新版金融英語詞匯表（A-F）

*Terms commonly used in the Mainland
*內(nèi)地用語 版本日期：2019年12月
可使用Ctrl + F 鍵查找

A

按價(jià)格排序的傳送專線market-by-price feed
按揭貸款發(fā)放者mortgage loan originator
按揭證券mortgage-backed securities
按金margin；deposit
按金比例margin ratio
按金貸記margin credit
按金對銷margin offset
按金豁免額margin credit
按金間距margin interval
按金減免margin relief
按金交易margin trading
按金損耗margin erosion
按買賣盤排序的傳送專線market-by-order feed
按盤價(jià)nominal price
按市價(jià)計(jì)值/按市值計(jì)價(jià)mark to market / mark-to-market
按使用天數(shù)收費(fèi)服務(wù)計(jì)劃Daily Charge Service
暗池交易*；黑池交易dark pool
暗盤價(jià)grey market price
澳洲證券及投資監(jiān)察委員會（澳洲證監(jiān)會）Australian Securities and Investments Commission (ASIC)
澳洲證券交易所Australian Stock Exchange (ASX)

B

巴塞爾協(xié)定Basel Concordat
巴塞爾協(xié)議Basel Agreement
巴西證券期貨交易所BM&FBovespa
版本二《跨政府協(xié)議》下有報(bào)告義務(wù)的金融機(jī)構(gòu)【美國】Reporting Financial Institution under a Model 2 Intergovernmental Agreement【US】
包銷承擔(dān)凈值net underwriting commitment
包銷商underwriter
包銷銀團(tuán)underwriting syndicate
保本產(chǎn)品capital preservation product
保本信托基金guaranteed unit trust
保本證Capital Protected Instrument (CPI)
保管人custodian
「保護(hù)償付」規(guī)則【期權(quán)】Payout-Protection Rule【options】
保薦經(jīng)紀(jì)sponsoring broker
保薦人sponsor
《保薦人標(biāo)準(zhǔn)守則》Model Code for Sponsors
《保薦人及獨(dú)立財(cái)務(wù)顧問的操守準(zhǔn)則》Code of Conduct for Sponsors and Independent Financial Advisers
《保薦人聲明》Sponsor’s Declaration
保留意見qualified opinion
保險(xiǎn)業(yè)監(jiān)理處Office of the Commissioner of Insurance
保險(xiǎn)業(yè)監(jiān)理專員Commissioner of Insurance
保障安排security arrangement
保證基金【香港結(jié)算】Guarantee Fund【HKSCC】
保證金margin; Margin Funds; deposit
保證金保險(xiǎn)范圍比率margin coverage ratio
保證金貸款margin loan
保證金價(jià)值margin value
保證金借貸活動(dòng)margin financing
保證金客戶margin client
保證金模擬計(jì)算器OASIS Margin Simulator
保證金融資margin financing
保證人guarantor
保值公債【內(nèi)地】Public Debt (Inflation-Linked Subsidy) Treasury【Mainland】
報(bào)價(jià)quote
報(bào)價(jià)撮合*order matching
報(bào)價(jià)規(guī)則quotation rules
報(bào)價(jià)券商*quotation broker
報(bào)價(jià)委托*quotation order
報(bào)價(jià)系統(tǒng)【期貨及期權(quán)】Price Reporting System (PRS)【futures & options】
報(bào)價(jià)要求quote request; request for quote (RFQ)
北京產(chǎn)權(quán)交易所China Beijing Equity Exchange
北京國際礦業(yè)權(quán)交易所有限公司（北礦所）China Beijing International Mining Exchange (CBMX)
北京金融資產(chǎn)交易所Beijing Financial Assets Exchange
北向交易Northbound trading
備存紀(jì)錄責(zé)任record keeping obligation
備抵【會計(jì)】allowance【accounting】
備兌期權(quán)covered option
備兌權(quán)證covered warrant
備兌認(rèn)購期權(quán)covered call
備考報(bào)表pro forma statement
備考全面攤薄市盈率pro forma fully diluted price/earnings ratio
備用數(shù)據(jù)中心secondary data centre
被動(dòng)受托人bare trustee
被動(dòng)型基金passive fund
被實(shí)施風(fēng)險(xiǎn)警示【內(nèi)地】under “risk alert” 【Mainland】
被視為截止過戶日期deemed book close date
被轉(zhuǎn)移的交易given-up trade
本地生產(chǎn)總值gross domestic product (GDP)
本益比*；市盈率price/earnings ratio (P/E)
比例綜合法proportionate consolidation method
閉端式基金closed-end fund
閉環(huán)系統(tǒng)；全程封閉closed loop
避稅tax avoidance
邊遠(yuǎn)值outliers
貶值depreciation
變換交易【期權(quán)】conversion【options】
