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证券词汇证券词汇--------------------------------------------------------------------------------accredited隶属adjustedliabilities经调整负债advertisement广告advisingoncorporatefinance就机构融资提供意见advisingonfuturescontracts就期货合约提供意见advisingonsecurities就证券提供意见AdvisoryCommittee咨询委员会agents代理人aggregategrossforeigncurrencyposition合计外币总持仓量agreement协议agreementinwriting书面协议amountofmarginrequiredtobedeposited按规定须存放的保证金数额ancillarystabilizingaction附带稳定价格行动appealpanel上诉委员会applicant申请人application申请applicationforreview复核申请appointedday指定日期approvedbankincorporatedoutsideHongKong法团的银行以外成立为核准的在香港approvedcreditratingagency核准信贷评级机构approvedcustodian核准保管人approvedfuturesexchange核准期货交易所approvedintroducingagent核准介绍代理人approvedinvestmentadviser认可投资顾问approvedlendingagent核准借出代理人approvedperson核准人士approvedredeemableshares核准可赎回股份approvedregionalexchange认可地区性交易所approvedsecuritiesborrowingandlendingcounterparty核准证券借贷对手方approvedshareregistrar认可股份登记员approvedstandbysubordinatedloanfacility核准备用后偿贷款融通approvedstockexchange核准证券交易所approvedsubordinatedloan核准后偿贷款arbitrationpanel仲裁小组arbitrator仲裁人articles章程细则assetmanagement资产管理associate有联系者associatedcorporation相联法团associatedentity有联系实体associatedperson相联者auditworkingpapers审计工作材料auditor核数师authorizedATSprovider认可自动化交易服务提供者authorizedautomatedtradingservices认可自动化交易服务authorizedfinancialinstitution认可财务机构authorizedmutualfund认可互惠基金authorizedperson获授权人authorizedrepresentative获授权代表authorizedunittrust认可单位信托automatedtradingserviceprovider自动化交易服务提供者automatedtradingservices自动化交易服务averagemonthlyturnover平均每月成交额back-to-backcontract背对背合约balance结余bank银行bankincorporatedoutsideHongKong法团的银行地方成立为在香港以外banker银行banker'sbook银行簿册basicamount基本数额basicinformation基本数据bilateralnettingagreement双边净额结算协议blanketassurance概括性保证body团体bondbroker债券经纪bonddealer债券交易商books簿册borrow借用安排broadcast广播broadcaster广播业者broker经纪businessday营业日calculation有关计算call造访capitalaccount资本帐cashsettledequityderivatives现金结算股本衍生工具CEnumber中央编号certificateofdeposit存款证chairman主席charge押记chiefexecutive最高行政人员claimant申索人ClaimsRules《申索规则》clearinghouse结算所clearingparticipant结算所参与者clerk书记client客户clientassets客户资产clientcollateral客户抵押品clientcontract客户合约clientmoney客户款项clientsecurities客户证券clientsecuritiesandcollateral客户证券及抵押品closingdate截止日期codes守则collateral抵押品collateralizedwarrants有抵押权证collectiveinvestmentscheme集体投资计划Commission证监会；监察委员会commission佣金CommissioneroftheIndependentCommissionAgainstCorruption廉政专员commonclient共同客户companiesinspector公司审查员company公司compensation赔偿compensationfund赔偿基金complaintsofficer投诉主任completion完成concentrationdiscountingfactor集中折扣系数conditionaloffer有条件要约conduct行为constitution章程contractmultiplier合约乘数controller控制人controllingentity控权实体controllingentityrelationship控权实体关系controllingperson控权人士corporatefinanceadviser,corporatefinanceconsultant机构融资顾问corporation法团court法庭；法院creditunion储蓄互助社criminalinvestigatorybody刑事调查机构currencyfuturescontract货币期货合约custodian保管人custodianstatement保管人结单datamaterial数据材料dealing交易dealinginfuturescontracts期货合约交易dealinginsecurities证券交易debenture债权证debtsecurities债务证券defalcation亏空default违责defaultproceedings违责处理程序defaultrules违责处理规则defaulter违责者deliver交付depositaryreceipt寄存单据deputychairman副主席derivativecontract衍生工具合约derivatives衍生工具digitalsignature数码签署director董事dispute争议disqualificationorder取消资格令document．nbsp文件dutyofdisclosure披露责任employee雇员equityderivatives股本衍生工具equitylinkedinstruments股票挂钩票据equitysecurities权益证券equivalentcorporation等同法团equivalentshares相等股份everyofficerofitwhoisindefault其每名违责的高级人员ExchangeCompany交易所公司exchangecontract交易所合约ExchangeFund外汇基金ExchangeFundBill外汇基金票据ExchangeFundNote外汇基金债券exchangeparticipant交易所参与者exchangeparticipant'srepresentative交易所参与者代表exchangetradedfund交易所买卖基金exchangetradedfundsmarketmaker交易所买卖基金庄家excludedclients豁除客户excludedinterests豁除权益excludedliabilities豁除负债excludedperson豁除人士executive执行人员executivedirector执行董事executiveofficer主管人员exemptedbody获豁免团体；豁免团体existingclient原有客户expert专家fee费用financialaccommodation财务通融financialproduct金融产品financialresourcesrule财政资源规则financialstatement财务报表financialyear财政年度firstpublicannouncementdate首次公开宣告日期floatinglosses浮动亏损floatingprofits浮动利润foreigncurrency外币foreignexchangeagreement外汇协议foreignexchangetrading外汇交易foreignintermediary外地中介人formerassociatedentityofanintermediary中介人的前有联系实体formerlicensedcorporation前持牌法团founder成立人fraudulentmisrepresentation欺诈的失实陈述freedeliverybasis信用交付形式function职能futuresadviser期货顾问futuresbroker期货经纪futuresconsultant期货顾问futurescontract期货合约futuresdealer期货交易商FuturesExchangeCompany期交所FuturesExchangeCompensationFund期交所赔偿基金futuresmarket期货市场FuturesMarketMaker期货庄家futuresnon-clearingdealer期货非结算交易商futuresoroptionsclearinghouse期货或期权结算所GEM创业板grossforeigncurrencyposition外币总持仓量groupofcompanies公司集团guaranteed作出担保guiltyofmisconduct犯失当行为haircutamount扣减数额haircutpercentage扣减百分率HKEC交易结算公司HKFECC期货结算公司HKIAC仲裁中心HKSCC香港结算公司hold持有holdingcompany控股公司HongKongExchangeFund香港外汇基金HongKongregister香港登记册incorporated成立；成立为法团indirectcontroller间接控制人information信息；资料；消息informationsystem信息系统initialmarginrequirement规定开仓保证金initialstabilizingaction初步稳定价格行动initialstabilizingprice初步稳定价格insiderdealing内幕交易inspector审查员InsuranceAuthority保险业监督insurer保险人interest权益int