股市英语词汇八
2008-12-17来源:和谐英语
chief dealer 首席交易员
China Association for the Promotion of Investment (CAPI) 中国投资发展促进会
China Banking Regulatory Commission (CBRC) 中国银行业监督管理委员会（中国银监会）
China Beijing Equity Exchange 北京产权交易所
China depository receipt (CDR) 中国预托证券；中国存托凭证*
China Government Securities Depository Trust & Clearing Co. Ltd. (CDC) 中央国债登记结算有限责任公司(中央国债登记结算公司)
China Insurance Regulatory Commission (CIRC) 中国保险监督管理委员会（中国保监会）
China International Economic and Trade Arbitration Commission 中国国际经济贸易仲裁委员会
China Securities Depository & Clearing Corporation Limited (CSDCC) 中国证券登记结算有限责任公司（中国结算公司）
China Securities Regulatory Commission (CSRC) 中国证券监督管理委员会（中国证监会）
China Securities Regulatory Commission Official Bulletin (publication) 《中国证券监督管理委员会公告》(刊物)
China Stock Markets Web 中国证券市场网页
Chinese Association of Securities Investment Funds, The (CASIF) 中国证券业协会基金公会
Chinese Gold and Silver Exchange Society, The 金银业贸易场
Chinese Institute of Certified Public Accountants (CICPA) 中国注册会计师协会
Chinese News System 中文资讯系统
Chinese Wall 职能划分制度；职能分管制度
churning 频密交易
circuit breaker 跌停板措施；自动暂缓交易机制
circuit fee 线路费
Circular on Provision of Financial Information on the Internet - Licensing 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)
claim notice 索偿通知
class action shareholder lawsuit 股东集体诉讼
claw back mechanism 回补机制
Clear Talk(publication) 《结算纵横》(刊物)
clearing 结算；清算*
Clearing Agency Participant(CCASS Participants) 结算机构参与者(中央结算系统参与者)
clearing agreement 结算协议书
Clearing Consultative Panel 结算谘询小组
clearing house 结算所
Clearing House Automated Transfer System (CHATS) 票据交换所自动转账系统
Clearing House Electronic Subregister System (CHESS)(Australia) 结算所电子附属登记系统(澳洲)
Clearing Participant(options trading) 结算参与者(期权买卖)
clearing price 结算价；清算价*
client account 客户户口
Client Identity Rule(SFC) 客户身分规则(证监会)
client margin 客户按金
client server architecture 客户伺服器结构
client's agreement 客户协议书；客户合约
close out 平仓；结清
closed-end fund 闭端式基金
Closer Economic Partnership Arrangement (CEPA) 更紧密经贸关系安排
closing buy(options) 平买入仓(期权)
closing contract 平仓合约
closing price 收市价；收盘价
closing sale(options) 平卖出仓(期权)
closing stock 期末存货
closing transaction 平仓交易
closure of books; closure of register 暂停办理过户登记手续
cluster server 群集式伺服器
Coalition on Service Industry(Hong Kong General Chamber of Commerce) 服务业联会(香港总商会)
Code of Banking Practice(HKMA) 《银行营运守则》(金管局)
Code of Best Practice 《最佳应用守则》
Code of Conduct 《操守准则》
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 《证券及期货事务监察委员会持牌人或注册人操守准则》
Code of Conduct for Share Registrars (SFC) 《股份登记机构操守准则》(证监会)
Code of Conduct for Sponsors and Independent Financial Advisers 《保荐人及独立财务顾问的操守准则》
Code of Conduct Regulations 《专业操守规例》
Code on Investment-linked Assurance Schemes 《与投资有关的人寿保险计划守则》
Code on Pooled Retirement Funds 《集资退休基金守则》
Code on Real Estate Investment Trusts 《房地产投资信托基金守则》
Code on Share Repurchases 《公司购回本身股份守则》
（《股份购回守则》）
Code on Takeovers and Mergers 《公司收购及合并守则》
Code on Unit Trusts and Mutual Funds 《单位信托及互惠基金守则》
cold shoulder order 冷淡对待令
collateral 抵押品；担保物*
collateral eligibility 抵押品资格
Collateralised Bond Obligation (CBO) 债券抵押证券
Collateralised Loan Obligation (CLO) 贷款抵押证券
collateralised warrant 有抵押权证
collective investment fund 集体投资基金
collective investment scheme (CIS) 集体投资计划
Collector of Stamp Revenue 印花税署署长
co-manager 联席经办人
combination order 综合盘；组合盘
combined net tangible assets 合并有形资产净值
combo order 综合盘；组合盘
comfort letter 联系证明书；信心保证书；资料印证工作函
commercial paper 商业票据
commission rebate 佣金回扣；回佣
Commissioner of Insurance 保险业监理专员
Committee of Payment System(HKMA) 支付系统小组委员会(金管局)
Committee on Unit Trusts(SFC) 单位信托委员会(证监会)
commodities dealer 商品交易商
Commodities Trading Ordinance 《商品交易条例》
Commodity Exchanges (Prohibition) Ordinance 《商品交易所（禁止经营）条例》
Commodity Futures Trading Commission (CFTC)(US) 商品期货交易委员会(美国)
Common Collateral Management System (CCMS) 共同抵押品管理系统
common nominee 共用代理人
"common nominee" share certificate “共用代理人”股票
Common Risk Management System 共同风险管理系统
communication status message line 通讯线路现况显示行
Companies (Amendment) Bill 2003 《2003年公司(修订)条例草案》
Companies (Summary Financial Reports of Listed Companies) Regulation 《公司(上市公司的财务摘要报告)规例》
Companies Registry 公司注册处
Company Bulletin Board(UK) 公司交易板(英国)
Compensation Committee 赔偿委员会
Compensation Fund Reserve Account 赔偿基金储备账
compliance officer(GEM) 法规主任(创业板)
composite order 综合盘；组合盘
composite risk 综合风险
composite table 综合表
composite trades 综合买卖
Comptroller of the Currency(US) 美元总会计长(美国)