變價(jià)調(diào)整variation adjustment
變現(xiàn)realisation
標(biāo)的證券*；指定證券designated securities
標(biāo)準(zhǔn)按金制度standard margin system
標(biāo)準(zhǔn)差standard deviation
標(biāo)準(zhǔn)登記服務(wù)standard registration service
標(biāo)準(zhǔn)合約standard contract
標(biāo)準(zhǔn)會計(jì)準(zhǔn)則standard accounting practice
標(biāo)準(zhǔn)普爾 500 綜合指數(shù)預(yù)托證券Standard & Poor's Depositary Receipt (SPDR)
標(biāo)準(zhǔn)普爾評級Standard & Poor's Rating
標(biāo)準(zhǔn)普爾/香港交易所 GEM 指數(shù)S&P/HKEX GEM
標(biāo)準(zhǔn)普爾/香港交易所大型股指數(shù)S&P/HKEX LargeCap
標(biāo)準(zhǔn)授權(quán)書Model Authorisation Letter
標(biāo)準(zhǔn)證券數(shù)據(jù)【數(shù)據(jù)傳送專線】Securities Standard【datafeed】
標(biāo)準(zhǔn)組合風(fēng)險(xiǎn)分析Standard Portfolio Analysis of Risk (SPAN)
標(biāo)準(zhǔn)組合交易功能standard combination trading function
標(biāo)準(zhǔn)組合買賣盤掛盤紀(jì)錄Standard Combination Order Book
并購活動(dòng)mergers and acquisitions
并行買賣parallel trading
撥備provision
波幅；波動(dòng)性*volatility
波幅校驗(yàn)范圍Volatility Scan Range (VSR)
波幅指數(shù)volatility index
波羅的海干散貨指數(shù)；波羅的海綜合指數(shù)Baltic Dry Index (BDI)
渤海商品交易所（渤商所）Bohai Commodity Exchange (BOCE)
播送量【市場數(shù)據(jù)】throughput 【market data】
駁腳經(jīng)紀(jì)runner
「柏力克－舒爾斯」期權(quán)定價(jià)模式Black-Scholes option pricing model
補(bǔ)倉按金【期貨】maintenance margin【futures】
補(bǔ)倉通知margin call
補(bǔ)充/增補(bǔ)上市文件supplemental/supplementary listing document
補(bǔ)發(fā)證書服務(wù)certificate replacement service
補(bǔ)購buy in
補(bǔ)購交易buy-in transaction
補(bǔ)購?fù)ㄖ獣?/td>Buy-in Notification Report
不當(dāng)行為misconduct
不抵押保證；不抵押擔(dān)保negative pledge
不定額供款variable contribution
不動(dòng)戶口費(fèi)dormant account fee
不動(dòng)盤inactive order
不公平競爭uneven playing field【cf level playing field】
「不公平損害」補(bǔ)救"unfair prejudice" remedy
不活躍公司dormant company
不記名式國庫券【內(nèi)地】Bearer Treasury【Mainland】
不記名證券bearer securities
不交收利率掉期non-deliverable IRS (NDIRS)
不交收遠(yuǎn)期外匯合約；不交割遠(yuǎn)期外匯合約*non-deliverable forward contract (NDF)
不可抗力force majeure
不可取消時(shí)段No-Cancellation Period
不能配對買賣盤order imbalance
不良債務(wù)distressed debt
不停電電源裝置；不間斷電源裝置uninterrupted power supply (UPS)
不同投票權(quán)架構(gòu)weighted voting rights structure
不限量發(fā)行tap issue
部分區(qū)域網(wǎng)絡(luò)Local Area Network (LAN)
部分完成的買賣指示partially filled order
簿記建檔*；累計(jì)投標(biāo)制；詢價(jià)制*book building

C

財(cái)務(wù)報(bào)表審閱計(jì)劃Financial Statements Review Programme
財(cái)務(wù)風(fēng)險(xiǎn)financial risk; financial exposure
財(cái)務(wù)顧問financial adviser
財(cái)務(wù)匯報(bào)；財(cái)務(wù)申報(bào)financial reporting
財(cái)務(wù)匯報(bào)檢討委員會Financial Reporting Review Committee (FRRC); Financial Reporting Review Panel (FRRP)
財(cái)務(wù)匯報(bào)局The Financial Reporting Council (FRC)
財(cái)務(wù)通融financial accomodation
財(cái)務(wù)業(yè)績financial results
財(cái)務(wù)摘要報(bào)告summary financial report
財(cái)務(wù)租賃financial lease
財(cái)政股東financial shareholder
財(cái)政健全financial integrity
財(cái)政年度financial year
財(cái)政資源規(guī)則financial resources rules
財(cái)資企業(yè)集團(tuán)financial conglomerate
財(cái)資市場公會Treasury Markets Association (TMA)
參考草擬本indicative draft
參考發(fā)行價(jià)indicated issue price
