各专业词汇大全

77鲜

Hong Kong Financial Markets Association 香港财资市场公会 Hong Kong Financial Markets Development Limited 香港金融市场发展有限公司 Hong Kong Futures Automated Trading System (HKATS) HKATS电子交易系统 Hong Kong Futures Exchange Limited (HKFE) 香港期货交易所有限公司（期交所） Hong Kong General Chamber of Commerce, The 香港总商会 Hong Kong Institute for Monetary Research (HKIMR) 香港金融研究中心 Hong Kong Institute of Certified Public Accountants (HKICPA) 香港会计师公会 Hong Kong Institute of Company Secretaries, The (HKICS) 香港公司秘书公会 Hong Kong Institute of Directors, The 香港董事学会 Hong Kong Institute of Financial Analysts and Professional Commentators, The 　 香港专业财经分析及评论家协会 Hong Kong Institute of Investment Analysts 香港投资分析员公会 Hong Kong Institute of Investors (HKII) 香港投资者学会 Hong Kong Interbank Clearing Limited 香港银行同业结算有限公司 Hong Kong Interbank Offered Rate (HIBOR) 香港银行同业拆息；港元同业拆息 Hong Kong International Arbitration Centre 香港国际仲裁中心 Hong Kong Investment Funds Association (HKIFA) 香港投资基金公会 Hong Kong Management Association 香港管理专业协会 Hong Kong Monetary Authority (HKMA) 香港金融管理局（金管局） Hong Kong Mortgage Corporation Limited, The 香港按揭证券有限公司 Hong Kong Securities Clearing Company Limited (HKSCC) 香港中央结算有限公司（香港结算） Hong Kong Securities Industry, The(publication) 《香港证券业参考手册》(刊物) Hong Kong Securities Institute 香港证券专业学会 Hong Kong Securities Market Archives and Artifacts Collection Campaign 香港证券市场文献及文物征集计划 Hong Kong Securities Professionals Alumni Association 香港证券业同学会 Hong Kong Securities Professionals Association 香港证券学会 Hong Kong Securities Training Sponsorship Foundation 香港证券培训赞助基金 Hong Kong Society of Financial Analysts 　 香港财经分析师学会 Hong Kong Standards on Investment Circular Reporting Engagements (HKSIR) 香港投资通函呈报准则 Hong Kong Stock Exchange, The 香港经纪商会（1914年）； 香港证券交易所（1947年） Hong Kong Stockbrokers Association 香港证券经纪业协会 Hong Kong Stockbrokers' Association (1921) 香港股份商会（1921年） Hong Kong Venture Capital Association 香港创业投资协会 horizontal spread 跨期买卖 house account 公司户口 house position 公司仓 How to Create Clear Announcements(publication)(SFC) 《如何撰写清楚易明的公布》(刊物)(证监会) H-shares Index Futures 　 H股指数期货 H-shares Index Options H股指数期权 HSI International Limited 恒指国际有限公司 HSI Services Limited 恒指服务有限公司 hyperlink 超连结

77鲜

IAS see International Accounting Standards IASC see International Accounting Standards Committee ICA England & Wales see Institute of Chartered Accountants in England and Wales ICPA see Institute of Certified Public Accountants(US) IEP see Indicative Equilibrium Price IEV see Indicative Equilibrium Volume IFC see International Finance Corporation iIPO see Internet Initial Public Offering service IMF see International Monetary Fund IMRO see Investment Management Regulatory Organisation IOC see Immediate-or-Cancel IoD see Institute of Directors(UK) IOMA see International Options Markets Association IOSCO see International Organisation of Securities Commissions IP see Investor Participant IPMA see International Primary Markets Association IPO see initial public offering ISD see Investment Services Directive(European Union) ISDA see International Swaps and Derivatives Association ISFO see International Stock Futures and Options ISIN see International Securities Identification Numbers ISMA see International Securities Markets Association ISO see International Organisation for Standardisation ISSA see International Securities Services Association IVRS see Interactive Voice Response System Ian Hay Davison Report (ie Report of the Securities Review Committee) 戴维森报告书（即 证券业检讨委员会报告书） illiquidity 流通性不足；流动性不足 Immediate-or-Cancel (IOC) 即时或取消 immobilisation of share certificate 股票非流动化 implied volatility 引伸波幅 inactive order 　 不动盘 income approach 收益法 indebtedness 债务 indebtedness date 负债日 indebtedness statement 债务报表 independent adviser 独立顾问 independent financial adviser 独立财务顾问 Independent Investigation Board 　 独立调查局 independent non-executive director 独立非执行董事 index arbitrage 指数套戥 index basket order 一篮子指数买卖盘 index bond 指数债券 index call warrant 指数认购权证 index depository receipt / index share 指数预托证券 index futures 指数期货 Index of Economic Freedom 经济自由指数 index participation unit 指数参与单位 index swap 指数掉期 index warrant 指数权证 index-linked product 与指数挂钩的金融产品 indicated issue price 参考发行价 Indicative Equilibrium Price (IEP) 参考平衡价格 Indicative Equilibrium Volume (IEV) 参考平衡成交量 indicative price 指示价格 indicative terms sheet(warrants) 发行资料摘要(权证) individual client 个人客户 Individual Exchange Participant 个人交易所参与者 Individual Investor Account 个人投资者户口 individual rating(banking) 自主评级(银行) Individual Substantial Shareholders Notification 个人大股东具报书 industry scheme 行业基金 inflation indexed monetary policy 通胀指标货币政策 information dissemination 资讯发放；资讯发布 information memorandum 资料备忘录 information service 资讯服务 information vendor 资讯供应商 infrastructure project 基建工程；基建项目 initial listing fee 首次上市费 initial margin(futures) 基本按金(期货) initial public offering (IPO) 首次公开招股；初次公开招股 Initial Public Offerings Progress Report 首次公开招股之进度报告 initial subscription price 初步认购价 Inland Revenue Ordinance 《税务条例》 inner reserve 内部储备 Innovation and Technology Fund 创新及科技基金 input VAT 进项增值税 insider dealer 内幕交易者 insider dealing 内幕交易 Insider Dealing Tribunal 内幕交易审裁处 insolvency 无力偿债；无偿债能力；资不抵债 insolvency risk 偿债能力风险 inspection visit 查访 Institute of Certified Public Accountants (ICPA)(US) 执业会计师公会(美国) Institute of Chartered Accountants in England and Wales (ICA England & Wales) 英格兰及威尔斯特许会计师公会 Institute of Chartered Financial Analysts 特许财务分析员公会 Institute of Directors (IoD)(UK) 公司董事学会(英国) Institute of Financial Planners of Hong Kong, The 　 香港财务策划师学会 Institute of Securities Dealers 证券商协会

