收购 acquisition; takeover; buy-out / buyout
收购上诉委员会(证监会) Takeovers Appeal Committee(SFC)
收购及合并委员会(证监会) Takeovers & Mergers Panel(SFC)
收购建议 offer
早市 morning session
有形资产净值 net tangible assets
有抵押权证 collateralised warrant
有限制牌照银行 restricted licence bank
有限责任公司 limited liability company
有条件协议 conditional agreement
有条件现金收购/要约 conditional cash offer
有资产支持的债务证券 asset-backed securities (ABS)
有担保的卖空交易 covered short selling
《有关申报卖空活动及备存证券借出纪录规定的指引》(证监会) Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements(SFC)
《有关在互联网上提供财经资讯的通告 ─ 发牌规定》(证监会) Circular on Provision of Financial Information on the Internet ─ Licensing Requirements(SFC)
《有关改善规管上市事宜的建议谘询文件》 Consultation Paper on Proposals to Enhance the Regulation of Listing
《有关改善规管上市事宜的建议谘询总结》 Consultation Conclusions on Proposals to Enhance the Regulation of Listing
有关长时间停牌公司之报告 Prolonged Suspension Status Report
《有关建议加强监督核数师的公众利益活动及成立财务汇报检讨委员会的谘询文件》 Consultation Paper on the Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel
有关创业板内地发行人监管合作事宜之换文 Letter of Exchanges regarding regulatory co-operation for mainland companies to be listed on GEM
《有关无纸化证券市场的建议运作模式的谘询文件》 Consultation Paper on a Proposed Operational Model for a Scripless Securities Market
有关发行人延迟公布业绩之报告 Status Report on Issuers' Delay in Releasing Results Announcement
《有关电子交易条例内适用于成交单据的规定的指引》(证监会) Guidance Note on the Application of the Electronic Transactions Ordinance to Contract Notes(SFC)
《有关对保荐人及独立财务顾问监管的谘询文件》 Consultation Paper on the Regulation of Sponsors and Independent Financial Advisers
《有关对保荐人及独立财务顾问监管的谘询总结》 Consultation Conclusions on the Regulation of Sponsors and Independent Financial Advisers
《有关监管证券及期货的网上交易谘询文件》 Consultation Paper on the Regulation of On-Line Trading of Securities and Futures
有关暂时停牌公司之报告 Temporary Suspension Status Report
《有关赋权证券及期货事务监察委员会代表公司提出衍生诉讼的建议谘询文件》 Consultation Paper on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Action on Behalf of a Company
次要控制人 minority controller
老鼠仓活动 rat trading; scalping
自主评级(银行) Individual rating(banking)
自由兑换 free convertibility
自由增购率 "trading only" stocks
自行结算 self-clearing
自行结算参与者 Self Clearing Participant (SCP)
自律监管机构 self-regulatory organisation; self-regulating organisation
自动行使(期权) automatic exercise(options)
自动配对股份 automatched stock
自动对盘及成交系统（自动对盘系统） Automatic Order Matching and Execution System (AMS)
自动对盘系统未完成买卖盘纪录 AMS order book
自动对盘系统第二终端机 AMS Second Terminal
自动荧幕交易系统 automated screen trading system (AST system)
自动暂缓交易机制 circuit breaker
自发性收购 management buy-out (MBO)
自置光纤线路 private fibre optical circuit
自营买卖 proprietary trading
行 hong
行使 exercise
行使方式 exercise style
行使日 exercise day (E day)
行使后按金 margin-after-exercise
行使期 / 行使时限 exercise period
行使价 strike price(options); exercise price
行使价间距 exercise price interval
行仓 firm position
行业覆盖层面 spread of sector
行头盘 front running
估计使用年期 estimated useful life
估值师 valuer
估值报告 valuation report
低收费经纪 discount broker
低于面值 below par
低于最佳卖盘价 / 低于最好沽盘价 downtick; minus tick
作实买卖价 firm bid and ask quotations
作价买卖 market making
佣金回扣 commission rebate
兑付* redemption
免责声明 disclaimer
冷淡对待令 cold shoulder order
利差交易 carry trade
利息补贴(中国内地) interest rate subsidy(Mainland China)
利息资本化 capitalisation of interest
利益冲突事宜委员会 Conflict Committee
利率上限 interest-rate ceiling
利率掉期 / 利率调期* interest-rate swap
利率掉期期货 Interest Rate Swap Futures
利率期货 interest-rate futures
利率衔接 interest collar; interest rate collar
利润 profit
初次公开招股 initial public offering (IPO)
初步认购价 initial subscription price
助理主管(创业板) assistant supervisor(GEM)
即日平仓交易 day trade
即日回购协议(银行) intraday repurchase agreement(banking)
即日有效买卖盘 good-for-day order
即日拆借市场 intra-day money market
即日流动资金 intraday liquidity
即日差额缴款报告(中央结算系统) Intra-day Marks Collection Report(CCASS)
即日追补按金 intra-day margin call
即日报价 intraday quotation
即日买卖 day trade
即日盘 / 即日买卖盘 day order
「即日鲜」 day trade
即日额外按金 intra-day margin
即月 front-month
即夜传送报告资料服务(中央结算系统) Overnight Report Distribution(CCASS)
即时支付结算系统(金管局) Real Time Gross Settlement system (RTGS)(HKMA)
即时或取消 Immediate-or-Cancel (IOC)
即时汇款同时交收(银行) payment vs payment (PvP)(banking)
即时资讯 real time information
即时数码资料传送专线 realtime digital datafeed
即时数码数据服务 Realtime Digital Data Service (RDDS)
即时转送 online transfer
否定声明 negative statement; disclaimer
囤仓策略 buy and hold strategy
均衡价格 equilibrium price
坐盘 proprietary trading
夹仓 squeeze; short squeeze
尾盘 at-the-close order
技术分析 technical analysis
投资分析员 investment analyst
投资服务指令(欧洲联盟) Investment Services Directive (ISD)(European Union)
投资者户口服务 Investor Account Service
投资者户口持有人 Investor Participant (IP)
《投资者户口持有人规则》 Terms and Conditions for Investor Participants
《投资者与证券市场》(刊物) Investors and the Stock Market(publication)
投资者赔偿有限公司 Investor Compensation Company Limited
《投资者应知多点》(刊物) Know More About Your Investment(publication)
投资级别 investment grade
投资理念 investment philosophy
投资组合 portfolio
投资组合经理 portfolio manager
投资对象 investee
投资管理研究联会 Association for Investment Management and Research (AIMR)
投资顾问 investment adviser
投资顾问委员会 Investment Advisory Committee
投标程序 tender procedure
折扣 discount; haircut
折扣经纪 discount broker
折算 translation
折旧 depreciation
折让 discount
折让经纪 discount broker
抛空 short selling
改良特别股份交易方法 Enhanced Special Stock Trading Method
更正交易 trade amendment
更改财政年度结算日期 change of year end
更紧密经贸关系安排 Closer Economic Partnership Arrangement (CEPA)
每日平均交收效率 daily average settlement efficiency
每日交易活动及持仓报告(期货) Daily Trading Activity and Open Positions Summary Report(futures)
每日回报标准差 standard deviation of daily return
每日按金 daily margin
每日按金要求 daily margin call
每日价格上限 daily trading limit
《每周港股统计数字》 Weekly Hong Kong Stock Market Statistics
每股有形资产净值 net tangible assets per share
每股盈利 earnings per share (EPS)
每股资产净值 net asset value per share
没有利益关系的股东 disinterested shareholder
没有预先借货的卖空活动 naked short selling
没有担保的卖空交易 uncovered short selling
私人户口交易指引 personal account dealing guidelines
私人配售 private placing
私人密码 personal identification number (PIN)
私有化 / 私营化 privatisation
私募基金* privately-offered fund
系列按金价值 series margin value
系统性风险 systematic risk
系统参数 system parameter
系统终止 system closure
系统整合商 system integrator
系统联通权 system access right
系统联通权收费(期权) System Access Right Fee(options)
巡回推介 roadshow
《防止洗黑钱修订指引》 Revised Guidance Notes Regarding Money Laundering
《亚太股市脉络》 Regional Monitor
亚洲证券分析家协会 Asian Securities Analysts Federation
亚太区中央证券存管处组织 Asia-Pacific Central Securities Depository Group (ACG)
亚太贷款市场协会 Asia Pacific Loan Market Association
亚太经济合作组织 Asia Pacific Economic Cooperation (APEC)
亚洲美元市场 Asian dollar market
亚洲美元债券 Asian dollar bond
亚洲货币世界（新加坡）有限公司 Money World Asia Pte Limited
亚洲开发银行 Asian Development Bank (ADB)
亚洲证券分析员公会 Asian Securities' Analysts Council (ASAC)
亚洲证券借贷协会 Pan Asian Securities Lending Association (PASLA)
「来回」期权交易 "round trip" option transaction
供股 rights issue
供款 contribution
供应商电子存档系统 Vendor Electronic Filing System (VEF)
两用画面终端机 dual mode terminal (DMT)
两边客交易 direct business; direct business transaction
两边客买卖盘 two-sided order
两边开盘 two-way quote
到期 / 到期日 maturity; expiry date
到期日 expiration date
到期月份 expiry month
到期收益率 yield to maturity
到期前有效买卖盘 good-till-date order (GTD)
制订系统规模 system sizing
制裁权 power of sanction
券面利率 coupon; coupon rate
协议安排 / 协议计划 scheme of arrangement
取消交易(期权) trade reversals(options)
取消交易合约(期权) reversal contract(options)
取消前有效买卖盘 good-till-cancelled order (GTC)
受信人 fiduciary
受信责任 fiduciary duty
受益人 beneficiary
受托人 trustee; fiduciary
受监管之股份卖空活动 regulated short selling
受让人 assignee; transferee
垃圾债券 junk bond
委托存款* designated deposit
委派代表书 proxy form
定界认股证 barrier warrant
定息按揭 fixed-rate mortgage
定期债券 term bond
定价模式 pricing model
「定镜」处理(电脑) snapshot(computer)
延时资讯 delayed data
往来账 current account
或有保费 contingent premium
或然负债 contingent liabilities
所有普通股指数 All Ordinaries Index (AOI)
所需回报率 required rate of return
房地产投资信托基金 real estate investment trust (REIT)
《房地产投资信托基金守则》 Code on Real Estate Investment Trusts
承兑 acceptance
承兑行 acceptance house
承前(会计) brought forward(accounting)
承配人 placee
承销* underwrite
承销商* underwriter
承办银行 administering bank
承让人 assignee; transferee
披露 / 披露事项 disclosure
披露权益 disclosure of interests
押记 pledge
抵押 charge; pledge
抵押安排 security arrangement
抵押品 collateral; security
抵押品资格 collateral eligibility
抵押债项 secured debts
抵押证券 asset-backed securities (ABS)
抵销 set off
「拆骨专家」 asset stripper
拆卖资产 asset stripping
招股书 / 招股章程 prospectus
招股价 issue price
招股机制 offering mechanism
招标发售 offer by tender
放宽利率管制 deregulation of interest rates
放宽管制 deregulation
服务业联会(香港总商会) Coalition on Service Industry (Hong Kong General Chamber of Commerce)
东亚及大洋洲证券交易所联会 East Asian and Oceanian Stock Exchanges Federation (EAOSEF)
东南亚国家协会（东协） Association of South-East Asian Nations (ASEAN)
东盟地区论坛 ASEAN Regional Forum
东盟自由贸易区 ASEAN Free Trade Area (AFTA)
武士债券 samurai bond
沽出未抵押期权 naked option writing
沽出备兑期权 covered writing
沽出认沽期权 write a put option
沽出认购期权 write a call option
沽空 short selling
沽盘 sell order
沽盘价 ask price; asked price
法人股(中国内地) legal person share(Mainland China)
法定公益金(中国内地) statutory public welfare fund (Mainland China)
法定公积金(中国内地) statutory surplus reserve(Mainland China)
法定股本 authorised capital
法定储备 statutory reserve
法律风险 legal risk
法律实体 legal entity
法团大股东具报书 Corporate Substantial Shareholders Notification
泡沫经济 bubble economy
波幅 volatility
波幅校验范围 Volatility Scan Range (VSR)
注入资产 asset injection
炒高价格 ramping; price ramping
争夺式收购 contested takeover
物业估值师 property valuer
物业增值税 property gains tax
狙击手(收购) predator; raider(takeover)
直接存款/存账指示 Direct Credit Instruction (DCI)
直接扣款/扣账指示 Direct Debit Instruction (DDI)
直接纳入中央结算系统的新股 direct stock admission(CCASS)
直接结算 direct clearing
直接结算参与者 Direct Clearing Participant (DCP)
直通式交易程序 straight-through processing
直驳光纤 dark fibre
直线折旧法 straightline method of depreciation
空仓 / 空头* bear position; short position
《股市资料》 Fact Book; Fact Sheet
股市资料捐赠计划 Stock Market Information Donation Programme
股本 share capital
股本基数 equity base
股本价值 value of equity capital
股本证券 equity securities
股本权证 equity warrant; subscription warrant (vs derivative warrant)
股份化 demutualisation
股份代号 stock code
股份交收费 stock settlement fee
股份存入表格 Stock Deposit Form
股份存入费 stock deposit fee
股份收纳 stock conversion
股份有限公司 joint stock company
股份制 demutualisation
股份承押人 stock pledgee
股份承押人参与者(中央结算系统参与者) Stock Pledgee Participant(CCASS Participants)
股份拆细 split; stock split
股份计划 share scheme
股份页(大利市机) stock page(Teletext)
股份托管费 stock custody fee
股份提取费 stock withdrawal fee
《股份登记机构操守准则》(证监会) Code of Conduct for Share Registrars(SFC)
股份结算费 stock clearing fee
股份认购权 share option
股份卖空试验计划 Short Selling Pilot Scheme
股份购回 share repurchase
《股份购回守则》 Code on Share Repurchases
股份转移日结单(中央结算系统) Daily Movement Statement(CCASS)
股份转移报告(中央结算系统) Statement of Stock Movement(CCASS)
股份权益 share entitlements
《股价敏感资料披露指引》 Guide on disclosure of price-sensitive information
股东名册 register of members; share register
股东周年大会 annual general meeting (AGM)
股东特别大会 extraordinary general meeting (EGM)
股东贷款 shareholder loan
股东应占溢利 profits attributable to shareholders
股东权益 equity interest
股东权益小组(证监会) Shareholders Group (SFC)
股息率 dividend yield
股息单 dividend warrant
股票出借人 stock lender
股票承押人 stock pledgee
股票非流动化 immobilisation of share certificate
股票按贷财务活动 share margin financing
股票借贷 stock borrowing and lending
股票借贷数额资料页(大利市) stock borrowing and lending position information page(Teletext)
股票期货 stock futures
股票期权 stock option; equity option
股票期权系统 Traded OPtions System (TOPS)
股票期权参考教育站 Stock Options Reference Educator (SCORE)
股票期权从业员专业课程 Professional Course for Equity Options Practitioners
股票登记费 scrip fee
股票贷出户口 Stock Lending Account
股票归还 stock return
股价不动时回报 standstill return
股价敏感资料 price-sensitive information
股权 equity interest; shareholding
芝加哥交易所 Chicago Board of Trade (CBOT)
芝加哥商品交易所 Chicago Mercantile Exchange (CME)
芝加哥期权交易所 Chicago Board Options Exchange (CBOE)
近价盘 about order
金银业贸易场 Chinese Gold and Silver Exchange Society
金银证券交易所 The Kam Ngan Stock Exchange
金融大改革(英国) Big Bang(UK)
金融工具 financial instrument
金融中介现象 financial intermediation
金融中介机构/团体 financial intermediary
金融市场 financial market
《金融市场检讨报告》 Report on Financial Market Review
金融行动专责委员会 Financial Action Task Force (FATF)
《金融服务法令》(英国) Financial Services Act(UK)
金融服务网络 FinNet
金融租赁* financial lease
金融基础设施督导委员会 The Steering Committee on the Enhancement of Financial Infrastructure (SCEFI)
金融期货 financial futures
金融债* financial bond
金融监督管理委员会（金管会）(台湾) Financial Supervisory Commission(Taiwan)
金融机构 financial institution
金边证券 gilt-edged securities
长仓 long position; bull position
附加自动对盘终端机用家 additional AMS terminal user
附寄结单服务的股份独立户口(中央结算系统) Stock Segregated Account with Statement Service [CCASS]
附带执行买卖盘(伦敦交易所) contingent order(LSE)
附属公司 subsidiary
附属贷款 subordinated loan
「非上市可交易」股份 "trading only" stocks
非中介化 disintermediation
非市场庄家的交易 non-market-making transaction
非正常项目 abnormal item
非成立为有限公司的注册人士 unincorporated registered person
非即日平仓交易 overnight trade
非即时数据 delayed data
非受监管发行人 unregulated issuer
非所有者权益变动表 statement of "non-owner movement in equity"
非金钱佣金 soft commission
非金钱利益 soft-dollar benefits
非执行董事 non-executive director
非常重大的出售事项 very substantial disposal
非常重大的收购事项 very substantial acquisition
非现货月恒生指数期货合约 non-spot month Hang Seng Index futures contract
非登记持有人 non-registered holder
非结算的期权买卖参与者 / 非结算参与者 (期权买卖) Non-Clearing Options Trading Participant; Non-Clearing Participant (NCP)
(options trading)
非经常项目 extraordinary item
非实物化 dematerialisation
非认可负债 non-ranking liabilities
非标准型认股证；特种认股证 exotic warrants
非整手买卖盘 round-lot-plus order
保本信托基金 guaranteed unit trust
保本产品 capital preservation product
保本证 Capital Protected Instrument (CPI)
保值公债(中国内地) Public Debt (Inflation-Linked Subsidy) Treasury(Mainland China)
保留意见 qualified opinion
保单贴现 viatical settlements
保管人 custodian
保障安排 security arrangement
《保障投资者条例》 Protection of Investors Ordinance
保险业监理专员 Commissioner of Insurance
保险业监理处 Office of the Commissioner of Insurance
保荐人 sponsor
《保荐人及独立财务顾问的操守准则》 Code of Conduct for Sponsors and Independent Financial Advisers
《保荐人标准守则》 Model Code for Sponsors
《保荐人声明》 Sponsor's Declaration
保荐经纪 sponsoring broker
保证 warranty
保证人 guarantor
保证金 margin
保证金客户 margin client
保证金保险范围比率 margin coverage ratio
保证金借贷活动 margin financing
保证金价值 margin value
保证金证券交易户口 Margin Securities Trading Account
保证金融资 margin financing
保证基金 Guarantee Fund
「保护偿付」规则(期权) Payout-Protection Rule(options)
信心保证书 comfort letter
信用评级 credit rating
信息交流 exchange of information
信托人 trustee
信贷 credit
信贷风险 credit risk
信贷评级 credit rating
信贷管制 credit control
信贷紧缩 credit squeeze
信贷额度* credit limit
前收市价 previous closing price
《宣誓及声明条例》 Oaths and Declarations Ordinance
客户户口 client account
《客户身分规则》(证监会) Client Identity Rule(SFC)
客户伺服器结构 client server architecture
客户协议书/合约 client's agreement
客户按金 client margin
《建议就认可海外规则修订〈证券及期货(稳定价格)规则〉谘询总结》 Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules
待转名股份 "street name" share certificate
后备资料复原软件 file backup-restore macro
后备联线通讯线路 backup interactive line
后进先出 last in, first out (LIFO)
后勤办公室 back office
后偿贷款 subordinated loan
恒生100 Hang Seng 100 (HS100)
恒生中国内地流通指数 Hang Seng Mainland Freefloat Index (HSMLFI)
恒生中国内地综合指数 Hang Seng Mainland Composite Index (HSMLCI)
恒生中国企业指数（恒生国企指数） Hang Seng China Enterprises Index (HSCEI)
恒生亚洲指数 Hang Seng Asia Index (HSAI)
恒生指数 Hang Seng Index (HSI)
恒生香港大型股指数 Hang Seng HK LargeCap Index (HSHKLI)
恒生香港小型股指数 Hang Seng HK SmallCap Index (HSHKSI)
恒生香港中型股指数 Hang Seng HK MidCap Index (HSHKMI)
恒生香港中资企业指数（中资企业指数） Hang Seng China-Affiliated Corporations Index (HSCCI)
恒生香港流通指数 Hang Seng HK Freefloat Index (HSHKFI)
恒生香港综合指数 Hang Seng Hong Kong Composite Index (HSHKCI)
恒生伦敦参考指数 Hang Seng London Reference Index (HSLRI)
恒生流通50 Hang Seng Freefloat 50
恒生流通中国内地25 Hang Seng Freefloat Mainland 25
恒生流通香港25 Hang Seng Freefloat HK 25
恒生流通综合指数 Hang Seng Freefloat Composite Index (HSFCI)
恒生资讯科技指数 Hang Seng IT Index (HSITI)
恒生资讯科技组合指数 Hang Seng IT Portfolio Index (HSITP)
恒生综合指数 Hang Seng Composite Index (HSCI)
恒生/富时亚洲大企业指数 FTSE/Hang Seng Asiatop Index
恒生/富时亚洲分类指数 FTSE/Hang Seng Asian Sector Indexes
恒生/富时指数系列 FTSE/Hang Seng Indexes
恒指服务有限公司 HSI Services Limited
恒指国际有限公司 HSI International Limited
恒指期货 Hang Seng Index Futures
恒指期权 Hang Seng Index Options
恢复买卖 resumption of trading
持有成本 cost of carry
持股人的分布情况 spread of holders
持股编号 shareholder Reference Number (SRN)
持仓 position
持仓上限 / 限额 position limit
持仓比例 position ratio
《持仓限额及大额未平仓合约的申报规定指引》(证监会) Guidance Note on Position Limits and Large Open Position Reporting Requirements(SFC)
持仓限额比率 position limit ratio
持仓风险调整 position risk adjustment
持仓净额 net position
持仓类别(期权) tier(options)
《持牌人胜任能力的指引》 Guidance Note on Competence
《持牌人进行持续培训的指引》 Guidance Note on Continuous Professional Training
持续专业培训课程 Continuous Professional Training (CPT)
持续净额交收 continuous net settlement (CNS)
持续责任 continuing obligation; on-going obligation
持续发售机制 tap facility
持续经营(会计) going concern(accounting)
持续经营之业务 continuing operation
持续关连交易 continuing connected transaction
持权成本(期权) cost of carry
指引摘要 Guidance Note
指示价格 indicative price
指定分配(期权) assignment(options)
指定百分比 prescribed percentage
指定银行 designated bank
指定证券 designated securities
指数加权移动平均方法 exponentially-weighted moving average
指数套戥 index arbitrage
指数参与单位 index participation unit
指数掉期 index swap
指数期货 index futures
指数债券 index bond
指数预托证券 index depository receipt; index share
指数认购权证 index call warrant
指数权证 index warrant
按市价计值 mark to market / mark-to-market
按金 margin
按金比例 margin ratio
按金交易 margin trading
按金减免 margin relief
按金对销 margin offset
按揭贷款基准组合 benchmark mortgage pool
按揭贷款发放者 mortgage loan originator
按金间距 margin interval
按揭证券 mortgage-backed securities
按盘价 nominal price
政府债券 government bond
故障包容 fault tolerance
「柏力克－舒尔斯」期权定价模式 Black-Scholes option pricing model
查访 inspection visit
查询公布资料(中央结算系统) Enquire Announcement Information(CCASS)
查询交收指示未获配对原因(中央结算系统) Enquire Unmatched SI Reason(CCASS)
「查询报失股票资料」功能(中央结算系统) Enquire Reported Lost Certificate(CCASS)
洗黑钱 money laundering
活跃业务纪录(创业板) active business pursuits(GEM)
派送股份/红股 bonus issue
界面联系 interfacing
盈利 earnings; profit
盈利对利息倍数 interest cover; interest coverage
盈富基金 Tracker Fund of Hong Kong (TraHK)
盈余储备 surplus reserve
相互上市 cross listing; dual listing
相抵持仓 offsetting position
相对回报率 relative return
相对强弱指数 Relative Strength Indicator (RSI)
相联人 associated person
相关/指定资产 underlying asset
相关/指定证券 underlying securities
「看跌」股票挂钩票据 Bear Equity Linked Instrument (Bear ELI)
「看涨」股票挂钩票据 Bull Equity Linked Instrument (Bull ELI)
约务更替 novation
约价* consideration
纪律上诉委员会 Disciplinary Appeals Committee
纪律委员会 Disciplinary Committee
《纪律案例》 Disciplinary Casebook
《纪律处分程序手册》 Handbook on Disciplinary Proceedings
纪律处分权力 disciplinary power
纪律程序 disciplinary procedures
红股 bonus share
红股发行 bonus issue
红筹股 red chip
美元总会计长(美国) Comptroller of the Currency(US)
美式期权 American style option
美国本土债券 Yankee bond
美国全国证券交易商协会自动报价系统/ 美国纳斯达克证券市场 National Association of Securities Dealers Automated Quotations (NASDAQ)
美国存管信托公司 Depository Trust Company (DTC)(US)
美国商会 American Chamber of Commerce (AMCHAM)
美国国家经济研究局 National Bureau of Economic Research(US)
美国预托证券 American depository receipt (ADR)
美国联邦公开市场委员会 Federal Open Market Committee (FOMC)
美国联邦国家房屋贷款协会（房利美） Federal National Mortgage Association (Fannie Mae)
美国证券交易所 American Stock Exchange (AMEX)
英伦银行 Bank of England
英格兰及威尔斯特许会计师公会 Institute of Chartered Accountants in England and Wales (ICA England & Wales)
英国投资管理监管组织 Investment Management Regulatory Organisation (IMRO)
英国金融业管理局 Financial Services Authority (FSA)(UK)
衍生产品 / 衍生工具 derivatives
衍生产品及风险管理文凭课程 Diploma Course in Derivatives and Risk Management
衍生产品市场 / 衍生工具市场 derivatives market
衍生产品市场谘询小组 Derivatives Market Consultative Panel
衍生产品结算及交收系统 Derivatives Clearing and Settlement System (DCASS)
衍生权证 derivative warrant
要约 offer
计算按金程序 margining process
负债 liabilities
负债日 indebtedness date
负债比率 debt-to-equity ratio
重大交易 major transaction
重估 revaluation
重组 reorganisation
重置成本 replacement cost
重新实物化 rematerialisation
重复认购 multiple application