參考平衡成交量Indicative Equilibrium Volume (IEV)
參考平衡價(jià)格Indicative Equilibrium Price (IEP)
參與人遠(yuǎn)程操作平臺Participant Remote Operating Platform (PROP)
參與者財(cái)務(wù)資源監(jiān)察系統(tǒng)Participant Financial Resources Surveillance System
參與者持股紀(jì)錄報(bào)表Participant Shareholding Report
參與者電子通訊系統(tǒng)Participant Email System
參與者風(fēng)險(xiǎn)排序方法counterparty risk ranking methodology
《參與者適用的中央結(jié)算系統(tǒng)終端機(jī)使用者指引》CCASS Terminal User Guide for Participants
參與者網(wǎng)間連接器Participant Gateway (PG)
參與者資料提取系統(tǒng)【期貨】Participant Access Services【futures】
參與者資訊系統(tǒng)Participants Information System (PIS)
參與者自設(shè)系統(tǒng)Participant Supplied System (PSS)
參與證券商Participating Dealer
殘值salvage value
倉position
倉位持有人position holder
《操守準(zhǔn)則》Code of Conduct
操縱價(jià)格price manipulation
策略投資者strategic investor; tactical investor
差額繳款marks / marks payment
差價(jià)spread
差價(jià)合約contract for differences (CFD)
「查詢報(bào)失股票資料」功能【中央結(jié)算系統(tǒng)】Enquire Reported Lost Certificate 【CCASS】
查詢公布資料【中央結(jié)算系統(tǒng)】Enquire Announcement Information 【CCASS】
查詢交收指示未獲配對原因【中央結(jié)算系統(tǒng)】Enquire Unmatched SI Reason 【CCASS】
「拆骨專家」asset stripper
拆賣資產(chǎn)asset stripping
產(chǎn)品資料概要Product Key Fact Statement
產(chǎn)品咨詢委員會【證監(jiān)會】Products Advisory Committee 【SFC】
產(chǎn)權(quán)負(fù)擔(dān)encumbrances
長倉long position; bull position
長期指數(shù)期權(quán) / 遠(yuǎn)期指數(shù)期權(quán)long-dated index options
長時(shí)間停牌公司long suspended company
常務(wù)委員會Executive Committee
償債基金sinking fund
償債能力風(fēng)險(xiǎn)insolvency risk
場內(nèi)規(guī)則on-market rules
場內(nèi)交易pit trading
場內(nèi)交易產(chǎn)品；交易所買賣產(chǎn)品exchange traded product (ETP)
場內(nèi)買賣盤on-floor order
場內(nèi)買賣期權(quán)exchange traded option
場內(nèi)終端機(jī)on-floor terminal
場外購回股份off-market share repurchase
場外規(guī)則off-market rules
場外交易off-floor trading; over-the-counter trading; off-board trading
場外交易議價(jià)板【美國】OTC Bulletin Board【US】
場外交易結(jié)算及交收系統(tǒng)OTC Clearing and Settlement System (OCASS)
場外結(jié)算追溯匯報(bào)OTC backloading
場外平均交易over-the-counter averaging business
場外期權(quán)over-the-counter option
場外市場；柜臺市場over-the-counter (OTC) market
場外衍生工具over-the-counter derivative
場外現(xiàn)匯OTC FX spot
場外終端機(jī)off-floor terminal
超短期融資券【內(nèi)地】super & short-term commercial paper (SCP)【Mainland】
超額配發(fā)/配股權(quán)over-allotment option
超額配發(fā)機(jī)制over-allotment option scheme
超額配售選擇權(quán)*over-allotment option
超額認(rèn)購oversubscribed; overbooked
超國家機(jī)構(gòu)supranational entity
超買overbought
超賣oversold
超前交易front running
炒高價(jià)格ramping; price ramping
承辦銀行administering bank
承兌acceptance
承兌票據(jù)promissory notes
承諾通融額committed facilities
承配人placee
承前【會計(jì)】brought forward【accounting】
承讓人assignee; transferee
承銷商*underwriter
成本效益cost effectiveness
成份股；樣本股*constituents
成交單/成交單據(jù)/買賣單據(jù)contract note
成交量加權(quán)平均價(jià)volume weighted average price (VWAP)
成交額比率turnover ratio
成交及取消【限價(jià)盤】Fill and Kill【limit orders】
成交紀(jì)錄trading record
成交確認(rèn)委托*transaction confirmation order
成交調(diào)整trade amendment
成員大會；股東大會general meeting
成員登記冊register of members