77鲜

institutional advancement 结构改进 institutional client 机构客户 institutional investor 机构投资者 institutional risk 机构风险 instrument of transfer 过户文件 intangible asset 无形资产 integrated trading and clearing system 交易及结算综合系统 Interactive Voice Response System (IVRS) 互动语音电话系统 interbank market 银行同业拆借市场 interest collar; interest rate collar 利率衔接 interest cover; interest coverage 盈利对利息倍数 interest-rate ceiling 利率上限 interest-rate futures 利率期货 interest rate subsidy(Mainland China) 利息补贴(中国内地) interest-rate swap 利率掉期；利率调期* Interest Rate Swap Futures 　 利率掉期期货 interfacing 界面联系 interim report 中期报告 Inter-Market Coordination Committee 跨市场协调委员会 intermediary 中介机构；中介团体 intermediate holding company 中介控股公司 intermediation 中介现象 internal audit 内部稽核 internal auditor 内部核数师 internal censure 内部谴责 internal control 内部监控 Internal Control Regulations 《内部监控规例》 International Accounting Standards (IAS) 国际会计准则 International Accounting Standards Committee (IASC) 国际会计准则委员会 International Committee on the Listing of New Enterprises 新企业上市国际委员会 International Finance Corporation (IFC) 国际金融公司 International Financial Action Task Force 国际金融行动专责小组 International Monetary Fund (IMF) 国际货币基金 International Options Markets Association (IOMA) 国际期权市场协会 International Organisation for Standardisation (ISO) 国际标准化组织 International Organisation of Securities Commissions (IOSCO) 国际证券事务监察委员会组织（国际证监会组织） International Primary Markets Association (IPMA) 国际集资市场协会 International Securities Identification Numbers (ISIN) 国际证券号码 International Securities Markets Association (ISMA) 国际证券市场协会 International Securities Numbering System 国际证券号码编制系统 International Securities Services Association (ISSA) 国际证券服务业联会 International Stock Futures and Options(ISFO) 国际股票期货及期权 International Swaps and Derivatives Association (ISDA) 国际掉期业务及衍生投资工具协会

77鲜

Internet 互联网 Internet Initial Public Offering (iIPO) service 网上认购新股服务 internet order connection 开放式网间联系买卖 interpretive guidelines 说明指引 in-the-money option 价内期权 intraday liquidity 即日流动资金 intra-day margin 即日额外按金 intra-day margin call 即日追补按金 intra-day marks collection mechanism 收取即日差额缴款机制 Intra-day Marks Collection Report(clearing) 即日差额缴款报告(结算) intra-day marks payment obligations 应付即日差额缴款 intra-day money market 单日货币市场；即日拆借市场 intraday quotation 即日报价 intraday repurchase agreement(banking) 即日回购协议(银行) intra-group transactions 集团内部交易 intranet 内联网 intrinsic value 内在值 introducing agent 介绍代理人 introduction(listing method) 介绍形式上市 inventory 存货；盘存 investee 投资对象 investment adviser 投资顾问 Investment Advisory Committee 投资顾问委员会 investment analyst 投资分析员 investment grade 投资级别 Investment Management Regulatory Organisation (IMRO) 英国投资管理监管组织 investment philosophy 投资理念 Investment Services Directive (ISD)(European Union) 投资服务指令(欧洲联盟) Investment-linked Assurance & Pooled Retirement Funds Committee(SFC) 与投资有关的人寿保险及集资退休金计划委员会(证监会) Investor Account Service 投资者户口服务 Investor and the Stock Market(publication) 《投资者与证券市场》(刊物) Investor Compensation Company Limited 投资者赔偿有限公司 Investor Participant (IP) 投资者户口持有人 isolated trades system(CCASS) 「已划分的买卖」制度(中央结算系统) issue price 招股价；发行价 issuer 发行人；发行机构 issuer electronic filing system 发行人电子存档系统 Issuer Register 　 发行人登记册 Issuers and Professional Advisers Survey 《发行人及专业顾问意见调查》 issuer's cash option 发行人可选择支付现金；发行人现金选择权JBRI see Japan Bond Research Institute