compulsory buy-in 强制补购
Compulsory Stock Borrowing and Lending Service in CCASS 中央结算系统强制证券借贷服务
Computershare Hong Kong Investor Services Limited (CHIS) 香港中央证券登记有限公司
concentrated position 集中持仓量
concentration risk 集中风险
concentration risk adjustment 集中风险调整
concept stock 概念股
conditional agreement 有条件协议
conditional cash offer 有条件现金收购；有条件现金要约
Conference of Central Securities Depositories (CCSD) 中央证券存管处国际会议
Conflict Committee 利益冲突事宜委员会
connected person 关连人士
connected transaction 关连交易
consideration 代价；约价*
consideration issue 代价发行
consideration share 代价股份
consolidated financial statement 综合财务报表
consolidation 合并；整合
constitution 组织章程
construction-in-progress 在建工程
Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules 《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 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 the Regulation of Sponsors and Independent Financial Advisers 《有关对保荐人及独立财务顾监管的谘询总结》
Consultation Paper on a Proposed Operational Model for a Scripless Securities Market 《有关无纸化证券市场的建议运作模式的谘询文件》
Consultation Paper on Proposals for a Scripless Securities Market 《关于建立无纸化证券市场的建议的谘询文件》
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文件》
Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures 《为便利股份或债权证要约而就《公司条例》提出的修订建议谘询文件》
Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges 《与证券服务有关的收费及费用的良好披露指引草拟本谘询文件》
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 Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel 《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 Regulation of On-Line Trading of Securities and Futures 《有关监管证券及期货的网上交易谘询文件》
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文件》
Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest 《关于处理分析员利益冲突的监管架构的谘询文件》
contested takeover 争夺式收购
contingent liabilities 或然负债
contingent order(LSE) 附带执行买卖盘(伦敦交易所)
contingent premium 或有保费
continuing connected transaction 持续关连交易
continuing obligation 持续责任
continuing operation 持续经营之业务
continuous auction 连续竞价
continuous net settlement (CNS) 持续净额交收
Continuous Professional Training (CPT) 持续专业培训课程
contra broker 对手经纪
contract multiplier 合约乘数
contract note 成交单；成交单据；买卖单据
contract size 合约股数
contract specifications 合约规格
contract unit 合约单位
contracted price 立约成价
contractual mutual fund 合约互惠基金
contrarian 逆向投资者
contribution 供款
control account 统制账户
controller workstation 中央控制工作站
controlling interest 控股权益
controlling shareholder 控股股东；控权股东
conversion(options) 变换交易(期权)
conversion ratio 换股比率
convertible bond 可转换债券；可换股债券
convertible note 可转换票据；可换股票据
convertible redeemable note 可转换可赎回票据；可换股可赎回票据
convertible securities 可转换证券；可换股证券
Co-ordinating Committee on Market Structure Reform 市场架构改革统筹委员会
core earnings 核心盈利
cornering 挟仓
corporate accounting 集团会计
corporate actions service fee 代履行权责服务费
corporate communication 公司通讯
Corporate Exchange Participant 公司交易所参与者
Corporate Finance Adviser Code of Conduct (SFC) 《企业融资顾问操守准则》(证监会)
Corporate Finance Association, The (CFA) 企业融资协会
corporate governance 企业管治；公司治理*
Corporate Governance Action Plan for 2003 2003年企管行动纲领
Corporate Investor Account 公司投资者户口
Corporate Plan(SFC) 机构计划书(证监会)
corporate raider 企业狙击手
Corporate Substantial Shareholders Notification 法团大股东具报书
co-sponsor 副保荐人(创业板)；联席保荐人
cost effectiveness 成本效益
cost of carry 持权成本(期权)；持有成本
co-trustee 联合受托人
counter order 还盘
counterparty 交易对手；对手方
counterparty risk 对手风险
coupon; coupon rate 票面息率；票面利率；券面利率
coupon-reset date 调息日
cover(ie close out a short position = buy in) 平仓
covered call(options) 备兑认购期权
covered option 备兑期权
covered short selling 有担保的卖空交易
covered warrant 备兑权证
covered writing 沽出备兑期权
credit 信贷
credit control 信贷管制
credit limit 信贷额度*
credit rating 信贷评级；信用评级
credit risk 信贷风险
credit squeeze 信贷紧缩；收紧信贷
creditor 债权人
creeper 自由增购率
cross collateral 跨市场抵押品
cross currency trade 货币交叉盘买卖
cross listing 相互上市
cross margining 跨市场按金制度
cross-border listing 跨境上市
crossed market 对敲
crossed trade; cross trade; crossing 交叉买卖；交叉盘买卖
crossing system 交叉盘系统
crude oil futures 原油期货
cumulative advance 累计垫款；累积垫款
currency basket 一篮子货币
currency board system 货币发行局制度；发钞局制度
currency forward 远期货币合约
currency futures 货币期货
currency translation exposure 外币折算风险
currency warrant 货币权证
current account 经常账；往来账
custodian 托管人；保管人
Custodian Participant(CCASS Participants) 托管商参与者(中央结算系统参与者)
DvP see delivery vs payment
DCASS see Derivatives Clearing and Settlement System
DCI see Direct Credit Instruction
