全国热线：400-963-0708 
网站地图
行业动态
职业发展
融跃动态
FRM协会动态
FRM最新公告
新版金融英语词汇表（A-F）
*Terms commonly used in the Mainland
*内地用语 版本日期：2019年12月
可使用Ctrl + F 键查找
*内地用语 版本日期：2019年12月
可使用Ctrl + F 键查找
A
| 按价格排序的传送专线 | market-by-price feed |
| 按揭贷款发放者 | mortgage loan originator |
| 按揭证券 | mortgage-backed securities |
| 按金 | margin；deposit |
| 按金比例 | margin ratio |
| 按金贷记 | margin credit |
| 按金对销 | margin offset |
| 按金豁免额 | margin credit |
| 按金间距 | margin interval |
| 按金减免 | margin relief |
| 按金交易 | margin trading |
| 按金损耗 | margin erosion |
| 按买卖盘排序的传送专线 | market-by-order feed |
| 按盘价 | nominal price |
| 按市价计值/按市值计价 | mark to market / mark-to-market |
| 按使用天数收费服务计划 | Daily Charge Service |
| 暗池交易*；黑池交易 | 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 Investments Commission (ASIC) |
| 澳洲证券交易所 | Australian Stock Exchange (ASX) |
B
| 巴塞尔协定 | Basel Concordat |
| 巴塞尔协议 | Basel Agreement |
| 巴西证券期货交易所 | BM&FBovespa |
| 版本二《跨政府协议》下有报告义务的金融机构【美国】 | Reporting Financial Institution under a Model 2 Intergovernmental Agreement【US】 |
| 包销承担净值 | 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 | guaranteed unit trust |
| 保本证 | Capital Protected Instrument (CPI) |
| 保管人 | custodian |
| 「保护偿付」规则【期权】 | Payout-Protection Rule【options】 |
| 保荐经纪 | sponsoring broker |
| 保荐人 | sponsor |
| 《保荐人标准守则》 | Model Code for Sponsors |
| 《保荐人及独立财务顾问的操守准则》 | Code of Conduct for Sponsors and Independent Financial Advisers |
| 《保荐人声明》 | Sponsor’s Declaration |
| 保留意见 | qualified opinion |
| 保险业监理处 | Office of the Commissioner of Insurance |
| 保险业监理专员 | Commissioner of Insurance |
| 保障安排 | security arrangement |
| 保证基金【香港结算】 | Guarantee Fund【HKSCC】 |
| 保证金 | margin; Margin Funds; deposit |
| 保证金保险范围比率 | margin coverage ratio |
| 保证金贷款 | margin loan |
| 保证金价值 | margin value |
| 保证金借贷活动 | margin financing |
| 保证金客户 | margin client |
| 保证金模拟计算器 | OASIS Margin Simulator |
| 保证金融资 | margin financing |
| 保证人 | guarantor |
| 保值公债【内地】 | Public Debt (Inflation-Linked Subsidy) Treasury【Mainland】 |
| 报价 | quote |
| 报价撮合* | order matching |
| 报价规则 | quotation rules |
| 报价券商* | quotation broker |
| 报价委托* | quotation order |
| 报价系统【期货及期权】 | Price Reporting System (PRS)【futures & options】 |
| 报价要求 | quote request; request for quote (RFQ) |
| 北京产权交易所 | China Beijing Equity Exchange |
| 北京国际矿业权交易所有限公司（北矿所） | China Beijing International Mining Exchange (CBMX) |
| 北京金融资产交易所 | Beijing Financial Assets Exchange |
| 北向交易 | Northbound trading |
| 备存纪录责任 | record keeping obligation |
| 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 |
| 备用数据中心 | secondary data centre |
| 被动受托人 | bare trustee |
| 被动型基金 | passive fund |
| 被实施风险警示【內地】 | under “risk alert” 【Mainland】 |
| 被视为截止过户日期 | deemed book close date |
| 被转移的交易 | given-up trade |
| 本地生产总值 | gross domestic product (GDP) |
| 本益比*；市盈率 | price/earnings ratio (P/E) |
| 比例综合法 | proportionate consolidation method |
| 闭端式基金 | closed-end fund |
| 闭环系统；全程封闭 | closed loop |
| 避税 | tax avoidance |
| 边远值 | outliers |
| 贬值 | depreciation |
| 变换交易【期权】 | conversion【options】 |
| 变价调整 | variation adjustment |
| 变现 | realisation |
| 标的证券*；指定证券 | designated securities |
| 标准按金制度 | standard margin system |
| 标准差 | standard deviation |
| 标准登记服务 | standard registration service |
| 标准合约 | standard contract |