重整账目 restatement of accounts
限制通知书 restriction notice
限制买卖期 "black out" period
限价盘 limit order
限价卖空规则 tick rule
面值 face value; nominal value
风险披露 risk disclosure
风险披露声明书(创业板) Risk Disclosure Statement(GEM)
风险值 value-at-risk
风险容限 risk tolerance
风险容量 appetite for risk
风险参数 risk parameter
风险控制 risk control
风险排列方法 risk array method
风险排列按金制度 risk array margining system
风险排列算式 risk array algorithm
风险评估 risk evaluation
风险管理 risk management; exposure management
风险管理委员会 Risk Management Committee
风险鉴别 risk identification
食价 price cheating; scalping
首次上市费 initial listing fee
首次公开招股 initial public offering (IPO)
首次公开招股之进度报告 Initial Public Offerings Progress Report
首次认购费 front-end load
首席交易员 chief dealer
香港上市公司商会 Chamber of Hong Kong Listed Companies
香港中央结算（代理人）有限公司 HKSCC Nominees Limited
香港中央结算有限公司（香港结算） Hong Kong Securities Clearing Company Limited (HKSCC)
香港中央证券登记有限公司 Computershare Hong Kong Investor Services Limited (CHIS)
香港中国企业协会 Hong Kong Chinese Enterprises Association
《香港公司收购、合并及股份购回守则》(刊物) Hong Kong Codes on Takeovers and Mergers and Share Repurchases(publication)
香港公司秘书公会 The Hong Kong Institute of Company Secretaries (HKICS)
香港交易及结算所有限公司（香港交易所） Hong Kong Exchanges and Clearing Limited (HKEx)
香港交易及结算所有限公司北京代表处 Hong Kong Exchanges and Clearing Limited Beijing Representative Office
香港交易所(中国)有限公司 HKEx (China) Limited
香港交易所股份资讯板 HKEx Share Information Board
香港交易所组合风险按金系统 Portfolio Risk Margining System of HKEx (PRiME)
香港交易所资讯服务有限公司 HKEx Information Services Limited
香港交易所数据产品 HKEx Data Products
香港投资分析员公会 Hong Kong Institute of Investment Analysts
香港投资者学会 Hong Kong Institute of Investors (HKII)
香港投资基金公会 Hong Kong Investment Funds Association (HKIFA)
香港投资通函呈报准则 Hong Kong Standards on Investment Circular Reporting Engagements (HKSIR)
香港股份商会（1921年） Hong Kong Stockbrokers' Association (1921)
香港股票经纪会（1891年） Stockbrokers' Association of Hong Kong (1891)
香港金融研究中心 Hong Kong Institute for Monetary Research (HKIMR)
香港金融管理局（金管局） Hong Kong Monetary Authority (HKMA)
香港律师会 The Law Society of Hong Kong
香港按揭证券有限公司 The Hong Kong Mortgage Corporation Limited
香港财务策划师学会 The Institute of Financial Planners of Hong Kong
香港财务顾问学会 Hong Kong Association of Financial Advisors
香港财资市场公会 Hong Kong Financial Markets Association
香港国际仲裁中心 Hong Kong International Arbitration Centre
香港专业财经分析及评论家协会 The Hong Kong Institute of Financial Analysts and Professional Commentators
香港货币及投资汇展 Money World Asia Hong Kong
香港创业投资协会 Hong Kong Venture Capital Association
香港期货交易所有限公司（期交所） Hong Kong Futures Exchange Limited (HKFE)
香港期货结算有限公司 HKFE Clearing Corporation Limited (HKCC)
香港税务学会 Taxation Institute of Hong Kong
香港证券培训赞助基金 Hong Kong Securities Training Sponsorship Foundation
香港会计师公会 Hong Kong Institute of Certified Public Accountants (HKICPA)
香港经纪协会（1891年） Association of Stockbrokers in Hong Kong (1891)
香港经纪商会（1914年） The Hong Kong Stock Exchange
香港董事学会 The Hong Kong Institute of Directors
香港资本市场公会 Hong Kong Capital Markets Association
香港管理专业协会 Hong Kong Management Association
香港网上经纪协会 The Hong Kong Association of Online Brokers (HKAOB)
香港银行公会 Hong Kong Association of Banks
香港银行同业拆息 Hong Kong Interbank Offered Rate (HIBOR)
香港银行同业结算有限公司 Hong Kong Interbank Clearing Limited
香港总商会 The Hong Kong General Chamber of Commerce
香港联合交易所月刊 SEHK Monthly Bulletin
香港联合交易所有限公司（联交所） The Stock Exchange of Hong Kong Limited (SEHK)
《香港联合交易所有限公司创业板证券上市规则》（《创业板上市规则》） Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited (GEM Listing Rules)
《香港联合交易所有限公司证券上市规则》（《证券上市规则》） Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (Exchange Listing Rules)
香港联合交易所期权结算所有限公司
（联交所期权结算所） The SEHK Options Clearing House Limited (SEOCH)
香港联合交易所资讯服务有限公司 Stock Exchange Information Services Limited (SEIS)
香港证券市场文献及文物征集计划 Hong Kong Securities Market Archives and Artifacts Collection Campaign
香港证券交易所（1947年） The Hong Kong Stock Exchange
香港证券专业学会 Hong Kong Securities Institute
香港证券业同学会 Hong Kong Securities Professionals Alumni Association
《香港证券业参考手册》(刊物) The Hong Kong Securities Industry(publication)
香港证券经纪业工作小组 Working Group on Stockbroking in Hong Kong
香港证券经纪业协会 Hong Kong Stockbrokers Association
香港证券学会 Hong Kong Securities Professionals Association
并购活动* mergers and acquisitions
仓 position
个人大股东具报书 Individual Substantial Shareholders Notification
个人投资者户口 Individual Investor Account
个人客户 individual client
个人交易所参与者 Individual Exchange Participant
个人电脑终端机用户 PC terminal user
借方结余 debit balance
借款股 loan stock
借壳上市 backdoor listing
借贷资本 loan capital
借额 debit
伦敦国际金融期货及期权交易所 London International Financial Futures and Options Exchange (LIFFE)
伦敦期权市场 London Traded Options Market (LTOM)
伦敦证券交易所 London Stock Exchange (LSE)
冻结 locked up
冻结股份机制 securities-on-hold mechanism
原油期货 crude oil futures
套戥 / 套汇* / 套利* arbitrage
差价 spread
差额缴款 marks / marks payment
库存股份/股票 treasury stock
弱势货币 soft currency
息股证 Equity Linked Instrument (ELI)
挟仓 cornering; squeeze; short squeeze
时间值 time value; time premium
时间戳记 time stamp
核心盈利 core earnings
核准可赎回股份 approved redeemable share
核准借入人 approved borrower
核准借出代理人 approved lending agent
核数委员会(证监会) Audit Committee(SFC)
核数师 auditor
核数师报告 auditors' report
核证附注 verification notes
浮息存款证 floating rate certificate of deposit (FRCD)
浮息按揭 variable-rate mortgage
浮息票据 floating rate note (FRN)
海外发行人 overseas issuer
消耗性资产(期权) wasting asset(options)
流动性不足 / 流通性不足 illiquidity
流动资金 liquid capital
流动资金比率/幅度 liquidity ratio; liquidity margin
流动资金调节窗 Liquidity Adjustment Window (LAW)
流动资金调节机制(金管局) Liquidity Adjustment Facility (LAF)(HKMA)
流动资产 liquid asset
流通性 liquidity
流通风险 liquidity risk
流通量提供者 liquidity provider
特别限价盘 special limit order
特别处理股(中国内地) Special Treatment(Mainland China)
特别征费 Special Levy
特别转让股(中国内地) Particular Transfer(Mainland China)
特快登记/过户登记服务 expedited registration service
特殊项目 exceptional item
特许公认会计师公会 The Association of Chartered Certified Accountants (ACCA)
特许使用者 privileged user
特许财务分析员 chartered financial analyst
特许财务分析员公会 Institute of Chartered Financial Analysts
特许管理会计师公会 Chartered Institute of Management Accountants (CIMA)
「特许证券商」制度(美国) Specialist System(US)
特种国债(中国内地) Special Treasury(Mainland China)
特种备兑证资讯(大利市) exotic warrant information(Teletext)
特种认股证/非标准型认股证 exotic warrant
留存股票 treasury stock
留存盈利/收益 retained earnings; retained income
「粉红价单」(美国) Pink Sheets(US)
留存溢利/盈利 retained profits
留成资金 / 保留资金 retained capital
「粉红价单」(美国) Pink Sheets(US)
纯交易板 trading-only board
纸黄金 paper gold
索偿通知 claim notice
蚊型股 penny stock
被动受托人 bare trustee
讯息提示 alert message
讯框传送交易网络 frame relay trading network
托管人 custodian
托管商参与者(中央结算系统参与者) Custodian Participant(CCASS Participants)
记名证券 registered securities
记名证书 registered certificate
记账式国库券(中国内地) Registered Treasury(Mainland China)
财政司司长 Financial Secretary
财政年度 financial year
财政股东 financial shareholder
财政健全 financial integrity
财政部(中国内地) Ministry of Finance(Mainland China)
《财政资源规则》 Financial Resources Rules
财务申报 financial reporting
财务风险 financial risk; financial exposure
财务租赁 financial lease
财务通融 financial accomodation
财务业绩 financial results
财务摘要报告 summary financial report
财务监管 financial regulation
财务顾问 financial adviser
财经市场发展专责小组 The Financial Market Development Task Force
《财经有道 - - - 证券、期货及投资界专业道德实务指引》 Ethics in Practice - A Practical Guide for Financial Practitioners
财经事务及库务局 Financial Services and the Treasury Bureau
财经事务及库务局局长 Secretary for Financial Services and the Treasury
财经事务及库务局常任秘书长 Permanent Secretary for Financial Services and the Treasury
财资企业集团 financial conglomerate
追补按金 margin call
退市 delisting
退税 tax rebate; tax refund
逃税 tax evasion
逆向投资者 contrarian
逆差 deficit; unfavourable difference; unfavourable variance
逆差额(中央结算系统) unfavourable marks(CCASS)
逆转交易(期权) trade reversals(options)
逆转交易合约(期权) reversal contract(options)
酌情支付的花红 discretionary bonus payment
酌情权 discretionary power
配售 placing
配售代理 placing agent
配售指引 placing guidelines
配售新股 rights issue
配售经办人 book runner
配发 allotment
除息基准 ex-dividend basis
除净日 ex-date
除净日未经调整之收市价 ex unadjusted close
除牌 delisting
除权 ex-rights
马来西亚证券交易所交易及自动报价系统 Malaysian Exchange of Securities Dealing and Automated Quotation Bhd (MESDAQ)
马城条约 Maastricht Treaty
马鞍式组合(期权) straddle(options)
高水(期货) premium(futures)
高于前成交价 plus tick; uptick
高于面值 above par
高持股量股东(创业板) significant shareholder(GEM)
高息票据 equity linked note (ELN)
高杠杆效应的投资 high leveraged investment
个人简介
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E-mail: haha@FanE.cn
2004-11-08 23:16 [广告] FanE『翻译中国』 提供广告服务!~
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第 2 楼
呵呵
假市 false market
做价 kiting
停止过户期间 book closure period
停市措施 speed bump
停板 trading halt
停牌 suspended trading; suspension
兜售证券 hawking of securities
副保荐人(创业板) co-sponsor(GEM)
「勒束式」股票挂钩票据 Range Equity Linked Instrument (Range ELI)
勒束式组合(期权) strangle(options)
动态对冲 dynamic hedging
区域网络 Local Area Network (LAN)
参考平衡成交量 Indicative Equilibrium Volume (IEV)
参考平衡价格 Indicative Equilibrium Price (IEP)
参考发行价 indicated issue price
参与者自设系统 Participant Supplied System (PSS)
参与者资料提取系统(期货) Participant Access Services(futures)
参与者网间连接器 Participant gateway
「啤打」系数 beta coefficient
商人银行 merchant bank
《商品交易所（禁止经营）条例》 Commodity Exchanges (Prohibition) Ordinance
商品交易商 commodities dealer
《商品交易条例》 Commodities Trading Ordinance
商品期货交易委员会(美国) Commodity Futures Trading Commission (CFTC)(US)
商业承兑汇票 trade acceptance
商业票据 commercial paper
商业登记证 business registration certificate
商议佣金 negotiated commission
商誉 goodwill
问责 accountability
问题证券 defective securities
国内生产总值 gross domestic product (GDP)
国民生产总值 gross national product (GNP)
国有资产监督管理委员会 State-owned Assets Supervision and Administration Commission (SASAC)
国家工商局(中国内地) State Bureau for Industrial and Commercial Administration(Mainland China)
国家外汇管理局(中国内地) State Administration of Foreign Exchange (SAFE)(Mainland China)
国家股 / 国有股(中国内地) state share(Mainland China)
国家建设债券(中国内地) National Construction Treasury(Mainland China)
国家科技风险开发事业中心 National Science and Technology Venture Capital Development Center
国家重点建设债券(中国内地) Priority Construction Treasury (Mainland China)
国家国有资产管理局(中国内地) State Bureau for State Property Administration(Mainland China)
国家统计局(中国内地) State Statistics Bureau(Mainland China)
国家税务局(中国内地) State Taxation Bureau(Mainland China)
国家经济贸易委员会（国家经贸委）
(中国内地) State Economic and Trade Commission
(Mainland China)
国库券 Treasuries
国务院证券委员会（证券委）(中国内地) State Council Securities Committee (Mainland China)
国债* government bond
国债期货* treasury bond futures
国际外汇同业联会 Association Cambiste Internationale
国际收支平衡 / 国际收支差额 balance of payments
国际股票期货及期权 International Stock Futures and Options (ISFO)
国际金融公司 International Finance Corporation (IFC)
国际金融行动专责小组 International Financial Action Task Force
国际掉期业务及衍生投资工具协会 International Swaps and Derivatives Association (ISDA)
国际货币基金 International Monetary Fund (IMF)
国际期权市场协会 International Options Markets Association (IOMA)
国际结算银行 Bank for International Settlements (BIS)
国际集资市场协会 International Primary Markets Association (IPMA)
国际会计师公会 The Association of International Accountants
国际会计准则 International Accounting Standards (IAS)
国际会计准则委员会 International Accounting Standards Committee (IASC)
国际标准化组织 International Organisation for Standardisation (ISO)
国际编码机构协会 Association of National Numbering Agencies(ANNA)
国际证券市场协会 International Securities Markets Association (ISMA)
国际证券交易所联会 World Federation of Exchanges (WFE)
国际证券事务监察委员会组织 (国际证监会组织) International Organisation of Securities Commissions (IOSCO)
国际证券服务业联会 International Securities Services Association (ISSA)
国际证券号码 International Securities Identification Numbers (ISIN)
国际证券号码编制系统 International Securities Numbering System
国际证监会组织亚太区委员会 Asia Pacific Regional Committee (APRC) of IOSCO
国营企业(中国内地) state-owned enterprise(Mainland China)
坚定承诺(包销) firm commitment(underwriting)
执行董事 executive director
执业会计师公会(美国) Institute of Certified Public Accountants (ICPA)(US)
基本按金(期货) initial margin(futures)
基金份额持有人* fund unit holder
基金经理 fund manager
《基金经理操守准则》(证监会) Fund Manager Code of Conduct(SFC)
基建工程/项目 infrastructure project
基准日 base day
基准收益率曲线 benchmark yield curve
基点 basis point
基础上市文件 base listing document．
专用交易系统 proprietary trading system
专用网络系统 proprietary routing terminal
专用线路 dedicated line
专家谘询小组 Advisory Specialist Group
专责监察主任 Designated Compliance Officer
《专业会计师条例》 Professional Accountants Ordinance
专业银行* specialised bank
《专业操守规例》 Code of Conduct Regulations
《专业操守规则及规例》(刊物) Professional Conduct Rules and Regulations(publication)
专线网络系统 Proprietary Network System (PNS)
将股票化零为整 jumbomize
将会员制转为股份制 demutualisation
屏幕* screen
常务委员会 Executive Committee
强制性公积金 Mandatory Provident Fund (MPF)
强制性公积金计划管理局 Mandatory Provident Fund Schemes Authority (MPFA)
强制性收购建议 mandatory bid; mandatory offer
强制补购 compulsory buy-in; forced buy-in
强势美元 strong dollar
从价印花税 ad valorem stamp duty
授权代表 authorised representative
授权书 power of attorney
掉期 swap
挂牌买卖 flotation
挂钩汇率制 pegged rate system
挂盘册 order book
接口费 port fee
接收(期权) take-up(options)
接受存款公司 deposit-taking company (DTC)
接驳站费用 port fee
接价盘 accept order
控股公司 holding company
控股股东 controlling shareholder
控股权益 controlling interest
控权股东 controlling shareholder
排媒现象 disintermediation
排期申请表格 advance booking form
敏感度分析 sensitivity analysis
救市特别交易征费 "Lifeboat" levy
救市贷款 Lifeboat Loan
斩仓 margin cut; liquidation; forced liquidation
条文 provision
淡仓 short position
净值比率 net worth ratio
净额按金计算 net margining
净额结算 netting
深圳证券交易所 Shenzhen Stock Exchange
深圳证券登记有限公司 Shenzhen Securities Registration Company Limited
深圳证券结算有限公司 Shenzhen Securities Clearing Company Limited
清洗交易 whitewash transaction; wash sale
清算 clearing
清算价 clearing price
清盘 liquidation
浅白语言计划 Project on the Use of Plain Language
浅白语言计划工作小组 Working Group on Plain Language
牵头包销商 lead underwriter
现金交收 cash settlement; cash on delivery (COD)
现金回佣 cash commission rebate; cash rebate
现金收益净值 net present value
现金客户 cash client
现金差额缴款 cash marks
现金流向 / 现金周转 cash flow
现金流动表 cash flow statement
现金流量折现/贴现法 discounted cash flow
现金资产公司 cash company
现金选择 cash alternative
现货月 spot month
现货市场 spot market; cash market; physical market; actual market
现货市场谘询小组 Cash Market Consultative Panel
现货价 spot price; cash price; physical price; actual price
现价 nominal price
《理解股票期权（及其风险）》(刊物) Understanding Stock Options (and Their Risks)(publication)
理论性参考价格系统(期货) Theoretical Indicative Pricing System (TIPS)(futures)
产权负担 encumbrances
票面利率 coupon; coupon rate
票面值 par value
票面息率 coupon; coupon rate
票对票方式 "paper-to-paper" arrangement
票据交换所自动转账系统 Clearing House Automated Transfer System (CHATS)
票据交换所自动转账系统付款指示 CHATS Payment Instruction
票据密集交收 paper intensive settlement
移动平均值背驰指标 Moving Average Convergence-Divergence (MACD)
第一上市 primary listing
第一板 main board
第二上市 secondary listing
第二代自动对盘及成交系统（第二代自动对盘系统） Automatic Order Matching and Execution System / Second Generation (AMS/2)
第二板 / 第二板市场 second board; second market
第三代自动对盘及成交系统（第三代自动对盘系统） Automatic Order Matching and Execution System / Third Generation (AMS/3)
第三者结算 Third Party Clearing (TPC)
累计/累积利息 accumulated interest
累计/累积利润 accumulated profits
累计/累积折旧 accumulated depreciation
累计/累积垫款 cumulative advance
累计投标制 book building method
细价股 small cap stock; penny stock
细盘撮合系统(美国) Small Order Entry System; Small Order Execution System (SOES)(US)
细额先到先得 Small Order First-In-First-Out
「终止及停止」令 "cease and desist" order
组合分析仪(期权) Portfolio Analyser(options)
「组合股」 Exchange Traded Fund
组合盘 / 综合盘 combination order; combo order; composite order
组织大纲 memorandum of association
《组织大纲及章程》 Memorandum and Articles of Association
组织架构检讨指导委员会 Steering Committee on Organisational Review
组织细则 articles of association
组织章程 constitution; articles of association
翌日净额结算系统 next day net settlement system
庄家 market maker
庄家之经销交易 jobbing transaction
庄家名录 Market Maker List
庄家活动 market making
规范声明 normative statement
访客廊 Viewing Gallery
设定增值税 deemed VAT
货币市场 money market
货币交叉盘买卖 cross currency trade
货币供应 money supply
货币政策委员会(中国人民银行) Monetary Policy Committee(PBOC)
货币基础 monetary base
货币期货 currency futures
货币发行局制度 currency board system
货币经纪 money broker
货币资产 monetary assets
货币权证 currency warrant
货银同步交收 delivery vs payment (DvP)
货银两讫 delivery vs payment (DvP)
货银对付 cash on delivery (COD)
货银对付方式交收 delivery vs payment (DvP)
责任承担 accountability
责任承诺书 responsibility letter
责任声明书 responsibility statement
责务变更 novation
责务变更合约 novated contract
软佣金 soft commission
软货币 soft currency
软着陆 soft landing
透明度 transparency
透视价 "see-through" price
逐项交收 trade-for-trade settlement
通讯线路现况显示行 communication status message line
通货紧缩 / 通缩 deflation
通胀指标货币政策 inflation indexed monetary policy
速动市场 fast market
速动资金 liquid capital
速动资产 liquid asset
造市 market manipulation
造价 price manipulation
连锁关系原则 chain principle
连续竞价 continuous auction
部份完成的买卖指示 partially filled order
部份区域网络 Local Area Network (LAN)
闭端式基金 closed-end fund
阴阳烛图 candlestick chart
备考全面摊薄市盈率 pro forma fully diluted price/earnings ratio
备考报表 pro forma statement
备兑期权 covered option
备兑权证 covered warrant
备兑认购期权 covered call
备抵(会计) allowance(accounting)
伞子基金 umbrella fund
凯伯里委员会(英国) Cadbury Committee(UK)
凯伯里报告书(英国) Cadbury Report(UK)
创新及科技基金 Innovation and Technology Fund
创业板 Growth Enterprise Market (GEM)
创业板上市委员会 GEM Listing Committee
《创业板上市规则》（《香港联合交易所有限公司创业板证券上市规则》） GEM Listing Rules(Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited)
《创业板投资者指南》 GEM Investor Guide
创业板指数 Growth Enterprise Index (GEI)
创业基金 venture capital
单一董事会制 unitary board system
单一种股份的衍生认股权证 single share derivative warrant
单一价格竞价市场 single price auction system
单日货币市场 intra-day money market
《单位信托及互惠基金守则》 Code on Unit Trusts and Mutual Funds
单位信托委员会(证监会) Committee on Unit Trusts(SFC)
单位信托基金 unit trust
单价配对(期权) netting(options)
报价 quote
报价系统(期货) Price Reporting System(futures)
报价要求 quote request; request for quote (RFQ)
报价规则 quotation rules
场内交易 pit trading
场内交易产品 exchange traded product
场内规则 on-market rules
场内买卖期权 exchange traded option
场内买卖盘 on-floor order
场外交易 off-floor trading; off-board trading
场外交易议价板 (美国) OTC Bulletin Board (US)
场外衍生工具 over-the-counter derivative
场外规则 off-market rules
场外期权 over-the-counter option
场外购回股份 off-market share repurchase
场外证券市场 over-the-counter market
孳息 yield
富时指数有限公司（原金融时报指数） FTSE
帧中继交易网 frame relay trading network
复牌 resumption of trading
《提升香港的金融基础设施报告》 Report on the Enhancement of the Financial Infrastructure in Hong Kong
提升数码资料输送专线 enhanced digital datafeed
提早补购 early buy-in
提呈发售 offer for sale
提高运作的能力 scalable
扬基债券 Yankee bond
换股比率 conversion ratio
换算 translation
散户投资者 / 散户 retail investor
散户经纪 retail broker
普通股 ordinary share
普通债券 straight bond
替任人 alternate
最大差价限额 maximum spread
最少开价数量 minimum quote quantity
最低上落价位 minimum price fluctuation; tick (size)
最低交易数额 minimum transaction size
最低供款额 minimum contribution
最低价格变动 minimum price fluctuation; tick (size)
最低豁免规定 de minimus waiver provision
最初发起人 ultimate originator
最佳成交价 best execution price
最佳价格 best price
最佳价格盘 at-best order
《最佳应用守则》 Code of Best Practice
最后一轮交收处理程序 Final Settlement Run
最后成交价 last recorded price; last traded price
最后行使日 last exercise day
最后结算表 Final Clearing Statement
最后结算价 Final Settlement Price
最后贷款人 lender of last resort
最后复核聆讯 final review hearing
最终用户/使用者 end user
最终受益人 ultimate beneficiary
最终实益持有人 ultimate beneficial holder
最短回复开价时间 minimum response time
期末存货 closing stock
期初存货 opening stock
期货赔偿基金 Futures Compensation Fund
期货赔偿基金委员会(证监会) Futures Compensation Fund Committee(SFC)
期权 option
期权交付指令 options delivery instruction
期权交易主任 Options Trading Officer
期权交易主任及代表考试 Options Trading Officer and Representative Examinations
期权交易代表 Options Trading Representative
期权交易所参与者 Options Exchange Participant
《期权交易规则》 Options Trading Rules
期权交易确认书 options trade confirmation
期权合约 option contract
期权合约净持仓 net open options contract; net options position
期权系列 option series
期权定价 option valuation
期权定价模式 option pricing model
期权金 premium
期权金成交额 premium turnover
期权长仓合约 long options contract
期权客户协议书 Options Client's Agreement
期权持有人 option holder
期权持仓 option position