程式買賣/交易；程式演算交易algorithmic trading; algo trade; programme trading; black box trading
程序覆檢委員會【證監(jiān)會】Process Review Panel【SFC】
誠信責(zé)任fiduciary duties
遲報(bào)交易late reported sales
持倉position
持倉比例position ratio
持倉對沖值position delta
持倉風(fēng)險(xiǎn)調(diào)整position risk adjustment
持倉凈額net position
持倉類別【期權(quán)】tier【options】
持倉上限 / 限額position limit
持倉限額比率position limit ratio
持份者；權(quán)益人；利益相關(guān)者；干系人*；利益攸關(guān)者*stakeholder
持股編號shareholder Reference Number (SRN)
持股人的分布情況spread of holders
持牌法團(tuán)licensed corporation
持牌人及注冊機(jī)構(gòu)的公眾紀(jì)錄冊Public Register of Licensed Persons and Registered Institutions
持權(quán)成本【期權(quán)】cost of carry
持續(xù)報(bào)價(jià)Continuous Quotes
持續(xù)報(bào)價(jià)莊家continuous quote market maker
持續(xù)發(fā)售機(jī)制tap facility
持續(xù)交易時(shí)段continuous trading session
持續(xù)關(guān)連交易continuing connected transaction
持續(xù)經(jīng)營【會計(jì)】going concern【accounting】
持續(xù)經(jīng)營之業(yè)務(wù)continuing operation
持續(xù)凈額交收continuous net settlement (CNS)
持續(xù)披露及資料傳遞政策Continuous Disclosure and Communication Policy
持續(xù)責(zé)任continuing obligation; on-going obligation
持續(xù)專業(yè)培訓(xùn)課程Continuous Professional Training (CPT)
持有成本cost of carry
重復(fù)認(rèn)購multiple applications
重復(fù)申請double-dipping
重估revaluation
重新實(shí)物化rematerialisation
重置成本replacement cost
重組reorganisation
籌備董事會Preparatory Board
初始保證金initial margin
出市代表/出市員floor trader; authorised clerk
除凈日ex-date
除凈日未經(jīng)調(diào)整之收市價(jià)ex unadjusted close
除牌delisting
除權(quán)ex-rights
除權(quán)日*ex-date
除權(quán)交易ex-entitlement trading
除息基準(zhǔn)ex-dividend basis
儲備reserve
儲備基金reserve fund
儲存區(qū)域網(wǎng)絡(luò)storage area network (SAN)
儲架發(fā)行*shelf offering
儲架式注冊*shelf registration facility
處理時(shí)延order processing latency
穿價(jià)交易trade through
傳統(tǒng)基金會【美國】The Heritage Foundation【US】
傳統(tǒng)債券plain vanilla bond
串換*swap
串流數(shù)據(jù)streaming data
創(chuàng)投基金∕創(chuàng)業(yè)基金venture capital
創(chuàng)效投資債券impact investment bond
創(chuàng)新板New Board
創(chuàng)新初板New Board PRO
創(chuàng)新主板New Board PREMIUM
創(chuàng)新實(shí)驗(yàn)室Innovation Lab
創(chuàng)業(yè)板【深交所】ChiNext【SZSE】
窗口定價(jià)權(quán)證Window Barrier Warrant
純交易板trading-only board
次級投票權(quán)股份subordinate voting share
次級債券*；次順位債券*subordinated bond
次要控制人minority controller
從價(jià)印花稅ad valorem stamp duty
存管處及共用代理人系統(tǒng)Depository and Common Nominee System (DNS)
存管代理人depository nominee
存貨inventory
存款公司公會The DTC Association (DTCA)
存款準(zhǔn)備金率reserve requirement ratio (RRR)
存留利息retention interest
存托憑證*depositary receipt
錯(cuò)價(jià)交易error trade
錯(cuò)誤包容fault tolerance
錯(cuò)誤陳述misstatement
錯(cuò)誤交易erroneous trade
錯(cuò)誤交易合約mistraded contract
錯(cuò)向風(fēng)險(xiǎn)wrong way risk

D

打和點(diǎn)breakeven point
大額持倉匯報(bào)協(xié)議Large Exposure Report Agreement
大額股票【中央結(jié)算系統(tǒng)】jumbo certificate【CCASS】
大額交易*block trade
大額買賣盤block order
大額未平倉合約large open position
大額未平倉合約報(bào)告Large Open Position Report
大股東substantial shareholder; major shareholder
大利市Teletext
大連商品交易所（大商所）Dalian Commodity Exchange (DCE)
大量報(bào)價(jià)設(shè)施Mass Quotation Facility
