汉英证券及金融词汇

1、.：.；汉英证券及金融词汇简体汉语拼音排序2021 12 月目 录A1B 2C 6D12E18F19G23H32J 38K48L51M55N58O60P61Q63R 67S69T76W80X83Y90Z96其他11012021 12 月A平安港 safe harbour按揭贷款发放者 mortgage loan originator按揭贷款基准组合 benchmark mortgage pool按揭证券 mortgage-backed securities按金 margin按金比例 margin ratio按金对销 margin offset按金间距 margin interval按金减免 m

2、argin relief按金买卖 margin trading按盘价 nominal price按市价计值/按市值计价 mark to market / mark-to-market暗池买卖*；黑池买卖 dark pool暗盘价 grey market price澳洲证券及投资监察委员会澳洲证监会 Australian Securities and InvestmentsCommission (ASIC)澳洲证券买卖所 Australian Stock Exchange (ASX)* Terms commonly used in the Mainland内地用语22021 12 月B巴塞尔协定

3、 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)办公室后勤/后勤运作系统 back-office system办公室前线系统 front-office system包销 underwrite包销承当净值 net underwriting commitment包销商 underwriter包销银团 underwriting syndicate保本产品 capital preservation product保本信托基金 gu

4、aranteed unit trust保本证 Capital Protected Instrument (CPI)保单贴现 viatical settlements保管人 custodian维护偿付规那么【期权】 Payout-Protection Rule【options】保荐经纪 sponsoring broker保荐人 sponsor Model Code for Sponsors Code of Conduct for Sponsors andIndependent Financial Advisers Sponsors Declaration保管意见 qualified opinio

5、n保险业监理处 Office of the Commissioner of Insurance保险业监理专员 Commissioner of Insurance保证安排 security arrangement Protection of Investors Ordinance保证 warranty保证基金 Guarantee Fund保证金 margin32021 12 月保证金保险范围比率 margin coverage ratio保证金价值 margin value保证金借贷活动 margin financing保证金客户 margin client保证金融资 margin financ

6、ing保证金证券买卖户口 Margin Securities Trading Account保证人 guarantor保值公债【中国内地】 Public Debt (Inflation-Linked Subsidy)Treasury【Mainland China】报价 quote报价规那么 quotation rules报价券商* quotation broker报价委托* quotation order报价系统【期货】 Price Reporting System (PRS)【futures】报价要求 quote request; request for quote (RFQ)北京产权买卖所

7、 China Beijing Equity Exchange北京金融资产买卖所 Beijing Financial Assets Exchange备抵【会计】 allowance【accounting】备兑期权 covered option备兑权证 covered warrant备兑认购期权 covered call备考报表 pro forma statement备考全面摊薄市盈率 pro forma fully diluted price/earnings ratio被动受托人 bare trustee被视为截止过户日期 deemed book close date本地伦敦金 Loco-Lo

8、ndon gold本地消费总值 gross domestic product (GDP)比例综合法 proportionate consolidation method闭端式基金 closed-end fund避税 tax avoidance遥远值 outliers贬值 depreciation变换买卖【期权】 conversion【options】42021 12 月变价调整 variation adjustment变现 realisation标的证券*；指定证券 designated securities规范差 standard deviation规范登记效力 standard regis

9、tration service规范合约 standard contract规范会计准那么 standard accounting practice规范普尔500 综合指数预托证券 Standard & Poors Depositary Receipt(SPDR)规范普尔评级 Standard & Poors Rating规范普尔/香港买卖所创业板指数 S&P/HKEx GEM规范普尔/香港买卖所大型股指数 S&P/HKEx LargeCap规范普尔/香港买卖所小型股50 指数 S&P/HKEx SmallCap 50规范普尔/香港买卖所中型股25 指数 S&P/HKEx MidCap 25规范

10、普尔/香港买卖所综合指数 S&P/HKEx Composite规范授权书 Model Authorisation Letter规范组合风险分析 Standard Portfolio Analysis of Risk (SPAN)规范组合买卖盘挂盘纪录 Standard Combination Order Book并购活动 mergers and acquisitions并行买卖 parallel trading拨备 provision拨款 appropriation波幅；动摇性* volatility波幅校验范围 Volatility Scan Range (VSR)波幅指数 volatili