DCP see Direct Clearing Participant
DDF see Digital Data Feed
DDI see Direct Debit Instruction
DMT see dual mode terminal
DNS see Depository and Common Nominee System
DTB see Deutsche Terminborse
DTC see deposit-taking company
DTC(US) see Depository Trust Company(US)
daily average funds netting efficiency 款项净额结算每日平均效率
daily average settlement efficiency 每日平均交收效率
daily margin 每日按金
daily margin call 每日按金要求
Daily Movement Statement(clearing) 股份转移日结单(结算)
Daily Trading Activity and Open Positions Summary Report(futures) 每日交易活动及持仓报告(期货)
daily trading limit 每日价格上限
dark fibre 直驳光纤
data feed 数据传送专线
day order 即日买卖盘；即日盘
day trade 即日买卖；“即日鲜”；即日平仓交易
day-end marks 收市差额缴款
de minimus (waiver) provision 最低豁免规定
deal ticket 买卖盘纸
dealer 证券商；交易商
dealer's representative 证券商代表
dealing director 证券商董事
dealing partnership 证券合伙商号
dealing practice 买卖惯例
dealing room 盘房
debenture 债券；债权证
debit 借额
debit balance 借方结余
debt chain 债务链
debt-for-equity swap 债转股
debt market 债务市场
debt repayment 债务偿还
debt securities 债务证券；债券
debt-to-equity ratio 负债比率
debtor 债务人
Declaration and Undertaking with regard to Directors 《董事的声明及承诺》
dedicated line 专用线路
deemed VAT 设定增值税
deep-in-the-money option 极价内期权
deep-out-of-the-money option 极价外期权
default 失责；未能履行责任
default recovery contribution 失责追收供款
defaulter 失责人士
defective securities 问题证券
defence document 反收购文件
deferred share 递延股
deferred tax 递延税项
deflation 通货紧缩；通缩
delayed data 延时资讯；非即时数据
delineation of activities 业务划分
delisting 除牌；退市；摘牌*
delivery 交付
delivery vs payment (DvP) 货银两讫；货银同步交收；
货银对付方式交收
delta(options) 对冲值(期权)
delta hedge delta 式对冲；无风险对冲
delta neutral delta 零值
dematerialisation of share certificate 非实物化
demutualisation 股份化；股份制；将会员制转为股份制
denominated in (DM) 以（马克）计值；以（马克）为计价货币；以（马克）为单位
Deposit-Taking Companies Association, The 存款公司公会
deposit-taking company (DTC) 接受存款公司
Depository and Common Nominee System (DNS) 存管处及共用代理人系统
depository nominee 存管代理人
depository receipt 预托证券
Depository Trust Company (DTC)(US) 美国存管信托公司
depreciation 折旧；贬值
deregulation 放宽管制
deregulation of interest rates 放宽利率管制
derivative action 衍生诉讼
derivative warrant 衍生权证
derivatives 衍生产品；衍生工具
Derivatives Clearing and Settlement System(DCASS) 衍生产品结算及交收系统
derivatives market 衍生产品市场；衍生工具市场
Derivatives Market Consultative Panel 衍生产品市场谘询小组
designated bank 指定银行
Designated Compliance Officer 专责监察主任
designated deposit 委托存款*
designated securities 指定证券
Deutsche Bundesbank 德意志联邦银行
Deutsche Terminborse (DTB) 德国期货及期权交易所
diagonal spread 对角买卖
differential reporting 权衡报告制度
Digital Data Feed (DDF) 数码资料传送专线
digital information service 数码资讯服务
dilution 摊薄；稀释*
Diploma Course in Advanced Securities Market Analysis 证券市场分析文凭深造课程
Diploma Course in Derivatives and Risk Management 衍生产品及风险管理文凭课程
direct business; direct business transaction 两边客交易；直接成交
direct clearing 直接结算
Direct Clearing Participant (DCP) 直接结算参与者
Direct Credit Instruction (DCI) 直接存款/存账指示
Direct Debit Instruction (DDI) 直接扣款/扣账指示
direct stock admission(CCASS) 直接纳入中央结算系统的新股
Director's / Chief Executive's Notifications 董事/行政总裁具报书
directors' fee 董事袍金
directors' remuneration 董事酬金
directors' report 董事会报告
Disciplinary Appeals Committee 纪律上诉委员会
Disciplinary Casebook 《纪律案例》
Disciplinary Committee 纪律委员会
disciplinary power 纪律处分权力
disciplinary procedures 纪律程序
disclaimer 免责声明；否定声明；无责任声明
discloseable transaction 须予披露的交易
disclosure 披露；公开；披露事项；资料披露
disclosure-based 以披露为本；以信息披露为重
disclosure of interests 披露权益；公开权益
discontinued operations 已终止经营之业务
discount 低水(期货)；折让；贴现
discount broker 折让经纪；折扣经纪；减佣经纪；低收费经纪
discount rate 贴现率；扣减率
discount window 贴现窗
discounted cash flow 现金流量折现 / 贴现法
discretionary account 全权代客买卖账户；全权委托户口
discretionary bonus payment 酌情支付的花红
discretionary manager 全权管理人
discretionary order 全权委托盘
discretionary power 酌情权
discretionary trust 全权信托
disinflation 滞胀；反通货膨胀
disinterested shareholder 没有利益关系的股东
disintermediation 非中介化；排媒现象
dispersion(statistics) 离差(统计)
disqualification order 吊销资格令
distant month; back month 远期月份
distributable profit 可分派溢利
distribution 分销；分派
distribution in specie 实物分派
dividend and debt securities interest collection service fee 代收股息/债券利息服务费
dividend in specie 以股代息
dividend warrant 股息单
dividend yield 股息率
documentation risk 文件风险
domestic share(Mainland China) 内资股(中国内地)
dormant company 已停业公司；不活跃公司
Dow Jones Industrial Average 道琼斯工业平均指数
Dow Jones Industrial Average Futures and Options 道琼斯工业平均指数期货及期权
download 下载；收录
downtick 低于最佳卖盘价；低于最好沽盘价
dragon bond 龙债券
dual filing 双重存档制度；双重呈报规定
