香港交易所常用证券及金融词汇对照Cn-En

《2000年证券（保证金融资）（修订）条例》Securities (Margin Financing) (Amendment) Ordinance 2000《2004年公司（修订）条例》Companies (Amendment) Ordinance 2004

2003年企管行动纲领Corporate Governance Action Plan for 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 (Contracts Limits and Reportable Positions) (Amendment) Rules 2003

ABF 香港创富债券指数基金ABF Hong Kong Bond Index Fund

alpha 系数alpha coefficient

delta 式对冲delta hedge

delta 零值delta neutral

ELI计算机ELI Calculator

H股指数期货H-shares Index Futures

H股指数期权H-shares Index Options

HKATS 电子交易系统Hong Kong Futures Automated Trading System

iShares MSCI南韩指数基金iShares MSCI South Korea Index Fund

iShares MSCI台湾指数基金iShares MSCI Taiwan Index Fund

i股 MSCI中国指数基金iShares MSCI China Tracker

i股新华富时A50中国指数基金iShares FTSE/Xinhua A50 China Tracker

T + 2 交收制度T + 2 settlement system

T + 3 规则【美国】T + 3 Rule【US】

TOPIC 系统【英国】Teletext Output of Price Information by Computer (TOPIC)【UK】

一划

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

二划

九龙证券交易所The Kowloon Stock Exchange

二手市场used market

二板市场*second board

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】Decade of Challenge & Development, A【publication】

三划

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

上市决策小组Listing Decisions Panel

《上市决策新架构谘询文件》Consultation Paper on New Structure for Listing Decision-making

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

上市覆核小组Listing Review Panel

上市(覆核)委员会Listing (Review) Committee

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】

上证综合指数Shanghai Composite Index

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】

四划

「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

不交收远期外汇合约non-deliverable forward contract (NDF)

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】Small and Medium Enterprise Board (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

China Government Securities Depository Trust & Clearing Co. Ltd. (CDC)司)

中央控制工作站controller workstation

《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

中央汇金投资有限责任公司China SAFE Investments Ltd

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*Chinese 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

中国证券投资者保护基金有限责任公司【中国内地】China Securities Investor Protection Fund Corporation Limited 【Mainland

China】

中国预托证券Chinese 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

中资企业控股公司(红筹股)China-controlled company (Red Chip)

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

互换交易*swap

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

公司注册证书certificate of incorporation

公司债*corporate bond

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

公众利益监察局Public Interest Oversight Board (PIOB)

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

分类表决制度classified voting system

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)引申波幅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

支付及结算系统委员会The Committee on Payment and Settlement Systems(CPSS)

支付系统小组委员会【金管局】Committee of Payment System【HKMA】

文件风险documentation risk

日本中央银行Bank of Japan

日本公社债研究所Japan Bond Research Institute (JBRI)

日报表daily quotations sheet

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

牛熊证Callable Bull/Bear Contract

五划

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

主题稽核theme inspection

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

可扩展商业报告语言eXtensible Business Reporting Language (XBRL)

可扩展标记语言Extensible Markup Language

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

可转让证券集体投资计划Undertakings in Collective Investments in Transferable Securities (UCITS)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

台湾证券交易所发行量加权股价指数(台湾加权指数)Taiwan Stock Exchange Capitalisation Weighted Stock Index (TAIEX)

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

市场资本总额*market capitalisation

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

市账率*price-to-book ratio

平均每日成交额average daily turnover

平均结算权证Average Return Warrant

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

民企股P chip

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

六划

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settlement

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】

交易所交易权证明书Exchange Trading Right Certificate

交易所自动报价系统【英国】Stock Exchange Automated Quotations System (SEAQ)【UK】

交易所买卖基金；交易所交易基金*Exchange Traded Fund (ETF)

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

交易流通速度turnover velocity

交易能力trading capacity

交易商dealer

交易参数trading parameter

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

企业债*enterprise bond

企业资讯资料库Enterprise Information Database

企业管治corporate governance

《企业管治常规守则》Code on Corporate Governance Practices

《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 Advisers Code of Conduct【SFC】

先进先出first in, first out (FIFO)

光纤以太网Optical Ethernet

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

全国社会保障基金理事会【中国内地】National Council for Social Security Fund【Mainland China】

全国电子交易系统【中国内地】National Electronic Trading System (NETS) 【Mainland China】

全国银行同业拆借中心【中国内地】National Interbank Funding Centre【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

共同基金*mutual fund

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)

合规顾问compliance adviser

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

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】

存留利息retention interest

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)