期权短仓 short option
期权短仓合约 short options contract
期权结算主任 Options Clearing Officer
期权结算主任考试 Options Clearing Officer Examination
《期权结算规则》 Options Clearing Rules
期权费用 options tariff
期权买方 option buyer
期权买卖交易所参与者 Options Trading Participant
期权经纪交易所参与者 Options Broker Exchange Participant
期权资讯服务 Options Information Service
期权数码资料传送专线 options digital datafeed
期权卖方 option seller; option writer
期权类别 option class
款项交收费 money settlement fee
款项净额结算每日平均效率 daily average funds netting efficiency
款项过户系统 money transfer system
款项预缴服务 cash prepayment service
残值 salvage value
减佣经纪 discount broker
港元同业拆息 Hong Kong Interbank Offered Rate (HIBOR)
《港元利率期货市场通讯》 HIBOR Futures Market Update
港元利率期货迭期 HIBOR Futures Strip
港汇指数 / 港元实际汇兑指数 Effective Exchange Rate Index for the Hong Kong Dollar (EERI)
无人申领之经纪佣金 unclaimed brokerage
无力偿债 insolvency
无形资产 intangible asset
无抵押贷款 unsecured loan
无抵押权证 non-collateralised warrant
无风险利率 risk-free interest rate
无风险对冲 delta hedge
无时限盘 good-till-cancelled order (GTC)
无纸化交易 paperless trading; scripless trading
无条件及不可撤回之担保 unconditional and irrevocable guarantee
无条件现金收购建议/要约 unconditional cash offer
无责任声明 disclaimer
无备兑期权 uncovered option
无备兑认购期权 uncovered call
「无超额亏蚀」规则 No-Over-Loss Rules
无价期权形式 tails(options)
无凭证式股东 uncertificated shareholder
无偿债能力 insolvency
《为便利股份或债权证要约而就《公司
条例》提出的修订建议谘询文件》 Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures
牌照 licence
登记持有人 registered owner
登记过户费 scrip fee
发行人 issuer
《发行人及专业顾问意见调查》 Issuers and Professional Advisers Survey
发行人可选择支付现金 /
发行人现金选择权 issuer's cash option
发行人登记册 Issuer Register
发行人电子存档系统 issuer electronic filing system
发行红股 scrip issue
发行章程 prospectus
发行量加权股价指数(台湾交易所) Weighted Index(Taiwan Stock Exchange)
发行新股 new issue
发行资料摘要(权证) indicative terms sheet(warrants)
发行价 issue price
发行机构 issuer
《发展路向》(刊物) The Way Forward(publication)
发起人 promoter
发牌资料册 licensing information booklet
发钞局制度 currency board system
发盘价 offer price
短期同业拆放市场 call market
短期资金 short-term money
短期资金借贷市场 money market
短期举债/借贷 short term borrowings
短期证券 short-dated securities
硬货币 hard currency
税后盈利/利润/溢利 after-tax profits
税后实际回报率 after-tax real rate of return
《税务条例》 Inland Revenue Ordinance
税务优惠 tax relief
税项减免 tax break; tax concession
稀释* dilution
程式买卖/交易 programme trading
程序覆检委员会 Process Review Panel
等价期权 at-the-money option
结清 close out
结构改进 institutional advancement
结算 clearing
结算所 clearing house
结算所电子附属登记系统(澳洲) Clearing House Electronic Subregister System (CHESS)(Australia)
结算协议书 clearing agreement
结算参与者(期权买卖) Clearing Participant(options trading)
「结算通」电话系统 CCASS Phone System
《结算运作程序 ─ 期权买卖交易所参与者专用》 Operational Clearing Procedures for Options Trading Exchange Participants
结算价 clearing price
结算机构参与者 Clearing Agency Participant
结算谘询小组 Clearing Consultative Panel
《结算纵横》(刊物) Clear Talk(publication)
结余 balance
结转(会计) carried forward(accounting)
统一保证金客户协议书 Uniform Margin Client's Agreement
统一现金客户协议书 Uniform Cash Client's Agreement
统一结算所 universal clearing house
统制账户 control account
虚假市场 false market
虚假声明 misstatement
虚售交易；虚卖 wash sale
虚报 misrepresentation
虚拟市场 virtual market
「街名」股票 "street name" share certificate
补充/增补上市文件 supplemental/supplementary listing document．
补仓按金(期货) maintenance margin(futures)
补仓通知 margin call
补发证书服务 certificate replacement service
补购 buy in
注册中介团体 registered intermediary
注册商号 registered firm
注册庄家 Registered Trader
注册融资人 registered financier
注册证券商 registered dealer
注销股份 cancelled share
注释备忘录 explanatory memorandum
贬值 depreciation
买家 bidder
「买者自负」原则 "let the buyer beware" principle;
"Caveat Emptor" (let the buyer beware)
买壳 acquisition of shells
买价 / 买盘价 bid price
买盘 buy order
买卖因公众持股量不足而停牌证券的申报表 Form for Reporting Dealings in Securities Suspended due to Insufficient Public Float
买卖指示 order
买卖差价 bid-asked spread
买卖单位 board lot
买卖单据 contract note
买卖惯例 dealing practice
买卖盘 order
买卖盘纪录 order book
买卖盘纸 deal ticket
买卖盘处理率 order throughput
买卖盘传递 order routing
买卖盘传递系统 Order Routing System (ORS); router system
买卖盘输入 order entry
贷出费 lending fee
贷股人 stock lender
贷股人参与者(中央结算系统参与者) Stock Lender Participant(CCASS)
贷款抵押证券 collateralised loan obligation (CLO)
贷款股 / 贷款债券 loan stock
贷款银团 loan syndicate
贷款融通 loan facility
贴现 discount
贴现率 discount rate
贴现窗 discount window
超国家机构 supranational entity
超连结 hyperlink
超买 overbought
超卖 oversold
超额配发/配股权 over-allotment option
超额配发机制 over-allotment option scheme
超额认购 oversubscribed; overbooked
跌停板措施 circuit breaker
《周年报告的参考披露资料》(刊物) Reference for Disclosures in Annual Reports(publication)
进项增值税 input VAT
开市分配时段(HKATS) open allocation session(HKATS)
开市前分配时段(HKATS) pre-open allocation session(HKATS)
开市前时段 ；开市前议价时段 pre-opening session
开市报价规则 opening quotations rules
开市价 opening price
开市盘 open order; at-the-opening order
开市议价机制(期货) Pre-market Opening Mechanism(futures)
开放式基金 open-end fund
开放式网间连接器 open gateway
开放式网间联系买卖 internet order connection
开仓交易 opening transaction
开仓合约 opening contract
开价盘 quote
开价盘要求 quote request
开盘状况报告 quote maintenance report
开盘价 opening price
集中持仓量 concentrated position
集中风险 concentration risk
集中风险调整 concentration risk adjustment
《集合投资计划的广告宣传指引》 Advertising Guidelines for Collective Investment Schemes
集合竞价 aggregate auction
集资 capital formation
集资市场 primary market
《集资退休基金守则》 Code on Pooled Retirement Funds
《集资退休基金的广告宣传指引》 Advertising Guidelines for Pooled Retirement Funds
集资净额 net proceeds
集团内部交易 intra-group transactions
集团会计 corporate accounting
集体投资计划 collective investment schemes (CIS)
集体投资基金 collective investment fund
项目融资 project finance
顺差 favourable variance; favourable difference
须予公布的交易 notifiable transaction
须予披露的交易 discloseable transaction
传统基金会(美国) The Heritage Foundation(US)
传统债券 plain vanilla bond
债券 bond; debenture; debt securities; loan stock
债券市场工作小组 Working Group on Debt Market
债券抵押证券 Collateralised Bond Obligation (CBO)
债务 indebtedness
债务人 debtor
债务工具中央结算系统(金管局) Central Moneymarkets Unit (CMU)(HKMA)
债务市场 debt market
债务报表 indebtedness statement
债务偿还 debt repayment
债务证券 debt securities; loan stock
债务链 debt chain
债转股 debt-for-equity swap
债权人 creditor
债权股额 loan stock
债权证 debenture
汇兑限额 exchange quota
汇兑损失 exchange loss
汇票 bill of exchange
汇款同步交收(银行) payment vs payment (PvP)(banking)
微值入价 cabinet bid
微值交易(期权) cabinet trade; cabinet bid
损益平衡点 breakeven point
损益账 profit and loss account
新一代中央结算系统 CCASS/3
新加坡交易所 Singapore Exchange (SGX)
新加坡证券交易所交易及自动报价系统 Stock Exchange of Singapore Dealing and Automated Quotation System (SESDAQ)
新市场发展工作小组 Working Group on New Market Development
新企业上市国际委员会 International Committee on the Listing of New Enterprises
新股发行 new issue
新恒生50中型股指数 New Hang Seng MidCap 50 Index (New HSMCI)
新华富时中国25指数 FTSE/Xinhua China 25 Index
《新监管制度》(证监会) The New Regulatory Framework(SFC)
新闻栏(大利市机股份页) Free Text Area(Teletext)
新兴市场 emerging market
会计师报告 accountants' report
会计处理方式 accounting treatment
会计期间 accounting period
会计程式 accounting equation
会计准则/标准 accounting standard
《会计实务准则》 Statement of Standard Accounting Practice (SSAP)
会计惯例/实务 accounting practice
极端波动乘数 extreme move multiplier
极端波动覆盖分数 extreme move covered fraction
极价内期权 deep-in-the-money option
极价外期权 deep-out-of-the-money option; tails
业务纪录 track record
业务划分 delineation of activities
业绩公布 results announcement
概念股 concept stock
源指令码 source code
准备(会计) provision(accounting)
溢利 profit
溢利预测 profit forecast
溢价 premium
瑞士商品、期货及期权协会 Swiss Commodities, Futures and Options Association
碎股 odd lot
节流率 throttle rate
经纪代表考试 Broker's Representatives Examination
经纪代表课程 Broker's Representatives Course
经纪交易 agency trade
经纪自设系统 Broker Supplied System (BSS)
经纪行 brokerage house
经纪佣金 brokerage
经纪忠诚保险计划 Brokers' Fidelity Insurance Scheme (BFI)
经纪忠诚保险计划委员会 Brokers' Fidelity Insurance Committee
经纪后勤办公室支援服务 Brokers' Electronic Support Services (BESS)
经纪活动工作小组 Broker Activities Working Team
经纪参与者(中央结算系统参与者) Broker Participant(CCASS Participants)
经纪会计系统 Brokers' Accounting System
经纪电子邮递及集体传呼服务 E-mail and Group Paging Services
经修订的股份卖空计划 revised short selling scheme
经常账 current account
经审核账目 audited accounts
经办人 manager
经办银行 administering bank
经济自由指数 Index of Economic Freedom
经济发展及劳工局 Economic Development and Labour Bureau
经济发展及劳工局局长 Secretary for Economic Development and Labour
经营租赁 operating lease
经扩大股本 enlarged share capital
群集式伺服器 cluster server
《与证券服务有关的收费及费用的良好披露指引草拟本谘询文件》 Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges
落盘 placing order
董事/行政总裁具报书 Director's / Chief Executive's Notifications
《董事的声明及承诺》 Declaration and Undertaking with regard to Directors
董事袍金 directors' fee
董事会 board of directors
董事会报告 directors' report
董事酬金 directors' remuneration
试算表 trial balance
诚信责任 fiduciary duties
资不抵债 insolvency
资方信托人 employer trustee
资本化 capitalisation
资本化发行 capitalisation issue
资本支出 capital expenditure
资本充裕/充足比率 capital adequacy ratio
资本充裕程度 capital adequacy
资本市场 capital market
资本负债比率 gearing ratio
资本重整 recapitalisation
资本值 capital value
资本项目* capital account
资本增值 capital appreciation; capital gain
资本增值权证 capital plus warrant
资本增益 capital gain
资本增益/增值税 capital gains tax (CGT)
资本调整 capital adjustment
资本账 capital account
资本储备 capital reserve
资本亏损 capital loss
资本筹集 capital formation
资金平衡 fund balancing
资金股本化 capitalisation issue
资金表 fund statement
资金流向 fund flow
资金会计法 fund accounting approach
资金运用 fund utilisation
资料印证工作函 Comfort Letter
资料披露 disclosure
资料备忘录 information memorandum
资格股 qualification share
资讯供应商 information vendor
资讯服务 information service
资讯发布/发放 information dissemination; news dissemination
资讯档案 news file
资产 asset
资产拆卖 asset stripping
资产保证 asset coverage
资产负债表 balance sheet
资产负债表以外之承担/项目 off-balance sheet exposure
资产负债表外金融工具 off-balance sheet (financial) instrument
资产负债表编制程式 balance sheet equation
资产净值 net asset value
资产调配/调度 asset allocation
资产调换 asset swap
资产覆盖率 asset coverage
跨司法区招股活动 multi-jurisdictional equity offering
跨市场协调委员会 Inter-Market Coordination Committee
跨市场抵押品 cross collateral
跨市场按金制度 cross margining
跨国多重上市 mutual cross-listing
跨期买卖(期权) calendar spread; time spread; horizontal spread (options)
跨期买卖 spread trading
跨境上市 cross-border listing
跨价衍生权证 call spread derivative warrant
跨价买卖(期权) price spread; vertical spread; spread trading(options)
《跟踪指数交易所买卖基金监管指引》(证监会) Guidelines for Regulating Index Tracking Exchange Traded Funds(SFC)
路透社证券投资传视服务 Reuters Monitor Equities Investment Service
运作风险 operational risk
逾时交易 late trading
过户 transfer
过户(期权) give-up(options)
过户文件 instrument of transfer
过户代理 transfer agent
过户纸（转让）印花税 transfer deed stamp duty
过户处 / 过户登记处 registrar; share registrar
过户费 transfer fee
过渡性贷款 bridging loan
过量交易 overtrading
道德及指引委员会 Ethics and Guidance Committee
道琼斯工业平均指数 Dow Jones Industrial Average
道琼斯工业平均指数期货及期权 Dow Jones Industrial Average Futures and Options
乡镇企业 township and village enterprises
隔夜流动资金(银行) overnight liquidity(banking)
零交易日 zero-trading day
零和游戏 zero-sum game
零股* odd lot
零息债券 zero coupon bond
零售资讯服务 retail information service
《电子公开发售指引》(证监会) Guidelines for Electronic Public Offerings(SFC)
电子化财政资源规则报表系统 e-FRRR system
电子交易 electronic trading
电子收付款指示 Electronic Payment Instruction (EPI)
电子呈交系统 e-Submission system
电子款项交收服务 Electronic Money Settlement Services
电子款项交收费 electronic money settlement fee
电子通讯网络 electronic communications network (ECN)
电子邮件；电子邮递；电邮 e-mail
电子传递证券资讯服务 Electronic Mailing Stock Information Service (EMSIS)
电子认购首次公开招股服务 Electronic Initial Public Offering service (EIPO)
电子认购新股指示 Electronic Application Instruction for New Issue Shares
「电子数据收集、分析及检索」系统(美国) Electronic Data Gathering, Analysis and Retrieval (EDGAR)(US)
预计平均结算价 estimated average settlement price (EAS price)
预计资本值 estimated capital value
预托证券 depository receipt
预设期货跨期合约 Predefined Futures Calendar Spreads
预警系统 early warning system
伪冒电子邮件 phishing
《境内企业申请到香港创业板上市审批与监管指引》(中国内地) Guidelines on the Vetting and Regulation of Applications for Listing on the GEM in Hong Kong by Mainland Enterprises(Mainland China)
境外上市外资股(中国内地) overseas listed foreign share(Mainland China)
境外发行股票和上市管理通知 (国务院) Notice on Regulation of Share Issues and Listing in
Overseas Markets (State Council)
垫款 advance; monies advanced
实地盘存 physical inventory
实物分派 distribution in specie
实物交收 physical delivery
实物利益 benefits-in-kind
实物股票 physical scrip
实时计算 real time calculation
实时资讯 real time information
实益持有人 beneficial holder
实益拥有人 beneficial owner
实益权益 beneficial interests
实际可用年期 actual useful life
实盘 firm order
实质汇率 real exchange rate
实缴股本 paid-up capital; paid-in capital
对手方 counterparty
对手风险 counterparty risk
对手经纪 contra broker
对外经济贸易合作部（外经贸部）(中国内地) Ministry of Foreign Trade and Economic Cooperation(Mainland China)
对冲 hedging
对冲比率 hedging ratio
对冲值(期权) delta(options)
《对冲基金汇报规定指引》(证监会) Guidelines on Hedge Funds Reporting Requirements(SFC)
对冲基金 hedge fund
对角买卖 diagonal spread
对敲 bucketing
对盘 order matching
对盘前时段 pre-order matching period
对盘时段 order matching period
对账 reconciliation
截止过户日期 book close date (B/C date)
摘牌* delisting
杠杆比率 gearing ratio
杠杆市场 leveraged market
杠杆式外汇交易 / 买卖 leveraged foreign exchange trading
《杠杆式外汇买卖（财政资源）规则》 Leveraged Foreign Exchange Trading (Financial Resources) Rules
《杠杆式外汇买卖（造访）规则》 Leveraged Foreign Exchange Trading (Calls) Rules
杠杆式外汇买卖介绍代理人 leveraged foreign exchange introducing agent
杠杆式外汇买卖商 leveraged foreign exchange trader
《杠杆式外汇买卖条例》 Leveraged Foreign Exchange Trading Ordinance
杠杆收购 leveraged buy-out (LBO)
杠杆效应 leverage
滞胀 disinflation; stagflation
熊市 bear market
荧幕 screen
疯狂抛售 bear raid
尽职审查 due diligence
监事(中国内地) supervisor(Mainland China)
监事会(中国内地) supervisory committee(Mainland China)
监察主任 compliance officer
监管 regulation
《监管合作备忘录》 Memorandum of Regulatory Cooperation (MORC)
监管制度 regulatory regime
监管套戥 regulatory arbitrage
监管机构 regulatory body
算术平均数(统计) arithmetic average; arithmetic mean(statistics)
管制法例 governing law
《 管理、监督及内部监控指引》(证监会) Management, Supervision and Internal Control Guideline(SFC)
管理费用 management fee
管理层收购 management buy-out (MBO)
管理层股东 management shareholder
精算师 actuary
综合户口 omnibus account / omnibus client account
综合表 composite table
综合风险 composite risk
综合财务报表 consolidated financial statement
综合买卖 composite trades
综合盘 / 组合盘 combination order; combo order; composite order
维持前成交价但低于上一个差异价 zero-minus tick
维持前成交价但高于上一个差异价 zero-plus tick
维持按金(期货) maintenance margin(futures)
网上交易 online trading
网上交易工作小组 On-line Trading Working Group
网上投资者资源中心(证监会) Electronic Investor Resources Centre (eIRC)(SFC)
网上认购新股服务 Internet Initial Public Offering (iIPO) service
网间连接器(电脑) gateway(computer)
紧急贷款者 lender of last resort
紧缩措施 austerity measures
蒙受风险的价值 value-at-risk
认可用户 authorised user
认可行业资格 Recognised Industry Qualifications (RIQ)
认可存款基金 approved deposit fund
认可负债 ranking liabilities
认可值 admitted value
认可基金 authorised fund
认可资产净值 net admissible assets
《认可机构披露财务资料的最佳执行指引》(金管局) Best Practice Guide on Financial Disclosure by Authorised Institutions(HKMA)
认沽期权 put option
认沽期权沽出者 put writer
认沽期权空仓 short put
认沽短仓 short put
认沽认购等价关系 relationship of put-call parity
认沽权证 put warrant
认股期权 share option
认股权证 warrant
认购 subscription
认购不足 undersubscribed; underbooked
认购期权 call option
认购期权沽出者 call writer
认购期权空仓 short call
认购短仓 short call
认购权证 call warrant
说明函件 explanatory statement
说明指引 interpretive guidelines
轻微违纪事件 / 行为 summary offence
遥距交易设施 remote trading access
递延股 deferred share
递延税项 deferred tax
远东交易所 The Far East Exchange
远期月份 distant month; back month
远期货币合约 currency forward
远期权利 forward entitlement
酸性测试比率 acid-test ratio
银行同业拆借市场 interbank market
银行承兑汇票 banker's acceptance
银行结汇体系 exchange surrender system
《银行业条例》 Banking Ordinance
银行对账表 bank reconciliation statement
银行确认书 bank confirmation
银行融通额/融资额 banking facility
《银行营运守则》(金管局) Code of Banking Practice(HKMA)
银行证明文件 bank confirmation
银团贷款 syndicated loan; syndicated lending
银团融资 syndicated credit
驳脚经纪 runner
价内期权 in-the-money option
价外期权 out-of-the-money option
价位 spread
价位表 Spread Table
价位值 tick value
价值状况 moneyness
价值稳定的货币 hard currency
价格发现 price discovery
增值 accretion; appreciation
增值服务 value-added service
增值税 value added tax (VAT)
增售条款(包销) greenshoe(underwriting)
增强自动对盘系统的市场接触力 enhanced access to AMS
增强限价盘 enhanced limit order
增补/补充上市文件 supplementary/supplemental listing document．
审计师* auditor
审核委员会 Audit Committee
审核线索 audit trail
审裁科 Adjudication Division
审慎原则 principle of prudence
审阅 vetting
《宽免缴付若干牌照费用的指引》(证监会) Guidelines on Waivers of Certain Licensing Fees(SFC)
宽限期 grace period
广域网络 Wide Area Network
影子董事 shadow director
影响市场资料 market-sensitive information
影响股价资料 price-sensitive information
德国期货及期权交易所 Deutsche Terminborse (DTB)
德意志联邦银行 Deutsche Bundesbank
征收印花税运作程序 Operation Procedures for Stamp Duty Collection
征求建议书 request for proposal
征求意见稿 exposure draft
撇销 write off
拨备 provision
拨款 appropriation
数码资料传送专线 Digital Data Feed (DDF)
数码资讯服务 digital information service
数据传送专线 data feed
暂收款 temporary receipts
暂定配额通知书 provisional letter of allotment
暂记账 suspense account
暂停时段 blocking period
暂停办理过户登记手续 closure of books; closure of register
暂缓执行配对交收指示 hold matched SI
暂缓还款协议 standstill agreement
暂搁注册(美国) shelf registration facility(US)
标准合约 standard contract
标准差 standard deviation
标准授权书 Model Authorisation Letter
标准组合风险分析 Standard Portfolio Analysis of Risk (SPAN)
标准普尔500综合指数预托证券 Standard & Poor's Depository Receipt (SPDR)
标准普尔/香港交易所大型股指数 S&P/HKEx LargeCap
标准普尔/香港交易所小型股50指数 S&P/HKEx SmallCap 50
标准普尔/香港交易所中型股25指数 S&P/HKEx MidCap 25
标准普尔/香港交易所综合指数 S&P/HKEx Composite
标准普尔/香港交易所创业板指数 S&P/HKEx GEM
标准普尔评级 Standard & Poor's Rating
标准登记服务 standard registration service
标准会计准则 standard accounting practice
模拟交易 mock trading
模拟系统 simulation system
欧式期权 European style option
欧洲日圆东京银行同业拆息期货 Euroyen Tibor Futures
欧洲可换股担保债券 Euro-convertible guaranteed bond
欧洲货币债券 Eurobond
欧洲复兴及开发银行（即 世界银行） European Bank of Reconstruction and Development (EBRD) (ie World Bank)
欧洲结算系统 Euroclear
欧洲结算银行 Euroclear Bank
欧洲债券 Eurobond
欧洲经济及货币联盟 European Economic and Monetary Union (EMU)
欧洲证券交易商协会自动报价系统 European Association of Securities Dealers Automated Quotations (EASDAQ)
欧洲议会 European Parliament
欧罗 / 欧元 euro / Euro
盘 order; position
盘存 inventory
盘房 dealing room
盘纸 order form
稽核测试 audit test
线上交易 online trading
线上项目 above the line
线下项目 below the line
线路费 circuit fee
缓行注册(美国) shelf registration facility(US)
蝶式买卖 butterfly spread
复式按金 spread margin
复式期权 spread option
复式盘 spread order
调息日 coupon-reset date
调息按揭 adjustable rate mortgage (ARM)
调整 adjustment
调整表 / 调整声明 statement of adjustments
调整后有形资产净值 adjusted net tangible assets
调整后资产净值 adjusted net assets
调整持仓 position adjustment
调整基数 adjusted basis
谅解备忘录 memorandum of understanding (MOU)
赔偿委员会 Compensation Committee
赔偿基金储备账 Compensation Fund Reserve Account
卖空 short selling
卖空空仓 open short position
卖空股份总额 short interest
卖空价规则 tick rule
卖空卖方 short seller
卖家(期权) writer(options)
卖价 offer price
卖盘 sell order
卖盘价 ask price; asked price
账面值 book value
账面记录 book entry
账面净值 net book value
账面过账 book entry
账龄分析 aging analysis of accounts
《适用于在互联网上宣传或销售集体投资计划的人士的指引》 Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet (CIS Internet Guidance Note)
《适当人选的准则》(证监会) The Fit and Proper Criteria(SFC)
迁册 change of domicile
销售收入 sales revenue
销项增值税 output VAT
饵盘 bait order
余额 balance
学术界谘询委员会(证监会) Academic Advisory Committee(SFC)
学术评审谘询委员会(证监会) Academic and Accreditation Advisory Committee (AAAC)(SFC)
凭证式股东 certificated shareholder
凭证式国库券(中国内地) Certificate Treasury(Mainland China)
《操守准则》 Code of Conduct
操纵价格 price manipulation
担保人 guarantor
担保交易 guarantee transaction
担保物* collateral; security
担保计划 Guarantee Scheme
担保权益 security interest
整合 consolidation; integration
整批输入交收指示 SI Batch File Service
整体持仓 overall position
机构交易员组合系统(澳洲) Portfolio System for Institutional Traders (POSIT)(Australia)
机构投资者 institutional investor
机构客户 institutional client
机构计划书(证监会) Corporate Plan(SFC)
机构风险 institutional risk
历史成本 historical cost
历史波幅 historical volatility
澳洲证券交易所 Australian Stock Exchange (ASX)
澳洲证券及投资监察委员会（澳洲证监会） Australian Securities and Investments Commission (ASIC)
独立上市 separate listing
独立非执行董事 independent non-executive director