11、ty index驳脚经纪 runner柏力克舒尔斯期权定价方式 Black-Scholes option pricing model补仓按金【期货】 maintenance margin【futures】补仓通知 margin call补充/增补上市文件 supplemental/supplementary listingdocument补发证书效力 certificate replacement service补购 buy in不当行为 misconduct52021 12 月不定额供款 variable contribution不动户口费 dormant account fee不动盘 in

12、active order不公平竞争 uneven playing field【cf level playingfield】不公平损害补救 unfair prejudice remedy不活泼公司 dormant company不记名式国库券【中国内地】 Bearer Treasury【Mainland China】不记名证券 bearer securities不交收远期外集合约；不交割远期外集合约* non-deliverable forward contract (NDF)不可抗力 force majeure不能配对买卖盘 order imbalance不派息欧式认购期权 non-divid

13、end paying European call option不派息欧式认沽期权 non-dividend paying European put option不停电电源安装；不延续电源安装 uninterrupted power supply (UPS)不限量发行 tap issue部分区域网络 Local Area Network (LAN)部分完成的买卖指示 partially filled order* Terms commonly used in the Mainland内地用语62021 12 月C财经市场开展专责小组 The Financial Market Developmen

14、t TaskForce财务报表审阅方案 Financial Statements Review Programme财务风险 financial risk; financial exposure财务顾问 financial adviser财务汇报；财务申报 financial reporting财务汇报检讨委员会 Financial Reporting Review Committee(FRRC); Financial Reporting ReviewPanel财务汇报局 The Financial Reporting Council (FRC)财务监管 financial regulation

15、财务通融 financial accomodation财务业绩 financial results财务摘要报告 summary financial report财务租赁 financial lease财政部【中国内地】 Ministry of Finance【Mainland China】财政股东 financial shareholder财政健全 financial integrity财政年度 financial year财政资源规那么 financial resources rules财资企业集团 financial conglomerate财资市场公会 Treasury Markets

16、Association参考发行价 indicated issue price参考平衡成交量 Indicative Equilibrium Volume (IEV)参考平衡价钱 Indicative Equilibrium Price (IEP)参与者财务资源监察系统 Participant Financial Resources SurveillanceSystem参与者持股纪录报表 Participant Shareholding Report参与者电子通讯系统 Participant System参与者网间衔接器 Participant gateway参与者资料提取系统【期货】 Parti

17、cipant Access Services【futures】72021 12 月参与者资讯系统 Participants Information System (PIS)参与者自设系统 Participant Supplied System (PSS)残值 salvage value仓 position Code of Conduct支配价钱 price manipulation战略投资者 strategic investor战略投资者* tactical investor差额缴款 marks / marks payment差价 spread差价合约 contract for differe

18、nces (CFD)查询报失股票资料功能【中央结算系统】 Enquire Reported Lost Certificate【CCASS】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缘由【中央结算系统】 Enquire Unmatched SI Reason【CCASS】拆骨专家 asset stripper拆卖资产 asset stripping产品谘询委员会【证监会】 Products Advisory Committee 【SFC】产权负担 encumbrances长仓 long position; bu

19、ll position长期指数期权 / 远期指数期权 long-dated index options常务委员会 Executive Committee偿债基金 sinking fund偿债才干风险 insolvency risk场内规那么 on-market rules场内买卖 pit trading场内买卖产品 exchange traded product场内买卖盘 on-floor order场内买卖期权 exchange traded option场内终端机 on-floor terminal场外购回股份 off-market share repurchase场外规那么 off-ma

20、rket rules场外买卖 off-floor trading; off-board trading82021 12 月场外买卖议价板【美国】 OTC Bulletin Board【US】场外期权 over-the-counter option场外衍生工具 over-the-counter derivative场外证券市场 over-the-counter market场外终端机 off-floor terminal超额配发/配股权 over-allotment option超额配发机制 over-allotment option scheme超额配售选择权* over-allotment