| 标准会计准则 | standard accounting practice |
| 标准普尔 500 综合指数预托证券 | Standard & Poor's Depositary Receipt (SPDR) |
| 标准普尔评级 | Standard & Poor's Rating |
| 标准普尔/香港交易所 GEM 指数 | S&P/HKEX GEM |
| 标准普尔/香港交易所大型股指数 | S&P/HKEX LargeCap |
| 标准授权书 | Model Authorisation Letter |
| 标准证券数据【数据传送专线】 | Securities Standard【datafeed】 |
| 标准组合风险分析 | Standard Portfolio Analysis of Risk (SPAN) |
| 标准组合交易功能 | standard combination trading function |
| 标准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 |
| 波幅；波动性* | volatility |
| 波幅校验范围 | Volatility Scan Range (VSR) |
| 波幅指数 | volatility index |
| 波罗的海干散货指数；波罗的海综合指数 | Baltic Dry Index (BDI) |
| 渤海商品交易所（渤商所） | Bohai Commodity Exchange (BOCE) |
| 播送量【市场数据】 | throughput 【market data】 |
| 驳脚经纪 | runner |
| 「柏力克－舒尔斯」期权定价模式 | 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 listing document |
| 补发证书服务 | certificate replacement service |
| 补购 | buy in |
| 补购交易 | buy-in transaction |
| 补购通知书 | Buy-in Notification Report |
| 不当行为 | misconduct |
| 不抵押保证；不抵押担保 | negative pledge |
| 不定额供款 | variable contribution |
| 不动户口费 | dormant account fee |
| 不动盘 | inactive order |
| 不公平竞争 | uneven playing field【cf level playing field】 |
| 「不公平损害」补救 | "unfair prejudice" remedy |
| 不活跃公司 | dormant company |
| 不记名式国库券【内地】 | Bearer Treasury【Mainland】 |
| 不记名证券 | bearer securities |
| 不交收利率掉期 | non-deliverable IRS (NDIRS) |
| 不交收远期外汇合约；不交割远期外汇合约* | non-deliverable forward contract (NDF) |
| 不可抗力 | force majeure |
| 不可取消时段 | No-Cancellation Period |
| 不能配对买卖盘 | order imbalance |
| 不良债务 | distressed debt |
| 不停电电源装置；不间断电源装置 | uninterrupted power supply (UPS) |
| 不同投票权架构 | weighted voting rights structure |
| 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 |
| 簿记建档*；累计投标制；询价制* | book building |
C
| 财务报表审阅计划 | 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 Review Panel (FRRP) |
| 财务汇报局 | The Financial Reporting Council (FRC) |
| 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 |
| 财政股东 | financial shareholder |
| 财政健全 | financial integrity |
| 财政年度 | financial year |
| 财政资源规则 | financial resources rules |
| 财资企业集团 | financial conglomerate |
| 财资市场公会 | Treasury Markets Association (TMA) |
| 参考草拟本 | indicative draft |
| 参考发行价 | indicated issue price |
| 参考平衡成交量 | Indicative Equilibrium Volume (IEV) |
| 参考平衡价格 | Indicative Equilibrium Price (IEP) |
| 参与人远程操作平台 | Participant Remote Operating Platform (PROP) |
| 参与者财务资源监察系统 | Participant Financial Resources Surveillance System |
| 参与者持股纪录报表 | Participant Shareholding Report |
| 参与者电子通讯系统 | Participant Email System |
| 参与者风险排序方法 | counterparty risk ranking methodology |
| 《参与者适用的中央结算系统终端机使用者指引》 | CCASS Terminal User Guide for Participants |
| 参与者网间连接器 | Participant Gateway (PG) |
| 参与者资料提取系统【期货】 | Participant Access Services【futures】 |
| 参与者资讯系统 | Participants Information System (PIS) |
| 参与者自设系统 | Participant Supplied System (PSS) |
| 参与证券商 | Participating Dealer |
| 残值 | salvage value |
| 仓 | position |
| 仓位持有人 | position holder |
| 《操守准则》 | Code of Conduct |
| 操纵价格 | price manipulation |
| 策略投资者 | strategic investor; tactical investor |
| 差额缴款 | marks / marks payment |
| 差价 | spread |
| 差价合约 | contract for differences (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原因【中央结算系统】 | Enquire Unmatched SI Reason 【CCASS】 |