独立信托户口 segregated trust account
独立财务顾问 independent financial adviser
独立调查局 Independent Investigation Board
独立顾问 independent adviser
独资经营者 sole proprietor
穆迪投资评级 Moody's Investment Grade
积欠款项 arrears
融通票据 accommodation bill
融资人 financier
融资租赁承担 finance lease commitment
谘询委员会(证监会) Advisory Committee(SFC)
输入买卖盘时段 order input period
「输入与核对分工」功能(中央结算系统) maker-checker facility(CCASS)
办公室前线系统 front-office system
办公室后勤/后勤运作系统 back-office system
迟报交易 late reported sales
选时交易 market timing
选择性销售方式 selective marketing basis
醒目卡 smart card
错误包容 fault tolerance
错误交易合约 mistraded contract
错误陈述 misstatement
随意提增法 arbitrary scale up method
随机分配 random assignment
静态资讯 static information
头寸 position
头寸交易商(商品市场) position trader(commodity market)
头盘 at-the-opening order
龙债券 dragon bond
偿债能力风险 insolvency risk
偿债基金 sinking fund
优先股 preference share; preferred share
优先普通股 preferred ordinary share
优先认购权 pre-emptive right
优质证券 seasoned securities
应付即日差额缴款 intra-day marks payment obligations
应付账款 accounts payable
应用指引 Practice Note
应用研究基金 Applied Research Fund
应用程式界面 Application Programming Interface (API)
应收账款 accounts receivable
应占股权 attributable equity interest
应计收益 accrued revenue
应计利息 accrued interest
应计制(会计) accrual basis(accounting)
应计费用 accrued expenses
应退增值税 recoverable VAT
拟定开市价格 Calculated Opening Price (COP)
档案传送协定 file transfer protocol
档案转换 file transfer
检讨持牌法团财务规管制度工作小组 Working Group on Review of the Financial Regulatory Framework for Licensed Corporations
检讨证券及期货市场规管架构运作专家小组 Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure
《检讨证券及期货市场规管架构运作专家小组报告书》 Report by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure
营业日 business day
营业代表 sales representative
营运指令 working order
营运风险 operational risk
营运/营业租赁 operating lease
营运买卖盘 working order
营运资金 working capital
烛柱图 candlestick chart
获分配人士 assignee
获配售人 placee
获配发人 allottee
获提名董事 proposed director
环球股本证券市场 Global Equity Market
环球债券 global bond
环球预托证券 global depository receipt (GDR)
环球银行财务电信协会 Society for Worldwide Interbank Financial Telecommunications (SWIFT)
瞬像 / 瞬态(电脑) snapshot(computer)
总市值 total market capitalisation; aggregate market value
总按金价值 total margin value
总持仓限额 gross limit
总账 general ledger
总额按金计算 gross margining
联交所交易权 Stock Exchange Trading Right
联交所交易权持有人 Holder of Stock Exchange Trading Right
联交所期权结算所抵押品 SEOCH collateral
联交所期权结算所参与者 SEOCH Participant
联交所资讯服务热线 SEHK Enquiry Hotline
联名个人投资者户口 Joint Individual Investor Account
联合交易所赔偿基金 Unified Exchange Compensation Fund
联合受托人 co-trustee
联邦基金 Federal funds
联邦基金利率 Federal funds rate
联邦结算系统 Fed wire; Fedwire; FedWire
联邦储备系统 Federal Reserve System
联席保荐人 co-sponsor
联席经办人 co-manager
联网 networking
联线投资服务 on-line investment service
联机界面联系 on-line interface
联营公司 associated company; associate company; associate
联系人士 associate
联系设施(电脑) gateway(computer)
联系汇率 pegged exchange rate
联系汇率制 pegged rate system
联系证明书 / 信心保证书 comfort letter
联属公司 affiliated company; affiliate
聪明咭 smart card
临时清盘人 provisional liquidator
临时结算表 Provisional Clearing Statement (PCS)
薪酬利益 remuneration package
豁免 / 豁免规定 waiver
豁免上市地位 exempt listing status
豁免交易商 exempt trader
豁免自营买卖商 Exempt Principal Trader
豁免基金经理 Exempt Fund Manager
购回 / 购回股份 repurchase; share repurchase
购股权 share option
购买力平价 purchasing power parity (PPP)
避税 tax avoidance
《迈进新纪元》(刊物) Positioning for a New Era(publication)
还本付息* redemption
还盘 counter order
锅炉室 boiler room
隐藏交易额买卖盘 hidden-size order
点子 basis point
储备 reserve
储备基金 reserve fund
戴维森报告书（即 证券业检讨委员会报告书） Ian Hay Davison Report (ie Report of the Securities Review Committee)
渎职行为 misconduct
浏览及挑选 browse and pick
简便指南(自动对盘系统) Quick Reference Guide(AMS)
职工股(中国内地) employee share(Mainland China)
职能划分制度 / 职能分管制度 Chinese Wall
《职业退休计划条例》 Occupational Retirement Schemes Ordinance
职权范围 terms of reference
蓝筹股 blue chip
转手纸 transfer deed; transfer form
转仓 roll-over
转配股(中国内地) individually held state and legal-person share; transfer right share(Mainland China)
转拨 transfer
转让 assignment; transfer
转让人 assignor; transferor
锁仓 locked position
双重上市 / 双边上市 dual listing
双重存档制度；双重呈报规定 dual filing
双边净额结算 bilateral netting
双边价 two-way quote
离岸金融中心 offshore financial centre
离岸盈利重组 offshore profit regrouping
离岸基金 offshore fund
离岸调期 offshore swap
离差(统计) dispersion(statistics)
离场交易 off-floor trading; off-board trading
离场买卖盘 off-floor order
额外按金 additional margin
坏账 bad debt
坏账及呆账拨备/备抵 provision for bad and doubtful debts;
allowance for bad and doubtful debts
缴入股本 paid-up capital; paid-in capital
缴足股本 fully paid-up capital
《2000年证券（保证金融资）（修订）条例》 Securities (Margin Financing) (Amendment) Ordinance 2000
《证券（内幕交易）条例》 Securities (Insider Dealing) Ordinance
《证券（交易商、投资顾问、合伙及代表）规则》 Securities (Dealers, Investment Advisers, Partnerships and Representatives) Rules
《证券（披露权益）具报纪录》 Securities (Disclosure of Interests) Notification History Reports
《证券（披露权益）具报摘要》(刊物) Securities (Disclosure of Interests) Notification Summaries(publication)
《证券（披露权益）条例》 Securities (Disclosure of Interests) Ordinance
《证券（结算所）条例》 Securities (Clearing Houses) Ordinance
《证券（证券借出）规则》 Securities (Stock Lending) Rules
《证券上市规则》（《香港联合交易所有限公司证券上市规则》） Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited)
证券化 securitisation
证券及投资管理局(英国) Securities and Investment Board (SIB)(UK)
证券及衍生工具团体网络 Securities and Derivatives Communication Network (SDNet)
《证券及期货（在证券市场上市 ）规则》 Securities and Futures (Stock Market Listing) Rules
《证券及期货（披露权益－免除 ）规例》 Securities and Futures (Disclosure of Interests - Exclusions) Regulation
《证券及期货（披露权益－证券借贷）规则》 Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
《证券及期货（专业投资者）规则》 Securities and Futures (Professional Investor) Rules
《证券及期货（结算所）条例》 Securities and Futures (Clearing Houses) Ordinance
《证券及期货（认可对手方 ）规则》 Securities and Futures (Recognized Counterparty) Rules
《证券及期货（卖空豁免及证券借出）规则》 Securities and Futures (Short Selling Exemption and Stock Lending) Rules
《证券及期货（转移职能予联交所 ）令》 Securities and Futures (Transfer of Functions - Stock Exchange Company) Order
《证券及期货（稳定价格）规则》 Securities and Futures (Price Stabilising) Rules
《证券及期货中介机构业务调查》(证监会) Securities and Futures Intermediaries Activities Surveys(SFC)
《证券及期货市场改革政策文件》 A Policy Paper on Securities and Futures Market Reform
证券及期货事务上诉委员会 Securities and Futures Appeals Panel (SFAT)
《证券及期货事务上诉委员会（费用）令》 Securities and Futures Appeals Panel (Fee) Order
《证券及期货事务上诉委员会程序规则》 Securities and Futures Appeals Panel Proceedings Rules
证券及期货事务上诉审裁处 Securities and Futures Appeals Tribunal
证券及期货事务监察委员会（证监会） The Securities and Futures Commission (SFC)
《证券及期货事务监察委员会（费用）规则》 Securities and Futures Commission (Fees) Rules
《证券及期货事务监察委员会（周年报表）规则》 Securities and Futures Commission (Annual Returns) Rules
《证券及期货事务监察委员会（职能移交）令》 Securities and Futures Commission (Transfer of Functions) Order
《证券及期货事务监察委员会（征费）（证券）（修订）令》 Securities and Futures Commission (Levy) (Securities) (Amendment) Order
《证券及期货事务监察委员会（征费）规则》 Securities and Futures Commission (Levy) Rules
《证券及期货事务监察委员会（征费）（期货合约）令》 Securities and Futures Commission (Levy) (Futures Contracts) Order
《证券及期货事务监察委员会条例》 Securities and Futures Commission Ordinance
《证券及期货事务监察委员会注册人操守准则》 Code of Conduct for Persons Registered with the Securities and Futures Commission
《证券及期货条例》 Securities and Futures Ordinance
证券代号 stock code
《证券代号名录》 List of Stock Codes
证券市场分析文凭深造课程 Diploma Course in Advanced Securities Market Analysis
证券市场资料研究、培训及监察自动化系统 Securities Market Automated Research, Training & Surveillance System (SMARTS)
《证券市场导报》 Securities Market Herald (publication)
证券市场历史研究计划 Stock Market History Project
证券交易自动报价系统(中国内地) Securities Trading Automated Quotation System(STAQS)(Mainland China)
证券交易委员会(美国) Securities and Exchange Commission (SEC) (US)
《证券交易所合并条例》 Stock Exchanges Unification Ordinance
证券交易法(台湾) Securities and Exchange Act(Taiwan)
证券交易纪录(光碟) Trade Record (Equity)(CD Rom)
证券合伙商号 dealing partnership
证券批销经纪 jobber
证券抵押品 securities collateral
证券的认可价值 admissible securities value
证券保证金融资 share margin financing
证券保证金融资人 securities margin financier
证券按贷财务提供者 share margin finance provider (SMFP)
证券借出人 securities lender
证券借贷协议书 securities borrowing and lending agreement (SBLA)
证券商 dealer
证券商代表 dealer's representative
证券商协会 Institute of Securities Dealers
证券商董事 dealing director
证券登记公司总会有限公司 Federation of Shares Registrars Limited
证券发售事宜工作小组 Securities Offering Issues sub-group
证券期货市场发展工作小组 Securities and Futures Market Development Working Group
证券期货局(台湾) Securities and Futures Bureau(Taiwan)
证券汇集转按 margin pooling
证券业培训课程 Securities Training Programme
《证券业检讨委员会报告书》 Report of the Securities Review Committee
证券经纪考试 Securities Brokers Examination
证券经纪业营商环境工作小组 Working Group on the Business Environment of the Stockbroking Industry
证券经纪课程 Securities Brokers Course
证券经销经纪 jobber
证券经销经纪印花税 jobber stamp duty
证券隔分 segregation of securities
证券赔偿基金委员会(证监会) Securities Compensation Fund Committee(SFC)
《证监快讯》 SFC Alert
《证监会执法月报》 SFC Enforcement Reporter
《证监会强积金产品守则》 SFC Code on MPF Products
证监会双重存档事宜顾问小组 SFC Dual Filing Advisory Group
《关于建立无纸化证券市场的建议的谘询文件》(证监会) Consultation Paper on Proposals for a Scripless Securities Market(SFC)
《关于律师及会计师提供附带投资意见的指引》(证监会) Guidance Note on Incidental Investment Advice Provided by Solicitors and Accountants(SFC)
《关于注册人在首次公开发售中利用互联网收集证券认购申请的指引》(证监会) Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering(SFC)
关连人士 connected person
关连人士交易 related party transaction
关连交易 connected transaction
关税及贸易总协定（关贸总协定） General Agreement on Tariffs and Trade (GATT)
竞价市场 auction market
竞价投标 auction
竞价限价盘 at-auction limit order
竞价盘 at-auction order
筹备董事会 Preparatory Board
议价交易 negotiated transaction
谴责 reprimand; censure
摊销 amortisation
摊薄 dilution
权益列表 entitlement table
权益法(会计) equity method(accounting)
权益股本 equity capital; equity share capital
权益报表(中央结算系统) Entitlement Statement(CCASS)
权责发生制*(会计) accrual basis(accounting)
权衡报告制度 differential reporting
权证 warrant
赎回 redemption
赎回溢价(债券) call premium(bonds)
变现 realisation
变换交易(期权) conversion(options)
变价调整 variation adjustment
智能卡 smart card
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第 3 楼
A Decade of Challenge & Development(publication) 《十载挑战与发展》(刊物)
A Policy Paper on Securities and Futures Market Reform 《证券及期货市场改革政策文件》
abnormal item 非正常项目
about order 近价盘
above par 高于面值
above the line 线上项目
Academic Advisory Committee(SFC) 学术界谘询委员会(证监会)
Academic and Accreditation Advisory Committee (AAAC) (SFC) 学术评审谘询委员会(证监会)
accelerated depreciation 加速折旧
accept order 接价盘
acceptance 承兑
acceptance house 承兑行
accomodation bill 融通票据
Account Transfer Instruction (ATI) 户口转移指示
accountability 责任承担；问责
accountants' report 会计师报告
accounting equation 会计程式
accounting period 会计期间
accounting practice 会计惯例；会计实务
Accounting Society of China (ASC) 中国会计学会
accounting standard 会计准则；会计标准
accounting treatment 会计处理方式
accounts payable 应付账款
accounts receivable 应收账款
accretion 增值
accrual basis(accounting) 应计制；权责发生制*(会计)
accrued expenses 应计费用
accrued interest 应计利息
accrued revenue 应计收益
accumulated depreciation 累计折旧；累积折旧
accumulated interest 累计利息；累积利息
accumulated profits 累计利润；累积利润
acid-test ratio 酸性测试比率
acquisition 收购
acquisition of shells 买壳
acting in concert 一致行动
active business pursuits(GEM) 活跃业务纪录(创业板)
active market 交投活跃
actual market 现货市场
actual price 现货价
actual useful life 实际可用年期
actuary 精算师
ad valorem stamp duty 从价印花税
add-on 附加利益；优惠
additional AMS terminal user 附加自动对盘终端机用家
additional margin 额外按金
Adjudication Division 审裁科
adjustable rate mortgage (ARM) 调息按揭
adjusted basis 调整基数
adjusted net assets 调整后资产净值
adjusted net tangible assets 调整后有形资产净值
adjustment 调整
administering bank 承办银行；经办银行
admissible securities value 证券的认可价值
admitted value 认可值
advance 垫款
advance booking form 排期申请表格
Advertising Guidelines for Collective Investment Schemes 《集合投资计划的广告宣传指引》
Advertising Guidelines for Pooled Retirement Funds 《集资退休基金的广告宣传指引》
Advisory Committee(SFC) 谘询委员会(证监会)
Advisory Specialist Group 专家谘询小组
affiliate; affiliated company 联属公司
after market / aftermarket 二级市场
after-hours dealing 收市后交易
after-tax profits 税后盈利；税后利润；税后溢利
after-tax real rate of return 税后实际回报率
afternoon session 午市
agency account 代理户口；代客买卖户口
Agency Share Transfer System (Mainland China) 代办股份转让系统 (中国内地)
agency trade 经纪交易；代客买卖
agent 代理人
aggregate auction 集合竞价
aggregate market value 总市值
aging analysis of accounts 账龄分析
alert message 讯息提示
All Ordinaries Index (AOI) 所有普通股指数
all-or-none order 全部完成或放弃买卖盘
allotment 配发；股份配发
allottee 获配发人
allowance(accounting) 备抵(会计)
allowance for bad and doubtful debts 坏账及呆账备抵
alpha coefficient alpha 系数
alternate 替任人
alternative investment 另类投资
Alternative Investment Market (AIM)(UK) 另项投资市场(英国)
amalgamation 合并
Amended and Restated Addendum to Memorandum of Understanding Governing Listing Matters 上市事宜谅解备忘录补篇(重订版)
American Chamber of Commerce (AMCHAM) 美国商会
American depository receipt (ADR) 美国预托证券
American Stock Exchange (AMEX) 美国证券交易所
American style option 美式期权
amortisation 摊销
AMS order book 自动对盘系统未完成买卖盘纪录
AMS Second Terminal 自动对盘系统第二终端机
annual accounts 年度账目
annual general meeting (AGM) 股东周年大会
annual report 年报
Appeals Panel(SFC) 上诉委员会(证监会)
appetite for risk 风险容量
Application Programming Interface (API) 应用程式界面
Applied Research Fund 应用研究基金
appreciation 增值
appropriation 拨款
approved borrower 核准借入人
approved deposit fund 认可存款基金
approved lending agent 核准借出代理人
approved redeemable share 核准可赎回股份
arbitrage 套戥；套汇*；套利*
arbitrary scale up method 随意提增法
arithmetic average; arithmetic mean (statistics) 算术平均数(统计)
arm's length transaction 公正交易
arrears 积欠款项；欠款
articles of association 组织章程；组织细则
ASEAN Free Trade Area (AFTA) 东盟自由贸易区
ASEAN Regional Forum 东盟地区论坛
Asia-Pacific Central Securities Depository Group (ACG) 亚太区中央证券存管处组织
Asia Pacific Economic Cooperation (APEC) 亚太经济合作组织
Asia Pacific Loan Market Association 亚太贷款市场协会
Asia Pacific Regional Committee (APRC) of IOSCO 国际证监会组织亚太区委员会
Asian Development Bank (ADB) 亚洲开发银行
Asian dollar bond 亚洲美元债券
Asian dollar market 亚洲美元市场
Asian Securities' Analysts Council (ASAC) 亚洲证券分析员公会
Asian Securities Analysts Federation 亚洲证券分析家协会
ask price; asked price 沽盘价；卖盘价
asset 资产
asset allocation 资产调配；资产调度
asset coverage 资产覆盖率；资产保证
asset injection 注入资产
asset stripper 「拆骨专家」
asset stripping 拆卖资产；资产拆卖
asset swap 资产调换
asset-backed securities (ABS) 抵押证券；有资产支持的债务证券
assignee 受让人；承让人；获分配人士
assignment 转让
assignment(options) 指定分配(期权)
assignor 转让人
assistant supervisor(GEM) 助理主管(创业板)
associate 联系人士
associate; associate company; associated company 联营公司
associated person 相联人
Association Cambiste Internationale 国际外汇同业联会
Association for Investment Management and Research (AIMR) 投资管理研究联会
Association of Chartered Certified Accountants, The 特许公认会计师公会
Association of International Accountants, The 国际会计师公会
Association of National Numbering Agencies (ANNA) 国际编码机构协会
Association of South-East Asian Nations (ASEAN) 东南亚国家协会（东协）
Association of Stockbrokers in Hong Kong (1891) 香港经纪协会（1891年）
at-auction limit order 竞价限价盘
at-auction order 竞价盘
at-best order 最佳价格盘
at-the-close order 收市盘；尾盘
at-the-money option 平价期权；等价期权
at-the-opening order 开市盘；头盘
ATI Batch File Transfer 户口转移指示整批档案传送
attributable equity interest 应占股权
auction 竞价投标
auction(= open outcry) 口头竞价(= 公开喊价)
auction market 竞价市场
Audit Committee(SFC) 核数委员会(证监会)
Audit Committee 审核委员会
audit test 稽核测试
audit trail 审核线索；复核/追查根据
audited accounts 经审核账目
auditor 核数师；审计师*
auditors' report 核数师报告
austerity measures 紧缩措施
Australian Securities and Investments Commission (ASIC) 澳洲证券及投资监察委员会（澳洲证监会）
Australian Stock Exchange (ASX) 澳洲证券交易所
authorised capital 法定股本
authorised clerk 出市员；出市代表
authorised fund 认可基金
authorised representative 授权代表
authorised user 认可用户
automatched stock 自动配对股份
automated screen trading system (AST system) 自动荧幕交易系统
automatic exercise(options) 自动行使(期权)
Automatic Order Matching and Execution System (AMS) 自动对盘及成交系统（自动对盘系统）
Automatic Order Matching and Execution System / Second Generation（AMS/2） 第二代自动对盘及成交系统
（第二代自动对盘系统）
Automatic Order Matching and Execution System / Third Generation (AMS/3) 第三代自动对盘及成交系统
（第三代自动对盘系统）
average daily turnover 平均每日成交额
average value order 平均价盘
B/C date see book close date
Bear ELI see Bear Equity Linked Instrument
BESS see Brokers' Electronic Support Services
BFI see Brokers' Fidelity Insurance Scheme
BIS see Bank for International Settlements
BSS see Broker Supplied System
BTF see Block Trade Facility; Block Trading Facility
Bull ELI see Bull Equity Linked Instrument
back month; distant month 远期月份
back office 后勤办公室
back-office system 办公室后勤系统；办公室后勤运作系统
backdoor listing 借壳上市
backup interactive line 后备联线通讯线路
bad debt 坏账
bait order 饵盘
balance 结余；余额
balance of payments 国际收支平衡；国际收支差额
balance sheet 资产负债表
balance sheet date 年结日
balance sheet equation 资产负债表编制程式
balancing item 平衡项目
bank confirmation 银行确认书；银行证明文件
Bank for International Settlements (BIS) 国际结算银行
Bank of England 英伦银行
Bank of Japan 日本中央银行
bank reconciliation statement 银行对账表
banker's acceptance 银行承兑汇票
banking company 银行
banking facility 银行融通额；银行融资额
Banking Ordinance 《银行业条例》
banner barter transaction 以物易物的虚晃交易
bare trustee 被动受托人
barrier warrant 定界认股证
base day 基准日
base listing document．nbsp 基础上市文件
Basel Agreement 巴塞尔协议
Basel Committee on Banking Supervision (Basel Committee) 巴塞尔银行监管委员会 (巴塞尔委员会)
Basel Concordat 巴塞尔协定
basis point 点子；基点
basket of currencies 一篮子货币
basket warrant 一篮子权证；一篮子备兑证
batch settlement run 多批交收处理程序
Bear Equity Linked Instrument
(Bear ELI) 「看跌」股票挂钩票据
bear market 熊市
bear position 空仓；空头*
bear raid 疯狂抛售
bearer securities 不记名证券
Bearer Treasury(Mainland China) 不记名式国库券(中国内地)
below par 低于面值
below the line 线下项目
benchmark mortgage pool 按揭贷款基准组合
benchmark yield curve 基准收益率曲线
beneficial holder 实益持有人
beneficial interests 实益权益
beneficial owner 实益拥有人
beneficiary 受益人
benefits-in-kind 实物利益
best execution price 最佳成交价
Best Practice Guide on Financial Disclosure by Authorised Institutions(HKMA) 《认可机构披露财务资料的最佳执行指引》
(金管局)
best price 最佳价格
beta coefficient 「啤打」系数
beta test mode 反馈测试模式
bid price 买价；买盘价
bid-asked spread 买卖差价
bidder 买家
Big Bang(UK) 金融大改革(英国)
bilateral netting 双边净额结算
bill of exchange 汇票
binomial option pricing model 「二项式」期权定价模式
Black-Scholes option pricing model 「柏力克－舒尔斯」期权定价模式
"black out" period 限制买卖期
blanket waiver 全面豁免；一般豁免
block order 大额买卖盘
block trade 大手交易；大宗交易*；大额交易
Block Trade Facility; Block Trading Facility (BTF) 大手交易机制；大手交易设施
blocking period 暂停时段
blue chip 蓝筹股
board lot 手；买卖单位
board of directors 董事会
boiler room 锅炉室
bond 债券
bonus issue 派送股份；派送红股；红股发行
bonus share 红股
book building method 累计投标制
book close date (B/C date) 截止过户日期
book closure period 停止过户期间
book entry 账面记录；账面过账
book runner 配售经办人
book value 账面值
bought deal 全数包销
branch certificate 分行证明书
breadth of the market 市场阔度
breakeven point 损益平衡点；打和点
bridging loan 过渡性贷款
Broker Activities Working Team 经纪活动工作小组
Broker Participant(CCASS Participants) 经纪参与者(中央结算系统参与者)
Broker Supplied System (BSS) 经纪自设系统
Broker's Representatives Course 经纪代表课程
Broker's Representatives Examination 经纪代表考试
Brokers' Accounting System 经纪会计系统
Brokers' Electronic Support Services (BESS) 经纪后勤办公室支援服务
Brokers' Fidelity Insurance Committee 经纪忠诚保险计划委员会
Brokers' Fidelity Insurance Scheme (BFI) 经纪忠诚保险计划
brokerage 经纪佣金
brokerage house 经纪行
brought forward(accounting) 承前(会计)
browse and pick 浏览及挑选
bubble economy 泡沫经济
bucketing 对敲
bulk registration service 大批登记服务
Bull Equity Linked Instrument
(Bull ELI) 「看涨」股票挂钩票据
bull market 牛市
bull position 长仓；多头*
Bulletin Board 交易议价板
business day 营业日
business registration certificate 商业登记证
butterfly spread 蝶式买卖
buy and hold strategy 囤仓策略
buy in 补购
buy order 买盘
buy-back(cf repurchase agreement) 回购
buy-out / buyout 收购
CAPI see China Association for the Promotion of Investment
CASIF see Chinese Association of Securities Investment Funds, The
CBO see Collateralised Bond Obligation
CBOE see Chicago Board Options Exchange
CBOT see Chicago Board of Trade
CBRC see China Banking Regulatory Commission
CCASS see Central Clearing and Settlement System
CCMS see Common Collateral Management System
CCP see Central Counterparty
CCSD see Conference of Central Securities Depositories
CDC see China Governmnet Securities Depository Trust & Clearing Co. Ltd.