dual listing 双重上市；双边上市；相互上市
dual mode terminal (DMT) 两用画面终端机
due diligence 尽职审查；仔细审查；仔细审核
dynamic hedging 动态对冲
E day see exercise day
EAOSEF see East Asian and Oceanian Stock Exchanges Federation
EAS price see estimated average settlement price
EASDAQ see European Association of Securities Dealers Automated Quotations
EBRD see European Bank of Reconstruction and Development
ECN see electronic communications network
EDGAR see Electronic Data Gathering, Analysis and Retrieval(US)
EERI see Effective Exchange Rate Index for the Hong Kong Dollar
EFIL see Exchange Fund Investment Limited
EFN see Exchange Fund Note
EGM see extraordinary general meeting
EIPO see Electronic Initial Public Offering service
eIRC see Electronic Investor Resources Centre(SFC)
ELI see Equity Linked Instrument
ELN see equity linked note
EMSIS see Electronic Mailing Stock Information Service
EMU see European Economic and Monetary Union
EPI see Electronic Payment Instruction
EPS see earnings per share
early buy-in 提早补购
early warning system 预警系统
earnings per share (EPS) 每股盈利
East Asian and Oceanian Stock Exchanges Federation (EAOSEF) 东亚及大洋洲证券交易所联会
Economic Development and Labour Bureau 经济发展及劳工局
Effective Exchange Rate Index for the Hong Kong Dollar (EERI) 港汇指数；港元实际汇兑指数
e-FRRR system 电子化财政资源规则报表系统
Electronic Application Instruction for New Issue Shares 电子认购新股指示
electronic communications network (ECN) 电子通讯网络
Electronic Data Gathering, Analysis and Retrieval (EDGAR)(US) “电子数据收集、分析及检索”系统(美国)
Electronic Initial Public Offering service (EIPO) 电子认购首次公开招股服务
Electronic Investor Resources Centre (eIRC)(SFC) 网上投资者资源中心(证监会)
Electronic Mailing Stock Information Service (EMSIS) 电子传递证券资讯服务
electronic money settlement fee 电子款项交收费
Electronic Money Settlement Services 电子款项交收服务
Electronic Payment Instruction (EPI) 电子收付款指示
electronic trading 电子交易
eligible securities 合资格证券
Eligible Supervisor 合资格主管
e-mail 电子邮件；电子邮递；电邮
E-mail and Group Paging Services 经纪电子邮递及集体传呼服务
emerging market 新兴市场
employee share(Mainland China) 职工股(中国内地)
employer trustee 资方信托人
encumbrances 产权负担
end user 最终用户；最终使用者
End-of-day Trade Data File Transfer Service 收市后资料传送服务
enhanced access to AMS 增强自动对盘系统的市场接触力
enhanced digital datafeed 提升数码资料输送专线
enhanced limit order 增强限价盘
Enhanced Special Stock Trading Method 改良特别股份交易方法
enlarged share capital 经扩大股本
Enquire Announcement Information(CCASS) 查询公布资料(中央结算系统)
Enquire Reported Lost Certificate(CCASS) “查询报失股票资料”功能(中央结算系统)
Enquire Unmatched SI Reason(CCASS) 查询交收指示未获配对原因(中央结算系统)
Enterprise Information Database 企业资讯资料库
Entitlement Statement(CCASS) 权益报表(中央结算系统)
entitlement table 权益列表
entry price 入市价
equilibrium price 均衡价格；平衡价格
equity base 股本基数
equity capital; equity share capital 权益股本
equity interest 股东权益；股权
Equity Linked Instrument (ELI) 股票挂钩票据
equity linked note (ELN) 与股票挂钩票据；高息票据
equity method(accounting) 权益法(会计)
equity option 股票期权
equity securities 股本证券
equity warrant 股本权证
estimated average settlement price(EAS price) 预计平均结算价
estimated capital value 预计资本值
estimated useful life 估计使用年期
e-Submission system 电子呈交系统
Ethics in Practice - A Practical Guide for Financial Practitioners 《财经有道 - - - 证券、期货及投资界专业道德实务指引》
euro / Euro 欧罗；欧元
Eurobond 欧洲债券；欧洲货币债券
Euroclear 欧洲结算系统
Euroclear Bank 欧洲结算银行
Euro-convertible guaranteed bond 欧洲可换股担保债券
European Association of Securities Dealers Automated Quotations (EASDAQ) 欧洲证券交易商协会自动报价系统
European Bank of Reconstruction and Development (EBRD) (ie World Bank) 欧洲复兴及开发银行（即 世界银行）
European Economic and Monetary Union (EMU) 欧洲经济及货币联盟
European Parliament 欧洲议会
European style option 欧式期权
Euroyen Tibor Futures 欧洲日圆东京银行同业拆息期货
ex unadjusted close 除净日未经调整之收市价
exceptional item 特殊项目
exchange control 外汇管制
Exchange Fund Bill 外汇基金票据
Exchange Fund Investment Limited (EFIL) 外汇基金投资有限公司
Exchange Fund Note (EFN) 外汇基金债券
Exchange Fund Ordinance 《外汇基金条例》
Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited) 《证券上市规则》（《香港联合交易所有限公司证券上市规则》）
exchange loss 汇兑损失
exchange of information 信息交流
Exchange Participant 交易所参与者
Exchange Participant Certificate 交易所参与者证明书
Exchange Participants' Market Shares Report 《交易所参与者市场占有率报告》
exchange quota 汇兑限额
exchange surrender system 银行结汇体系
Exchange Traded Fund 交易所买卖基金；“组合股”
exchange traded option 交易所买卖之期权；场内买卖期权
exchange traded product 场内交易产品
Exchanges and Clearing Houses (Merger) Ordinance 《交易所及结算所（合并）条例》
Exchanges (Special Levy) Ordinance 《交易所（特别征费）条例》
ex-date 除净日