| 「拆骨专家」 | asset stripper |
| 拆卖资产 | asset stripping |
| 产品资料概要 | Product Key Fact Statement |
| 产品咨询委员会【证监会】 | Products Advisory Committee 【SFC】 |
| 产权负担 | encumbrances |
| 长仓 | long position; bull position |
| 长期指数期权 / 远期指数期权 | long-dated index options |
| 长时间停牌公司 | long suspended company |
| 常务委员会 | Executive Committee |
| 偿债基金 | sinking fund |
| 偿债能力风险 | insolvency risk |
| 场内规则 | on-market rules |
| 场内交易 | pit trading |
| 场内交易产品；交易所买卖产品 | exchange traded product (ETP) |
| 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 |
| 场外规则 | off-market rules |
| 场外交易 | off-floor trading; over-the-counter trading; off-board trading |
| 场外交易议价板【美国】 | OTC Bulletin Board【US】 |
| 场外交易结算及交收系统 | OTC Clearing and Settlement System (OCASS) |
| 场外结算追溯汇报 | OTC backloading |
| 场外平均交易 | over-the-counter averaging business |
| 场外期权 | over-the-counter option |
| 场外市场；柜台市场 | over-the-counter (OTC) market |
| 场外衍生工具 | over-the-counter derivative |
| 场外现汇 | OTC FX spot |
| 场外终端机 | off-floor terminal |
| 超短期融资券【内地】 | super & short-term commercial paper (SCP)【Mainland】 |
| 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 option |
| 超额认购 | oversubscribed; overbooked |
| 超国家机构 | supranational entity |
| 超买 | overbought |
| 超卖 | oversold |
| 超前交易 | front running |
| 炒高价格 | ramping; price ramping |
| 承办银行 | administering bank |
| 承兑 | acceptance |
| 承兑票据 | promissory notes |
| 承诺通融额 | committed facilities |
| 承配人 | placee |
| 承前【会计】 | brought forward【accounting】 |
| 承让人 | assignee; transferee |
| 承销商* | underwriter |
| 成本效益 | cost effectiveness |
| 成份股；样本股* | constituents |
| 成交单/成交单据/买卖单据 | contract note |
| 成交量加权平均价 | volume weighted average price (VWAP) |
| 成交额比率 | turnover ratio |
| 成交及取消【限价盘】 | Fill and Kill【limit orders】 |
| 成交纪录 | trading record |
| 成交确认委托* | transaction confirmation order |
| 成交调整 | trade amendment |
| 成员大会；股东大会 | general meeting |
| 成员登记册 | register of members |
| 程式买卖/交易；程式演算交易 | algorithmic trading; algo trade; 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 |
| 迟报交易 | late reported sales |
| 持仓 | position |
| 持仓比例 | position ratio |
| 持仓对冲值 | position delta |
| 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 |
| 持份者；权益人；利益相关者；干系人*；利益攸关者* | stakeholder |
| 持股编号 | shareholder Reference Number (SRN) |
| 持股人的分布情况 | spread of holders |
| 持牌法团 | licensed corporation |
| 持牌人及注册机构的公众纪录册 | Public Register of Licensed Persons and Registered Institutions |
| 持权成本【期权】 | cost of carry |
| 持续报价 | Continuous Quotes |
| 持续报价庄家 | continuous quote market maker |
| 持续发售机制 | tap facility |
| 持续交易时段 | continuous trading session |
| 持续关连交易 | continuing connected transaction |
| 持续经营【会计】 | going concern【accounting】 |
| 持续经营之业务 | continuing operation |
| 持续净额交收 | continuous net settlement (CNS) |
| 持续披露及资料传递政策 | Continuous Disclosure and Communication Policy |
| 持续责任 | continuing obligation; on-going obligation |
| 持续专业培训课程 | Continuous Professional Training (CPT) |
| 持有成本 | cost of carry |
| 重复认购 | multiple applications |
| 重复申请 | double-dipping |
| 重估 | revaluation |
| 重新实物化 | rematerialisation |
| 重置成本 | replacement cost |
| 重组 | reorganisation |
| 筹备董事会 | Preparatory Board |
| 初始保证金 | initial margin |
| 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 close |