CDR see China depository receipt
CEDEL see Centrale de Livraison de Valeurs Mobilieres(Europe)
CEPA see Closer Economic Partnership Arrangement
CFA see Corporate Finance Association
CFTC see Commodity Futures Trading Commission(US)
CGT see capital gains tax
CHATS see Clearing House Automated Transfer System
CHESS see Clearing House Electronic Subregister System(Australia)
CHIS see Computershare Hong Kong Investor Services Limited
CICPA see Chinese Institute of Certified Public Accountants
CIMA see Chartered Institute of Management Accountants
CIRC see China Insurance Regulatory Commission
CIS see collective investment schemes
CLO see Collateralised Loan Obligation
CME see Chicago Mercantile Exchange
CMU see Central Moneymarkets Unit(HKMA)
CNS see continuous net settlement
COD see cash on delivery
COP see Calculated Opening Price
CPI see Capital Protected Instrument
CPT see Continuous Professional Training
CSDCC see China Securities Depository and Clearing Corporation Limited
CSRC see China Securities Regulatory Commission
cabinet bid 微值入价；微值交易
cabinet trade 微值交易
Cadbury Committee(UK) 凯伯里委员会(英国)
Cadbury Report(UK) 凯伯里报告书(英国)
Calculated Opening Price (COP) 拟定开市价格
calendar spread(options) 跨期买卖(期权)
call market 短期同业拆放市场
call option 认购期权
call premium(bonds) 赎回溢价(债券)
call spread derivative warrant 跨价衍生权证
call warrant 认购权证；回购权证
call writer 认购期权沽出者
call-over 公开作价
cancelled share 注销股份
candlestick chart 阴阳烛图；烛柱图
capital account 资本账；资本项目*
capital adequacy 资本充裕程度
capital adequacy ratio 资本充裕/充足比率
capital adjustment 资本调整
capital appreciation 资本增值
capital expenditure 资本支出
capital formation 资本筹集；集资
capital gain 资本增值；资本增益
capital gains tax (CGT) 资本增值税；资本增益税
capital loss 资本亏损
capital market 资本市场
capital plus warrant 资本增值权证
capital preservation product 保本产品
Capital Protected Instrument (CPI) 保本证
capital reserve 资本储备
capital value 资本值
capitalisation 资本化；市值
capitalisation issue 资本化发行；资金股本化
capitalisation of interest 利息资本化
carried forward(accounting) 结转(会计)
carry trade 利差交易
cash alternative 现金选择
cash client 现金客户
cash commission rebate;
cash rebate 现金回佣
cash company 现金资产公司
cash flow 现金流向；现金周转
cash flow statement 现金流动表
cash market 现货市场
Cash Market Consultative Panel 现货市场谘询小组
cash marks 现金差额缴款
cash on delivery (COD) 货银对付；现金交收
cash prepayment service 款项预缴服务
cash price 现货价
cash settled ELI 以现金折算的息股证
cash settlement 现金交收
"Caveat Emptor" (let the buyer beware) 「买者自负」原则
CCASS/3 新一代中央结算系统
CCASS Depository 中央结算系统证券存管处
CCASS Guarantee Fund 中央结算系统保证基金
CCASS Internet System 中央结算系统互联网系统
CCASS Operational Procedures 《中央结算系统运作程序规则》
CCASS Participant & Designated Bank List 《中央结算系统参与者及指定银行名录》
CCASS Phone System 「结算通」电话系统
"cease and desist" order 「终止及停止」令
ceiling-floor agreement 上下限协议
censure 谴责；指责
Central Clearing and Settlement System (CCASS) 中央结算及交收系统（中央结算系统）
central counterparty (CCP) 中央结算对手
central depository 中央存管处
Central Moneymarkets Unit (CMU)(HKMA) 债务工具中央结算系统(金管局)
central nominee 中央代理人
central order book 中央买卖盘纪录
central transaction log 中央交易纪录
Centrale de Livraison de Valeurs Mobilieres (CEDEL)(Europe) 中央证券交收系统(欧洲)
centralised borrowing and lending system 中央股份借贷系统
certificate of incorporation 公司注册证书
certificate replacement service 补发证书服务
Certificate Treasury(Mainland China) 凭证式国库券(中国内地)
certificated shareholder 凭证式股东
chain principle 连锁关系原则
Chamber of Hong Kong Listed Companies 香港上市公司商会
change of domicile 迁册
change of year end 更改财政年度结算日期
charge 抵押；押记；收费
charging structure 收费结构
chartered financial analyst 特许财务分析员
Chartered Institute of Management Accountants (CIMA) 特许管理会计师公会
CHATS Payment Instruction 票据交换所自动转账系统付款指示
Chicago Board of Trade (CBOT) 芝加哥期货交易所
Chicago Board Options Exchange (CBOE) 芝加哥期权交易所
Chicago Mercantile Exchange (CME) 芝加哥商品交易所
chief dealer 首席交易员
China Association for the Promotion of Investment (CAPI) 中国投资发展促进会
China Banking Regulatory Commission (CBRC) 中国银行业监督管理委员会（中国银监会）
China Beijing Equity Exchange 北京产权交易所
China depository receipt (CDR) 中国预托证券；中国存托凭证*
China Government Securities Depository Trust & Clearing Co. Ltd. (CDC) 中央国债登记结算有限责任公司(中央国债登记结算公司)
China Insurance Regulatory Commission (CIRC) 中国保险监督管理委员会（中国保监会）
China International Economic and Trade Arbitration Commission 中国国际经济贸易仲裁委员会
China Securities Depository & Clearing Corporation Limited (CSDCC) 中国证券登记结算有限责任公司（中国结算公司）
China Securities Regulatory Commission (CSRC) 中国证券监督管理委员会（中国证监会）
China Securities Regulatory Commission Official Bulletin (publication) 《中国证券监督管理委员会公告》(刊物)
China Stock Markets Web 中国证券市场网页
Chinese Association of Securities Investment Funds, The (CASIF) 中国证券业协会基金公会
Chinese Gold and Silver Exchange Society, The 金银业贸易场
Chinese Institute of Certified Public Accountants (CICPA) 中国注册会计师协会
Chinese News System 中文资讯系统
Chinese Wall 职能划分制度；职能分管制度
churning 频密交易
circuit breaker 跌停板措施；自动暂缓交易机制
circuit fee 线路费
Circular on Provision of Financial Information on the Internet - Licensing Requirements(SFC) 有关在互联网上提供财经资讯的通告 - 发牌规定(证监会)
claim notice 索偿通知
class action shareholder lawsuit 股东集体诉讼
claw back mechanism 回补机制
Clear Talk(publication) 《结算纵横》(刊物)
clearing 结算；清算*
Clearing Agency Participant(CCASS Participants) 结算机构参与者(中央结算系统参与者)
clearing agreement 结算协议书
Clearing Consultative Panel 结算谘询小组
clearing house 结算所
Clearing House Automated Transfer System (CHATS) 票据交换所自动转账系统
Clearing House Electronic Subregister System (CHESS)(Australia) 结算所电子附属登记系统(澳洲)
Clearing Participant(options trading) 结算参与者(期权买卖)
clearing price 结算价；清算价*
client account 客户户口
Client Identity Rule(SFC) 客户身分规则(证监会)
client margin 客户按金
client server architecture 客户伺服器结构
client's agreement 客户协议书；客户合约
close out 平仓；结清
closed-end fund 闭端式基金
Closer Economic Partnership Arrangement (CEPA) 更紧密经贸关系安排
closing buy(options) 平买入仓(期权)
closing contract 平仓合约
closing price 收市价；收盘价
closing sale(options) 平卖出仓(期权)
closing stock 期末存货
closing transaction 平仓交易
closure of books; closure of register 暂停办理过户登记手续
cluster server 群集式伺服器
Coalition on Service Industry(Hong Kong General Chamber of Commerce) 服务业联会(香港总商会)
Code of Banking Practice(HKMA) 《银行营运守则》(金管局)
Code of Best Practice 《最佳应用守则》
Code of Conduct 《操守准则》
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 《证券及期货事务监察委员会持牌人或注册人操守准则》
Code of Conduct for Share Registrars (SFC) 《股份登记机构操守准则》(证监会)
Code of Conduct for Sponsors and Independent Financial Advisers 《保荐人及独立财务顾问的操守准则》
Code of Conduct Regulations 《专业操守规例》
Code on Investment-linked Assurance Schemes 《与投资有关的人寿保险计划守则》
Code on Pooled Retirement Funds 《集资退休基金守则》
Code on Real Estate Investment Trusts 《房地产投资信托基金守则》
Code on Share Repurchases 《公司购回本身股份守则》
（《股份购回守则》）
Code on Takeovers and Mergers 《公司收购及合并守则》
Code on Unit Trusts and Mutual Funds 《单位信托及互惠基金守则》
cold shoulder order 冷淡对待令
collateral 抵押品；担保物*
collateral eligibility 抵押品资格
Collateralised Bond Obligation (CBO) 债券抵押证券
Collateralised Loan Obligation (CLO) 贷款抵押证券
collateralised warrant 有抵押权证
collective investment fund 集体投资基金
collective investment scheme (CIS) 集体投资计划
Collector of Stamp Revenue 印花税署署长
co-manager 联席经办人
combination order 综合盘；组合盘
combined net tangible assets 合并有形资产净值
combo order 综合盘；组合盘
comfort letter 联系证明书；信心保证书；资料印证工作函
commercial paper 商业票据
commission rebate 佣金回扣；回佣
Commissioner of Insurance 保险业监理专员
Committee of Payment System(HKMA) 支付系统小组委员会(金管局)
Committee on Unit Trusts(SFC) 单位信托委员会(证监会)
commodities dealer 商品交易商
Commodities Trading Ordinance 《商品交易条例》
Commodity Exchanges (Prohibition) Ordinance 《商品交易所（禁止经营）条例》
Commodity Futures Trading Commission (CFTC)(US) 商品期货交易委员会(美国)
Common Collateral Management System (CCMS) 共同抵押品管理系统
common nominee 共用代理人
"common nominee" share certificate 「共用代理人」股票
Common Risk Management System 共同风险管理系统
communication status message line 通讯线路现况显示行
Companies (Amendment) Bill 2003 《2003年公司(修订)条例草案》
Companies (Summary Financial Reports of Listed Companies) Regulation 《公司(上市公司的财务摘要报告)规例》
Companies Registry 公司注册处
Company Bulletin Board(UK) 公司交易板(英国)
Compensation Committee 赔偿委员会
Compensation Fund Reserve Account 赔偿基金储备账
compliance officer(GEM) 法规主任(创业板)
composite order 综合盘；组合盘
composite risk 综合风险
composite table 综合表
composite trades 综合买卖
Comptroller of the Currency(US) 美元总会计长(美国)
compulsory buy-in 强制补购
Compulsory Stock Borrowing and Lending Service in CCASS 中央结算系统强制证券借贷服务
Computershare Hong Kong Investor Services Limited (CHIS) 香港中央证券登记有限公司
concentrated position 集中持仓量
concentration risk 集中风险
concentration risk adjustment 集中风险调整
concept stock 概念股
conditional agreement 有条件协议
conditional cash offer 有条件现金收购；有条件现金要约
Conference of Central Securities Depositories (CCSD) 中央证券存管处国际会议
Conflict Committee 利益冲突事宜委员会
connected person 关连人士
connected transaction 关连交易
consideration 代价；约价*
consideration issue 代价发行
consideration share 代价股份
consolidated financial statement 综合财务报表
consolidation 合并；整合
constitution 组织章程
construction-in-progress 在建工程
Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules 《建议就认可海外规则修订〈证券及期货(稳定价格)规则〉谘询总结》
Consultation Conclusions on Proposals to Enhance the Regulation of Listing 《有关改善规管上市事宜的建议谘询总结》
Consultation Conclusions on the Regulation of Sponsors and Independent Financial Advisers 《有关对保荐人及独立财务顾监管的谘询总结》
Consultation Paper on a Proposed Operational Model for a Scripless Securities Market 《有关无纸化证券市场的建议运作模式的谘询文件》
Consultation Paper on Proposals for a Scripless Securities Market 《关于建立无纸化证券市场的建议的谘询文件》
Consultation Paper on Proposals to Enhance the Regulation of Listing 《有关改善规管上市事宜的建议谘询文件》
Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures 《为便利股份或债权证要约而就《公司条例》提出的修订建议谘询文件》
Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges 《与证券服务有关的收费及费用的良好披露指引草拟本谘询文件》
Consultation Paper on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Action On Behalf of a Company 《有关赋权证券及期货事务监察委员会代表公司提出衍生诉讼的建议谘询文件》
Consultation Paper on the Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel 《有关建议加强监督核数师的公众利益活动及成立财务汇报检讨委员会的谘询文件》
Consultation Paper on the Regulation of On-Line Trading of Securities and Futures 《有关监管证券及期货的网上交易谘询文件》
Consultation Paper on the Regulation of Sponsors and Independent Financial Advisers 《有关对保荐人及独立财务顾问监管的谘询文件》
Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest 《关于处理分析员利益冲突的监管架构的谘询文件》
contested takeover 争夺式收购
contingent liabilities 或然负债
contingent order(LSE) 附带执行买卖盘(伦敦交易所)
contingent premium 或有保费
continuing connected transaction 持续关连交易
continuing obligation 持续责任
continuing operation 持续经营之业务
continuous auction 连续竞价
continuous net settlement (CNS) 持续净额交收
Continuous Professional Training (CPT) 持续专业培训课程
contra broker 对手经纪
contract multiplier 合约乘数
contract note 成交单；成交单据；买卖单据
contract size 合约股数
contract specifications 合约规格
contract unit 合约单位
contracted price 立约成价
contractual mutual fund 合约互惠基金
contrarian 逆向投资者
contribution 供款
control account 统制账户
controller workstation 中央控制工作站
controlling interest 控股权益
controlling shareholder 控股股东；控权股东
conversion(options) 变换交易(期权)
conversion ratio 换股比率
convertible bond 可转换债券；可换股债券
convertible note 可转换票据；可换股票据
convertible redeemable note 可转换可赎回票据；可换股可赎回票据
convertible securities 可转换证券；可换股证券
Co-ordinating Committee on Market Structure Reform 市场架构改革统筹委员会
core earnings 核心盈利
cornering 挟仓
corporate accounting 集团会计
corporate actions service fee 代履行权责服务费
corporate communication 公司通讯
Corporate Exchange Participant 公司交易所参与者
Corporate Finance Adviser Code of Conduct (SFC) 《企业融资顾问操守准则》(证监会)
Corporate Finance Association, The (CFA) 企业融资协会
corporate governance 企业管治；公司治理*
Corporate Governance Action Plan for 2003 2003年企管行动纲领
Corporate Investor Account 公司投资者户口
Corporate Plan(SFC) 机构计划书(证监会)
corporate raider 企业狙击手
Corporate Substantial Shareholders Notification 法团大股东具报书
co-sponsor 副保荐人(创业板)；联席保荐人
cost effectiveness 成本效益
cost of carry 持权成本(期权)；持有成本
co-trustee 联合受托人
counter order 还盘
counterparty 交易对手；对手方
counterparty risk 对手风险
coupon; coupon rate 票面息率；票面利率；券面利率
coupon-reset date 调息日
cover(ie close out a short position = buy in) 平仓
covered call(options) 备兑认购期权
covered option 备兑期权
covered short selling 有担保的卖空交易
covered warrant 备兑权证
covered writing 沽出备兑期权
credit 信贷
credit control 信贷管制
credit limit 信贷额度*
credit rating 信贷评级；信用评级
credit risk 信贷风险
credit squeeze 信贷紧缩；收紧信贷
creditor 债权人
creeper 自由增购率
cross collateral 跨市场抵押品
cross currency trade 货币交叉盘买卖
cross listing 相互上市
cross margining 跨市场按金制度
cross-border listing 跨境上市
crossed market 对敲
crossed trade; cross trade; crossing 交叉买卖；交叉盘买卖
crossing system 交叉盘系统
crude oil futures 原油期货
cumulative advance 累计垫款；累积垫款
currency basket 一篮子货币
currency board system 货币发行局制度；发钞局制度
currency forward 远期货币合约
currency futures 货币期货
currency translation exposure 外币折算风险
currency warrant 货币权证
current account 经常账；往来账
custodian 托管人；保管人
Custodian Participant(CCASS Participants) 托管商参与者(中央结算系统参与者)
DvP see delivery vs payment
DCASS see Derivatives Clearing and Settlement System
DCI see Direct Credit Instruction
DCP see Direct Clearing Participant
DDF see Digital Data Feed
DDI see Direct Debit Instruction
DMT see dual mode terminal
DNS see Depository and Common Nominee System
DTB see Deutsche Terminborse
DTC see deposit-taking company
DTC(US) see Depository Trust Company(US)
daily average funds netting efficiency 款项净额结算每日平均效率
daily average settlement efficiency 每日平均交收效率
daily margin 每日按金
daily margin call 每日按金要求
Daily Movement Statement(clearing) 股份转移日结单(结算)
Daily Trading Activity and Open Positions Summary Report(futures) 每日交易活动及持仓报告(期货)
daily trading limit 每日价格上限
dark fibre 直驳光纤
data feed 数据传送专线
day order 即日买卖盘；即日盘
day trade 即日买卖；「即日鲜」；即日平仓交易
day-end marks 收市差额缴款
de minimus (waiver) provision 最低豁免规定
deal ticket 买卖盘纸
dealer 证券商；交易商
dealer's representative 证券商代表
dealing director 证券商董事
dealing partnership 证券合伙商号
dealing practice 买卖惯例
dealing room 盘房
debenture 债券；债权证
debit 借额
debit balance 借方结余
debt chain 债务链
debt-for-equity swap 债转股
debt market 债务市场
debt repayment 债务偿还
debt securities 债务证券；债券
debt-to-equity ratio 负债比率
debtor 债务人
Declaration and Undertaking with regard to Directors 《董事的声明及承诺》
dedicated line 专用线路
deemed VAT 设定增值税
deep-in-the-money option 极价内期权
deep-out-of-the-money option 极价外期权
default 失责；未能履行责任
default recovery contribution 失责追收供款
defaulter 失责人士
defective securities 问题证券
defence document．nbsp 反收购文件
deferred share 递延股
deferred tax 递延税项
deflation 通货紧缩；通缩
delayed data 延时资讯；非即时数据
delineation of activities 业务划分
delisting 除牌；退市；摘牌*
delivery 交付
delivery vs payment (DvP) 货银两讫；货银同步交收；
货银对付方式交收
delta(options) 对冲值(期权)
delta hedge delta 式对冲；无风险对冲
delta neutral delta 零值
dematerialisation of share certificate 非实物化
demutualisation 股份化；股份制；将会员制转为股份制
denominated in (DM) 以（马克）计值；以（马克）为计价货币；以（马克）为单位
Deposit-Taking Companies Association, The 存款公司公会
deposit-taking company (DTC) 接受存款公司
Depository and Common Nominee System (DNS) 存管处及共用代理人系统
depository nominee 存管代理人
depository receipt 预托证券
Depository Trust Company (DTC)(US) 美国存管信托公司
depreciation 折旧；贬值
deregulation 放宽管制
deregulation of interest rates 放宽利率管制
derivative action 衍生诉讼
derivative warrant 衍生权证
derivatives 衍生产品；衍生工具
Derivatives Clearing and Settlement System(DCASS) 衍生产品结算及交收系统
derivatives market 衍生产品市场；衍生工具市场
Derivatives Market Consultative Panel 衍生产品市场谘询小组
designated bank 指定银行
Designated Compliance Officer 专责监察主任
designated deposit 委托存款*
designated securities 指定证券
Deutsche Bundesbank 德意志联邦银行
Deutsche Terminborse (DTB) 德国期货及期权交易所
diagonal spread 对角买卖
differential reporting 权衡报告制度
Digital Data Feed (DDF) 数码资料传送专线
digital information service 数码资讯服务
dilution 摊薄；稀释*
Diploma Course in Advanced Securities Market Analysis 证券市场分析文凭深造课程
Diploma Course in Derivatives and Risk Management 衍生产品及风险管理文凭课程
direct business; direct business transaction 两边客交易；直接成交
direct clearing 直接结算
Direct Clearing Participant (DCP) 直接结算参与者
Direct Credit Instruction (DCI) 直接存款/存账指示
Direct Debit Instruction (DDI) 直接扣款/扣账指示
direct stock admission(CCASS) 直接纳入中央结算系统的新股
Director's / Chief Executive's Notifications 董事/行政总裁具报书
directors' fee 董事袍金
directors' remuneration 董事酬金
directors' report 董事会报告
Disciplinary Appeals Committee 纪律上诉委员会
Disciplinary Casebook 《纪律案例》
Disciplinary Committee 纪律委员会
disciplinary power 纪律处分权力
disciplinary procedures 纪律程序
disclaimer 免责声明；否定声明；无责任声明
discloseable transaction 须予披露的交易
disclosure 披露；公开；披露事项；资料披露
disclosure-based 以披露为本；以信息披露为重
disclosure of interests 披露权益；公开权益
discontinued operations 已终止经营之业务
discount 低水(期货)；折让；贴现
discount broker 折让经纪；折扣经纪；减佣经纪；低收费经纪
discount rate 贴现率；扣减率
discount window 贴现窗
discounted cash flow 现金流量折现 / 贴现法
discretionary account 全权代客买卖账户；全权委托户口
discretionary bonus payment 酌情支付的花红
discretionary manager 全权管理人
discretionary order 全权委托盘
discretionary power 酌情权
discretionary trust 全权信托
disinflation 滞胀；反通货膨胀
disinterested shareholder 没有利益关系的股东
disintermediation 非中介化；排媒现象
dispersion(statistics) 离差(统计)
disqualification order 吊销资格令
distant month; back month 远期月份
distributable profit 可分派溢利
distribution 分销；分派
distribution in specie 实物分派
dividend and debt securities interest collection service fee 代收股息/债券利息服务费
dividend in specie 以股代息
dividend warrant 股息单
dividend yield 股息率
document．tion risk 文件风险
domestic share(Mainland China) 内资股(中国内地)
dormant company 已停业公司；不活跃公司
Dow Jones Industrial Average 道琼斯工业平均指数
Dow Jones Industrial Average Futures and Options 道琼斯工业平均指数期货及期权
download 下载；收录
downtick 低于最佳卖盘价；低于最好沽盘价
dragon bond 龙债券
dual filing 双重存档制度；双重呈报规定
dual listing 双重上市；双边上市；相互上市
dual mode terminal (DMT) 两用画面终端机
due diligence 尽职审查；仔细审查；仔细审核
dynamic hedging 动态对冲
E day see exercise day
EAOSEF see East Asian and Oceanian Stock Exchanges Federation
EAS price see estimated average settlement price
EASDAQ see European Association of Securities Dealers Automated Quotations
EBRD see European Bank of Reconstruction and Development
ECN see electronic communications network
EDGAR see Electronic Data Gathering, Analysis and Retrieval(US)
EERI see Effective Exchange Rate Index for the Hong Kong Dollar
EFIL see Exchange Fund Investment Limited
EFN see Exchange Fund Note
EGM see extraordinary general meeting
EIPO see Electronic Initial Public Offering service
eIRC see Electronic Investor Resources Centre(SFC)
ELI see Equity Linked Instrument
ELN see equity linked note
EMSIS see Electronic Mailing Stock Information Service
EMU see European Economic and Monetary Union
EPI see Electronic Payment Instruction
EPS see earnings per share
early buy-in 提早补购
early warning system 预警系统
earnings per share (EPS) 每股盈利
East Asian and Oceanian Stock Exchanges Federation (EAOSEF) 东亚及大洋洲证券交易所联会
Economic Development and Labour Bureau 经济发展及劳工局
Effective Exchange Rate Index for the Hong Kong Dollar (EERI) 港汇指数；港元实际汇兑指数
e-FRRR system 电子化财政资源规则报表系统
Electronic Application Instruction for New Issue Shares 电子认购新股指示
electronic communications network (ECN) 电子通讯网络
Electronic Data Gathering, Analysis and Retrieval (EDGAR)(US) 「电子数据收集、分析及检索」系统(美国)
Electronic Initial Public Offering service (EIPO) 电子认购首次公开招股服务
Electronic Investor Resources Centre (eIRC)(SFC) 网上投资者资源中心(证监会)
Electronic Mailing Stock Information Service (EMSIS) 电子传递证券资讯服务
electronic money settlement fee 电子款项交收费
Electronic Money Settlement Services 电子款项交收服务
Electronic Payment Instruction (EPI) 电子收付款指示
electronic trading 电子交易
eligible securities 合资格证券
Eligible Supervisor 合资格主管
e-mail 电子邮件；电子邮递；电邮
E-mail and Group Paging Services 经纪电子邮递及集体传呼服务
emerging market 新兴市场
employee share(Mainland China) 职工股(中国内地)
employer trustee 资方信托人
encumbrances 产权负担
end user 最终用户；最终使用者
End-of-day Trade Data File Transfer Service 收市后资料传送服务
enhanced access to AMS 增强自动对盘系统的市场接触力
enhanced digital datafeed 提升数码资料输送专线
enhanced limit order 增强限价盘
Enhanced Special Stock Trading Method 改良特别股份交易方法
enlarged share capital 经扩大股本
Enquire Announcement Information(CCASS) 查询公布资料(中央结算系统)
Enquire Reported Lost Certificate(CCASS) 「查询报失股票资料」功能(中央结算系统)
Enquire Unmatched SI Reason(CCASS) 查询交收指示未获配对原因(中央结算系统)
Enterprise Information Database 企业资讯资料库
Entitlement Statement(CCASS) 权益报表(中央结算系统)
entitlement table 权益列表
entry price 入市价
equilibrium price 均衡价格；平衡价格
equity base 股本基数
equity capital; equity share capital 权益股本
equity interest 股东权益；股权
Equity Linked Instrument (ELI) 股票挂钩票据
equity linked note (ELN) 与股票挂钩票据；高息票据
equity method(accounting) 权益法(会计)
equity option 股票期权
equity securities 股本证券
equity warrant 股本权证
estimated average settlement price(EAS price) 预计平均结算价
estimated capital value 预计资本值
estimated useful life 估计使用年期
e-Submission system 电子呈交系统
Ethics in Practice - A Practical Guide for Financial Practitioners 《财经有道 - - - 证券、期货及投资界专业道德实务指引》
euro / Euro 欧罗；欧元
Eurobond 欧洲债券；欧洲货币债券
Euroclear 欧洲结算系统
Euroclear Bank 欧洲结算银行
Euro-convertible guaranteed bond 欧洲可换股担保债券
European Association of Securities Dealers Automated Quotations (EASDAQ) 欧洲证券交易商协会自动报价系统
European Bank of Reconstruction and Development (EBRD) (ie World Bank) 欧洲复兴及开发银行（即 世界银行）
European Economic and Monetary Union (EMU) 欧洲经济及货币联盟
European Parliament 欧洲议会
European style option 欧式期权
Euroyen Tibor Futures 欧洲日圆东京银行同业拆息期货
ex unadjusted close 除净日未经调整之收市价
exceptional item 特殊项目
exchange control 外汇管制
Exchange Fund Bill 外汇基金票据
Exchange Fund Investment Limited (EFIL) 外汇基金投资有限公司
Exchange Fund Note (EFN) 外汇基金债券
Exchange Fund Ordinance 《外汇基金条例》
Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited) 《证券上市规则》（《香港联合交易所有限公司证券上市规则》）
exchange loss 汇兑损失
exchange of information 信息交流
Exchange Participant 交易所参与者
Exchange Participant Certificate 交易所参与者证明书
Exchange Participants' Market Shares Report 《交易所参与者市场占有率报告》
exchange quota 汇兑限额
exchange surrender system 银行结汇体系
Exchange Traded Fund 交易所买卖基金；「组合股」
exchange traded option 交易所买卖之期权；场内买卖期权
exchange traded product 场内交易产品
Exchanges and Clearing Houses (Merger) Ordinance 《交易所及结算所（合并）条例》
Exchanges (Special Levy) Ordinance 《交易所（特别征费）条例》
ex-date 除净日
ex-dividend basis 除息基准
execution facilities 交易设施
Executive Committee 常务委员会
executive director 执行董事
Exempt Fund Manager 豁免基金经理
exempt listing status 豁免上市地位
Exempt Principal Trader 豁免自营买卖商
exempt trader 豁免交易商
exercise 行使
exercise day (E day) 行使日