China Association for the Promotion of Investment (CAPI) 中国投资发展促进会
China Banking Regulatory Commission (CBRC) 中国银行业监督管理委员会（中国银监会）
China Beijing Equity Exchange 北京产权交易所
China depository receipt (CDR) 中国预托证券；中国存托凭证*
China Government Securities Depository Trust & Clearing Co. Ltd. (CDC) 中央国债登记结算有限责任公司(中央国债登记结算公司)
China Insurance Regulatory Commission (CIRC) 中国保险监督管理委员会（中国保监会）
China International Economic and Trade Arbitration Commission 中国国际经济贸易仲裁委员会
China Securities Depository & Clearing Corporation Limited (CSDCC) 中国证券登记结算有限责任公司（中国结算公司）
China Securities Regulatory Commission (CSRC) 中国证券监督管理委员会（中国证监会）
China Securities Regulatory Commission Official Bulletin (publication) 《中国证券监督管理委员会公告》(刊物)
China Stock Markets Web 中国证券市场网页
Chinese Association of Securities Investment Funds, The (CASIF) 中国证券业协会基金公会
Chinese Gold and Silver Exchange Society, The 金银业贸易场
Chinese Institute of Certified Public Accountants (CICPA) 中国注册会计师协会
Chinese News System 中文资讯系统
Chinese Wall 职能划分制度；职能分管制度
churning 频密交易
circuit breaker 跌停板措施；自动暂缓交易机制
circuit fee 线路费
Circular on Provision of Financial Information on the Internet - Licensing 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)
claim notice 索偿通知
class action shareholder lawsuit 股东集体诉讼
claw back mechanism 回补机制
Clear Talk(publication) 《结算纵横》(刊物)
clearing 结算；清算*
Clearing Agency Participant(CCASS Participants) 结算机构参与者(中央结算系统参与者)
clearing agreement 结算协议书
Clearing Consultative Panel 结算谘询小组
clearing house 结算所
Clearing House Automated Transfer System (CHATS) 票据交换所自动转账系统
Clearing House Electronic Subregister System (CHESS)(Australia) 结算所电子附属登记系统(澳洲)
Clearing Participant(options trading) 结算参与者(期权买卖)
clearing price 结算价；清算价*
client account 客户户口
Client Identity Rule(SFC) 客户身分规则(证监会)
client margin 客户按金
client server architecture 客户伺服器结构
client's agreement 客户协议书；客户合约
close out 平仓；结清
closed-end fund 闭端式基金
Closer Economic Partnership Arrangement (CEPA) 更紧密经贸关系安排
closing buy(options) 平买入仓(期权)
closing contract 平仓合约
closing price 收市价；收盘价
closing sale(options) 平卖出仓(期权)
closing stock 期末存货
closing transaction 平仓交易
closure of books; closure of register 暂停办理过户登记手续
cluster server 群集式伺服器
Coalition on Service Industry(Hong Kong General Chamber of Commerce) 服务业联会(香港总商会)
Code of Banking Practice(HKMA) 《银行营运守则》(金管局)
Code of Best Practice 《最佳应用守则》
Code of Conduct 《操守准则》
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 《证券及期货事务监察委员会持牌人或注册人操守准则》
Code of Conduct for Share Registrars (SFC) 《股份登记机构操守准则》(证监会)
Code of Conduct for Sponsors and Independent Financial Advisers 《保荐人及独立财务顾问的操守准则》
Code of Conduct Regulations 《专业操守规例》
Code on Investment-linked Assurance Schemes 《与投资有关的人寿保险计划守则》
Code on Pooled Retirement Funds 《集资退休基金守则》
Code on Real Estate Investment Trusts 《房地产投资信托基金守则》
Code on Share Repurchases 《公司购回本身股份守则》
（《股份购回守则》）
Code on Takeovers and Mergers 《公司收购及合并守则》
Code on Unit Trusts and Mutual Funds 《单位信托及互惠基金守则》
cold shoulder order 冷淡对待令
collateral 抵押品；担保物*
collateral eligibility 抵押品资格
Collateralised Bond Obligation (CBO) 债券抵押证券
Collateralised Loan Obligation (CLO) 贷款抵押证券
collateralised warrant 有抵押权证
collective investment fund 集体投资基金
collective investment scheme (CIS) 集体投资计划
Collector of Stamp Revenue 印花税署署长
co-manager 联席经办人
combination order 综合盘；组合盘
combined net tangible assets 合并有形资产净值
combo order 综合盘；组合盘
comfort letter 联系证明书；信心保证书；资料印证工作函
commercial paper 商业票据
commission rebate 佣金回扣；回佣
Commissioner of Insurance 保险业监理专员
Committee of Payment System(HKMA) 支付系统小组委员会(金管局)
Committee on Unit Trusts(SFC) 单位信托委员会(证监会)
commodities dealer 商品交易商
Commodities Trading Ordinance 《商品交易条例》
Commodity Exchanges (Prohibition) Ordinance 《商品交易所（禁止经营）条例》
Commodity Futures Trading Commission (CFTC)(US) 商品期货交易委员会(美国)
Common Collateral Management System (CCMS) 共同抵押品管理系统
common nominee 共用代理人
"common nominee" share certificate “共用代理人”股票
Common Risk Management System 共同风险管理系统
communication status message line 通讯线路现况显示行
Companies (Amendment) Bill 2003 《2003年公司(修订)条例草案》
Companies (Summary Financial Reports of Listed Companies) Regulation 《公司(上市公司的财务摘要报告)规例》
Companies Registry 公司注册处
Company Bulletin Board(UK) 公司交易板(英国)
Compensation Committee 赔偿委员会
Compensation Fund Reserve Account 赔偿基金储备账
compliance officer(GEM) 法规主任(创业板)
composite order 综合盘；组合盘
composite risk 综合风险
composite table 综合表
composite trades 综合买卖
Comptroller of the Currency(US) 美元总会计长(美国)
compulsory buy-in 强制补购