77鲜

Japan Bond Research Institute (JBRI) 日本公社债研究所 jobber 证券经销经纪；证券批销经纪 jobber stamp duty 证券经销经纪印花税 jobbing transaction 庄家之经销交易 Joint Individual Investor Account 联名个人投资者户口 joint stock company 股份有限公司 joint venture 合营企业；合资企业 joint venture contract 合资合同 jumbo certificate(CCASS) 大额股票(中央结算系统) jumbomize 将股票化零为整 junk bond 垃圾债券 Kam Ngan Stock Exchange, The 金银证券交易所 kiting 做价 Know More About Your Investment(publication) 《投资者应知多点》(刊物) Kowloon Stock Exchange, The 九龙证券交易所 LAF see Liquidity Adjustment Facility(HKMA) LAN see Local Area Network LAW see Liquidity Adjustment Window LBO see leveraged buy-out LIFFE see London International Financial Futures and Options Exchange LIFO see last in, first out LOBO see Long Only Brokers for Options LOF see listed open-end fund LSE see London Stock Exchange LTOM see London Traded Options Market large cap stock 大型股 Large Exposure Report Agreement 大额持仓汇报协议 large open position 大额未平仓合约 last accounting date 最后结算日期 last exercise day 最后行使日 last in, first out (LIFO) 后进先出 last recorded price; last traded price 最后成交价 late reported sales 迟报交易 late trading 逾时交易 Law Society of Hong Kong, The 　 香港律师会 lead manager 主要经办人 lead underwriter 牵头包销商；主承销商* leading economic indicator 主要经济指标 legal entity 法律实体 legal person share(Mainland China) 法人股(中国内地) legal risk 法律风险 lender of last resort 最后贷款人；紧急贷款者 lending fee 贷出费 "let the buyer beware" principle 「买者自负」原则 Letter of Exchanges regarding regulatory co-operation for mainland companies to be listed on GEM 有关创业板内地发行人监管合作事宜之换文 level playing field(cf uneven playing field) 公平竞争 leverage 杠杆效应 leveraged buy-out (LBO) 杠杆收购 leveraged foreign exchange introducing agent 杠杆式外汇买卖介绍代理人 leveraged foreign exchange trader 杠杆式外汇买卖商 leveraged foreign exchange trading 杠杆式外汇交易；杠杆式外汇买卖 Leveraged Foreign Exchange Trading(Calls) Rules 《杠杆式外汇买卖（造访）规则》 Leveraged Foreign Exchange Trading (Financial Resources) Rules 《杠杆式外汇买卖（财政资源）规则》 Leveraged Foreign Exchange Trading Ordinance 《杠杆式外汇买卖条例》 leveraged market 杠杆市场 liabilities 负债；债务 licence 特许；牌照 licensed bank 持牌银行 licensing information booklet 发牌资料册 Lifeboat Loan 救市贷款 "Lifeboat" levy 救市特别交易征费 light trading 交投疏落 limit order 限价盘 limited liability company 有限责任公司 liquid asset 速动资产；流动资产 liquid capital 速动资金；流动资金 liquidation 清盘 liquidation(ie forced sale of securities to meet a margin call) 斩仓 liquidity 流通性 Liquidity Adjustment Facility (LAF)(HKMA) 流动资金调节机制(金管局) Liquidity Adjustment Window (LAW) 流动资金调节窗 liquidity margin 流动资金比率/幅度 liquidity provider 流通量提供者 liquidity ratio 流动资金比率 liquidity risk 流通风险 List of Exchange Participants & Holders of Stock Exchange Trading Rights 《交易所参与者及联交所交易权持有人名录》 List of Stock Codes 《证券代号名录》 Listed corporation 上市法团 listed issuer 上市发行人 listed open-end fund (LOF) 上市开放式基金 listed securities 上市证券