21、option超额认购 oversubscribed; overbooked超国家机构 supranational entity超连结 hyperlink超买 overbought超卖 oversold炒高价钱 ramping; price ramping承办银行 administering bank承兑 acceptance承兑行 acceptance house承配人 placee承前【会计】 brought forward【accounting】承让人 assignee; transferee承销* underwrite承销商* underwriter本钱效益 cost effective

22、ness成交单/成交单据/买卖单据 contract note成交额比率 turnover ratio成交纪录 trading record成交确认委托* transaction confirmation order成交调整 trade amendment程式买卖/买卖 algorithmic trading; programme trading;black box trading程序覆检委员会【证监会】 Process Review Panel【SFC】诚信责任 fiduciary duties迟报买卖 late reported sales92021 12 月持仓 position持仓比例

23、 position ratio持仓风险调整 position risk adjustment持仓净额 net position持仓类别【期权】 tier【options】持仓上限 / 限额 position limit持仓限额比率 position limit ratio持股编号 shareholder Reference Number (SRN)持股人的分布情况 spread of holders持权本钱【期权】 cost of carry继续报价 Continuous Quotes继续出卖机制 tap facility继续买卖时段 continuous trading session继续关

24、连买卖 continuing connected transaction继续运营【会计】 going concern【accounting】继续运营之业务 continuing operation继续净额交收 continuous net settlement (CNS)继续披露及资料传送政策 Continuous Disclosure and CommunicationPolicy继续责任 continuing obligation; on-going obligation继续专业培训课程 Continuous Professional Training (CPT)持有本钱 cost of

25、carry反复认购 multiple applications重估 revaluation重新实物化 rematerialisation重整账目 restatement of accounts重置本钱 replacement cost重组 reorganisation筹备董事会 Preparatory Board初步认购价 initial subscription price出市代表/出市员 floor trader; authorised clerk除净日 ex-date除净日未经调整之收市价 ex unadjusted close102021 12 月除牌 delisting除权 ex-r

26、ights除息基准 ex-dividend basis贮藏 reserve贮藏基金 reserve fund储存区域网络 storage area network (SAN)储架式注册* shelf registration facility处置时延 order processing latency穿价买卖 trade through传统基金会【美国】 The Heritage Foundation【US】传统债券 plain vanilla bond串流数据 streaming data创投基金创业基金 venture capital创新及科技基金 Innovation and Techno

27、logy Fund创业板 Growth Enterprise Market (GEM)创业板【深圳证券买卖所】 ChiNext【Shenzhen Stock Exchange】GEM Listing Rules(Rules Governing theListing of Securities on the GrowthEnterprise Market of the Stock Exchangeof Hong Kong Limited)创业板上市委员会 GEM Listing Committee GEM Investor Guide创业板指数 Growth Enterprise Index (

28、GEI)窗口定价权证 Window Barrier Warrant纯买卖板 trading-only board次要控制人 minority controller从价印花税 ad valorem stamp duty存管处及共用代理人系统 Depository and Common Nominee System(DNS)存管代理人 depository nominee存货 inventory存款公司公会 The Deposit-Taking Companies Association存留利息 retention interest错价买卖 error trade112021 12 月错误包容 f

29、ault tolerance错误陈说 misstatement错误买卖 erroneous trade错误买卖合约 mistraded contract* Terms commonly used in the Mainland内地用语122021 12 月D打和点 breakeven point打印机分流器 printer sharer大额持仓汇报协议 Large Exposure Report Agreement大额股票【中央结算系统】 jumbo certificate【CCASS】大额买卖盘 block order大额未平仓合约 large open position大股东 substa

30、ntial shareholder; major shareholder大利市 Teletext大利市版页 Teletext page大利市网络供应商费用 Teletext carrier charge大利市影像广播效力 Teletext video broadcast service大利市资讯效力 Teletext Information Service大量报价设备 Mass Quotation Facility大量户口转移指示 Mass Account Transfer Instruction (MassATI)大量开盘 mass quote大批登记效力 bulk registration