Compulsory Stock Borrowing and Lending Service in CCASS 中央结算系统强制证券借贷服务
Computershare Hong Kong Investor Services Limited (CHIS) 香港中央证券登记有限公司
concentrated position 集中持仓量
concentration risk 集中风险
concentration risk adjustment 集中风险调整
concept stock 概念股
conditional agreement 有条件协议
conditional cash offer 有条件现金收购；有条件现金要约
Conference of Central Securities Depositories (CCSD) 中央证券存管处国际会议
Conflict Committee 利益冲突事宜委员会
connected person 关连人士
connected transaction 关连交易
consideration 代价；约价*
consideration issue 代价发行
consideration share 代价股份
consolidated financial statement 综合财务报表
consolidation 合并；整合
constitution 组织章程
construction-in-progress 在建工程
Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules 《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 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 the Regulation of Sponsors and Independent Financial Advisers 《有关对保荐人及独立财务顾监管的谘询总结》
Consultation Paper on a Proposed Operational Model for a Scripless Securities Market 《有关无纸化证券市场的建议运作模式的谘询文件》
Consultation Paper on Proposals for a Scripless Securities Market 《关于建立无纸化证券市场的建议的谘询文件》
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文件》
Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures 《为便利股份或债权证要约而就《公司条例》提出的修订建议谘询文件》
Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges 《与证券服务有关的收费及费用的良好披露指引草拟本谘询文件》
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 Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel 《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 Regulation of On-Line Trading of Securities and Futures 《有关监管证券及期货的网上交易谘询文件》
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文件》
Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest 《关于处理分析员利益冲突的监管架构的谘询文件》
contested takeover 争夺式收购
contingent liabilities 或然负债
contingent order(LSE) 附带执行买卖盘(伦敦交易所)
contingent premium 或有保费
continuing connected transaction 持续关连交易
continuing obligation 持续责任
continuing operation 持续经营之业务
continuous auction 连续竞价
continuous net settlement (CNS) 持续净额交收
Continuous Professional Training (CPT) 持续专业培训课程
contra broker 对手经纪
contract multiplier 合约乘数
contract note 成交单；成交单据；买卖单据
contract size 合约股数
contract specifications 合约规格
contract unit 合约单位
contracted price 立约成价
contractual mutual fund 合约互惠基金
contrarian 逆向投资者
contribution 供款
control account 统制账户
controller workstation 中央控制工作站
controlling interest 控股权益
controlling shareholder 控股股东；控权股东
conversion(options) 变换交易(期权)
conversion ratio 换股比率
convertible bond 可转换债券；可换股债券
convertible note 可转换票据；可换股票据
convertible redeemable note 可转换可赎回票据；可换股可赎回票据
convertible securities 可转换证券；可换股证券
Co-ordinating Committee on Market Structure Reform 市场架构改革统筹委员会
core earnings 核心盈利
cornering 挟仓
corporate accounting 集团会计
corporate actions service fee 代履行权责服务费
corporate communication 公司通讯
Corporate Exchange Participant 公司交易所参与者
Corporate Finance Adviser Code of Conduct (SFC) 《企业融资顾问操守准则》(证监会)
Corporate Finance Association, The (CFA) 企业融资协会
corporate governance 企业管治；公司治理*
Corporate Governance Action Plan for 2003 2003年企管行动纲领
Corporate Investor Account 公司投资者户口
Corporate Plan(SFC) 机构计划书(证监会)
corporate raider 企业狙击手
Corporate Substantial Shareholders Notification 法团大股东具报书
co-sponsor 副保荐人(创业板)；联席保荐人
cost effectiveness 成本效益
cost of carry 持权成本(期权)；持有成本
co-trustee 联合受托人
counter order 还盘
counterparty 交易对手；对手方
counterparty risk 对手风险
coupon; coupon rate 票面息率；票面利率；券面利率
coupon-reset date 调息日
cover(ie close out a short position = buy in) 平仓
covered call(options) 备兑认购期权
covered option 备兑期权
covered short selling 有担保的卖空交易
covered warrant 备兑权证
covered writing 沽出备兑期权
credit 信贷
credit control 信贷管制
credit limit 信贷额度*
credit rating 信贷评级；信用评级
credit risk 信贷风险
credit squeeze 信贷紧缩；收紧信贷
creditor 债权人
creeper 自由增购率
cross collateral 跨市场抵押品
cross currency trade 货币交叉盘买卖
cross listing 相互上市
cross margining 跨市场按金制度
cross-border listing 跨境上市
crossed market 对敲
crossed trade; cross trade; crossing 交叉买卖；交叉盘买卖
crossing system 交叉盘系统
crude oil futures 原油期货
cumulative advance 累计垫款；累积垫款
currency basket 一篮子货币
currency board system 货币发行局制度；发钞局制度
currency forward 远期货币合约
currency futures 货币期货
currency translation exposure 外币折算风险
currency warrant 货币权证
current account 经常账；往来账
custodian 托管人；保管人
Custodian Participant(CCASS Participants) 托管商参与者(中央结算系统参与者)
DvP see delivery vs payment
DCASS see Derivatives Clearing and Settlement System
DCI see Direct Credit Instruction
DCP see Direct Clearing Participant
DDF see Digital Data Feed