大量戶口轉(zhuǎn)移指示Mass Account Transfer Instruction (Mass ATI)
大量開盤mass quote
大批登記服務(wù)bulk registration service
大批交收程序bulk settlement run
大手交易block trade
大手交易機(jī)制；大手交易設(shè)施Block Trade Facility; Block Trading Facility (BTF)
大手交易特別按金Special Block Trade Margin
大型股large cap stock
大宗交易*block trade
代辦股份轉(zhuǎn)讓系統(tǒng)【內(nèi)地】Agency Share Transfer System; Share Transfer Agent System【Mainland】
代表委任表格proxy form
代處理服務(wù)；代表處理服務(wù)on-behalf-of processing
代價(jià)consideration
代價(jià)發(fā)行consideration issue
代價(jià)股份consideration share
代客買賣agency trade
代客買賣戶口agency account
代理戶口agency account
代理人agent; nominee
代名人nominee
代理人戶口nominee account
代履行權(quán)責(zé)服務(wù)費(fèi)corporate actions service fee
代收股息/債券利息服務(wù)費(fèi)dividend and debt securities interest collection service fee
代息股份scrip entitlement
貸出費(fèi)lending fee
貸股人stock lender
貸股人參與者【中央結(jié)算系統(tǒng)參與者】Stock Lender Participant【CCASS】
貸款抵押證券collateralised loan obligation (CLO)
貸款股/貸款債券loan stock
貸款融通loan facility
貸款銀團(tuán)loan syndicate
待收取的經(jīng)紀(jì)參與者 【中央結(jié)算系統(tǒng)】Long Broker Participant【CCASS】
待支付的經(jīng)紀(jì)參與者 【中央結(jié)算系統(tǒng)】Short Broker Participant【CCASS】
待轉(zhuǎn)名股份“street name” share certificate
戴維森報(bào)告書（即 1988 年證券業(yè)檢討委員會報(bào)告書）Ian Hay Davison Report (ie Report of the Securities Review Committee in 1988)
擔(dān)保計(jì)劃【聯(lián)交所】Guarantee Scheme【SEHK】
擔(dān)保交易guarantee transaction
擔(dān)保權(quán)益security interest
擔(dān)保人guarantor
擔(dān)保物*collateral; security
單幣單股Single Tranche, Single Counter (STSC)
單播數(shù)據(jù)傳送專線unicast datafeed
單價(jià)配對【期權(quán)】netting【options】
單類別股份架構(gòu)single class share structure
單日貨幣市場intra-day money market
單位信托基金unit trust
單一董事會制unitary board system
單一價(jià)格競價(jià)市場single price auction system
單一牌照制度Single Licence Regime
單一種股份的衍生認(rèn)股權(quán)證single share derivative warrant
淡倉short position
淡倉申報(bào)服務(wù)【證監(jiān)會】Short Position Reporting Service 【SFC】
當(dāng)日有效盤；即日買賣盤；即日盤day order
當(dāng)日有效盤【限價(jià)盤】Rest of Day【limit orders】
檔案傳送協(xié)定file transfer protocol
檔案轉(zhuǎn)換file transfer
道瓊斯工業(yè)平均指數(shù)Dow Jones Industrial Average
道瓊斯工業(yè)平均指數(shù)期權(quán)Dow Jones Industrial Average Options
到期界內(nèi)證end-inline warrant
到期/到期日maturity; expiry date
到期前有效買賣盤good-till-date order (GTD)
到期收益率yield to maturity
到期月份expiry month
德國期貨及期權(quán)交易所Deutsche Terminborse (DTB)
德意志交易所集團(tuán)Deutsche B?rse Group
登記持有人registered owner
登記股東registered shareholder
登記過戶費(fèi)scrip fee
等價(jià)期權(quán)at-the-money option
等值合約張數(shù)contract-equivalent number
低收費(fèi)經(jīng)紀(jì)discount broker
低于面值below par
低于最佳賣盤價(jià)/低于最好沽盤價(jià)downtick; minus tick
抵銷set off
抵押charge; pledge
抵押安排security arrangement
抵押補(bǔ)充貸款pledged supplementary lending (PSL)
抵押股份統(tǒng)制戶口Stock Collateral Control Account
抵押品collateral; security
抵押品資格collateral eligibility
抵押權(quán)益security interest
抵押債券mortgage bond
抵押債項(xiàng)secured debts
地方政府融資平臺local government financing vehicle (LGFV)
第二板 / 第二板市場second board; second market
第二上市secondary listing
第三方網(wǎng)站基本報(bào)價(jià)服務(wù)Third Party Website Basic Market Prices Service