31、 service大手买卖 block trade大手买卖机制；大手买卖设备 Block Trade Facility; Block Trading Facility(BTF)大型股 large cap stock大宗买卖* block trade代办股份转让系统【中国内地】 Agency Share Transfer System; ShareTransfer Agent System【MainlandChina】代表委任表格 proxy form代处置效力；代表处置效力 on-behalf-of processing代价 consideration代价发行 consideration iss

32、ue代价股份 consideration share代客买卖 agency trade132021 12 月代客买卖户口 agency account代理户口 agency account代理人 agent代理人户口 nominee account代履行权责效力费 corporate actions service fee代收股息/债券利息效力费 dividend and debt securities interestcollection service fee代息股份 scrip entitlement贷出费 lending fee贷股人 stock lender贷股人参与者【中央结算系统

33、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贷款融通 loan facility贷款银团 loan syndicate待收取的经纪参与者 【中央结算系统】 Long Broker Participant【CCASS】待支付的经纪参与者 【中央结算系统】 Short Broker Participant【CCASS】待转名股份 “street name share certificate戴维森报告书即 证券业检讨委员会报告书Ian Hay Dav

34、ison Report (ie Report of theSecurities Review Committee)担保方案 Guarantee Scheme担保买卖 guarantee transaction担保权益 security interest担保人 guarantor担保物* collateral; security单播数据传送专线 unicast datafeed单价配对【期权】 netting【options】单日货币市场 intra-day money market单位信托基金 unit trust单一董事会制 unitary board system单一价钱竞价市场 sing

35、le price auction system单一种股份的衍生认股权证 single share derivative warrant淡仓 short position档案传送协定 file transfer protocol142021 12 月档案转换 file transfer品德及指引委员会 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权 Dow Jones Industrial Average Options到期/到期日 maturity; expiry date到期前有效买

36、卖盘 good-till-date order (GTD)到期日 expiration date到期收益率 yield to maturity到期月份 expiry month德国期货及期权买卖所 Deutsche Terminborse (DTB)德意志联邦银行 Deutsche Bundesbank登记持有人 registered owner登记股东 registered shareholder登记过户费 scrip fee等价期权 at-the-money option低收费经纪 discount broker低于面值 below par低于最正确卖盘价/低于最好沽盘价 downtick

37、; minus tick抵销 set off抵押 charge; pledge抵押安排 security arrangement抵押股份统制户口 Stock Collateral Control Account抵押品 collateral; security抵押品资历 collateral eligibility抵押债券 mortgage bond抵押债项 secured debts抵押证券 asset-backed securities (ABS)第二板/第二板市场 second board; second market第二代自动对盘及成交系统第二代自动对盘系统Automatic Order

38、 Matching and ExecutionSystem / Second Generation (AMS/2)第二上市 secondary listing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 ExecutionSystem / Third Generation (AMS/3)152021 12 月第三方网站根本报价效力 Third Party Website Basic Market PricesService第三者结算 Third Party Clearing (TPC) Guideline on Third Party We

39、bsite Service第一板 main board第一上市 primary listing递耗资产 decaying asset递延股 deferred share递延税项 deferred tax地域性指数认购权证 regional index call warrant点子 basis point垫款 advance; monies advanced电子呈交系统 Electronic Submission System (ESS)电子传送证券资讯效力 Electronic Mailing Stock InformationService (EMSIS)电子登载系统 Electronic

40、Publication System (EPS)【证监会】 Guidelines for Electronic Public Offerings【SFC】电子化财政资源规那么报表系统 e-FRRR system电子买卖 electronic trading电子款项交收费 electronic money settlement fee电子款项交收效力 Electronic Money Settlement Services电子认购初次公开招股效力 Electronic Initial Public Offering service(EIPO)电子认购新股指示 Electronic Applica

41、tion Instruction for NewIssue Shares电子收付款指示 Electronic Payment Instruction (EPI)电子数据搜集、分析及检索系统【美国】 Electronic Data Gathering, Analysis andRetrieval (EDGAR)【US】电子通讯平台e 通讯 Electronic Communications Platform (ECP)电子通讯网络 electronic communications network (ECN)电子证券申报及批核系统 e-Securities Declaration and App