DDI see Direct Debit Instruction
DMT see dual mode terminal
DNS see Depository and Common Nominee System
DTB see Deutsche Terminborse
DTC see deposit-taking company
DTC(US) see Depository Trust Company(US)
daily average funds netting efficiency 款项净额结算每日平均效率
daily average settlement efficiency 每日平均交收效率
daily margin 每日按金
daily margin call 每日按金要求
Daily Movement Statement(clearing) 股份转移日结单(结算)
Daily Trading Activity and Open Positions Summary Report(futures) 每日交易活动及持仓报告(期货)
daily trading limit 每日价格上限
dark fibre 直驳光纤
data feed 数据传送专线
day order 即日买卖盘；即日盘
day trade 即日买卖；“即日鲜”；即日平仓交易
day-end marks 收市差额缴款
de minimus (waiver) provision 最低豁免规定
deal ticket 买卖盘纸
dealer 证券商；交易商
dealer's representative 证券商代表
dealing director 证券商董事
dealing partnership 证券合伙商号
dealing practice 买卖惯例
dealing room 盘房
debenture 债券；债权证
debit 借额
debit balance 借方结余
debt chain 债务链
debt-for-equity swap 债转股
debt market 债务市场
debt repayment 债务偿还
debt securities 债务证券；债券
debt-to-equity ratio 负债比率
debtor 债务人
Declaration and Undertaking with regard to Directors 《董事的声明及承诺》
dedicated line 专用线路
deemed VAT 设定增值税
deep-in-the-money option 极价内期权
deep-out-of-the-money option 极价外期权
default 失责；未能履行责任
default recovery contribution 失责追收供款
defaulter 失责人士
defective securities 问题证券
defence document 反收购文件
deferred share 递延股
deferred tax 递延税项
deflation 通货紧缩；通缩
delayed data 延时资讯；非即时数据
delineation of activities 业务划分
delisting 除牌；退市；摘牌*
delivery 交付
delivery vs payment (DvP) 货银两讫；货银同步交收；
货银对付方式交收
delta(options) 对冲值(期权)
delta hedge delta 式对冲；无风险对冲
delta neutral delta 零值
dematerialisation of share certificate 非实物化
demutualisation 股份化；股份制；将会员制转为股份制
denominated in (DM) 以（马克）计值；以（马克）为计价货币；以（马克）为单位
Deposit-Taking Companies Association, The 存款公司公会
deposit-taking company (DTC) 接受存款公司
Depository and Common Nominee System (DNS) 存管处及共用代理人系统
depository nominee 存管代理人
depository receipt 预托证券
Depository Trust Company (DTC)(US) 美国存管信托公司
depreciation 折旧；贬值
deregulation 放宽管制
deregulation of interest rates 放宽利率管制
derivative action 衍生诉讼
derivative warrant 衍生权证
derivatives 衍生产品；衍生工具
Derivatives Clearing and Settlement System(DCASS) 衍生产品结算及交收系统
derivatives market 衍生产品市场；衍生工具市场
Derivatives Market Consultative Panel 衍生产品市场谘询小组
designated bank 指定银行
Designated Compliance Officer 专责监察主任
designated deposit 委托存款*
designated securities 指定证券
Deutsche Bundesbank 德意志联邦银行
Deutsche Terminborse (DTB) 德国期货及期权交易所
diagonal spread 对角买卖
differential reporting 权衡报告制度
Digital Data Feed (DDF) 数码资料传送专线
digital information service 数码资讯服务
dilution 摊薄；稀释*
Diploma Course in Advanced Securities Market Analysis 证券市场分析文凭深造课程
Diploma Course in Derivatives and Risk Management 衍生产品及风险管理文凭课程
direct business; direct business transaction 两边客交易；直接成交
direct clearing 直接结算
Direct Clearing Participant (DCP) 直接结算参与者
Direct Credit Instruction (DCI) 直接存款/存账指示
Direct Debit Instruction (DDI) 直接扣款/扣账指示
direct stock admission(CCASS) 直接纳入中央结算系统的新股
Director's / Chief Executive's Notifications 董事/行政总裁具报书
directors' fee 董事袍金
directors' remuneration 董事酬金
directors' report 董事会报告
Disciplinary Appeals Committee 纪律上诉委员会
Disciplinary Casebook 《纪律案例》
Disciplinary Committee 纪律委员会
disciplinary power 纪律处分权力
disciplinary procedures 纪律程序
disclaimer 免责声明；否定声明；无责任声明
discloseable transaction 须予披露的交易
disclosure 披露；公开；披露事项；资料披露
disclosure-based 以披露为本；以信息披露为重
disclosure of interests 披露权益；公开权益
discontinued operations 已终止经营之业务
discount 低水(期货)；折让；贴现
discount broker 折让经纪；折扣经纪；减佣经纪；低收费经纪
discount rate 贴现率；扣减率
discount window 贴现窗
discounted cash flow 现金流量折现 / 贴现法
discretionary account 全权代客买卖账户；全权委托户口
discretionary bonus payment 酌情支付的花红
discretionary manager 全权管理人
discretionary order 全权委托盘
discretionary power 酌情权
discretionary trust 全权信托
disinflation 滞胀；反通货膨胀
disinterested shareholder 没有利益关系的股东
disintermediation 非中介化；排媒现象
dispersion(statistics) 离差(统计)
disqualification order 吊销资格令
distant month; back month 远期月份
distributable profit 可分派溢利
distribution 分销；分派
distribution in specie 实物分派
dividend and debt securities interest collection service fee 代收股息/债券利息服务费
dividend in specie 以股代息
dividend warrant 股息单
dividend yield 股息率
documentation risk 文件风险
domestic share(Mainland China) 内资股(中国内地)
dormant company 已停业公司；不活跃公司
Dow Jones Industrial Average 道琼斯工业平均指数
Dow Jones Industrial Average Futures and Options 道琼斯工业平均指数期货及期权
download 下载；收录
downtick 低于最佳卖盘价；低于最好沽盘价
dragon bond 龙债券
dual filing 双重存档制度；双重呈报规定
dual listing 双重上市；双边上市；相互上市