77鲜

Listing Agreement 上市协议 Listing Chinese Companies in Hong Kong(publication) 《中国公司在香港上市指南》(刊物) Listing Committee 上市委员会 listing rules 上市规则 loan capital 借贷资本 loan facility 　 贷款融通 loan stock 债务证券；债券；债权股额；贷款债券； 贷款股 loan syndicate 贷款银团 Local Area Network (LAN) 区域网络；部份区域网络 locked position 锁仓 locked up 冻结 London International Financial Futures and Options Exchange (LIFFE) 伦敦国际金融期货及期权交易所 London Stock Exchange (LSE) 伦敦证券交易所 London Traded Options Market (LTOM) 伦敦期权市场 Long Only Brokers for Options (LOBO) 「只限长仓」期权经纪 long options contract 期权长仓合约 long position 长仓；多头* MACD see Moving Average Convergence-Divergence Mass ATI see Mass Account Transfer Instruction MBO see management buy-out MESDAQ see Malaysian Exchange of Securities Dealing and Automated Quotation Bhd MORC see Memorandum of Regulatory Cooperation MOU see memorandum of understanding MPF see Mandatory Provident Fund MSCI Hong Kong Index see Morgan Stanley Capital International Hong Kong Index MWS see Multi-workstation System M1 狭义货币供应量 M2 广义货币供应量 Maastricht Treaty 马城条约 main board 主板；第一板 Mainland/Hong Kong Closer Economic Partnership Arrangement 　 《内地与香港关于建立更紧密经贸关系的安排》 Mainland/Hong Kong Closer Economic Partnership Arrangement - Arrangements relating to Qualifications of Securities and Futures Industry Practitioners 　 《内地与香港关于建立更紧密经贸关系的安排 - 与证券及期货人员资格有关的安排》 maintenance margin(futures) 维持按金；补仓按金(期货) major shareholder 主要股东；大股东 major transaction 主要交易；重大交易 maker-checker facility(CCASS) 「输入与核对分工」功能(中央结算系统) Malaysian Exchange of Securities Dealing and Automated Quotation Bhd (MESDAQ) 马来西亚证券交易所交易及自动报价系统 management buy-out (MBO) 管理层收购；自发性收购 management fee 管理费用 management shareholder 管理层股东 Management, Supervision and Internal Control Guideline(SFC) 《管理、监督及内部监控指引》(证监会) manager 经办人 mandatory bid; mandatory offer 强制性收购建议 Mandatory Provident Fund (MPF) 强制性公积金 Mandatory Provident Fund Schemes Authority (MPFA) 强制性公积金计划管理局 margin 按金；保证金；「孖展」 margin call 追补按金；补仓通知 margin client 孖展客户；保证金客户 margin coverage ratio 孖展覆盖率；保证金保险范围比率 margin cut 斩仓 margin financing 保证金融资；孖展融资；保证金借贷活动 margin interval 按金间距 margin offset 按金对销 margin parameter 按金参数 margin pooling 　 证券汇集转按 margin ratio 按金比例 margin relief 按金减免 Margin Securities Trading Account 保证金证券交易户口 margin trading 按金交易；孖展买卖

77鲜

margin value 保证金价值 margin-after-exercise 行使后按金 margined premium 以按金形式缴付的期权金 margining process 计算按金程序 mark to market / mark-to-market 按市价计值 mark-to-market margin 市价计值按金 market capitalisation 市场总值；市价总值 Market Datafeed 市场数据传送专线 market depth 市场深度 market maker 庄家 Market Maker List 庄家名录 market making 庄家活动；作价买卖 market manipulation 市场操纵；市场操纵行为；造市 Market Misconduct Tribunal 市场失当行为审裁处 market order 市价盘 market participant 市场参与者 market practitioner 市场从业员 market rental 市值租金 market risk 市场风险 market sentiment 市场气氛 market share 市场占有率 market timing 选时交易 market volatility 市场波幅 market-sensitive information 市场敏感资料；影响市场资料 marks / marks payment 差额缴款 Mass Account Transfer Instruction (Mass ATI) 大量户口转移指示 mass quote 大量开盘 master trust scheme 集成信托计划 maturity 到期；到期日 maximum spread 最大差价限额 Memorandum and Articles of Association 《组织大纲及章程》 memorandum of association 组织大纲 Memorandum of Regulatory Cooperation (MORC) 《监管合作备忘录》 memorandum of understanding (MOU) 谅解备忘录 merchant bank 商人银行 merger 合并 mergers and acquisitions 合并与收购；并购活动* merit-based 以监管机构评审为本 mid-cap stock 中型股 Mid-day Data File Transfer Service 中午资料传送服务 middle exercise price 中间行使价 middle-priced option 中位价期权 Mini-HSI Futures 小型恒生指数期货合约 Mini-HSI Options 小型恒生指数期权合约 minimum contribution 最低供款额 minimum price fluctuation 最低上落价位；最低价格变动 minimum quote quantity 最少开价数量 minimum response time 最短回复开价时间 minimum transaction size 最低交易数额 Ministry of Finance(Mainland China) 财政部(中国内地) Ministry of Foreign Trade and Economic Cooperation(Mainland China) 对外经济贸易合作部（外经贸部）(中国内地)

77鲜

minority controller 次要控制人 minority interest 少数股东权益 minority shareholder 少数股东 minus tick 低于前成交价 misconduct 不当行为；失职行为；渎职行为 misrepresentation 失实陈述；虚报 Misrepresentation Ordinance 《失实陈述条例》 misstatement 虚假声明；错误陈述 mistraded contract 错误交易合约 mock trading 模拟交易 Model Authorisation Letter 标准授权书 Model Code for Securities Transactions by Directors of Listed Issuers 《上市公司董事进行证券交易的标准守则》 Model Code for Sponsors 《保荐人标准守则》 monetary assets 货币资产 monetary base 货币基础 Monetary Policy Committee(PBOC) 货币政策委员会(中国人民银行) money broker 货币经纪 money laundering 洗黑钱 money market 货币市场；短期资金借贷市场 money settlement fee 款项交收费 money supply 货币供应 money transfer system 款项过户系统 Money World Asia Hong Kong 香港货币及投资汇展 Money World Asia Pte Limited 亚洲货币世界（新加坡）有限公司 moneyness 价值状况 monies advanced 垫款 Monthly Balance Statement(CCASS) 户口结余月结单(中央结算系统) Monthly Market Statistics 《市场统计月报》 Monthly Return on Movement of Listed Securities 上市证券变动之月报 Moody's Investment Grade 穆迪投资评级 moratorium 股份禁售期 morning session 早市 mortgage loan originator 按揭贷款发放者 mortgage-backed securities 按揭证券 Moving Average Convergence-Divergence (MACD) 移动平均值背驰指标 multi-currency trading 多种货币买卖 multi-jurisdictional equity offering 跨司法区招股活动 Multi-workstation System (MWS) 多工作站系统 multiple application 重复认购 multiple-workstations 多工作站；一线多机 mutual cross-listing 跨国多重上市 mutual fund 互惠基金