| 除牌 | delisting |
| 除权 | ex-rights |
| 除权日* | ex-date |
| 除权交易 | ex-entitlement trading |
| 除息基准 | ex-dividend basis |
| 储备 | reserve |
| 储备基金 | reserve fund |
| 储存区域网络 | storage area network (SAN) |
| 储架发行* | shelf offering |
| 储架式注册* | shelf registration facility |
| 处理时延 | order processing latency |
| 穿价交易 | trade through |
| 传统基金会【美国】 | The Heritage Foundation【US】 |
| 传统债券 | plain vanilla bond |
| 串换* | swap |
| 串流数据 | streaming data |
| 创投基金∕创业基金 | venture capital |
| 创效投资债券 | impact investment bond |
| 创新板 | New Board |
| 创新初板 | New Board PRO |
| 创新主板 | New Board PREMIUM |
| 创新实验室 | Innovation Lab |
| 创业板【深交所】 | ChiNext【SZSE】 |
| 窗口定价权证 | Window Barrier Warrant |
| 纯交易板 | trading-only board |
| 次级投票权股份 | subordinate voting share |
| 次级债券*；次顺位债券* | subordinated bond |
| 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 DTC Association (DTCA) |
| 存款准备金率 | reserve requirement ratio (RRR) |
| 存留利息 | retention interest |
| 存托凭证* | depositary receipt |
| 错价交易 | error trade |
| 错误包容 | fault tolerance |
| 错误陈述 | misstatement |
| 错误交易 | erroneous trade |
| 错误交易合约 | mistraded contract |
| 错向风险 | wrong way risk |
D
| 打和点 | breakeven point |
| 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】 |
| 大額交易* | block trade |
| 大额买卖盘 | block order |
| 大额未平仓合约 | large open position |
| 大额未平仓合约报告 | Large Open Position Report |
| 大股东 | substantial shareholder; major shareholder |
| 大利市 | Teletext |
| 大连商品交易所（大商所） | Dalian Commodity Exchange (DCE) |
| 大量报价设施 | Mass Quotation Facility |
| 大量户口转移指示 | Mass Account Transfer Instruction (Mass ATI) |
| 大量开盘 | mass quote |
| 大批登记服务 | bulk registration service |
| 大批交收程序 | bulk settlement run |
| 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) |
| 大手交易特别按金 | Special Block Trade Margin |
| 大型股 | large cap stock |
| 大宗交易* | block trade |
| 代办股份转让系统【内地】 | Agency Share Transfer System; Share Transfer Agent System【Mainland】 |
| 代表委任表格 | proxy form |
| 代处理服务；代表处理服务 | on-behalf-of processing |
| 代价 | consideration |
| 代价发行 | consideration issue |
| 代价股份 | consideration share |
| 代客买卖 | agency trade |
| 代客买卖户口 | agency account |
| 代理户口 | agency account |
| 代理人 | agent; nominee |
| 代名人 | nominee |
| 代理人户口 | nominee account |
| 代履行权责服务费 | corporate actions service fee |
| 代收股息/债券利息服务费 | dividend and debt securities interest collection 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 1988 年证券业检讨委员会报告书） | Ian Hay Davison Report (ie Report of the Securities Review Committee in 1988) |
| 担保计划【联交所】 | Guarantee Scheme【SEHK】 |
| 担保交易 | guarantee transaction |
| 担保权益 | security interest |
| 担保人 | guarantor |
| 担保物* | collateral; security |
| 单币单股 | Single Tranche, Single Counter (STSC) |
| 单播数据传送专线 | unicast datafeed |
| 单价配对【期权】 | netting【options】 |
| 单类别股份架构 | single class share structure |
| 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 |
| 单一价格竞价市场 | single price auction system |
| 单一牌照制度 | Single Licence Regime |
| 单一种股份的衍生认股权证 | single share derivative warrant |
| 淡仓 | short position |
| 淡仓申报服务【证监会】 | Short Position Reporting Service 【SFC】 |
| 当日有效盘；即日买卖盘；即日盘 | day order |
| 当日有效盘【限价盘】 | Rest of Day【limit orders】 |
| 档案传送协定 | file transfer protocol |
| 档案转换 | file transfer |