42、rovalSystem掉期 swap吊销资历令 disqualification order162021 12 月跌停板措施 circuit breakers蝶式买卖 butterfly spread定点权证 digital warrant定价方式 pricing model定界期权 barrier option定界认股证/定界权证 barrier warrant定镜处置 snapshot定期债券 term bond定息按揭 fixed-rate mortgage定息组合股 Fixed Income ETF定向增发* private placement东盟地域论坛 ASEAN Regional

43、 Forum东盟自在贸易区 ASEAN Free Trade Area (AFTA)东南亚国家协会东协 Association of South-East Asian Nations(ASEAN)东亚及大洋洲证券买卖所联会 East Asian and Oceanian Stock ExchangesFederation (EAOSEF)董事酬金 directors remuneration Declaration and Undertaking with regard toDirectors董事会 board of directors董事会报告 directors report董事袍金 di

44、rectors fee董事/行政总裁具报书 Directors / Chief Executives Notifications冻结 locked up冻结股份机制 securities-on-hold mechanism动态对冲 dynamic hedging兜售证券 hawking of securities独立财务顾问 independent financial adviser独立调查局 Independent Investigation Board独立非执行董事 independent non-executive director (INED)独立顾问 independent advi

45、ser独立上市 separate listing独立信托户口 segregated trust account172021 12 月独资运营者 sole proprietor渎职行为 misconduct短期举债/借贷 short term borrowings短期同业拆放市场 call market短期证券 short-dated securities短期资金 short-term money短期资金借贷市场 money market短讯提示效力 Alert Message Service对冲 hedging对冲比率 hedging ratio对冲基金 hedge fund对冲基金的基金 f

46、und of hedge funds对冲值【期权】 delta【options】对角买卖 diagonal spread对盘 order matching对盘前时段 pre-order matching period对盘时段 order matching period对敲 bucketing对手方 counterparty对手风险 counterparty risk对手经纪 contra broker对账 reconciliation兑付* redemption多边买卖设备 multilateral trading facility (MTF)多任务站 multiple-workstation

47、s多任务站系统 Multi-workstation System (MWS)多批交收处置程序 batch settlement run多头* long position; bull position多种货币买卖 multi-currency trading* Terms commonly used in the Mainland内地用语182021 12 月E额外按金 additional margin饵盘 bait order HYPERLINK 51/ 二板市场* second board二级市场 secondary market; after market / aftermarket二类

48、股票【台湾】 TIGER Board【Taiwan】24 个价位规那么 24-spread rule二手市场 used market HYPERLINK 51/ 二态期权方式 “two-state option valuation model二线股 second liner; second line stock二项式期权定价方式 binomial option pricing model二氧化碳当量 carbon dioxide equivalent (CO2e)* Terms commonly used in the Mainland内地用语192021 12 月F发钞局制度 currenc

49、y board system发牌资料册 licensing information booklet发盘价 offer price HYPERLINK 51/ 发起人 promoter发行红股 scrip issue发行机构 issuer发行价 issue price发行量加权股价指数【台湾买卖所】 Weighted Index【Taiwan Stock Exchange】发行人 issuer HYPERLINK 51/ 发行人保荐户口 Issuer Sponsored Account发行人登记册 Issuer Register发行人电子存盘系统 issuer electronic filing

50、 system发行人可选择支付现金/发行人现金选择权 issuers cash option发行人资料传送专线 Issuer Information Feed发行新股 new issue HYPERLINK 51/ 发行章程 prospectus发行资料摘要【权证】 indicative terms sheet【warrants】法定贮藏 statutory reserve法定公积金【中国内地】 statutory surplus reserve【Mainland China】法定公益金【中国内地】 statutory public welfare fund【MainlandChina】 HY