77鲜

NASDAQ see National Association of Securities Dealers Automated Quotations(US) NCP see Non-Clearing Participant or Non-Clearing Options Trading Participant (options trading) NETS see National Electronic Trading System (Mainland China) New HSMCI see New Hang Seng MidCap 50 Index naked option writing 沽出未抵押期权 naked short selling 没有预先借货的卖空活动 National Association of Securities Dealers Automated Quotations (NASDAQ)(US) 美国全国证券交易商协会自动报价系统； 美国纳斯达克证券市场 National Bureau of Economic Research(US) 美国国家经济研究局 National Construction Treasury(Mainland China) 国家建设债券(中国内地) National Electronic Trading System (NETS)(Mainland China) 全国电子交易系统(中国内地) National Social Security Fund 全国社会保障基金 National Science and Technology Venture Capital Development Center 国家科技风险开发事业中心 negative statement 否定声明 negotiable instrument 可转让票据 negotiated commission 商议佣金 negotiated transaction 议价交易 net admissible assets 认可资产净值 net asset [size=+0]value 资产净值 net asset [size=+0]value per share 每股资产净值 net book [size=+0]value 账面净值 net margining 净额按金计算 net open options contract; net options position 期权合约净持仓 net position 持仓净额 net present [size=+0]value 现金收益净值 net proceeds 集资净额 net tangible assets 有形资产净值 net tangible assets per share 每股有形资产净值 net underwriting commitment 包销承担净值 net worth ratio 净值比率 netting 单价配对(期权)；净额结算；对销 netting by novation(clearing) 以责务变更的方式进行净额结算 networking 联网 New Hang Seng MidCap 50 Index (New HSMCI) 新恒生50中型股指数 new issue 发行新股；新股发行 New Regulatory Framework, The(SFC) 《新监管制度》(证监会) news dissemination 资讯发布 news file 资讯档案 next day net settlement system 翌日净额结算系统 Next Settlement Day Due / Overdue Position Report(CCASS) 下一交收日到期/逾期数额报告(中央结算系统) Nikkei Stock Average 日经平均指数 nil-paid rights 未缴股款股权；未缴款供股权 no-forcing order 全权委托盘 No-Over-Loss Rules 「无超额亏蚀」规则 nominal exchange rate 名义汇率 nominal price 按盘价；现价 nominal [size=+0]value 面值

77鲜

nominee account 代理人户口 Non-Clearing Participant; Non-Clearing Options Trading Participant (NCP)(options trading) 非结算参与者；非结算的期权买卖参与者(期权买卖) non-collateralised warrant 无抵押权证 non-dividend paying European call option 不派息欧式认购期权 non-dividend paying European put option 不派息欧式认沽期权 non-executive director 非执行董事 non-market-making transaction 非市场庄家的交易 non-ranking liabilities 非认可负债 non-registered holder 非登记持有人 non-spot month Hang Seng Index futures contract 非现货月恒生指数期货合约 normal order imbalance 正常买卖盘差额 normative statement 规范声明 Notice on Regulation of Share Issues and Listing in Overseas Markets(State Council) 境外发行股票和上市管理通知(国务院) notifiable transaction 须予公布的交易 novated contract 责务变更合约 novation 责务变更；约务更替 ORS see Order Routing System Oaths and Declarations Ordinance 《宣誓及声明条例》 Occupational Retirement Schemes Ordinance 《职业退休计划条例》 odd lot 碎股；零股* off-balance sheet exposure 资产负债表以外之承担/项目 off-balance sheet (financial) instrument 资产负债表外金融工具 off-board trading 场外交易；离场交易 off-floor order 离场买卖盘 off-floor trading 场外交易；离场交易 off-market rules 场外规则 off-market share repurchase 场外购回股份 offer 收购建议；要约 offer by tender 招标发售 offer for sale 公开发售；提呈发售 offer for subscription 公开认购 offer price 卖价；发盘价 offer to the public 公开招股 offering mechanism 招股机制 Office of the Commissioner of Insurance 保险业监理处 offsetting position 相抵持仓 offshore financial centre 离岸金融中心 offshore fund 离岸基金 offshore profit regrouping 离岸盈利重组 offshore swap 离岸调期 omnibus account 综合户口 omnibus client account 综合户口 on-floor order 场内买卖盘 on-going obligation 持续责任 on-line interface 联机界面联系 on-line investment service 联线投资服务 On-line Trading Working Group (SFC) 网上交易工作小组(证监会) on-market rules 场内规则 online trading 网上交易；线上交易 online transfer 即时转送 open allocation session (HKATS) 开市分配时段(HKATS) open contract 未平仓合约 open gateway 开放式网间连接器 open interest 未平仓合约 open market operations 公开市场活动 open offer 公开售股；公开发售 open order 开市盘 open outcry(= auction) 公开喊价；公开叫价；口头唱价* (= 口头竞价) open outcry trading 公开叫价交易 open position 未平仓合约 open short position 卖空空仓