| 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 |
| 到期界内证 | end-inline warrant |
| 到期/到期日 | maturity; expiry date |
| 到期前有效买卖盘 | good-till-date order (GTD) |
| 到期收益率 | yield to maturity |
| 到期月份 | expiry month |
| 德国期货及期权交易所 | Deutsche Terminborse (DTB) |
| 德意志交易所集团 | Deutsche Börse Group |
| 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 |
| 等值合约张数 | contract-equivalent number |
| 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 |
| 抵销 | set off |
| 抵押 | charge; pledge |
| 抵押安排 | security arrangement |
| 抵押补充贷款 | pledged supplementary lending (PSL) |
| 抵押股份统制户口 | Stock Collateral Control Account |
| 抵押品 | collateral; security |
| 抵押品资格 | collateral eligibility |
| 抵押权益 | security interest |
| 抵押债券 | mortgage bond |
| 抵押债项 | secured debts |
| 地方政府融资平台 | local government financing vehicle (LGFV) |
| 第二板 / 第二板市场 | second board; second market |
| 第二上市 | secondary listing |
| 第三方网站基本报价服务 | Third Party Website Basic Market Prices Service |
| 第三者结算 | Third Party Clearing (TPC) |
| 《第三者网站服务指引》 | Guideline on Third Party Website Service |
| 第一板 | main board |
| 第一上市 | primary listing |
| 递耗资产 | decaying asset |
| 递加节流率 | additional throttle |
| 递延股 | deferred share |
| 递延税项 | deferred tax |
| 点子 | basis point |
| 垫款 | advance; monies advanced |
| 电源使用效率 | Power Usage Efficiency (PUE) |
| 电子呈交系统 | Electronic Submission System (ESS) |
| 电子传递证券资讯服务 | Electronic Mailing Stock Information Service (EMSIS) |
| 电子登载系统 | Electronic Publication System (EPS) |
| 《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 |
| 电子款项交收费 | electronic money settlement fee |
| 电子款项交收服务 | Electronic Money Settlement Services |
| 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 |
| 电子收付款指示 | Electronic Payment Instruction (EPI) |
| 「电子数据收集、分析及检索」系统【美国】 | Electronic Data Gathering, Analysis and Retrieval (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 Approval System |
| 电子直达市场安排；非参与者直接落盘 | direct market access |
| 掉期 | swap |
| 调期息率；利率掉期/利率调期* | interest rate swap (IRS) |
| 吊销资格令 | disqualification order |
| 蝶式买卖 | butterfly spread |
| 订单路由 | order routing |
| 订单路由安排 | order-routing connectivity |
| 订明证券 | prescribed securities |
| 定点权证 | digital warrant |
| 定点市场 | call market |
| 定格；「定镜」处理 | snapshot |
| 定价模式 | pricing model |
| 定界期权 | barrier option |
| 定界认股证/定界权证 | barrier warrant |
| 定期债券 | term bond |
| 定息按揭 | fixed-rate mortgage |
| 定息及货币产品 | fixed income and currency (FIC) |
| 定息优先票据 | fixed rate senior note |
| 定息组合股；定息交易所买卖基金 | Fixed Income ETF |
| 定向增发*；私人配售 | private placement / private placing |
| 东南亚国家联盟（东盟） | Association of Southeast Asian Nations (ASEAN) |
| 东亚及大洋洲证券交易所联会 | East Asian and Oceanian Stock Exchanges Federation (EAOSEF) |
| 董事酬金 | directors’ remuneration |
| 《董事的声明及承诺》 | Declaration and Undertaking with regard to Directors |
| 董事会 | board of directors |
| 董事会报告 | directors’ report |
| 董事袍金 | directors’ fee |
| 冻结 | locked up |
| 冻结股份机制 | securities-on-hold mechanism |
| 动态对冲 | dynamic hedging |
| 动态价格检查 | dynamic price checking |
| 动态价格限制 / 动态价格带机制 | Dynamic Price Banding |
| 兜售证券 | hawking of securities |
| 独立财务顾问 | independent financial adviser |
| 独立非执行董事 | independent non-executive director (INED) |
| 独立顾问 | independent adviser |
| 独立客户交易 | segregated client trades |