dual mode terminal (DMT) 两用画面终端机
due diligence 尽职审查；仔细审查；仔细审核
dynamic hedging 动态对冲
E day see exercise day
EAOSEF see East Asian and Oceanian Stock Exchanges Federation
EAS price see estimated average settlement price
EASDAQ see European Association of Securities Dealers Automated Quotations
EBRD see European Bank of Reconstruction and Development
ECN see electronic communications network
EDGAR see Electronic Data Gathering, Analysis and Retrieval(US)
EERI see Effective Exchange Rate Index for the Hong Kong Dollar
EFIL see Exchange Fund Investment Limited
EFN see Exchange Fund Note
EGM see extraordinary general meeting
EIPO see Electronic Initial Public Offering service
eIRC see Electronic Investor Resources Centre(SFC)
ELI see Equity Linked Instrument
ELN see equity linked note
EMSIS see Electronic Mailing Stock Information Service
EMU see European Economic and Monetary Union
EPI see Electronic Payment Instruction
EPS see earnings per share
early buy-in 提早补购
early warning system 预警系统
earnings per share (EPS) 每股盈利
East Asian and Oceanian Stock Exchanges Federation (EAOSEF) 东亚及大洋洲证券交易所联会
Economic Development and Labour Bureau 经济发展及劳工局
Effective Exchange Rate Index for the Hong Kong Dollar (EERI) 港汇指数；港元实际汇兑指数
e-FRRR system 电子化财政资源规则报表系统
Electronic Application Instruction for New Issue Shares 电子认购新股指示
electronic communications network (ECN) 电子通讯网络
Electronic Data Gathering, Analysis and Retrieval (EDGAR)(US) “电子数据收集、分析及检索”系统(美国)
Electronic Initial Public Offering service (EIPO) 电子认购首次公开招股服务
Electronic Investor Resources Centre (eIRC)(SFC) 网上投资者资源中心(证监会)
Electronic Mailing Stock Information Service (EMSIS) 电子传递证券资讯服务
electronic money settlement fee 电子款项交收费
Electronic Money Settlement Services 电子款项交收服务
Electronic Payment Instruction (EPI) 电子收付款指示
electronic trading 电子交易
eligible securities 合资格证券
Eligible Supervisor 合资格主管
e-mail 电子邮件；电子邮递；电邮
E-mail and Group Paging Services 经纪电子邮递及集体传呼服务
emerging market 新兴市场
employee share(Mainland China) 职工股(中国内地)
employer trustee 资方信托人
encumbrances 产权负担
end user 最终用户；最终使用者
End-of-day Trade Data File Transfer Service 收市后资料传送服务
enhanced access to AMS 增强自动对盘系统的市场接触力
enhanced digital datafeed 提升数码资料输送专线
enhanced limit order 增强限价盘
Enhanced Special Stock Trading Method 改良特别股份交易方法
enlarged share capital 经扩大股本
Enquire Announcement Information(CCASS) 查询公布资料(中央结算系统)
Enquire Reported Lost Certificate(CCASS) “查询报失股票资料”功能(中央结算系统)
Enquire Unmatched SI Reason(CCASS) 查询交收指示未获配对原因(中央结算系统)
Enterprise Information Database 企业资讯资料库
Entitlement Statement(CCASS) 权益报表(中央结算系统)
entitlement table 权益列表
entry price 入市价
equilibrium price 均衡价格；平衡价格
equity base 股本基数
equity capital; equity share capital 权益股本
equity interest 股东权益；股权
Equity Linked Instrument (ELI) 股票挂钩票据
equity linked note (ELN) 与股票挂钩票据；高息票据
equity method(accounting) 权益法(会计)
equity option 股票期权
equity securities 股本证券
equity warrant 股本权证
estimated average settlement price(EAS price) 预计平均结算价
estimated capital value 预计资本值
estimated useful life 估计使用年期
e-Submission system 电子呈交系统
Ethics in Practice - A Practical Guide for Financial Practitioners 《财经有道 - - - 证券、期货及投资界专业道德实务指引》
euro / Euro 欧罗；欧元
Eurobond 欧洲债券；欧洲货币债券
Euroclear 欧洲结算系统
Euroclear Bank 欧洲结算银行
Euro-convertible guaranteed bond 欧洲可换股担保债券
European Association of Securities Dealers Automated Quotations (EASDAQ) 欧洲证券交易商协会自动报价系统
European Bank of Reconstruction and Development (EBRD) (ie World Bank) 欧洲复兴及开发银行（即 世界银行）
European Economic and Monetary Union (EMU) 欧洲经济及货币联盟
European Parliament 欧洲议会
European style option 欧式期权
Euroyen Tibor Futures 欧洲日圆东京银行同业拆息期货
ex unadjusted close 除净日未经调整之收市价
exceptional item 特殊项目
exchange control 外汇管制
Exchange Fund Bill 外汇基金票据
Exchange Fund Investment Limited (EFIL) 外汇基金投资有限公司
Exchange Fund Note (EFN) 外汇基金债券
Exchange Fund Ordinance 《外汇基金条例》
Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited) 《证券上市规则》（《香港联合交易所有限公司证券上市规则》）
exchange loss 汇兑损失
exchange of information 信息交流
Exchange Participant 交易所参与者
Exchange Participant Certificate 交易所参与者证明书
Exchange Participants' Market Shares Report 《交易所参与者市场占有率报告》
exchange quota 汇兑限额
exchange surrender system 银行结汇体系
Exchange Traded Fund 交易所买卖基金；“组合股”
exchange traded option 交易所买卖之期权；场内买卖期权
exchange traded product 场内交易产品
Exchanges and Clearing Houses (Merger) Ordinance 《交易所及结算所（合并）条例》
Exchanges (Special Levy) Ordinance 《交易所（特别征费）条例》
ex-date 除净日
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