安全港safe harbour

展margin

展客户margin client

展买卖margin trading

展融资margin financing

展覆盖率margin coverage ratio

年金*pension fund

年度股东大会*annual general meeting (AGM)

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)haircut; 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

收回价【牛熊证】call price【CBBC】

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】

《有关成立财务汇报局的立法建议谘询》Consultation Paper on Legislative Proposals to Establish Financial

Reporting Council

《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

《〈有关防止洗黑钱及恐怖分子集资活动的指引〉建议修订本谘询文件》Consultation Paper on the Proposed Revised Prevention of Money Laundering and Terrorist Financing Guidance Note

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

《有关根据〈单位信托及互惠基金守则〉获认可的集体投资计划投资于房地产投资信托基金的谘询总结》Consultation Conclusions on Investments in Real Estate Investment Trusts by Collective Investment Schemes Authorised under the Code on Unit Trusts and Mutual Funds

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

《有关监管保荐人及合规顾问的谘询文件》Consultation Paper on the Regulation of Sponsors and Compliance 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

《有关检讨〈公司收购、合并及股份购回守则〉的谘询文件》Consultation Paper on a Review of the Codes on Takeovers and Mergers and Share Repurchases

《有关检讨投资者赔偿基金的水平及经费、自1998年以

来发生的经纪违责事件及投资者赔偿安排运作情况的谘

询总结》

Consultation Conclusions on the Review of the

Level and Funding of the Investor Compensation Fund, Broker Defaults since

1998 and the Operation of the Investor Compensation Arrangements

《有关检讨〈证券及期货条例〉第XV部的披露权益制度的谘询总结》Consultation Conclusions on the Review of the Disclosure of Interests Regime under Part XV of the Securities and Futures Ordinance

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

自营商*dealer

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 / 行权价格*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

行权期*exercise schedule

七划

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

初次公开发行*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

吸收合并merger by absorption

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

技术性验证测试Proof of Concept

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

沛富基金ABF Pan Asia Bond Index Fund (Paif)

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

八划

《亚太股市脉络》Regional Monitor

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)

亚洲及大洋洲证券交易所联会Asia and Oceanian Stock Exchange Federation

(AOSEF)

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 Federation

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)

取消价【牛熊证】knockout point【CBBC】

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

定界期权barrier option

定界认股证 / 定界权证barrier warrant

定息按揭fixed-rate mortgage

定息组合股fixed income ETF

定期债券term bond

定点权证digital warrant

「定镜」处理【电脑】snapshot【computer】

延时资讯delayed data

往来账current account

忠诚保险计划fidelity insurance scheme

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

拒纳信Rejection Letter

抛空short selling/short sale

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

抵押债券mortgage bond

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；招股说明书*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

易变性*volatility

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/short sale

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；波动性*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

直通式交易程序straight-through processing

直驳光纤dark fibre

直线折旧法straightline method of depreciation

社会公众股*public share

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

股份过户登记处share registrar

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dividend

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】股票挂钩存款Equity Linked Deposit

股票挂钩票据Equity Linked Instrument (ELI)

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

股票认购权发行*rights issue

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

股权分置【中国内地】equity division 【Mainland China】

股权分置改革【中国内地】equity division reform 【Mainland China】

股权收益return on equity

股权激励机制share incentive mechanism

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)

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" stock

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

非流通股【中国内地】non-tradable share 【Mainland China】

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

非标准型权证；非标准型认股证；特种认股证exotic warrants

非整手买卖盘round-lot-plus order

九划

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

封闭式基金【中国内地】close-end fund【Mainland China】

待支付的经纪参与者【中央结算系统】Short Broker Participant【CCASS】

待收取的经纪参与者【中央结算系统】Long Broker Participant【CCASS】

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100Hang Seng 100 (HS100)

恒生H股指数上市基金Hang Seng H-Share Index ETF

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)

恒生中国企业指数期货 (H股指数期货)Hang Seng China Enterprises Index Futures

(H-shares Index Futures)

恒生亚洲指数Hang Seng Asia Index (HSAI)

恒生指数Hang Seng Index (HSI)

恒生指数上市基金Hang Seng Index ETF

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50Hang Seng Freefloat 50

恒生流通中国内地25Hang Seng Freefloat Mainland 25

恒生流通香港25Hang Seng Freefloat HK 25

恒生流通综合指数Hang Seng Freefloat Composite Index (HSFCI)

恒生新华富时中国25指数上市基金Hang Seng FTSE/Xinhua China 25 Index ETF

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Guidance Note on Position Limits and Large Open Position Reporting

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

持续报价Continuous Quotes

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

盈息权证dividend accumulator warrant

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