77鲜

open-end fund 开放式基金 opening contract 开仓合约 opening price 开市价；开盘价 opening quotations rules 开市报价规则 opening stock 期初存货 opening transaction 开仓交易 operating lease 营运/经营/营业租赁 Operation Procedures for Stamp Duty Collection 征收印花税运作程序 Operational Clearing Procedures for Options Trading Exchange Participants 《结算运作程序 ─ 期权买卖交易所参与者专用》 operational risk 运作风险；营运风险 Operational Trading Procedures for Options Trading Exchange Participants 《交易运作程序 ─ 期权买卖交易所参与者专用》 option 期权 option buyer 期权买方 option class 期权类别 option contract 期权合约 option holder 期权持有人 option position 期权持仓 option pricing model 期权定价模式 option seller 期权卖方 option series 期权系列 option valuation 期权定价 option writer 期权卖方 optional registration service 另选登记服务 Options Broker Exchange Participant 期权经纪交易所参与者 Options Clearing Officer 期权结算主任 Options Clearing Officer Examination 期权结算主任考试 Options Clearing Rules 《期权结算规则》 Options Client's Agreement 期权客户协议书 options delivery instruction 期权交付指令 options digital datafeed 期权数码资料传送专线 Options Exchange Participant 期权交易所参与者 Options Information Service 期权资讯服务 options tariff 期权费用 options trade confirmation 期权交易确认书 Options Trading Exchange Participant 期权买卖交易所参与者 Options Trading Officer 期权交易主任 Options Trading Officer and Representative Examinations 期权交易主任及代表考试 Options Trading Representative 期权交易代表 Options Trading Rules 《期权交易规则》 order 买卖盘；买卖指示 order at discretion 全权委托盘 order book 买卖盘纪录；挂盘册 order-driven 以买卖盘带动 order entry 买卖盘输入 order form 盘纸 order input period 输入买卖盘时段 order instruction 入市指令 order matching 对盘 order matching period 对盘时段 order routing 买卖盘传递 Order Routing System (ORS) 买卖盘传递系统 order throughput 买卖盘处理率 ordinary share 普通股 OTC Bulletin Board (US) 场外交易议价板 (美国) out-of-the-money option 价外期权 output VAT 销项增值税 outstanding contingent liabilities 未偿或然负债 outstanding loan 未偿还借款 outstanding order 未完成买卖盘 outstanding stock 已发行股份/股本/股票 over-allotment option 超额配发权；超额配股权 over-allotment option scheme 超额配发机制 over-the-counter derivative 场外衍生工具 over-the-counter market 场外证券市场 over-the-counter option 场外期权 overall position 整体持仓 overbooked 超额认购 overbought 超买 overnight liquidity(banking) 隔夜流动资金(银行) Overnight Report Distribution(CCASS) 即夜传送报告资料服务(中央结算系统) overnight trade 非即日平仓交易 overseas issuer 海外发行人 overseas listed foreign share(Mainland China) 境外上市外资股(中国内地) oversold 超卖 oversubscribed 超额认购 overtrading 过量交易

77鲜

PASLA see Pan Asian Securities Lending Association PBOC see People's Bank of China PCS see Provisional Clearing Statement P/E see price/earnings ratio PECC see Pacific Economic Cooperation Council PIN see personal identification number PKI see Public Key Infrastructure POSIT see Portfolio System for Institutional Traders(Australia) PNS see Proprietary Network System PPP see purchasing power parity PRiME see Portfolio Risk Margining System of HKEx PSE see Pacific Stock Exchange PSS see Participant Supplied System PvP see payment vs payment(banking) PABX Telephone System 内线电话系统 Pacific Economic Cooperation Council (PECC) 太平洋经济合作会议 Pacific Stock Exchange (PSE) 太平洋证券交易所 Pacific-Basin Capital Markets Research Center 太平洋区资本市场研究中心 paid-up capital; paid-in capital 实缴股本；缴入股本 painting the tape 操纵证券价格 Pan Asian Securities Lending Association (PASLA) 亚洲证券借贷协会 paper gold 纸黄金 paper intensive settlement 票据密集交收 paperless trading 无纸化交易 "paper-to-paper" arrangement 票对票方式 par value 票面值 parent company 母公司 parity(options) 平价(期权) parity value 平衡价值 partially filled order 部份完成的买卖指示 Participant Access Services(futures) 参与者资料提取系统(期货) Participant gateway 参与者网间连接器 Participant Supplied System (PSS) 　 参与者自设系统 Particular Transfer(Mainland China) 特别转让股(中国内地) partly-paid share 未缴足股份 payment vs payment (PvP)(banking) 汇款同步交收；即时汇款同时交收(银行) payoff 回报；收益 payoff diagram 收益图 payoff period 回收期；回本期 Payout-Protection Rule(options) 「保护偿付」规则(期权) PC terminal user 个人电脑终端机用户 pegged exchange rate 联系汇率 pegged rate system 联系汇率制；挂钩汇率制 penny stock 细价股；蚊型股 People's Bank of China (PBOC) 中国人民银行 per capita gross domestic product 人均国内生产总值 per capita gross national product 人均国民生产总值 period of solicitation 招售期 Permanent Secretary for Financial Services and the Treasury 财经事务及库务局常任秘书长 perpetual bond 永久债券 personal account dealing guidelines 私人户口交易指引 personal identification number (PIN) 私人密码 phishing 伪冒电子邮件 physical delivery 实物交收 physical inventory 实地盘存 physical market 现货市场 physical price 现货价 physical scrip 实物股票 Pink Sheets (US) 「粉红价单」(美国) pit 交易圈；交易场 pit trading 场内交易 placee 获配售人；承配人 placing 配售 placing agent 配售代理 placing and top-up 以先旧后新方式配售 placing guidelines 配售指引