第三者結(jié)算Third Party Clearing (TPC)
《第三者網(wǎng)站服務(wù)指引》Guideline on Third Party Website Service
第一板main board
第一上市primary listing
遞耗資產(chǎn)decaying asset
遞加節(jié)流率additional throttle
遞延股deferred share
遞延稅項(xiàng)deferred tax
點(diǎn)子basis point
墊款advance; monies advanced
電源使用效率Power Usage Efficiency (PUE)
電子呈交系統(tǒng)Electronic Submission System (ESS)
電子傳遞證券資訊服務(wù)Electronic Mailing Stock Information Service (EMSIS)
電子登載系統(tǒng)Electronic Publication System (EPS)
《電子公開發(fā)售指引》【證監(jiān)會】Guidelines for Electronic Public Offerings 【SFC】
電子化財(cái)政資源規(guī)則報(bào)表系統(tǒng)e-FRRR system
電子交易electronic trading
電子款項(xiàng)交收費(fèi)electronic money settlement fee
電子款項(xiàng)交收服務(wù)Electronic Money Settlement Services
電子認(rèn)購首次公開招股服務(wù)Electronic Initial Public Offering service (EIPO)
電子認(rèn)購新股指示Electronic Application Instruction for New Issue Shares
電子收付款指示Electronic Payment Instruction (EPI)
「電子數(shù)據(jù)收集、分析及檢索」系統(tǒng)【美國】Electronic Data Gathering, Analysis and Retrieval (EDGAR)【US】
電子通訊平臺（e 通訊）Electronic Communications Platform (ECP)
電子通訊網(wǎng)絡(luò)electronic communications network (ECN)
電子證券申報(bào)及批核系統(tǒng)e-Securities Declaration and Approval System
電子直達(dá)市場安排；非參與者直接落盤direct market access
掉期swap
調(diào)期息率；利率掉期/利率調(diào)期*interest rate swap (IRS)
吊銷資格令disqualification order
蝶式買賣butterfly spread
訂單路由order routing
訂單路由安排order-routing connectivity
訂明證券prescribed securities
定點(diǎn)權(quán)證digital warrant
定點(diǎn)市場call market
定格；「定鏡」處理snapshot
定價(jià)模式pricing model
定界期權(quán)barrier option
定界認(rèn)股證/定界權(quán)證barrier warrant
定期債券term bond
定息按揭fixed-rate mortgage
定息及貨幣產(chǎn)品fixed income and currency (FIC)
定息優(yōu)先票據(jù)fixed rate senior note
定息組合股；定息交易所買賣基金Fixed Income ETF
定向增發(fā)*；私人配售private placement / private placing
東南亞國家聯(lián)盟（東盟）Association of Southeast Asian Nations (ASEAN)
東亞及大洋洲證券交易所聯(lián)會East Asian and Oceanian Stock Exchanges Federation (EAOSEF)
董事酬金directors’ remuneration
《董事的聲明及承諾》Declaration and Undertaking with regard to Directors
董事會board of directors
董事會報(bào)告directors’ report
董事袍金directors’ fee
凍結(jié)locked up
凍結(jié)股份機(jī)制securities-on-hold mechanism
動(dòng)態(tài)對沖dynamic hedging
動(dòng)態(tài)價(jià)格檢查dynamic price checking
動(dòng)態(tài)價(jià)格限制 / 動(dòng)態(tài)價(jià)格帶機(jī)制Dynamic Price Banding
兜售證券hawking of securities
獨(dú)立財(cái)務(wù)顧問independent financial adviser
獨(dú)立非執(zhí)行董事independent non-executive director (INED)
獨(dú)立顧問independent adviser
獨(dú)立客戶交易segregated client trades
獨(dú)立上市separate listing
獨(dú)立信托戶口segregated trust account
獨(dú)資經(jīng)營者sole proprietor
瀆職行為misconduct
短倉short position
短期同業(yè)拆放市場call market
短期證券short-dated securities
短期資金借貸市場money market
短訊提示服務(wù)Alert Message Service
短暫停牌；中途停牌trading halt
斷路器*circuit breaker
「對倉盤」交易“matched” trade
對沖hedging
對沖比率hedging ratio
對沖豁免機(jī)制hedging exemption regime
對沖基金hedge fund
對沖基金的基金fund of hedge funds
對沖值【期權(quán)】delta【options】
對沖值敏感度gamma
對角買賣diagonal spread
對口聯(lián)絡(luò)機(jī)制dedicated liaison mechanism
對盤order matching
對盤前時(shí)段pre-order matching period