51、PERLINK 51/ 法定股本 authorized capital法律风险 legal risk法律实体 legal entity法人股【中国内地】 legal person share; institutional share【Mainland China】法团大股东具报书 Corporate Substantial ShareholdersNotification反驳买卖 rejected sales反响测试方式 beta test mode202021 12 月反收买 reverse takeover反收买文件 defence document反弹 rally反通货膨胀 disinf

52、lation反向可转换产品 reverse convertibles反向淡仓买卖所买卖基金 inverse / short exchange-traded fund房地产投资信托基金 real estate investment trust (REIT) Code on Real Estate Investment Trusts访客廊 Viewing Gallery HYPERLINK 51/ 放宽控制 deregulation放宽利率控制 deregulation of interest rates非H 股内地民营企业 non-H-share Mainland private enterpr

53、ise(NHMPE)非规范型权证； 非规范型认股证；特种认股证exotic warrants HYPERLINK 51/ 非常艰苦的出卖事项 very substantial disposal非常艰苦的收买事项 very substantial acquisition非成立为的注册人士 unincorporated registered person非登记持有人 non-registered holder非即日平仓买卖 overnight trade非即时数据 delayed data非交割远期外集合约* non-deliverable forward contract (NDF)非结算的期权

54、买卖参与者/非结算参与者 【期权买卖】Non-Clearing Options Trading Participant;Non-Clearing Participant (NCP) 【optionstrading】非金钱利益 soft-dollar benefits非金钱佣金 soft commission HYPERLINK 51/ 非经常工程 extraordinary item非流通股【中国内地】 non-tradable share 【Mainland China】非认可负债 non-ranking liabilities非上市可买卖股份 “trading only stock非实物化

55、 dematerialisation HYPERLINK 51/ 非市场庄家的买卖 non-market-making transaction非受监管发行人 unregulated issuer212021 12 月非一切者权益变动表 statement of “non-owner movement inequity非现货月恒生指数期货合约 non-spot month Hang Seng Index futurescontract非整手买卖盘 round-lot-plus order非正常工程 abnormal item非执行董事 non-executive director非自动对盘的买卖

56、 manual trade非中介化 disintermediation分包销商 sub-underwriter HYPERLINK 51/ 分拆 / 分拆上市 spin-off分行证明书 branch certificate分类表决制度 classified voting system分类账 sub-ledger分类指数 sub-index分别债* detachable convertible bond分立* spin-off分列登记册 Split Register分派 distribution分销 distribution粉红价单【美国】 Pink Sheets【US】封锁式基金 close

57、d-end fund疯狂抛售 bear raid风险参数 risk parameter风险管理 risk management; exposure management风险管理委员会 Risk Management Committee风险管理宪章 Risk Management Charter风险鉴别 risk identification风险控制 risk control风险陈列按金制度 risk array margining system风险陈列方法 risk array method风险陈列算式 risk array algorithm风险披露 risk disclosure风险披露声

58、明书【创业板】 Risk Disclosure Statement【GEM】222021 12 月风险评价 risk evaluation风险容量 appetite for risk风险容限 risk tolerance风险投资基金 venture capital风险值 value-at-risk否认声明 negative statement; disclaimer浮动价钱换股票据；不确定性可换股票据 toxic convertible浮息按揭 variable-rate mortgage浮息存款证 floating rate certificate of deposit (FRCD)浮息票据

59、 floating rate note (FRN)效力业联会【香港总商会】 Coalition on Service Industry 【Hong KongGeneral Chamber of Commerce】副保荐人【创业板】 co-sponsor【GEM】附带执行买卖盘【伦敦买卖所】 contingent order【LSE】附寄结单效力的股份独立户口【中央结算系统】Stock Segregated Account with StatementService CCASS附属贷款 subordinated loan附属公司 subsidiary附属企业 subsidiary underta

60、king复牌 resumption of trading富时指数集团 FTSE Group复式按金 spread margin复式盘 spread order复式期权 spread option付方参与者 delivering Participant付款参与者 paying Participant付运中货品 goods-in-transit负债 liabilities负债比率 debt-to-equity ratio负债日 indebtedness date* Terms commonly used in the Mainland内地用语232021 12 月G改良特别股份买卖方法 Enhan