exercise period 行使期；行使时限
exercise price 行使价
exercise price interval 行使价间距
exercise style 行使方式
exit price 平仓价
exotic warrant 非标准型认股证；特种认股证
exotic warrant information(Teletext) 特种备兑证资讯(大利市)
expedited registration service 特快过户登记服务
Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure 检讨证券及期货市场规管架构运作专家小组
expiration date 到期日
expiry date 到期日
expiry month 到期月份
explanatory memorandum 注释备忘录
explanatory statement 说明函件
exponentially-weighted moving average 指数加权移动平均方法
exposure draft 征求意见稿
exposure management 风险管理
Exposure of Draft Code on Corporate Governance Practices and Corporate Governance Report 《企业管治常规守则及企业管治报告征求意见草拟本》
ex-rights 除权
external auditor 外聘核数师；外部核数师
extraordinary general meeting (EGM) 股东特别大会
extraordinary item 非经常项目
extreme move covered fraction 极端波动覆盖分数
extreme move multiplier 极端波动乘数
Fannie Mae see Federal National Mortgage Association
FATF see Financial Action Task Force
FIFO see First in, first out
FOK see Fill-or-Kill
FOMC see Federal Open Market Committee
FRCD see floating rate certificate of deposit
FRN see floating rate note
FRR see Financial Resources Rules
FSA see Financial Services Authority(UK)
face value 面值
Fact Book 《股市资料》
Fact Sheet 《股市资料》
fair market value 公平市值
false market 虚假市场；假市
Far East Exchange, The 远东交易所
fast market 速动市场
fault tolerance 错误包容；故障包容
favourable variance; favourable difference 顺差
feasibility study 可行性研究
Fed wire / Fedwire / FedWire 联邦结算系统
Federal funds 联邦基金
Federal funds rate 联邦基金利率
Federal National Mortgage Association (Fannie Mae) 美国联邦国家房屋贷款协会（房利美）
Federal Open Market Committee (FOMC) 美国联邦公开市场委员会
Federal Reserve System 联邦储备系统
Federation of Shares Registrars Limited 证券登记公司总会有限公司
fellow subsidiary 同系附属公司；同集团附属公司
Fidelity Fund 互保基金
fiduciary 受信人；受托人
fiduciary duty 诚信责任；受信责任
file backup-restore macro 后备资料复原软件
file transfer 档案转换；资料传送
file transfer protocol 档案传送协定
Fill-or-Kill (FOK) 全额或取消；全数执行或立刻取消；全数配对否则取消
Final Clearing Statement(CCASS) 最后结算表(中央结算系统)
final review hearing 最后复核聆讯
Final Settlement Price 最后结算价
Final Settlement Run 最后一轮交收处理程序
Finance Bureau 库务局
finance lease commitment 融资租赁承担
financial accommodation 财务通融
Financial Action Task Force (FATF) 金融行动专责委员会
financial adviser 财务顾问
financial bond 金融债*
financial conglomerate 财资企业集团
Financial Disclosure by Locally Incorporated Authorized Institutions (HKMA) 《本地注册认可机构披露财务资料》(金管局)
financial exposure 财务风险
financial futures 金融期货
financial institution 金融机构
financial instrument 金融工具
financial integrity 财政健全
financial intermediary 金融中介机构/团体
financial intermediation 金融中介现象
financial lease 财务租赁；金融租赁*
financial market 金融市场
Financial Market Development Task Force, The 财经市场发展专责小组
financial regulation 财务监管
financial reporting 财务申报
Financial Resources Rules (FRR) 《财政资源规则》
financial results 财务业绩
financial risk 财务风险
Financial Secretary 财政司司长
Financial Services Act(UK) 《金融服务法令》(英国)
Financial Services Authority (FSA)(UK) 英国金融业管理局
Financial Services and the Treasury Bureau 财经事务及库务局
financial shareholder 财政股东
Financial Supervisory Commission(Taiwan) 金融监督管理委员会（金管会）(台湾)
financial year 财政年度
financier 融资人
FinNet 金融服务网络
firm bid and ask quotations 作实买卖价
firm commitment(underwriting) 坚定承诺(包销)
firm order 公司盘
firm order 实盘
firm position 公司仓；行仓
first in, first out (FIFO) 先进先出
First Supplement to the Addendum to Memorandum of Understanding Governing Listing Matters 上市事宜谅解备忘录补篇(附件一)
Fit and Proper Criteria, The(SFC) 《适当人选的准则》(证监会)
fixed-rate mortgage 定息按揭
floating rate certificate of deposit (FRCD) 浮息存款证
floating rate note (FRN) 浮息票据
floor trader 出市代表；出市员
flotation 挂牌买卖；上市
force majeure 不可抗力
forced buy-in 强制补购
forced liquidation 斩仓
foreign exchange exposure 外汇风险
foreign share(Mainland China) 外资股(中国内地)
forex option 外汇期权
forex swap 外汇掉期
Form for Reporting Dealings in Securities Suspended due to Insufficient Public Float 买卖因公众持股量不足而停牌证券的申报表
forward entitlement 远期权利
frame relay trading network 帧中继交易网；讯框传送交易网络
free convertibility 自由兑换
free float 公众持股量
Free Text Area(Teletext) 新闻栏(大利市机股份页)
fringe market 外围市场
front running 行头盘；扒头交易
front-end load 首次认购费
front-month 即月
front-office system 办公室前线系统
FTSE 富时指数有限公司 (原金融时报指数)
FTSE/Hang Seng Asian sector Indexes 恒生/富时亚洲分类指数
FTSE/Hang Seng Asiatop Index 恒生/富时亚洲大企业指数
FTSE/Hang Seng Indexes 恒生/富时指数系列
FTSE/Xinhua China 25 Index 新华富时中国25指数
full disclosure 全面披露
fully diluted earnings per share 全面摊薄每股盈利
fully paid-up capital 缴足股本
fund accounting approach 资金会计法
fund balancing 资金平衡
fund flow 资金流向
fund manager 基金经理
Fund Manager Code of Conduct(SFC) 《基金经理操守准则》(证监会)
fund statement 资金表
fund unit holder 基金份额持有人*
fund utilisation 资金运用
Futures Compensation Fund 期货赔偿基金
Futures Compensation Fund Committee(SFC) 期货赔偿基金委员会(证监会)
GAAP see Generally Accepted Accounting Principles
GATT see General Agreement on Tariffs and Trade
GCP see General Clearing Participant
GDP see gross domestic product
GDR see global depository receipt
GEI see Growth Enterprise Index
GEM see Growth Enterprise Market
GNP see gross national product
GTC see good-till-cancelled order
GTD see good-till-date order
GTSM see GreTai Securities Market(Taiwan)
gateway(computer) 联系设施；网间连接器(电脑)
gearing ratio 杠杆比率；资本负债比率
GEM Investor Guide 《创业板投资者指南》
GEM Listing Committee 创业板上市委员会
GEM Listing Rules (Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited) 《创业板上市规则》（《香港联合交易所有限公司创业板证券上市规则》）
General Advisory and Support Working Team 一般谘询及支援工作小组
General Agreement on Tariffs and Trade (GATT) 关税及贸易总协定（关贸总协定）
General Clearing Participant (GCP) 全面结算参与者
general ledger 总账
general mandate 一般性授权
general offer 全面收购建议
General Rules of CCASS 《中央结算系统一般规则》
Generally Accepted Accounting Principles (GAAP) 《公认会计原则》
gilt-edged securities 金边证券
give-up(options) 过户(期权)
global bond 环球债券
global depository receipt (GDR) 环球预托证券
Global Equity Market 环球股本证券市场
Globex 全球期货交易系统
going concern(accounting) 持续经营(会计)
good for delivery 合格交付
good-for-day order 即日有效买卖盘
good-till-cancelled order (GTC) 取消前有效买卖盘；无时限盘
good-till-date order (GTD) 到期前有效买卖盘
goods-in-transit 付运中货品
goodwill 商誉
governing law 管制法例
government bond 政府债券；国债*
grace period 宽限期
greenshoe(underwriting) 增售条款(包销)
GreTai Securities Market (GTSM)(Taiwan) 中华民国证券柜台买卖中心(台湾)
gross domestic product (GDP) 本地生产总值；国内生产总值
gross margining 总额按金计算
gross national product (GNP) 国民生产总值
Growth Enterprise Index (GEI) 创业板指数
Growth Enterprise Market (GEM) 创业板
Guarantee Fund 保证基金
Guarantee Scheme 担保计划
guarantee transaction 担保交易
guaranteed unit trust 保本信托基金
guarantor 担保人；保证人
Guidance Note 指引摘要
Guidance Note Continuous Professional Training 《持牌人进行持续培训的指引》
Guidance Note for Persons Advertising or Offering Collective Investment Scheme on the Internet (CIS Internet Guidance Note) 《适用于在互联网上宣传或销售集体投资计划的人士的指引》《集体投资计划互联网指引》
Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements(SFC) 《有关申报卖空活动及备存证券借出纪录规定的指引》(证监会)
Guidance Note on Competence 《持牌人胜任能力的指引》
Guidance Note on Incidental Investment Advice Provided by Solicitors and Accountants(SFC) 《关于律师及会计师提供附带投资意见的指引》(证监会)
Guidance Note on the Application of the Electronic Transactions Ordinance to Contract Notes(SFC) 《有关电子交易条例内适用于成交单据的规定的指引》(证监会)
Guidance Note on Position Limits and Large Open Position Reporting Requirements(SFC) 《持仓限额及大额未平仓合约的申报规定指引》(证监会)
Guide for Directors of Listed Companies 《上市公司董事指引》
Guide on disclosure of price-sensitive information 《股价敏感资料披露指引》
Guideline on Corporate Governance of Locally Incorporated Authorized Institutions(HKMA) 《本地注册认可机构的企业管治指引》(金管局)
Guideline on Role of the Receiving Bank in New Share Issues(HKMA) 《收款银行在新股发行中扮演的角色指引》(金管局)
Guidelines for Electronic Public Offerings(SFC) 《电子公开发售指引》(证监会)
Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering(SFC) 《关于注册人在首次公开发售中利用互联网收集证券认购申请的指引》(证监会)
Guidelines on Hedge Funds Reporting Requirements(SFC) 《对冲基金汇报规定指引》(证监会)
Guidelines on the Vetting and Regulation of Applications for Listing on the GEM in Hong Kong by Mainland Enterprises(Mainland China) 《境内企业申请到香港创业板上市审批与监管指引》(中国内地)
Guidelines on Waivers of Certain Licensing Fees(SFC) 《宽免缴付若干牌照费用的指引》(证监会)
HIBOR see Hong Kong Interbank Offered Rate
HKAOB see Hong Kong Association of Online Brokers, The
HKATS see Hong Kong Futures Automated Trading System
HKCC see HKFE Clearing Corporation Limited
HKEx see Hong Kong Exchanges and Clearing Limited
HKFE see Hong Kong Futures Exchange Limited
HKICPA see Hong Kong Institute of Certified Public Accountants
HKICS see Hong Kong Institute of Company Secretaries, The
HKIFA see Hong Kong Investment Funds Association
HKII see Hong Kong Institute of Investors
HKIMR see Hong Kong Institute for Monetary Research
HKMA see Hong Kong Monetary Authority
HKSCC see Hong Kong Securities Clearing Company Limited
HKSIR see Hong Kong Standards on Investment Circular Reporting Engagements
HS100 see Hang Seng 100
HSAI see Hang Seng Asia Index
HSCCI see Hang Seng China-Affiliated Corporations Index
HSCEI see Hang Seng China Enterprises Index
HSCI see Hang Seng Composite Index
HSHKCI see Hang Seng Hong Kong Composite Index
HSHKLI see Hang Seng HK LargeCap Index
HSHKMI see Hang Seng HK MidCap Index
HSHKSI see Hang Seng HK SmallCap Index
HSI see Hang Seng Index
HSITI see Hang Seng IT Index
HSITP see Hang Seng IT Portfolio Index
HSLRI see Hang Seng London Reference Index
HSMLCI see Hang Seng Mainland Composite Index
HSMLFI see Hang Seng Mainland Freefloat Index
haircut 折扣；减省
Handbook on Disciplinary Proceedings 《纪律处分程序手册》
Hang Seng 100 (HS100) 恒生100
Hang Seng Asia Index (HSAI) 恒生亚洲指数
Hang Seng China-Affiliated CorporationsIndex (HSCCI) 恒生香港中资企业指数（中资企业指数）
Hang Seng China Enterprises Index (HSCEI) 恒生中国企业指数（恒生国企指数）
Hang Seng Composite Index (HSCI) 恒生综合指数
Hang Seng Freefloat 50 恒生流通50
Hang Seng Freefloat Composite Index (HSFCI) 恒生流通综合指数
Hang Seng Freefloat HK 25 恒生流通香港25
Hang Seng Freefloat Mainland 25 恒生流通中国内地25
Hang Seng HK Freefloat Index (HSHKFI) 恒生香港流通指数
Hang Seng HK LargeCap Index (HSHKLI) 恒生香港大型股指数
Hang Seng HK MidCap Index (HSHKMI) 恒生香港中型股指数
Hang Seng HK SmallCap Index (HSHKSI) 恒生香港小型股指数
Hang Seng Hong Kong Composite Index(HSHKCI) 恒生香港综合指数
Hang Seng Index (HSI) 恒生指数
Hang Seng Index Futures 恒指期货
Hang Seng Index Options 恒指期权
Hang Seng IT Index (HSITI) 恒生资讯科技指数
Hang Seng IT Portfolio Index (HSITP) 恒生资讯科技组合指数
Hang Seng London Reference Index (HSLRI) 恒生伦敦参考指数
Hang Seng Mainland Composite Index(HSMLCI) 恒生中国内地综合指数
Hang Seng Mainland Freefloat Index(HSMLFI) 恒生中国内地流通指数
hard currency 硬货币；价值稳定的货币
hawking of securities 兜售证券
heavy trading 交投畅旺
hedge fund 对冲基金
hedging 对冲
hedging ratio 对冲比率
Heritage Foundation, The(US) 传统基金会(美国)
HIBOR Futures Market Update 《港元利率期货市场通讯》
HIBOR Futures Strip 港元利率期货迭期
hidden-size order 隐藏交易额买卖盘
high leveraged investment 高杠杆效应的投资
historical cost 历史成本
historical volatility 历史波幅
HKEx (China) Limited 香港交易所(中国)有限公司
HKEx Information Services Limited 香港交易所资讯服务有限公司
HKEx Share Information Board 香港交易所股份资讯板
HKFE Clearing Corporation Limited (HKCC) 香港期货结算有限公司
HKSCC Nominees Limited 香港中央结算（代理人）有限公司
hold matched SI 暂缓执行配对交收指示
Holder of Stock Exchange Trading Right 联交所交易权持有人
holding company 控股公司；母公司
hong 行
Hong Kong Association of Banks 香港银行公会
Hong Kong Association of Financial Advisors 香港财务顾问学会
Hong Kong Association of Online Brokers,The (HKAOB) 香港网上经纪协会
Hong Kong Capital Markets Association 香港资本市场公会
Hong Kong Chinese Enterprises Association 香港中国企业协会
Hong Kong Codes on Takeovers and Mergers and Share Repurchases(publication) 《香港公司收购、合并及股份购回守则》(刊物)
Hong Kong Exchanges and Clearing Limited (HKEx) 香港交易及结算所有限公司（香港交易所）
Hong Kong Exchanges and Clearing Limited Beijing Representative Office 香港交易及结算所有限公司北京代表处
Hong Kong Financial Markets Association 香港财资市场公会
Hong Kong Financial Markets Development Limited 香港金融市场发展有限公司
Hong Kong Futures Automated Trading System (HKATS) HKATS电子交易系统
Hong Kong Futures Exchange Limited (HKFE) 香港期货交易所有限公司（期交所）
Hong Kong General Chamber of Commerce, The 香港总商会
Hong Kong Institute for Monetary Research (HKIMR) 香港金融研究中心
Hong Kong Institute of Certified Public Accountants (HKICPA) 香港会计师公会
Hong Kong Institute of Company Secretaries, The (HKICS) 香港公司秘书公会
Hong Kong Institute of Directors, The 香港董事学会
Hong Kong Institute of Financial Analysts and Professional Commentators, The 香港专业财经分析及评论家协会
Hong Kong Institute of Investment Analysts 香港投资分析员公会
Hong Kong Institute of Investors (HKII) 香港投资者学会
Hong Kong Interbank Clearing Limited 香港银行同业结算有限公司
Hong Kong Interbank Offered Rate (HIBOR) 香港银行同业拆息；港元同业拆息
Hong Kong International Arbitration Centre 香港国际仲裁中心
Hong Kong Investment Funds Association (HKIFA) 香港投资基金公会
Hong Kong Management Association 香港管理专业协会
Hong Kong Monetary Authority (HKMA) 香港金融管理局（金管局）
Hong Kong Mortgage Corporation Limited, The 香港按揭证券有限公司
Hong Kong Securities Clearing Company Limited (HKSCC) 香港中央结算有限公司（香港结算）
Hong Kong Securities Industry, The(publication) 《香港证券业参考手册》(刊物)
Hong Kong Securities Institute 香港证券专业学会
Hong Kong Securities Market Archives and Artifacts Collection Campaign 香港证券市场文献及文物征集计划
Hong Kong Securities Professionals Alumni Association 香港证券业同学会
Hong Kong Securities Professionals Association 香港证券学会
Hong Kong Securities Training Sponsorship Foundation 香港证券培训赞助基金
Hong Kong Society of Financial Analysts 香港财经分析师学会
Hong Kong Standards on Investment Circular Reporting Engagements (HKSIR) 香港投资通函呈报准则
Hong Kong Stock Exchange, The 香港经纪商会（1914年）；
香港证券交易所（1947年）
Hong Kong Stockbrokers Association 香港证券经纪业协会
Hong Kong Stockbrokers' Association (1921) 香港股份商会（1921年）
Hong Kong Venture Capital Association 香港创业投资协会
horizontal spread 跨期买卖
house account 公司户口
house position 公司仓
How to Create Clear Announcements(publication)(SFC) 《如何撰写清楚易明的公布》(刊物)(证监会)
H-shares Index Futures H股指数期货
H-shares Index Options H股指数期权
HSI International Limited 恒指国际有限公司
HSI Services Limited 恒指服务有限公司
hyperlink 超连结
IAS see International Accounting Standards
IASC see International Accounting Standards Committee
ICA England & Wales see Institute of Chartered Accountants in England and Wales
ICPA see Institute of Certified Public Accountants(US)
IEP see Indicative Equilibrium Price
IEV see Indicative Equilibrium Volume
IFC see International Finance Corporation
iIPO see Internet Initial Public Offering service
IMF see International Monetary Fund
IMRO see Investment Management Regulatory Organisation
IOC see Immediate-or-Cancel
IoD see Institute of Directors(UK)
IOMA see International Options Markets Association
IOSCO see International Organisation of Securities Commissions
IP see Investor Participant
IPMA see International Primary Markets Association
IPO see initial public offering
ISD see Investment Services Directive(European Union)
ISDA see International Swaps and Derivatives Association
ISFO see International Stock Futures and Options
ISIN see International Securities Identification Numbers
ISMA see International Securities Markets Association
ISO see International Organisation for Standardisation
ISSA see International Securities Services Association
IVRS see Interactive Voice Response System
Ian Hay Davison Report (ie Report of the Securities Review Committee) 戴维森报告书（即 证券业检讨委员会报告书）
illiquidity 流通性不足；流动性不足
Immediate-or-Cancel (IOC) 即时或取消
immobilisation of share certificate 股票非流动化
implied volatility 引伸波幅
inactive order 不动盘
income approach 收益法
indebtedness 债务
indebtedness date 负债日
indebtedness statement 债务报表
independent adviser 独立顾问
independent financial adviser 独立财务顾问
Independent Investigation Board 独立调查局
independent non-executive director 独立非执行董事
index arbitrage 指数套戥
index basket order 一篮子指数买卖盘
index bond 指数债券
index call warrant 指数认购权证
index depository receipt / index share 指数预托证券
index futures 指数期货
Index of Economic Freedom 经济自由指数
index participation unit 指数参与单位
index swap 指数掉期
index warrant 指数权证
index-linked product 与指数挂钩的金融产品
indicated issue price 参考发行价
Indicative Equilibrium Price (IEP) 参考平衡价格
Indicative Equilibrium Volume (IEV) 参考平衡成交量
indicative price 指示价格
indicative terms sheet(warrants) 发行资料摘要(权证)
individual client 个人客户
Individual Exchange Participant 个人交易所参与者
Individual Investor Account 个人投资者户口
individual rating(banking) 自主评级(银行)
Individual Substantial Shareholders Notification 个人大股东具报书
industry scheme 行业基金
inflation indexed monetary policy 通胀指标货币政策
information dissemination 资讯发放；资讯发布
information memorandum 资料备忘录
information service 资讯服务
information vendor 资讯供应商
infrastructure project 基建工程；基建项目
initial listing fee 首次上市费
initial margin(futures) 基本按金(期货)
initial public offering (IPO) 首次公开招股；初次公开招股
Initial Public Offerings Progress Report 首次公开招股之进度报告
initial subscription price 初步认购价
Inland Revenue Ordinance 《税务条例》
inner reserve 内部储备
Innovation and Technology Fund 创新及科技基金
input VAT 进项增值税
insider dealer 内幕交易者
insider dealing 内幕交易
Insider Dealing Tribunal 内幕交易审裁处
insolvency 无力偿债；无偿债能力；资不抵债
insolvency risk 偿债能力风险
inspection visit 查访
Institute of Certified Public Accountants (ICPA)(US) 执业会计师公会(美国)
Institute of Chartered Accountants in England and Wales (ICA England & Wales) 英格兰及威尔斯特许会计师公会
Institute of Chartered Financial Analysts 特许财务分析员公会
Institute of Directors (IoD)(UK) 公司董事学会(英国)
Institute of Financial Planners of Hong Kong, The 香港财务策划师学会
Institute of Securities Dealers 证券商协会
institutional advancement 结构改进
institutional client 机构客户
institutional investor 机构投资者
institutional risk 机构风险
instrument of transfer 过户文件
intangible asset 无形资产
integrated trading and clearing system 交易及结算综合系统
Interactive Voice Response System (IVRS) 互动语音电话系统
interbank market 银行同业拆借市场
interest collar; interest rate collar 利率衔接
interest cover; interest coverage 盈利对利息倍数
interest-rate ceiling 利率上限
interest-rate futures 利率期货
interest rate subsidy(Mainland China) 利息补贴(中国内地)
interest-rate swap 利率掉期；利率调期*
Interest Rate Swap Futures 利率掉期期货
interfacing 界面联系
interim report 中期报告
Inter-Market Coordination Committee 跨市场协调委员会
intermediary 中介机构；中介团体
intermediate holding company 中介控股公司
intermediation 中介现象
internal audit 内部稽核
internal auditor 内部核数师
internal censure 内部谴责
internal control 内部监控
Internal Control Regulations 《内部监控规例》
International Accounting Standards (IAS) 国际会计准则
International Accounting Standards Committee (IASC) 国际会计准则委员会
International Committee on the Listing of New Enterprises 新企业上市国际委员会
International Finance Corporation (IFC) 国际金融公司
International Financial Action Task Force 国际金融行动专责小组
International Monetary Fund (IMF) 国际货币基金
International Options Markets Association (IOMA) 国际期权市场协会
International Organisation for Standardisation (ISO) 国际标准化组织
International Organisation of Securities Commissions (IOSCO) 国际证券事务监察委员会组织（国际证监会组织）
International Primary Markets Association (IPMA) 国际集资市场协会
International Securities Identification Numbers (ISIN) 国际证券号码
International Securities Markets Association (ISMA) 国际证券市场协会
International Securities Numbering System 国际证券号码编制系统
International Securities Services Association (ISSA) 国际证券服务业联会
International Stock Futures and Options(ISFO) 国际股票期货及期权
International Swaps and Derivatives Association (ISDA) 国际掉期业务及衍生投资工具协会
个人简介
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E-mail: haha@FanE.cn
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第 4 楼
Internet 互联网
Internet Initial Public Offering (iIPO) service 网上认购新股服务
internet order connection 开放式网间联系买卖
interpretive guidelines 说明指引
in-the-money option 价内期权
intraday liquidity 即日流动资金
intra-day margin 即日额外按金
intra-day margin call 即日追补按金
intra-day marks collection mechanism 收取即日差额缴款机制
Intra-day Marks Collection Report(clearing) 即日差额缴款报告(结算)
intra-day marks payment obligations 应付即日差额缴款
intra-day money market 单日货币市场；即日拆借市场
intraday quotation 即日报价
intraday repurchase agreement(banking) 即日回购协议(银行)
intra-group transactions 集团内部交易
intranet 内联网
intrinsic value 内在值
introducing agent 介绍代理人
introduction(listing method) 介绍形式上市
inventory 存货；盘存
investee 投资对象
investment adviser 投资顾问
Investment Advisory Committee 投资顾问委员会
investment analyst 投资分析员
investment grade 投资级别
Investment Management Regulatory Organisation (IMRO) 英国投资管理监管组织
investment philosophy 投资理念
Investment Services Directive (ISD)(European Union) 投资服务指令(欧洲联盟)
Investment-linked Assurance & Pooled Retirement Funds Committee(SFC) 与投资有关的人寿保险及集资退休金计划委员会(证监会)
Investor Account Service 投资者户口服务
Investor and the Stock Market(publication) 《投资者与证券市场》(刊物)
Investor Compensation Company Limited 投资者赔偿有限公司
Investor Participant (IP) 投资者户口持有人
isolated trades system(CCASS) 「已划分的买卖」制度(中央结算系统)
issue price 招股价；发行价
issuer 发行人；发行机构
issuer electronic filing system 发行人电子存档系统
Issuer Register 发行人登记册
Issuers and Professional Advisers Survey 《发行人及专业顾问意见调查》
issuer's cash option 发行人可选择支付现金；发行人现金选择权JBRI see Japan Bond Research Institute
Japan Bond Research Institute (JBRI) 日本公社债研究所
jobber 证券经销经纪；证券批销经纪
jobber stamp duty 证券经销经纪印花税
jobbing transaction 庄家之经销交易
Joint Individual Investor Account 联名个人投资者户口
joint stock company 股份有限公司
joint venture 合营企业；合资企业
joint venture contract 合资合同
jumbo certificate(CCASS) 大额股票(中央结算系统)
jumbomize 将股票化零为整
junk bond 垃圾债券
Kam Ngan Stock Exchange, The 金银证券交易所
kiting 做价
Know More About Your Investment(publication) 《投资者应知多点》(刊物)
Kowloon Stock Exchange, The 九龙证券交易所
LAF see Liquidity Adjustment Facility(HKMA)
LAN see Local Area Network
LAW see Liquidity Adjustment Window
LBO see leveraged buy-out
LIFFE see London International Financial Futures and Options Exchange
LIFO see last in, first out
LOBO see Long Only Brokers for Options
LOF see listed open-end fund
LSE see London Stock Exchange
LTOM see London Traded Options Market
large cap stock 大型股
Large Exposure Report Agreement 大额持仓汇报协议
large open position 大额未平仓合约
last accounting date 最后结算日期
last exercise day 最后行使日
last in, first out (LIFO) 后进先出
last recorded price; last traded price 最后成交价
late reported sales 迟报交易
late trading 逾时交易
Law Society of Hong Kong, The 香港律师会
lead manager 主要经办人
lead underwriter 牵头包销商；主承销商*
leading economic indicator 主要经济指标
legal entity 法律实体
legal person share(Mainland China) 法人股(中国内地)
legal risk 法律风险
lender of last resort 最后贷款人；紧急贷款者