| 独立上市 | separate listing |
| 独立信托户口 | segregated trust account |
| 独资经营者 | sole proprietor |
| 渎职行为 | misconduct |
| 短仓 | short position |
| 短期同业拆放市场 | call market |
| 短期证券 | short-dated securities |
| 短期资金借贷市场 | money market |
| 短讯提示服务 | Alert Message Service |
| 短暂停牌；中途停牌 | trading halt |
| 断路器* | circuit breaker |
| 「对仓盘」交易 | “matched” trade |
| 对冲 | hedging |
| 对冲比率 | hedging ratio |
| 对冲豁免机制 | hedging exemption regime |
| 对冲基金 | hedge fund |
| 对冲基金的基金 | fund of hedge funds |
| 对冲值【期权】 | delta【options】 |
| 对冲值敏感度 | gamma |
| 对角买卖 | diagonal spread |
| 对口联络机制 | dedicated liaison mechanism |
| 对盘 | order matching |
| 对盘前时段 | pre-order matching period |
| 对盘时段 | order matching period |
| 对盘系统 | matching engine |
| 对敲 | bucketing |
| 对手方 | counterparty |
| 对手风险 | counterparty risk |
| 对手经纪 | contra broker |
| 对手失责假设 | counterparty default assumption |
| 对外持仓转移 | external position transfer |
| 对销；净额结算 | netting |
| 对账 | reconciliation |
| 兑付* | redemption |
| 多边交易设施 | multilateral trading facility (MTF) |
| 多伦多创业板 | TSX Venture |
| 多重投票权股份 | multiple voting share |
| 多方安全计算技术 | multi-party computation technology |
| 多方数据分析 | collaborative data analysis |
| 多工作站 | multiple-workstations |
| 多工作站系统 | Multi-workstation System (MWS) |
| 多批交收处理程序【中央结算系统】 | batch settlement run【CCASS】 |
| 多头仓位* | long position; bull position |
| 多种币值股票转换指示；多柜台合资格证券转换指示 | multi-counter transfer instruction |
| 多种货币买卖 | multi-currency trading |
E
| 额外按金 | additional margin |
| 饵盘 | bait order |
| 二板市场* | second board |
| 二级市场 | secondary market; after market / aftermarket |
| 24 个价位规则 | 24-spread rule |
| 「二态」期权模式 | “two-state” option valuation model |
| 二线股 | second liner; second line stock |
| 「二项式」期权定价模式 | binomial option pricing model |
| 恶意抢占额度 | quota hogging |
F
| 发钞局制度 | currency board system |
| 发牌资料册【证监会】 | Licensing Information Booklet【SFC】 |
| 发盘价 | offer price |
| 发起人 | promoter |
| 发行红股 | scrip issue |
| 发行机构 | issuer |
| 发行价 | issue price |
| 发行人 | issuer |
| 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 system |
| 发行人公告专线 | Issuer Information Feed |
| 发行人资料传送专线 | Issuer Information Feed |
| 发行审核委员会（发审委）【中国证监会】 | Public Offering Review Committee 【CSRC】 |
| 《发行条款表资料档案规格》 | Term Sheet Data File Specifications |
| 发行新股 | new issue |
| 发行章程 | prospectus |
| 发行资料摘要【权证】 | indicative terms sheet【warrants】 |
| 法定储备 | statutory reserve |
| 法定公积金【内地】 | statutory surplus reserve【Mainland】 |
| 法定公益金【内地】 | statutory public welfare fund 【Mainland】 |
| 法定股本 | authorized capital |
| 法律风险 | legal risk |
| 法律实体 | legal entity |
| 法律实体识别编码 | legal entity identifier (LEI) |
| 法人股【内地】 | legal person share; institutional share 【Mainland】 |
| 法团大股东具报书 | Corporate Substantial Shareholders Notification |
| 法团内幕人士 | corporate insider |
| 法团形式的集体投资计划 | corporate form collective investment scheme (corporate form CIS) |
| 反驳交易 | rejected sales |
| 反馈测试模式 | beta test mode |
| 反收购；反向并购 | reverse takeover; reverse merger |
| 反收购文件 | defence document |
| 反弹 | rally |
| 反向可转换产品；反向兑换票据 | reverse convertible |
| 反向／淡仓交易所买卖基金 | inverse / short exchange-traded fund |
| 反向回购投资 | reverse purchase investment |
| 反向询价 | reverse enquiry |
| 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 |