對盤時(shí)段order matching period
對盤系統(tǒng)matching engine
對敲bucketing
對手方counterparty
對手風(fēng)險(xiǎn)counterparty risk
對手經(jīng)紀(jì)contra broker
對手失責(zé)假設(shè)counterparty default assumption
對外持倉轉(zhuǎn)移external position transfer
對銷；凈額結(jié)算netting
對賬reconciliation
兌付*redemption
多邊交易設(shè)施multilateral trading facility (MTF)
多倫多創(chuàng)業(yè)板TSX Venture
多重投票權(quán)股份multiple voting share
多方安全計(jì)算技術(shù)multi-party computation technology
多方數(shù)據(jù)分析collaborative data analysis
多工作站multiple-workstations
多工作站系統(tǒng)Multi-workstation System (MWS)
多批交收處理程序【中央結(jié)算系統(tǒng)】batch settlement run【CCASS】
多頭倉位*long position; bull position
多種幣值股票轉(zhuǎn)換指示；多柜臺合資格證券轉(zhuǎn)換指示multi-counter transfer instruction
多種貨幣買賣multi-currency trading

E

額外按金additional margin
餌盤bait order
二板市場*second board
二級市場secondary market; after market / aftermarket
24 個(gè)價(jià)位規(guī)則24-spread rule
「二態(tài)」期權(quán)模式“two-state” option valuation model
二線股second liner; second line stock
「二項(xiàng)式」期權(quán)定價(jià)模式binomial option pricing model
惡意搶占額度quota hogging

F

發(fā)鈔局制度currency board system
發(fā)牌資料冊【證監(jiān)會】Licensing Information Booklet【SFC】
發(fā)盤價(jià)offer price
發(fā)起人promoter
發(fā)行紅股scrip issue
發(fā)行機(jī)構(gòu)issuer
發(fā)行價(jià)issue price
發(fā)行人issuer
發(fā)行人保薦戶口Issuer Sponsored Account
發(fā)行人登記冊Issuer Register
發(fā)行人電子存盤系統(tǒng)issuer electronic filing system
發(fā)行人公告專線Issuer Information Feed
發(fā)行人資料傳送專線Issuer Information Feed
發(fā)行審核委員會（發(fā)審委）【中國證監(jiān)會】Public Offering Review Committee 【CSRC】
《發(fā)行條款表資料檔案規(guī)格》Term Sheet Data File Specifications
發(fā)行新股new issue
發(fā)行章程prospectus
發(fā)行資料摘要【權(quán)證】indicative terms sheet【warrants】
法定儲備statutory reserve
法定公積金【內(nèi)地】statutory surplus reserve【Mainland】
法定公益金【內(nèi)地】statutory public welfare fund 【Mainland】
法定股本authorized capital
法律風(fēng)險(xiǎn)legal risk
法律實(shí)體legal entity
法律實(shí)體識別編碼legal entity identifier (LEI)
法人股【內(nèi)地】legal person share; institutional share 【Mainland】
法團(tuán)大股東具報(bào)書Corporate Substantial Shareholders Notification
法團(tuán)內(nèi)幕人士corporate insider
法團(tuán)形式的集體投資計(jì)劃corporate form collective investment scheme (corporate form CIS)
反駁交易rejected sales
反饋測試模式beta test mode
反收購；反向并購reverse takeover; reverse merger
反收購文件defence document
反彈rally
反向可轉(zhuǎn)換產(chǎn)品；反向兌換票據(jù)reverse convertible
反向／淡倉交易所買賣基金inverse / short exchange-traded fund
反向回購?fù)顿Yreverse purchase investment
反向詢價(jià)reverse enquiry
房地產(chǎn)投資信托基金real estate investment trust (REIT)
《房地產(chǎn)投資信托基金守則》Code on Real Estate Investment Trusts
防違約措施default protection
訪客廊Viewing Gallery
放寬管制deregulation
放寬利率管制deregulation of interest rates
非 H 股內(nèi)地民營企業(yè)non-H-share Mainland private enterprise (NHMPE)
非標(biāo)準(zhǔn)型權(quán)證；非標(biāo)準(zhǔn)型認(rèn)股證；特種認(rèn)股證exotic warrants
非參與者直接落盤；電子直達(dá)市場安排direct market access
非常重大的出售事項(xiàng)very substantial disposal
非常重大的收購事項(xiàng)very substantial acquisition
非成立為有限公司的注冊人士unincorporated registered person
非登記持有人non-registered holder
非獨(dú)立客戶交易non-segregated client trades