lending fee 贷出费
"let the buyer beware" principle 「买者自负」原则
Letter of Exchanges regarding regulatory co-operation for mainland companies to be listed on GEM 有关创业板内地发行人监管合作事宜之换文
level playing field(cf uneven playing field) 公平竞争
leverage 杠杆效应
leveraged buy-out (LBO) 杠杆收购
leveraged foreign exchange introducing agent 杠杆式外汇买卖介绍代理人
leveraged foreign exchange trader 杠杆式外汇买卖商
leveraged foreign exchange trading 杠杆式外汇交易；杠杆式外汇买卖
Leveraged Foreign Exchange Trading(Calls) Rules 《杠杆式外汇买卖（造访）规则》
Leveraged Foreign Exchange Trading (Financial Resources) Rules 《杠杆式外汇买卖（财政资源）规则》
Leveraged Foreign Exchange Trading Ordinance 《杠杆式外汇买卖条例》
leveraged market 杠杆市场
liabilities 负债；债务
licence 特许；牌照
licensed bank 持牌银行
licensing information booklet 发牌资料册
Lifeboat Loan 救市贷款
"Lifeboat" levy 救市特别交易征费
light trading 交投疏落
limit order 限价盘
limited liability company 有限责任公司
liquid asset 速动资产；流动资产
liquid capital 速动资金；流动资金
liquidation 清盘
liquidation(ie forced sale of securities to meet a margin call) 斩仓
liquidity 流通性
Liquidity Adjustment Facility (LAF)(HKMA) 流动资金调节机制(金管局)
Liquidity Adjustment Window (LAW) 流动资金调节窗
liquidity margin 流动资金比率/幅度
liquidity provider 流通量提供者
liquidity ratio 流动资金比率
liquidity risk 流通风险
List of Exchange Participants & Holders of Stock Exchange Trading Rights 《交易所参与者及联交所交易权持有人名录》
List of Stock Codes 《证券代号名录》
Listed corporation 上市法团
listed issuer 上市发行人
listed open-end fund (LOF) 上市开放式基金
listed securities 上市证券
Listing Agreement 上市协议
Listing Chinese Companies in Hong Kong(publication) 《中国公司在香港上市指南》(刊物)
Listing Committee 上市委员会
listing rules 上市规则
loan capital 借贷资本
loan facility 贷款融通
loan stock 债务证券；债券；债权股额；贷款债券；
贷款股
loan syndicate 贷款银团
Local Area Network (LAN) 区域网络；部份区域网络
locked position 锁仓
locked up 冻结
London International Financial Futures and Options Exchange (LIFFE) 伦敦国际金融期货及期权交易所
London Stock Exchange (LSE) 伦敦证券交易所
London Traded Options Market (LTOM) 伦敦期权市场
Long Only Brokers for Options (LOBO) 「只限长仓」期权经纪
long options contract 期权长仓合约
long position 长仓；多头*
MACD see Moving Average Convergence-Divergence
Mass ATI see Mass Account Transfer Instruction
MBO see management buy-out
MESDAQ see Malaysian Exchange of Securities Dealing and Automated Quotation Bhd
MORC see Memorandum of Regulatory Cooperation
MOU see memorandum of understanding
MPF see Mandatory Provident Fund
MSCI Hong Kong Index see Morgan Stanley Capital International Hong Kong Index
MWS see Multi-workstation System
M1 狭义货币供应量
M2 广义货币供应量
Maastricht Treaty 马城条约
main board 主板；第一板
Mainland/Hong Kong Closer Economic Partnership Arrangement 《内地与香港关于建立更紧密经贸关系的安排》
Mainland/Hong Kong Closer Economic Partnership Arrangement - Arrangements relating to Qualifications of Securities and Futures Industry Practitioners 《内地与香港关于建立更紧密经贸关系的安排 - 与证券及期货人员资格有关的安排》
maintenance margin(futures) 维持按金；补仓按金(期货)
major shareholder 主要股东；大股东
major transaction 主要交易；重大交易
maker-checker facility(CCASS) 「输入与核对分工」功能(中央结算系统)
Malaysian Exchange of Securities Dealing and Automated Quotation Bhd (MESDAQ) 马来西亚证券交易所交易及自动报价系统
management buy-out (MBO) 管理层收购；自发性收购
management fee 管理费用
management shareholder 管理层股东
Management, Supervision and Internal Control Guideline(SFC) 《管理、监督及内部监控指引》(证监会)
manager 经办人
mandatory bid; mandatory offer 强制性收购建议
Mandatory Provident Fund (MPF) 强制性公积金
Mandatory Provident Fund Schemes Authority (MPFA) 强制性公积金计划管理局
margin 按金；保证金；「孖展」
margin call 追补按金；补仓通知
margin client 孖展客户；保证金客户
margin coverage ratio 孖展覆盖率；保证金保险范围比率
margin cut 斩仓
margin financing 保证金融资；孖展融资；保证金借贷活动
margin interval 按金间距
margin offset 按金对销
margin parameter 按金参数
margin pooling 证券汇集转按
margin ratio 按金比例
margin relief 按金减免
Margin Securities Trading Account 保证金证券交易户口
margin trading 按金交易；孖展买卖
margin value 保证金价值
margin-after-exercise 行使后按金
margined premium 以按金形式缴付的期权金
margining process 计算按金程序
mark to market / mark-to-market 按市价计值
mark-to-market margin 市价计值按金
market capitalisation 市场总值；市价总值
Market Datafeed 市场数据传送专线
market depth 市场深度
market maker 庄家
Market Maker List 庄家名录
market making 庄家活动；作价买卖
market manipulation 市场操纵；市场操纵行为；造市
Market Misconduct Tribunal 市场失当行为审裁处
market order 市价盘
market participant 市场参与者
market practitioner 市场从业员
market rental 市值租金
market risk 市场风险
market sentiment 市场气氛
market share 市场占有率
market timing 选时交易
market volatility 市场波幅
market-sensitive information 市场敏感资料；影响市场资料
marks / marks payment 差额缴款
Mass Account Transfer Instruction
(Mass ATI) 大量户口转移指示
mass quote 大量开盘
master trust scheme 集成信托计划
maturity 到期；到期日
maximum spread 最大差价限额
Memorandum and Articles of Association 《组织大纲及章程》
memorandum of association 组织大纲
Memorandum of Regulatory Cooperation (MORC) 《监管合作备忘录》
memorandum of understanding (MOU) 谅解备忘录
merchant bank 商人银行
merger 合并
mergers and acquisitions 合并与收购；并购活动*
merit-based 以监管机构评审为本
mid-cap stock 中型股
Mid-day Data File Transfer Service 中午资料传送服务
middle exercise price 中间行使价
middle-priced option 中位价期权
Mini-HSI Futures 小型恒生指数期货合约
Mini-HSI Options 小型恒生指数期权合约
minimum contribution 最低供款额
minimum price fluctuation 最低上落价位；最低价格变动
minimum quote quantity 最少开价数量
minimum response time 最短回复开价时间
minimum transaction size 最低交易数额
Ministry of Finance(Mainland China) 财政部(中国内地)
Ministry of Foreign Trade and Economic Cooperation(Mainland China) 对外经济贸易合作部（外经贸部）(中国内地)
minority controller 次要控制人
minority interest 少数股东权益
minority shareholder 少数股东
minus tick 低于前成交价
misconduct 不当行为；失职行为；渎职行为
misrepresentation 失实陈述；虚报
Misrepresentation Ordinance 《失实陈述条例》
misstatement 虚假声明；错误陈述
mistraded contract 错误交易合约
mock trading 模拟交易
Model Authorisation Letter 标准授权书
Model Code for Securities Transactions by Directors of Listed Issuers 《上市公司董事进行证券交易的标准守则》
Model Code for Sponsors 《保荐人标准守则》
monetary assets 货币资产
monetary base 货币基础
Monetary Policy Committee(PBOC) 货币政策委员会(中国人民银行)
money broker 货币经纪
money laundering 洗黑钱
money market 货币市场；短期资金借贷市场
money settlement fee 款项交收费
money supply 货币供应
money transfer system 款项过户系统
Money World Asia Hong Kong 香港货币及投资汇展
Money World Asia Pte Limited 亚洲货币世界（新加坡）有限公司
moneyness 价值状况
monies advanced 垫款
Monthly Balance Statement(CCASS) 户口结余月结单(中央结算系统)
Monthly Market Statistics 《市场统计月报》
Monthly Return on Movement of Listed Securities 上市证券变动之月报
Moody's Investment Grade 穆迪投资评级
moratorium 股份禁售期
morning session 早市
mortgage loan originator 按揭贷款发放者
mortgage-backed securities 按揭证券
Moving Average Convergence-Divergence (MACD) 移动平均值背驰指标
multi-currency trading 多种货币买卖
multi-jurisdictional equity offering 跨司法区招股活动
Multi-workstation System (MWS) 多工作站系统
multiple application 重复认购
multiple-workstations 多工作站；一线多机
mutual cross-listing 跨国多重上市
mutual fund 互惠基金
NASDAQ see National Association of Securities Dealers Automated Quotations(US)
NCP see Non-Clearing Participant or Non-Clearing Options Trading Participant
(options trading)
NETS see National Electronic Trading System (Mainland China)
New HSMCI see New Hang Seng MidCap 50 Index
naked option writing 沽出未抵押期权
naked short selling 没有预先借货的卖空活动
National Association of Securities Dealers Automated Quotations (NASDAQ)(US) 美国全国证券交易商协会自动报价系统；
美国纳斯达克证券市场
National Bureau of Economic Research(US) 美国国家经济研究局
National Construction Treasury(Mainland China) 国家建设债券(中国内地)
National Electronic Trading System (NETS)(Mainland China) 全国电子交易系统(中国内地)
National Social Security Fund 全国社会保障基金
National Science and Technology Venture Capital Development Center 国家科技风险开发事业中心
negative statement 否定声明
negotiable instrument 可转让票据
negotiated commission 商议佣金
negotiated transaction 议价交易
net admissible assets 认可资产净值
net asset value 资产净值
net asset value per share 每股资产净值
net book value 账面净值
net margining 净额按金计算
net open options contract; net options position 期权合约净持仓
net position 持仓净额
net present value 现金收益净值
net proceeds 集资净额
net tangible assets 有形资产净值
net tangible assets per share 每股有形资产净值
net underwriting commitment 包销承担净值
net worth ratio 净值比率
netting 单价配对(期权)；净额结算；对销
netting by novation(clearing) 以责务变更的方式进行净额结算
networking 联网
New Hang Seng MidCap 50 Index
(New HSMCI) 新恒生50中型股指数
new issue 发行新股；新股发行
New Regulatory Framework, The(SFC) 《新监管制度》(证监会)
news dissemination 资讯发布
news file 资讯档案
next day net settlement system 翌日净额结算系统
Next Settlement Day Due / Overdue Position Report(CCASS) 下一交收日到期/逾期数额报告(中央结算系统)
Nikkei Stock Average 日经平均指数
nil-paid rights 未缴股款股权；未缴款供股权
no-forcing order 全权委托盘
No-Over-Loss Rules 「无超额亏蚀」规则
nominal exchange rate 名义汇率
nominal price 按盘价；现价
nominal value 面值
nominee account 代理人户口
Non-Clearing Participant; Non-Clearing Options Trading Participant (NCP)(options trading) 非结算参与者；非结算的期权买卖参与者(期权买卖)
non-collateralised warrant 无抵押权证
non-dividend paying European call option 不派息欧式认购期权
non-dividend paying European put option 不派息欧式认沽期权
non-executive director 非执行董事
non-market-making transaction 非市场庄家的交易
non-ranking liabilities 非认可负债
non-registered holder 非登记持有人
non-spot month Hang Seng Index futures contract 非现货月恒生指数期货合约
normal order imbalance 正常买卖盘差额
normative statement 规范声明
Notice on Regulation of Share Issues and Listing in Overseas Markets(State Council) 境外发行股票和上市管理通知(国务院)
notifiable transaction 须予公布的交易
novated contract 责务变更合约
novation 责务变更；约务更替
ORS see Order Routing System
Oaths and Declarations Ordinance 《宣誓及声明条例》
Occupational Retirement Schemes Ordinance 《职业退休计划条例》
odd lot 碎股；零股*
off-balance sheet exposure 资产负债表以外之承担/项目
off-balance sheet (financial) instrument 资产负债表外金融工具
off-board trading 场外交易；离场交易
off-floor order 离场买卖盘
off-floor trading 场外交易；离场交易
off-market rules 场外规则
off-market share repurchase 场外购回股份
offer 收购建议；要约
offer by tender 招标发售
offer for sale 公开发售；提呈发售
offer for subscription 公开认购
offer price 卖价；发盘价
offer to the public 公开招股
offering mechanism 招股机制
Office of the Commissioner of Insurance 保险业监理处
offsetting position 相抵持仓
offshore financial centre 离岸金融中心
offshore fund 离岸基金
offshore profit regrouping 离岸盈利重组
offshore swap 离岸调期
omnibus account 综合户口
omnibus client account 综合户口
on-floor order 场内买卖盘
on-going obligation 持续责任
on-line interface 联机界面联系
on-line investment service 联线投资服务
On-line Trading Working Group (SFC) 网上交易工作小组(证监会)
on-market rules 场内规则
online trading 网上交易；线上交易
online transfer 即时转送
open allocation session (HKATS) 开市分配时段(HKATS)
open contract 未平仓合约
open gateway 开放式网间连接器
open interest 未平仓合约
open market operations 公开市场活动
open offer 公开售股；公开发售
open order 开市盘
open outcry(= auction) 公开喊价；公开叫价；口头唱价*
(= 口头竞价)
open outcry trading 公开叫价交易
open position 未平仓合约
open short position 卖空空仓
open-end fund 开放式基金
opening contract 开仓合约
opening price 开市价；开盘价
opening quotations rules 开市报价规则
opening stock 期初存货
opening transaction 开仓交易
operating lease 营运/经营/营业租赁
Operation Procedures for Stamp Duty Collection 征收印花税运作程序
Operational Clearing Procedures for Options Trading Exchange Participants 《结算运作程序 ─ 期权买卖交易所参与者专用》
operational risk 运作风险；营运风险
Operational Trading Procedures for Options Trading Exchange Participants 《交易运作程序 ─ 期权买卖交易所参与者专用》
option 期权
option buyer 期权买方
option class 期权类别
option contract 期权合约
option holder 期权持有人
option position 期权持仓
option pricing model 期权定价模式
option seller 期权卖方
option series 期权系列
option valuation 期权定价
option writer 期权卖方
optional registration service 另选登记服务
Options Broker Exchange Participant 期权经纪交易所参与者
Options Clearing Officer 期权结算主任
Options Clearing Officer Examination 期权结算主任考试
Options Clearing Rules 《期权结算规则》
Options Client's Agreement 期权客户协议书
options delivery instruction 期权交付指令
options digital datafeed 期权数码资料传送专线
Options Exchange Participant 期权交易所参与者
Options Information Service 期权资讯服务
options tariff 期权费用
options trade confirmation 期权交易确认书
Options Trading Exchange Participant 期权买卖交易所参与者
Options Trading Officer 期权交易主任
Options Trading Officer and Representative Examinations 期权交易主任及代表考试
Options Trading Representative 期权交易代表
Options Trading Rules 《期权交易规则》
order 买卖盘；买卖指示
order at discretion 全权委托盘
order book 买卖盘纪录；挂盘册
order-driven 以买卖盘带动
order entry 买卖盘输入
order form 盘纸
order input period 输入买卖盘时段
order instruction 入市指令
order matching 对盘
order matching period 对盘时段
order routing 买卖盘传递
Order Routing System (ORS) 买卖盘传递系统
order throughput 买卖盘处理率
ordinary share 普通股
OTC Bulletin Board (US) 场外交易议价板 (美国)
out-of-the-money option 价外期权
output VAT 销项增值税
outstanding contingent liabilities 未偿或然负债
outstanding loan 未偿还借款
outstanding order 未完成买卖盘
outstanding stock 已发行股份/股本/股票
over-allotment option 超额配发权；超额配股权
over-allotment option scheme 超额配发机制
over-the-counter derivative 场外衍生工具
over-the-counter market 场外证券市场
over-the-counter option 场外期权
overall position 整体持仓
overbooked 超额认购
overbought 超买
overnight liquidity(banking) 隔夜流动资金(银行)
Overnight Report Distribution(CCASS) 即夜传送报告资料服务(中央结算系统)
overnight trade 非即日平仓交易
overseas issuer 海外发行人
overseas listed foreign share(Mainland China) 境外上市外资股(中国内地)
oversold 超卖
oversubscribed 超额认购
overtrading 过量交易
PASLA see Pan Asian Securities Lending Association
PBOC see People's Bank of China
PCS see Provisional Clearing Statement
P/E see price/earnings ratio
PECC see Pacific Economic Cooperation Council
PIN see personal identification number
PKI see Public Key Infrastructure
POSIT see Portfolio System for Institutional Traders(Australia)
PNS see Proprietary Network System
PPP see purchasing power parity
PRiME see Portfolio Risk Margining System of HKEx
PSE see Pacific Stock Exchange
PSS see Participant Supplied System
PvP see payment vs payment(banking)
PABX Telephone System 内线电话系统
Pacific Economic Cooperation Council (PECC) 太平洋经济合作会议
Pacific Stock Exchange (PSE) 太平洋证券交易所
Pacific-Basin Capital Markets Research Center 太平洋区资本市场研究中心
paid-up capital; paid-in capital 实缴股本；缴入股本
painting the tape 操纵证券价格
Pan Asian Securities Lending Association (PASLA) 亚洲证券借贷协会
paper gold 纸黄金
paper intensive settlement 票据密集交收
paperless trading 无纸化交易
"paper-to-paper" arrangement 票对票方式
par value 票面值
parent company 母公司
parity(options) 平价(期权)
parity value 平衡价值
partially filled order 部份完成的买卖指示
Participant Access Services(futures) 参与者资料提取系统(期货)
Participant gateway 参与者网间连接器
Participant Supplied System (PSS) 参与者自设系统
Particular Transfer(Mainland China) 特别转让股(中国内地)
partly-paid share 未缴足股份
payment vs payment (PvP)(banking) 汇款同步交收；即时汇款同时交收(银行)
payoff 回报；收益
payoff diagram 收益图
payoff period 回收期；回本期
Payout-Protection Rule(options) 「保护偿付」规则(期权)
PC terminal user 个人电脑终端机用户
pegged exchange rate 联系汇率
pegged rate system 联系汇率制；挂钩汇率制
penny stock 细价股；蚊型股
People's Bank of China (PBOC) 中国人民银行
per capita gross domestic product 人均国内生产总值
per capita gross national product 人均国民生产总值
period of solicitation 招售期
Permanent Secretary for Financial Services and the Treasury 财经事务及库务局常任秘书长
perpetual bond 永久债券
personal account dealing guidelines 私人户口交易指引
personal identification number (PIN) 私人密码
phishing 伪冒电子邮件
physical delivery 实物交收
physical inventory 实地盘存
physical market 现货市场
physical price 现货价
physical scrip 实物股票
Pink Sheets (US) 「粉红价单」(美国)
pit 交易圈；交易场
pit trading 场内交易
placee 获配售人；承配人
placing 配售
placing agent 配售代理
placing and top-up 以先旧后新方式配售
placing guidelines 配售指引
placing order 落盘
plain vanilla bond 传统债券
plain vanilla warrant 一般权证
pledge 抵押
plus tick 高于前成交价
port fee 接驳站费用；接口费
portfolio 投资组合
Portfolio Analyser(options) 组合分析仪(期权)
portfolio manager 投资组合经理
Portfolio Risk Margining System of HKEx (PRiME) 香港交易所组合风险按金系统
Portfolio System for Institutional Traders (POSIT)(Australia) 机构交易员组合系统(澳洲)
position 持仓；仓；盘；头寸
position adjustment 调整持仓
position limit 持仓限额；持仓上限
position limit ratio 持仓限额比率
position ratio 持仓比例
position risk adjustment 持仓风险调整
position squaring 平仓
position trader(commodity market) 头寸交易商(商品市场)
Positioning for a New Era(publication) 《迈进新纪元》(刊物)
post-listing acquisition 上市后的收购活动
power of attorney 授权书
power of sanction 制裁权
Practice Note 应用指引
PRC issuer 中国内地发行人
predator(takeover) 狙击手(收购)
Predefined Futures Calendar Spreads 预设期货跨期合约
pre-emptive right 优先认购权
preference / preferred share 优先股
preferred ordinary share 优先普通股
Pre-market Opening Mechanism(futures) 开市议价机制(期货)
pre-open allocation session(HKATS) 开市前分配时段(HKATS)
premium 溢价
premium(futures) 高水(期货)
premium(options) 期权金(期权)
premium turnover 期权金成交额
pre-opening session 开市前时段；开市前议价时段
pre-order matching period 对盘前时段
Preparatory Board 筹备董事会
prescribed percentage 指定百分比
previous closing price 前收市价
price cheating 食价
price discovery 市场定价；市场价格厘定；价格发现
price manipulation 操纵价格；造价
price ramping 炒高价格
Price Reporting System(futures) 报价系统(期货)
price spread(options) 跨价买卖(期权)
price/earnings ratio (P/E) 市盈率
price-sensitive information 股价敏感资料；影响股价资料
pricing model 定价模式
primary listing 第一上市
Primary Market Database 上市公司资料库
primary market 集资市场；一级市场*
primary sponsor 主要保荐人
principal account 公司户口
principal supervisor(GEM) 主要主管(创业板)
principle of best execution 以最佳价格执行交易的原则；
以最佳条件执行交易的原则
Priority Construction Treasury(Mainland China) 国家重点建设债券(中国内地)
private fibre optical circuit 自置光纤线路
private placing 私人配售
privately-offered fund 私募基金*
privatisation 私有化；私营化
privileged user 特许使用者
pro forma fully diluted price/earnings ratio 备考全面摊薄市盈率
pro forma statement 备考报表
Process Review Panel 程序覆检委员会
Professional Accountants Ordinance 《专业会计师条例》
Professional Conduct Rules and Regulations(publication) 《专业操守规则及规例》(刊物)
Professional Course for Equity Options Practitioners 股票期权从业员专业课程
profit 溢利；利润；盈利
profit and loss account 损益账
profit forecast 溢利预测
profits attributable to shareholders 股东应占溢利
programme trading 程式买卖；程式交易
project finance 项目融资
Project on the Use of Plain Language 浅白语言计划
Prolonged Suspension Status Report 有关长时间停牌公司之报告
promoter 发起人
property gains tax 物业增值税
property valuer 物业估值师
proposed director 获提名董事
proprietary account 公司专用户口
Proprietary Network System (PNS) 专线网络系统
proprietary routing terminal 专用网络系统
proprietary trading 自营买卖；坐盘
proprietary trading system 专用交易系统
prospectus 招股章程；招股书；发行章程
Protection of Investors Ordinance 《保障投资者条例》
Provident Fund Scheme 公积金计划
provision 条文
provision(accounting) 准备；拨备(会计)
provision for bad and doubtful debts 坏账及呆账拨备
Provisional Clearing Statement (PCS) 临时结算表
provisional letter of allotment 暂定配额通知书
provisional liquidator 临时清盘人
proxy form 代表委任表格；委派代表书
prudence 审慎原则
public address system 公布系统
public censure 公开谴责
Public Debt (Inflation-Linked Subsidy) Treasury(Mainland China) 保值公债(中国内地)
public float 公众持股量
public float capitalisation 公众持股市值
public interest 公众利益
Public Interest Director 公众利益董事
Public Key Infrastructure (PKI) 公开密码匙基础建设
purchasing power parity (PPP) 购买力平价
put option 认沽期权
put warrant 认沽权证
put writer 认沽期权沽出者
QDII see Qualified Domestic Institutional Investor
QFII see Qualified Foreign Institutional Investor
qualification share 资格股
Qualified Domestic Institutional Investor (QDII) 合格境内机构投资者
Qualified Foreign Institutional Investor (QFII) 合格境外机构投资者
qualified institutional buyer 合资格机构买家
qualified opinion 保留意见
Quick Reference Guide(AMS) 简便指南(自动对盘系统)
quiet trading 交投淡静
quotation rules 报价规则
quote 报价；开价盘
quote maintenance report 开盘状况报告
quote request 报价要求；开价盘要求
quote-driven 以报价带动；以开盘带动
Range ELI see Range Equity Linked Instrument
RDDS see Realtime Digital Data Service
REIT see real estate investment trust
repo see repurchase agreement
RFQ see request for quote
RIQ see Recognised Industry Qualifications
RSI see Relative Strength Indicator
RTGS see Real Time Gross Settlement System(HKMA)
raider(takeover) 狙击手(收购)
rally 回升；反弹
ramping 炒高价格
random assignment 随机分配
Range Equity Linked Instrument (Range ELI) 「勒束式」股票挂钩票据
ranking liabilities 认可负债
rat trading 老鼠仓活动
rate of return 回报率
real estate investment trust (REIT) 房地产投资信托基金
real exchange rate 实质汇率
real time calculation 实时计算
Real Time Gross Settlement system (RTGS)(HKMA) 即时支付结算系统(金管局)
real time information 即时资讯；实时资讯
realisation 变现
Realtime Digital Data Service (RDDS) 即时数码数据服务
realtime digital datafeed 即时数码资料传送专线
rebate 回扣；回佣；佣金回扣
recapitalisation 资本重整
receiving agent 收款代理
receiving bank 收款银行
Recognised Industry Qualifications (RIQ) 认可行业资格
reconciliation 对账
recoverable VAT 应退增值税
red chip 红筹股
redeemable share 可赎回股份
redemption 赎回；兑付*；还本付息*
rediscount 再贴现
Reference for Disclosures in Annual Reports(publication) 《周年报告的参考披露资料》(刊物)
regional index call warrant 地区性指数认购权证
Regional Monitor 《亚太股市脉络》
register of members 股东名册
registered certificate 记名证书
registered dealer 注册证券商
registered financier 注册融资人
registered firm 注册商号
registered intermediary 注册中介团体
registered owner 登记持有人
registered securities 记名证券
Registered Trader 注册庄家
Registered Treasury(Mainland China) 记账式国库券(中国内地)
registrar 过户登记处；过户处
Registrar of Companies 公司注册处处长
registration and transfer fee 登记过户费
regulated short selling 受监管之股份卖空活动
regulation 监管
regulatory arbitrage 监管套戥
regulatory body 监管机构
regulatory regime 监管制度
rejected sales 反驳交易
related party transaction 关连人士交易
related person 关连人士
relationship of put-call parity 认沽认购等价关系
relative return 相对回报率
Relative Strength Indicator (RSI) 相对强弱指数
rematerialisation 重新实物化
remote trading access 遥距交易设施
remuneration package 薪酬利益
reorganisation 重组
replacement cost 重置成本
Report by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure 《检讨证券及期货市场规管架构运作专家小组报告书》
Report of the Securities Review Committee 《证券业检讨委员会报告书》
Report on Financial Market Review 《金融市场检讨报告》
Report on the Enhancement of the Financial Infrastructure in Hong Kong 《提升香港的金融基础设施报告》
reporting accountant 申报会计师
reporting period 申报期
reprimand 谴责
repurchase 购回；购回股份
repurchase agreement (repo) 回购协议
request for proposal 征求建议书
request for quote (RFQ)(options) 报价要求(期权)
required rate of return 所需回报率
reserve 储备
reserve fund 储备基金
response time 回应时间
responsibility letter 责任承诺书
responsibility statement 责任声明书
restatement of accounts 重整账目
restricted licence bank 有限制牌照银行
restriction notice 限制通知书
results announcement 业绩公布
resumption of trading 复牌；恢复买卖
retail broker 散户经纪
retail information service 零售资讯服务
retail investor 散户投资者；散户
retained capital 留成资金；保留资金
retained earnings; retained income 留存盈利；留存收益
retained profits 留存溢利；留存盈利
Reuters Monitor Equities Investment Service 路透社证券投资传视服务
revaluation 重估
reversal contract(options) 逆转交易合约；取消交易合约(期权)
reverse takeover 反收购
reverse convertibles 反向可转换产品
Revised Guidance Notes Regarding Money Laundering 《防止洗黑钱修订指引》