77鲜

placing order 落盘 plain vanilla bond 传统债券 plain vanilla warrant 一般权证 pledge 抵押 plus tick 高于前成交价 port fee 接驳站费用；接口费 portfolio 投资组合 Portfolio Analyser(options) 组合分析仪(期权) portfolio manager 投资组合经理 Portfolio Risk Margining System of HKEx (PRiME) 香港交易所组合风险按金系统 Portfolio System for Institutional Traders (POSIT)(Australia) 机构交易员组合系统(澳洲) position 持仓；仓；盘；头寸 position adjustment 调整持仓 position limit 持仓限额；持仓上限 position limit ratio 持仓限额比率 position ratio 持仓比例 position risk adjustment 持仓风险调整 position squaring 平仓 position trader(commodity market) 头寸交易商(商品市场) Positioning for a New Era(publication) 《迈进新纪元》(刊物) post-listing acquisition 上市后的收购活动 power of attorney 授权书 power of sanction 制裁权 Practice Note 应用指引 PRC issuer 中国内地发行人 predator(takeover) 狙击手(收购) Predefined Futures Calendar Spreads 预设期货跨期合约 pre-emptive right 优先认购权 preference / preferred share 优先股 preferred ordinary share 优先普通股 Pre-market Opening Mechanism(futures) 开市议价机制(期货) pre-open allocation session(HKATS) 　 开市前分配时段(HKATS) premium 溢价 premium(futures) 高水(期货) premium(options) 期权金(期权) premium turnover 期权金成交额 pre-opening session 开市前时段；开市前议价时段 pre-order matching period 对盘前时段 Preparatory Board 筹备董事会 prescribed percentage 指定百分比 previous closing price 前收市价 price cheating 食价 price discovery 市场定价；市场价格厘定；价格发现 price manipulation 操纵价格；造价 price ramping 炒高价格 Price Reporting System(futures) 报价系统(期货) price spread(options) 跨价买卖(期权) price/earnings ratio (P/E) 市盈率 price-sensitive information 股价敏感资料；影响股价资料 pricing model 定价模式 primary listing 第一上市 Primary Market Database 上市公司资料库 primary market 集资市场；一级市场* primary sponsor 　 主要保荐人 principal account 公司户口 principal supervisor(GEM) 主要主管(创业板) principle of best execution 以最佳价格执行交易的原则； 以最佳条件执行交易的原则 Priority Construction Treasury(Mainland China) 国家重点建设债券(中国内地) private fibre optical circuit 自置光纤线路 private placing 私人配售 privately-offered fund 　 私募基金* privatisation 私有化；私营化 privileged user 特许使用者 pro forma fully diluted price/earnings ratio 备考全面摊薄市盈率 pro forma statement 备考报表 Process Review Panel 程序覆检委员会 Professional Accountants Ordinance 《专业会计师条例》 Professional Conduct Rules and Regulations(publication) 《专业操守规则及规例》(刊物) Professional Course for Equity Options Practitioners 股票期权从业员专业课程 profit 溢利；利润；盈利 profit and loss account 损益账 profit forecast 溢利预测 profits attributable to shareholders 股东应占溢利 programme trading 程式买卖；程式交易 project finance 项目融资 Project on the Use of Plain Language 浅白语言计划 Prolonged Suspension Status Report 有关长时间停牌公司之报告 promoter 发起人

77鲜

property gains tax 物业增值税 property valuer 物业估值师 proposed director 获提名董事 proprietary account 公司专用户口 Proprietary Network System (PNS) 　 专线网络系统 proprietary routing terminal 专用网络系统 proprietary trading 自营买卖；坐盘 proprietary trading system 专用交易系统 prospectus 招股章程；招股书；发行章程 Protection of Investors Ordinance 《保障投资者条例》 Provident Fund Scheme 公积金计划 provision 条文 provision(accounting) 准备；拨备(会计) provision for bad and doubtful debts 坏账及呆账拨备 Provisional Clearing Statement (PCS) 临时结算表 provisional letter of allotment 暂定配额通知书 provisional liquidator 临时清盘人 proxy form 代表委任表格；委派代表书 prudence 审慎原则 public address system 公布系统 public censure 公开谴责 Public Debt (Inflation-Linked Subsidy) Treasury(Mainland China) 保值公债(中国内地) public float 公众持股量 public float capitalisation 公众持股市值 public interest 公众利益 Public Interest Director 公众利益董事 Public Key Infrastructure (PKI) 公开密码匙基础建设 purchasing power parity (PPP) 购买力平价 put option 认沽期权 put warrant 认沽权证 put writer 认沽期权沽出者 QDII see Qualified Domestic Institutional Investor QFII see Qualified Foreign Institutional Investor qualification share 资格股 Qualified Domestic Institutional Investor (QDII) 　 合格境内机构投资者 Qualified Foreign Institutional Investor (QFII) 合格境外机构投资者 qualified institutional buyer 合资格机构买家 qualified opinion 保留意见 Quick Reference Guide(AMS) 简便指南(自动对盘系统) quiet trading 交投淡静 quotation rules 报价规则 quote 报价；开价盘 quote maintenance report 开盘状况报告 quote request 报价要求；开价盘要求 quote-driven 以报价带动；以开盘带动