非法團(tuán)上市實(shí)體non-corporate listed entities
非即日平倉交易overnight trade
非即時(shí)數(shù)據(jù)delayed data
非交割遠(yuǎn)期外匯合約*non-deliverable forward contract (NDF)
非交易股票過戶non-trade share transfer
非交易過戶non-trade transfer
非結(jié)算的期權(quán)買賣參與者/非結(jié)算參與者 【期權(quán)買賣】Non-Clearing Options Trading Participant; Non-Clearing Participant (NCP) 【options trading】
非金錢利益soft-dollar benefits
非金錢傭金soft commission
非經(jīng)常項(xiàng)目extraordinary item
非流通股【內(nèi)地】non-tradable share 【Mainland】
非認(rèn)可負(fù)債non-ranking liabilities
「非上市可交易」股份“trading only” stock
非實(shí)物化dematerialisation
非市場莊家的交易non-market-making transaction
非訴訟寬免no-action relief
非受監(jiān)管發(fā)行人unregulated issuer
非所有者權(quán)益變動(dòng)表statement of “non-owner movement in equity”
非無保留意見modified opinion
非展示用途政策Non-display Usage Policy
非整手買賣盤round-lot-plus order
非正常項(xiàng)目abnormal item
非執(zhí)行董事non-executive director
非中介化disintermediation
非自動(dòng)對盤的交易manual trade
分包銷商sub-underwriter
分布式分類賬distributed ledger
分拆 / 分拆上市spin-off
分級基金structured fund
分類表決制度classified voting system
分類賬sub-ledger
分類指數(shù)sub-index
分離債*detachable convertible bond
分立*spin-off
分列登記冊Split Register
分托管sub-custody
分派distribution
分銷distribution
「粉紅價(jià)單」；粉單市場【美國】Pink Sheets【US】
封閉式基金closed-end fund
封頂紅利票據(jù)capped bonus certificate
瘋狂拋售bear raid
風(fēng)險(xiǎn)參數(shù)risk parameter
風(fēng)險(xiǎn)管理risk management; exposure management
風(fēng)險(xiǎn)管理數(shù)據(jù)儲存庫risk management data repository
風(fēng)險(xiǎn)管理委員會Risk Management Committee
風(fēng)險(xiǎn)管理憲章Risk Management Charter
風(fēng)險(xiǎn)鑒別risk identification
風(fēng)險(xiǎn)警示板【上交所】risk alert board 【SSE】
風(fēng)險(xiǎn)控制risk control
風(fēng)險(xiǎn)逆轉(zhuǎn)系數(shù)risk reversal
風(fēng)險(xiǎn)排列按金制度risk array margining system
風(fēng)險(xiǎn)排列方法risk array method
風(fēng)險(xiǎn)排列算式risk array algorithm
風(fēng)險(xiǎn)披露risk disclosure
風(fēng)險(xiǎn)披露聲明書【GEM】Risk Disclosure Statement【GEM】
風(fēng)險(xiǎn)評估risk evaluation
風(fēng)險(xiǎn)容限risk tolerance
風(fēng)險(xiǎn)頭寸risk position
風(fēng)險(xiǎn)投資基金venture capital
風(fēng)險(xiǎn)系數(shù)檔案Risk Parameter File (RPF)
否定聲明negative statement; disclaimer
否定意見adverse opinion
浮動(dòng)保證基金Dynamic Guarantee Fund
浮動(dòng)保證金variation margin
浮動(dòng)儲備基金Dynamic Reserve Fund
浮動(dòng)供款豁免額Dynamic Contribution Credit
浮動(dòng)價(jià)格換股票據(jù)；不確定性可換股票據(jù)toxic convertible
浮動(dòng)應(yīng)計(jì)費(fèi)用variable accrual
浮息按揭variable-rate mortgage
浮息存款證floating rate certificate of deposit (FRCD)
浮息票據(jù)floating rate note (FRN)
副保薦人【GEM】co-sponsor【GEM】
附寄結(jié)單服務(wù)的股份獨(dú)立戶口【中央結(jié)算系統(tǒng)】Stock Segregated Account with Statement Service (SSA) [CCASS]
附權(quán)交易cum-trading
附屬貸款subordinated loan
附屬抵押品collateral security
附屬公司subsidiary
附屬企業(yè)subsidiary undertaking
復(fù)牌resumption of trading
富時(shí)指數(shù)集團(tuán)FTSE Group
復(fù)式按金spread margin
復(fù)式盤spread order
復(fù)式期權(quán)spread option
付方參與者delivering Participant
付款參與者paying Participant
付運(yùn)中貨品goods-in-transit
負(fù)債liabilities
負(fù)債比率debt-to-equity ratio
負(fù)債日indebtedness date
《負(fù)責(zé)任的擁有權(quán)原則》【證監(jiān)會】Principles of Responsible Ownership 【SFC】