revised short selling scheme 经修订的股份卖空计划
rights issue 供股；配售新股
risk array algorithm 风险排列算式
risk array margining system 风险排列按金制度
risk array method 风险排列方法
risk control 风险控制
risk disclosure 风险披露
Risk Disclosure Statement(GEM) 风险披露声明书(创业板)
risk evaluation 风险评估
risk identification 风险鉴别
risk management 风险管理
Risk Management Committee 风险管理委员会
risk parameter 风险参数
risk tolerance 风险容限
risk-free interest rate 无风险利率
roadshow 巡回推介
Rolling Forex 日转期汇
roll-over 转仓
round lot 手
"round trip" option transaction 「来回」期权交易
round-lot-plus order 非整手买卖盘
router system 买卖盘传递系统
Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited (GEM Listing Rules) 《香港联合交易所有限公司创业板证券上市规则》（《创业板上市规则》）
Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (Exchange Listing Rules) 《香港联合交易所有限公司证券上市规则》（《证券上市规则》）
Rules of the Exchange 《交易所规则》
runner 驳脚经纪
SAAC see Securities Analysts Association of China
SAC see Securities Association of China, The
SAFE see State Administration of Foreign Exchange(Mainland China)
SASAC see State-owned Assets Supervision and Administration Commission
SBLA see securities borrowing and lending agreement
SCCLR see Standing Committee on Company Law Reform
SCEFI see Steering Committee on the Enhancement of Financial Infrastructure, The
SCORE see Stock Options Reference Educator
SCP see Self Clearing Participant
SDNet see Securities and Derivatives Communication Network
SEAQ see Stock Exchange Automated Quotations System(UK)
SEAQI see Stock Exchange Automated Quotations System for International Equities(UK)
SEATS see Stock Exchange Alternative Trading Service(UK)
SEC see Securities and Exchange Commission(US)
SEHK see Stock Exchange of Hong Kong Limited, The
SEIS see Stock Exchange Information Services Limited
SEOCH see SEHK Options Clearing House Limited, The
SESDAQ see Stock Exchange of Singapore Dealing and Automated Quotation System
SFC see Securities and Futures Commission, The
SFAT see Securities and Futures Appeals Tribunal
SGX see Singapore Exchange
SI see settlement instruction
SIB see Securities and Investment Board(UK)
SMARTS see Securities Market Automated Research, Training & Surveillance System
SMFP see share margin finance provider
SOES see Small Order Entry System/Small Order Execution System(US)
SPAN see Standard Portfolio Analysis of Risk
SPDR see Standard & Poor's Depository Receipt
SRN see Shareholder Reference Number
SSAP see Statement of Standard Accounting Practice
STAQS see Securities Trading Automated Quotation System(Mainland China)
SWIFT see Society for Worldwide Interbank Financial Telecommunications
S&P/HKEx Composite 标准普尔/香港交易所综合指数
S&P/HKEx GEM 标准普尔/香港交易所创业板指数
S&P/HKEx LargeCap 标准普尔/香港交易所大型股指数
S&P/HKEx MidCap 25 标准普尔/香港交易所中型股25指数
S&P/HKEx SmallCap 50 标准普尔/香港交易所小型股50指数
sales representative 营业代表
sales revenue 销售收入
salvage value 残值
same day exercise 同日行使
samurai bond 武士债券
scalable 提高运作的能力
scalping 老鼠仓活动；食价
scheme of arrangement 协议安排；协议计划
screen 荧幕；屏幕*
scrip dividend 以股代息
scrip fee 股票登记费；登记过户费
scrip issue 发行红股
scripless trading 无纸化交易
seasoned securities 优质证券
second board 第二板；第二板市场
second liner; second line stock 二线股
second market 第二板；第二板市场
secondary listing 第二上市
secondary market 交易市场；二级市场
Secretary for Economic Development and Labour 经济发展及劳工局局长
Secretary for Financial Services and the Treasury 财经事务及库务局局长
secured debts 抵押债项
Securities (Clearing Houses) Ordinance 《证券（结算所）条例》
Securities (Dealers, Investment Advisers, Partnerships and Representatives) Rules 《证券（交易商、投资顾问、合伙及代表）规则》
Securities (Disclosure of Interests) Notification History Reports 《证券（披露权益）具报纪录》
Securities (Disclosure of Interests) Notification Summaries(publication) 《证券（披露权益）具报摘要》(刊物)
Securities (Disclosure of Interests) Ordinance 《证券（披露权益）条例》
Securities (Insider Dealing) Ordinance 《证券（内幕交易）条例》
Securities (Margin Financing) (Amendment) Ordinance 2000 《2000年证券（保证金融资）（修订）条例》
Securities (Stock Lending) Rules 《证券（证券借出）规则》
Securities Analysts Association of China (SAAC) 中国证券业协会证券分析师专业委员会
Securities and Derivatives Communication Network (SDNet) 证券及衍生工具团体网络
Securities and Exchange Act(Taiwan) 证券交易法(台湾)
Securities and Exchange Commission (SEC)(US) 证券交易委员会(美国)
Securities and Futures (Clearing Houses) Ordinance 《证券及期货（结算所）条例》
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003 《2003年证券及期货（合约限量及须申报的持仓量）（修订）规则》
Securities and Futures (Disclosure of Interests - Exclusions) Regulation 《证券及期货（披露权益－免除 ）规例》
Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules 《证券及期货（披露权益－证券借贷）规则》
Securities and Futures (Price Stabilising) Rules 《证券及期货（稳定价格）规则》
Securities and Futures (Professional Investor) Rules 《证券及期货（专业投资者）规则》
Securities and Futures (Recognized Counterparty) Rules 《证券及期货（认可对手方 ）规则》
Securities and Futures (Short Selling Exemption and Stock Lending) Rules 《证券及期货（卖空豁免及证券借出 ）规则》
Securities and Futures (Stock Market Listing) Rules 《证券及期货（在证券市场上市 ）规则》
Securities and Futures (Transfer of Functions - Stock Exchange Company) Order 《证券及期货（转移职能予联交所 ）令》
Securities and Futures Appeals Panel 证券及期货事务上诉委员会
Securities and Futures Appeals Panel (Fee) Order 《证券及期货事务上诉委员会（费用）令》
Securities and Futures Appeals Panel Proceedings Rules 《证券及期货事务上诉委员会程序规则》
Securities and Futures Appeals Tribunal (SFAT) 证券及期货事务上诉审裁处
Securities and Futures Bureau(Taiwan) 证券期货局(台湾)
Securities and Futures Commission, The (SFC) 证券及期货事务监察委员会（证监会）
Securities and Futures Commission (Annual Returns) Rules 《证券及期货事务监察委员会（周年报表）规则》
Securities and Futures Commission (Fees) Rules 《证券及期货事务监察委员会（费用）规则》
Securities and Futures Commission (Levy) (Futures Contracts) Order 《证券及期货事务监察委员会（征费）（期货合约）令》
Securities and Futures Commission (Levy) (Securities) (Amendment) Order 《证券及期货事务监察委员会（征费）（证券）（修订）令》
Securities and Futures Commission (Levy) Rules 《证券及期货事务监察委员会（征费）规则》
Securities and Futures Commission Ordinance 《证券及期货事务监察委员会条例》
Securities and Futures Commission (Transfer of Functions) Order 《证券及期货事务监察委员会（职能移交）令》
Securities and Futures Intermediaries Activities Surveys(SFC) 《证券及期货中介机构业务调查》(证监会)
Securities and Futures Market Development Working Group 证券期货市场发展工作小组
Securities and Futures Ordinance 《证券及期货条例》
Securities and Investment Board (SIB)(UK) 证券及投资管理局(英国)
Securities Association of China, The (SAC) 中国证券业协会
securities borrowing and lending agreement (SBLA) 证券借贷协议书
Securities Brokers Course 证券经纪课程
Securities Brokers Examination 证券经纪考试
securities collateral 证券抵押品
Securities Compensation Fund Committee(SFC) 证券赔偿基金委员会(证监会)
securities lender 证券借出人
securities margin financier 证券保证金融资人
Securities Market Automated Research, Training & Surveillance System (SMARTS) 证券市场资料研究、培训及监察自动化系统
Securities Market Herald (publication) 《证券市场导报》
Securities Offering Issues sub-group 证券发售事宜工作小组
Securities Trading Automated Quotation System (STAQS)(Mainland China) 证券交易自动报价系统(中国内地)
Securities Training Programme 证券业培训课程
securities-on-hold mechanism 冻结股份机制
securitisation 证券化
security 抵押品；担保物*
security arrangement 抵押安排；保障安排
security interest 担保权益
"see-through" price 透视价
segregated trust account 独立信托户口
segregation of securities 证券隔分
SEHK Enquiry Hotline 联交所资讯服务热线
SEHK Monthly Bulletin 《香港联合交易所月刊》
SEHK Options Clearing House Limited, The (SEOCH) 香港联合交易所期权结算所有限公司（联交所期权结算所）
selective marketing basis 选择性销售方式
Self Clearing Participant (SCP) 自行结算参与者
self-clearing 自行结算
self-regulatory organisation; self-regulating organisation 自律监管机构
sell order 卖盘；沽盘
sensitivity analysis 敏感度分析
SEOCH collateral 联交所期权结算所抵押品
SEOCH Participant 联交所期权结算所参与者
separate listing 独立上市
Serial Month Hibor Futures 三个月拆息利率期货
series margin value 系列按金价值
set off 抵销
Settled Position Report(CCASS) 已交收数额报告(中央结算系统)
settlement backlog 交收积压
settlement bank 交收银行
settlement cap 交收上限
settlement date 交收日
settlement instruction (SI) 交收指示
Settlement Instruction Batch Upload(CCASS) 交收指示整批传送(中央结算系统)
settlement instruction transaction 「交收指示」交易
settlement period 交收期
Settlement Report(CCASS) 交收报告(中央结算系统)
settlement risk 交收风险
SFC (HKEC Listing) Appeals Committee 证监会（香港交易所上市）上诉委员会
SFC (HKEC Listing) Committee 证监会（香港交易所上市）委员会
SFC (HKEC Listing) Executive 证监会（香港交易所上市）执行人员
SFC Alert 《证监快讯》
SFC Code on MPF Products 《证监会强积金产品守则》
SFC Dual Filing Advisory Group 证监会双重存档事宜顾问小组
SFC Enforcement Reporter 《证监会执法月报》
shadow director 影子董事
Shanghai Municipal Futures Industry Association 上海市期货同业公会
Shanghai Securities Central Clearing and Registration Corporation 上海证券中央登记结算公司
Shanghai Stock Exchange 上海证券交易所
Shanghai United Assets and Equity Exchange 上海联合产权交易所
share capital 股本
share entitlements 股份权益
share exchange 以股换股
share margin finance provider (SMFP) 证券按贷财务提供者
share margin financing 证券保证金融资；股票按贷财务
share option 购股权；股份认购权；认股权；认股期权
share register 股东名册
share registrar 股票过户登记处；过户处
share repurchase 购回股份；股份购回
share scheme 股份计划
shareholder loan 股东贷款
Shareholders Group(SFC) 股东权益小组(证监会)
shareholding 股权
shareware 共用软件
shelf registration facility(US) 暂搁注册；缓行注册(美国)
Shenzhen Securities Clearing Company Limited 深圳证券结算有限公司
Shenzhen Securities Registration Company Limited 深圳证券登记有限公司
Shenzhen Stock Exchange 深圳证券交易所
short call 认购期权空仓；认购短仓
short interest 卖空股份总额
short option 期权短仓
short options contract 期权短仓合约
short position 淡仓；空仓；空头*
short put 认沽期权空仓；认沽短仓
short seller 卖空卖方
short selling 卖空；沽空；抛空
Short Selling Pilot Scheme 股份卖空试验计划
short squeeze 挟仓
short term borrowings 短期举债；短期借贷
short-dated securities 短期证券
short-term money 短期资金
SI Activity Report(CCASS) 交收指示活动报告(中央结算系统)
SI Batch File Service 整批输入交收指示
SI Status Report(CCASS) 交收指示状况报告(中央结算系统)
SI transaction 交收指示的交易
significant shareholder(GEM) 高持股量股东(创业板)
simulation system 模拟系统
Singapore Exchange (SGX) 新加坡交易所
single price auction system 单一价格竞价市场
single share derivative warrant 单一种股份的衍生权证
sinking fund 偿债基金
Sino-foreign equity joint venture 中外合资企业
slow trading 交投呆滞
small cap stock 细价股
Small Order Entry System / Small Order Execution System (SOES)(US) 细盘撮合系统(美国)
Small Order First-In-First-Out 细额先到先得
smart card 聪明卡；醒目卡；灵巧卡
SME Board(Shenzhen Stock Exchange) 中小企业板块(深圳证券交易所)
snapshot 瞬像；瞬态；「定镜」处理
Society for Worldwide Interbank Financial Telecommunications (SWIFT) 环球银行财务电信协会
soft commission 软佣金；非金钱佣金
soft currency 软货币；弱势货币
soft landing 软着陆
soft-dollar benefits 非金钱利益
sole proprietor 独资经营者
source code 源指令码
sovereign debt 外债
sovereign risk 主权风险
Special Levy 特别征费
special limit order 特别限价盘
Special Treasury(Mainland China) 特种国债；特别国债(中国内地)
Special Treatment(Mainland China) 特别处理股(中国内地)
specialised bank 专业银行*
Specialist System(US) 「特许证券商」制度(美国)
speed bump 停市措施
spin-off 分拆；分拆上市
split 股份拆细
Split Register 分列登记册
sponsor 保荐人
Sponsor's Declaration 《保荐人声明》
sponsoring broker 保荐经纪
spot market 现货市场
spot month 现货月
spot price 现货价
spread 价位；差价
spread(options) 跨价/跨期式组合(期权)
spread margin 复式按金
spread of holders 持股人的分布情况
spread of sector 行业覆盖层面
spread option 复式期权
spread order 复式盘
spread table 价位表
spread trading 跨期买卖；跨价买卖
squeeze 挟仓
stagflation 滞胀
staggering maturities 交错到期组合
stamp duty 印花税
Stamp Duty Ordinance 《印花税条例》
Standard & Poor's Depository Receipt (SPDR) 标准普尔500综合指数预托证券
Standard & Poor's Rating 标准普尔评级
standard accounting practice 标准会计准则
standard contract 标准合约
standard deviation 标准差
standard deviation of daily return 每日回报标准差
Standard Portfolio Analysis of Risk (SPAN) 标准组合风险分析
standard registration service 标准登记服务
Standing Committee on Company Law Reform (SCCLR) 公司法改革常务委员会
standstill agreement 暂缓还款协议
standstill return 股价不动时回报
State Administration of Foreign Exchange (SAFE)(Mainland China) 国家外汇管理局(中国内地)
State Bureau for Industrial and Commercial Administration
(Mainland China) 国家工商局(中国内地)
State Council Securities Committee(Mainland China) 国务院证券委员会（证券委）(中国内地)
State Economic and Trade Commission(Mainland China) 国家经济贸易委员会（国家经贸委）(中国内地)
state share(Mainland China) 国家股；国有股(中国内地)
State Statistics Bureau(Mainland China) 国家统计局(中国内地)
State Taxation Bureau(Mainland China) 国家税务局(中国内地)
statement of "non-owner movement in equity" 非所有者权益变动表
statement of account 户口结单
statement of adjustments 调整表；调整声明
Statement of Standard Accounting Practice (SSAP) 《会计实务准则》
Statement of Stock Movement(CCASS) 股份转移报告(中央结算系统)
State-owned Assets Supervision and Administration Commission (SASAC) 国有资产监督管理委员会
state-owned enterprise(Mainland China) 国营企业(中国内地)
static information 静态资讯
Status Report on Issuers' Delay in Releasing Results Announcement 有关发行人延迟公布业绩之报告
statutory public welfare fund(Mainland China) 法定公益金(中国内地)
statutory reserve 法定储备
statutory surplus reserve(Mainland China) 法定公积金(中国内地)
Steering Committee on Organisational Review(SEHK) 组织架构检讨指导委员会(联交所)
Steering Committee on the Enhancement of Financial Infrastructure, The (SCEFI) 金融基础设施督导委员会
stock borrowing and lending 股票借贷
stock borrowing and lending position information page(Teletext) 股票借贷数额资料页(大利市)
stock clearing fee 股份结算费
stock code 股份代号；证券代号
stock conversion 股份收纳
stock custody fee 股份托管费
stock deposit fee 股份存入费
Stock Deposit Form 股份存入表格
Stock Exchange Alternative Trading System (SEATS)(UK) 交易所另项交易系统(英国)
Stock Exchange Automated Quotations System (SEAQ)(UK) 交易所自动报价系统(英国)
Stock Exchange Automated Quotations System for International Equities (SEAQI)(UK) 交易所国际自动报价系统(英国)
Stock Exchange Information Services Limited (SEIS) 香港联合交易所资讯服务有限公司
Stock Exchange of Hong Kong Limited, The (SEHK) 香港联合交易所有限公司（联交所）
Stock Exchange of Singapore Dealing and Automated Quotation System (SESDAQ) 新加坡证券交易所交易及自动报价系统
Stock Exchange Trading Right 联交所交易权
Stock Exchanges Unification Ordinance 《证券交易所合并条例》
stock futures 股票期货
stock lender 股票出借人；贷股人
Stock Lender Participant(CCASS Participant) 贷股人参与者(中央结算系统参与者)
Stock Lending Account(clearing) 股票贷出户口(结算)
Stock Market History Project 证券市场历史研究计划
Stock Market Information Donation Programme 股市资料捐赠计划
stock option 股票期权
Stock Options Reference Educator (SCORE) 股票期权参考教育站
stock page(Teletext) 股份页(大利市机)
stock pledgee 股票承押人；股份承押人
Stock Pledgee Participant (CCASS Participants) 股份承押人参与者(中央结算系统参与者)
stock return 股票归还
Stock Segregated Account with Statement Service(CCASS) 附寄结单服务的股份独立户口(中央结算系统)
stock settlement fee 股份交收费
stock split 股份拆细
stock withdrawal fee 股份提取费
Stockbrokers' Association of Hong Kong (1891) 香港股票经纪会（1891年）
stop limit order 止蚀限价盘
stop order; stop-loss order 止蚀盘
straddle(options) 马鞍式组合(期权)
straight bond 普通债券
straight-through processing 直通式交易程序
straightline method of depreciation 直线折旧法
strangle(options) 勒束式组合(期权)
"street name" share certificate 「街名」股票；待转名股份
strike price(options) 行使价；敲价(期权)
strong dollar 强势美元
sub-commission 回扣/回抽佣金；倒扣
sub-index 分类指数
sub-ledger 分类账
subordinated loan 附属贷款；后偿贷款
subscription 认购
subscription warrant (vs derivative warrant) 股本权证（相对于衍生权证）
subsidiary 附属公司
substantial shareholder 大股东；主要股东
sub-underwriter 分包销商
summary financial report 财务摘要报告
summary offence 轻微违纪事件/行为
supervisor(Mainland China) 监事(中国内地)
supervisory committee(Mainland China) 监事会(中国内地)
supplemental/supplementary listing document．nbsp 补充/增补上市文件
supranational entity 超国家机构
surplus reserve 盈余储备
suspended trading; suspension 停牌
suspense account 暂记账
swap 掉期
Swiss Commodities, Futures and Options Association 瑞士商品、期货及期权协会
syndicated credit 银团融资
syndicated lending 银团贷款
syndicated loan 银团贷款
synthetic long call 合成认购期权长仓
synthetic option 合成期权
synthetics 合成工具
system access right 系统联通权
System Access Right Fee(options) 系统联通权收费(期权)
system closure 系统终止
system integrator 系统整合商
system parameter 系统参数
system sizing 制订系统规模
systematic risk 系统性风险
TAIFEX see Taiwan Futures Exchange
TIGER see Taiwan Innovative Growing Entrepreneurs
TIPS see Theoretical Indicative Pricing System(futures)
TOPIC see Teletext Output of Price Information by Computer(UK)
TOPS see Traded OPtions System
TPC see Third Party Clearing
TraHK see Tracker Fund of Hong Kong
T + 2 T + 2 交收期限
T + 2 settlement system T + 2 交收制度
T + 3 Rule(US) T + 3 规则(美国)
tails(options) 极价外期权；无价期权形式
Taiwan Futures Exchange (TAIFEX) 台湾期货交易所
Taiwan Innovative Growing Entrepreneurs (TIGER) 台湾创新成长企业类股
Taiwan Securities Central Depository Company Limited 台湾证券集中保管公司
Taiwan Stock Exchange Corporation 台湾证券交易所
take-up(options) 接收(期权)
takeover 收购
Takeovers & Mergers Panel(SFC) 收购及合并委员会(证监会)
Takeovers Appeal Committee(SFC) 收购上诉委员会(证监会)
tap facility 持续发售机制
tap issue 不限量发行
tariff 交易费
tax avoidance 避税
tax break 税项减免
tax concession 税项减免
tax evasion 逃税
tax rebate; tax refund 退税
tax relief 税务优惠
Taxation Institute of Hong Kong 香港税务学会
technical analysis 技术分析
Teletext 大利市
Teletext carrier charge 大利市网络供应商费用
Teletext Information Service 大利市资讯服务
Teletext Output of Price Information by Computer (TOPIC)(UK) TOPIC 系统(英国)
Teletext page 大利市版页
Teletext video broadcast service 大利市影像广播服务
temporary receipts 暂收款
Temporary Suspension Status Report 有关暂时停牌公司之报告
tender procedure 投标程序
term bond 定期债券
Terms and Conditions for Investor Participants 《投资者户口持有人规则》
terms of reference 职权范围
Theoretical Indicative Pricing System (TIPS)(futures) 理论性参考价格系统(期货)
third liner 三线股
Third Party Clearing (TPC) 第三者结算
throttle rate 节流率
tick (size) 最低上落价位；最低价格变动
tick rule 卖空价规则；限价卖空规则
tick value 价位值
tier(options) 持仓类别(期权)
TIGER Board(Taiwan) 二类股票(台湾)
time premium 时间值
time spread 跨期买卖
time stamp 时间戳记
time value 时间值
tipper 收取内幕消息人士
top up placing 以先旧后新方式配售
top-up 补充
total margin value 总按金价值
total market capitalisation 总市值
township and village enterprises 乡镇企业
track record 业务纪录
Tracker Fund of Hong Kong (TraHK) 盈富基金
trade acceptance 商业承兑汇票
trade amendment 更正交易；成交调整
trade give-ups(options) 交易转移(期权)
trade reversals(options) 逆转交易；取消交易(期权)
trade-for-trade settlement 逐项交收
traded option 在交易所买卖的期权
Traded Options System (TOPS) 股票期权系统
trader jacket 交易员背心
trading ahead 扒头交易
Trading and Settlement Committee 交易及交收委员会
trading booth 交易柜位
trading calendar 交易日表
trading capacity 交易量；交易能力
trading day 交易日
trading facilities 交易设施
Trading Fee 交易费
trading floor; trading hall 交易大堂
trading halt 勒停板
"trading only" stocks 「非上市可交易」股份
trading pit 交易圈
trading record 成交纪录
trading tariff(cash market) 交易系统使用费(现货市场)
trading unit 交易单位
trading workstation 交易工作站
trading-only board 纯交易板
Transaction Levy 交易征费
transfer 转拨；转让；过户
transfer agent 过户代理
transfer deed 转手纸
transfer deed stamp duty 过户纸（转让）印花税
transfer fee 过户费
transfer form 转手纸
transferee 承让人；受让人
transferor 转让人
translation 换算；折算
transparency 透明度
Treasuries 国库券
treasury bond futures 国债期货*
treasury stock 库存股份；库存股票；留存股票
trial balance 试算表
triangular debt 三角债
trustee 信托人 受托人
turnover ratio 成交额比率
turnover velocity 交易流通速度
two-sided order 两边客买卖盘
"two-state" option valuation model 「二态」期权模式
two-way quote 两边开盘；双边价
UAT see user acceptance test
ups see uninterrupted power supply
ultimate beneficial holder 最终实益持有人
ultimate beneficiary 最终受益人
ultimate originator 最初发起人
umbrella fund 伞子基金
unappropriated profits 未分配溢利；未分配利润
uncertificated shareholder 无凭证式股东
unclaimed brokerage 无人申领之经纪佣金
unconditional and irrevocable guarantee 无条件及不可撤回之担保
unconditional cash offer 无条件现金收购建议；无条件现金要约
uncovered call 无备兑认购期权
uncovered option 无备兑期权
uncovered short selling 没有担保的卖空交易
underbooked 认购不足
underlying asset 相关资产；指定资产
underlying securities 相关证券；指定证券
underlying stock 正股
Understanding Stock Options (and Their Risks)(publication) 《理解股票期权（及其风险）》(刊物)
undersubscribed 认购不足
underwrite 包销；承销*
underwriter 包销商；承销商*
underwriting syndicate 包销银团
undistributed profits 未分派溢利；未分派利润
uneven playing field(cf level playing field) 不公平竞争
"unfair prejudice" remedy 「不公平损害」补救
unfavourable marks(CCASS) 逆差额(中央结算系统)
unfavourable variance; unfavourable difference 逆差
Unified Exchange Compensation Fund 联合交易所赔偿基金
Uniform Cash Client's Agreement 统一现金客户协议书
Uniform Margin Client's Agreement 统一保证金客户协议书
unincorporated registered person 非成立为有限公司的注册人士
uninterrupted power supply (ups) 不停电电源装置；不间断电源装置
unit trust 单位信托基金
unitary board system 单一董事会制
universal clearing house 统一结算所
unregulated issuer 非受监管发行人
unsecured loan 无抵押贷款
uptick 高于前成交价
uptime 正常运行比率
used market 二手市场
useful life 可用年限
user access 用户终端设施
user acceptance test (UAT) 用户接纳测试；用户接收测试
User ID 用户代号
"user pay" principle 「用者自付」原则
VAT see value added tax
VEF see Vendor Electronic Filing System
VSR see Volatility Scan Range
valuation report 估值报告
value added tax (VAT) 增值税
value of equity capital 股本价值
value-added service 增值服务
value-at-risk 风险值；蒙受风险的价值
valuer 估值师
variable contribution 不定额供款
variable-rate mortgage 浮息按揭
variation adjustment 变价调整
Vendor Electronic Filing System (VEF) 供应商电子存档系统
venture capital 创业基金
verification notes 核证附注
vertical spread(options) 跨价买卖(期权)
very substantial acquisition 非常重大的收购事项
very substantial disposal 非常重大的出售事项
vetting 审阅
viatical settlements 保单贴现
Viewing Gallery 访客廊
virtual market 虚拟市场
volatility 波幅
Volatility Scan Range (VSR) 波幅校验范围
WFE see World Federation of Exchanges
waiver 豁免；豁免规定
warrant 权证；认股权证
warranty 保证
wash sale 虚卖；虚售交易；清洗交易
wasting asset(options) 消耗性资产(期权)
Way Forward, The(publication) 《发展路向》(刊物)
Weekly Hong Kong Stock Market Statistics 《每周港股统计数字》
Weighted Index(Taiwan Stock Exchange) 发行量加权股价指数；加权指数
(台湾交易所)
whitewash transaction 清洗交易
wholly-owned subsidiary 全资附属公司
Wide Area Network 广域网络
working capital 营运资金
Working Group on Corporate Communications 公司通讯工作小组
Working Group on Corporate Governance 企业管治工作小组
Working Group on Debt Market 债券市场工作小组
Working Group on New Market Development 新市场发展工作小组
Working Group on Plain Language 浅白语言计划工作小组
Working Group on Review of Financial Regulatory Framework for Intermediaries 中介人财务规管制度工作小组
Working Group on Review of the Financial Regulatory Framework for Licensed Corporations 检讨持牌法团财务规管制度工作小组
Working Group on Stockbroking in Hong Kong 香港证券经纪业工作小组
Working Group on the Business Environment of the Stockbroking Industry 证券经纪业营商环境工作小组
working order 营运买卖盘；营运指令
World Bank 世界银行
World Federation of Exchanges (WFE) 国际证券交易所联会
write a call option 沽出认购期权
write a put option 沽出认沽期权
write off 撇销
writer(options) 卖家(期权)
Yankee bond 美国本土债券；扬基债券
yield 收益率；孳息
yield curve 收益率曲线
yield to maturity 到期收益率
zero coupon bond 零息债券
zero-minus tick 维持前成交价但低于上一个差异价
zero-plus tick 维持前成交价但高于上一个差异价
zero-sum game 零和游戏
zero-trading day 零交易日
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