| 防违约措施 | default protection |
| 访客廊 | Viewing Gallery |
| 放宽管制 | deregulation |
| 放宽利率管制 | deregulation of interest rates |
| 非 H 股内地民营企业 | non-H-share Mainland private enterprise (NHMPE) |
| 非标准型权证；非标准型认股证；特种认股证 | exotic warrants |
| 非参与者直接落盘；电子直达市场安排 | direct market access |
| 非常重大的出售事项 | very substantial disposal |
| 非常重大的收购事项 | very substantial acquisition |
| 非成立为有限公司的注册人士 | unincorporated registered person |
| 非登记持有人 | non-registered holder |
| 非独立客户交易 | non-segregated client trades |
| 非法团上市实体 | non-corporate listed entities |
| 非即日平仓交易 | overnight trade |
| 非即时数据 | delayed data |
| 非交割远期外汇合约* | non-deliverable forward contract (NDF) |
| 非交易股票过户 | non-trade share transfer |
| 非交易过户 | non-trade transfer |
| 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】 |
| 非金钱利益 | soft-dollar benefits |
| 非金钱佣金 | soft commission |
| 非经常项目 | extraordinary item |
| 非流通股【内地】 | non-tradable share 【Mainland】 |
| 非认可负债 | non-ranking liabilities |
| 「非上市可交易」股份 | “trading only” stock |
| 非实物化 | dematerialisation |
| 非市场庄家的交易 | non-market-making transaction |
| 非诉讼宽免 | no-action relief |
| 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” |
| 非无保留意见 | modified opinion |
| 非展示用途政策 | Non-display Usage Policy |
| 非整手买卖盘 | round-lot-plus order |
| 非正常项目 | abnormal item |
| 非执行董事 | non-executive director |
| 非中介化 | disintermediation |
| 非自动对盘的交易 | manual trade |
| 分包销商 | sub-underwriter |
| 分布式分类账 | distributed ledger |
| 分拆 / 分拆上市 | spin-off |
| 分级基金 | structured fund |
| 分类表决制度 | classified voting system |
| 分类账 | sub-ledger |
| 分类指数 | sub-index |
| 分离债* | detachable convertible bond |
| 分立* | spin-off |
| 分列登记册 | Split Register |
| 分托管 | sub-custody |
| 分派 | distribution |
| 分销 | distribution |
| 「粉红价单」；粉单市场【美国】 | Pink Sheets【US】 |
| 封闭式基金 | closed-end fund |
| 封顶红利票据 | capped bonus certificate |
| 疯狂抛售 | bear raid |
| 风险参数 | risk parameter |
| 风险管理 | risk management; exposure management |
| 风险管理数据储存库 | risk management data repository |
| 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 |
| 风险警示板【上交所】 | risk alert board 【SSE】 |
| 风险控制 | risk control |
| 风险逆转系数 | risk reversal |
| 风险排列按金制度 | risk array margining system |
| 风险排列方法 | risk array method |
| 风险排列算式 | risk array algorithm |
| 风险披露 | risk disclosure |
| 风险披露声明书【GEM】 | Risk Disclosure Statement【GEM】 |
| 风险评估 | risk evaluation |
| 风险容限 | risk tolerance |
| 风险头寸 | risk position |
| 风险投资基金 | venture capital |
| 风险系数档案 | Risk Parameter File (RPF) |
| 否定声明 | negative statement; disclaimer |
| 否定意见 | adverse opinion |
| 浮动保证基金 | Dynamic Guarantee Fund |
| 浮动保证金 | variation margin |
| 浮动储备基金 | Dynamic Reserve Fund |
| 浮动供款豁免额 | Dynamic Contribution Credit |
| 浮动价格换股票据；不确定性可换股票据 | toxic convertible |
| 浮动应计费用 | variable accrual |
| 浮息按揭 | variable-rate mortgage |
| 浮息存款证 | floating rate certificate of deposit (FRCD) |
| 浮息票据 | floating rate note (FRN) |
| 副保荐人【GEM】 | co-sponsor【GEM】 |
| 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 (SSA) [CCASS] |
| 附权交易 | cum-trading |
| 附属贷款 | subordinated loan |
| 附属抵押品 | collateral security |
| 附属公司 | subsidiary |
| 附属企业 | subsidiary undertaking |
| 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 |
| 《负责任的拥有权原则》【证监会】 | Principles of Responsible Ownership 【SFC】 |
