证券交易金融术语中英对照(2)

承销商* underwriter

成本效益 cost effectiveness

成交单/成交单据/买卖单据 contract note 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

程式买卖/交易 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 迟报交易 late reported sales 持仓 position

持仓比例 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 持权成本 [期权] cost of carry 持续报价 Continuous Quotes 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 重估 revaluation

重新实物化 rematerialisation

重整账目 restatement of accounts 重置成本 replacement cost 重组 reorganization

筹备董事会 Preparatory Board

初步认购价 initial subscription price

出市代表/出市员 floor trader; authorized 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 串流数据 streaming data

创投基金∕创业基金 venture capital

创业板 Growth Enterprise Market (GEM)

创业板 [深圳证券交易所] ChiNext [Shenzhen Stock Exchange] 《创业板上市规则》（《香港联合交易所有限公司创业板证券上市规则》） GEM Listing Rules(Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited) 创业板上市委员会 GEM Listing Committee 《创业板投资者指南》 GEM Investor Guide 创业板指数 Growth Enterprise Index (GEI) 窗口定价权证 Window Barrier Warrant 纯交易板 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

存款准备金率 reserve ratio / reserve requirement / reserve requirement ratio 存留利息 retention interest 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 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 substantial 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

大利市影像广播服务 Teletext video broadcast service 大利市资讯服务 Teletext Information Service 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) 大型股 large cap stock 大宗交易* block trade

代办股份转让系统 [中国内地] Agency Share Transfer System; Share Transfer Agent System [Mainland China] 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

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 collateralized 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 Davison Report (ie Report of the Securities Review Committee) 担保计划 Guarantee Scheme

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」模式 “Single Tranche, Single Counter” Model 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

单一价格竞价市场 single price auction system

单一种股份的衍生认股权证 single share derivative warrant 淡仓 short position

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

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