77鲜

Range ELI see Range Equity Linked Instrument RDDS see Realtime Digital Data Service REIT see real estate investment trust repo see repurchase agreement RFQ see request for quote RIQ see Recognised Industry Qualifications RSI see Relative Strength Indicator RTGS see Real Time Gross Settlement System(HKMA) raider(takeover) 狙击手(收购) rally 回升；反弹 ramping 炒高价格 random assignment 随机分配 Range Equity Linked Instrument (Range ELI) 「勒束式」股票挂钩票据 ranking liabilities 认可负债 rat trading 老鼠仓活动 rate of return 回报率 real estate investment trust (REIT) 房地产投资信托基金 real exchange rate 实质汇率 real time calculation 实时计算 Real Time Gross Settlement system (RTGS)(HKMA) 即时支付结算系统(金管局) real time information 即时资讯；实时资讯 realisation 变现 Realtime Digital Data Service (RDDS) 即时数码数据服务 realtime digital datafeed 即时数码资料传送专线 rebate 回扣；回佣；佣金回扣 recapitalisation 资本重整 receiving agent 收款代理 receiving bank 收款银行 Recognised Industry Qualifications (RIQ) 认可行业资格 reconciliation 对账 recoverable VAT 应退增值税 red chip 红筹股 redeemable share 可赎回股份 redemption 赎回；兑付*；还本付息* rediscount 再贴现 Reference for Disclosures in Annual Reports(publication) 《周年报告的参考披露资料》(刊物) regional index call warrant 地区性指数认购权证 Regional Monitor 《亚太股市脉络》 register of members 股东名册 registered certificate 记名证书 registered dealer 注册证券商 registered financier 注册融资人 registered firm 注册商号 registered intermediary 注册中介团体 registered owner 登记持有人 registered securities 记名证券 Registered Trader 　 注册庄家 Registered Treasury(Mainland China) 记账式国库券(中国内地) registrar 过户登记处；过户处 Registrar of Companies 公司注册处处长 registration and transfer fee 登记过户费 regulated short selling 受监管之股份卖空活动 regulation 监管 regulatory arbitrage 监管套戥 regulatory body 监管机构 regulatory regime 监管制度 rejected sales 反驳交易 related party transaction 关连人士交易 related person 关连人士 relationship of put-call parity 认沽认购等价关系 relative return 相对回报率 Relative Strength Indicator (RSI) 相对强弱指数 rematerialisation 　 重新实物化 remote trading access 遥距交易设施 remuneration package 薪酬利益 reorganisation 重组 replacement cost 重置成本 Report by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure 《检讨证券及期货市场规管架构运作专家小组报告书》 Report of the Securities Review Committee 《证券业检讨委员会报告书》 Report on Financial Market Review 《金融市场检讨报告》 Report on the Enhancement of the Financial Infrastructure in Hong Kong 《提升香港的金融基础设施报告》 reporting accountant 申报会计师 reporting period 申报期 reprimand 谴责 repurchase 购回；购回股份 repurchase agreement (repo) 回购协议 request for proposal 征求建议书 request for quote (RFQ)(options) 报价要求(期权) required rate of return 所需回报率 reserve 储备 reserve fund 储备基金 response time 回应时间 responsibility letter 责任承诺书 responsibility statement 责任声明书 restatement of accounts 重整账目 restricted licence bank 有限制牌照银行 restriction notice 限制通知书 results announcement 业绩公布 resumption of trading 复牌；恢复买卖 retail broker 散户经纪 retail information service 零售资讯服务 retail investor 散户投资者；散户 retained capital 留成资金；保留资金 retained earnings; retained income 留存盈利；留存收益 retained profits 留存溢利；留存盈利 Reuters Monitor Equities Investment Service 路透社证券投资传视服务 revaluation 重估 reversal contract(options) 逆转交易合约；取消交易合约(期权) reverse takeover 反收购 reverse convertibles 反向可转换产品 Revised Guidance Notes Regarding Money Laundering 《防止洗黑钱修订指引》 revised short selling scheme 经修订的股份卖空计划 rights issue 供股；配售新股 risk array algorithm 风险排列算式 risk array margining system 风险排列按金制度 risk array method 风险排列方法

77鲜

risk control 风险控制 risk disclosure 风险披露 Risk Disclosure Statement(GEM) 风险披露声明书(创业板) risk evaluation 风险评估 risk identification 风险鉴别 risk management 风险管理 Risk Management Committee 风险管理委员会 risk parameter 风险参数 risk tolerance 风险容限 risk-free interest rate 无风险利率 roadshow 巡回推介 Rolling Forex 日转期汇 roll-over 转仓 round lot 手 "round trip" option transaction 「来回」期权交易 round-lot-plus order 非整手买卖盘 router system 买卖盘传递系统 Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited (GEM Listing Rules) 《香港联合交易所有限公司创业板证券上市规则》（《创业板上市规则》） Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (Exchange Listing Rules) 《香港联合交易所有限公司证券上市规则》（《证券上市规则》） Rules of the Exchange 《交易所规则》 runner 驳脚经纪 SAAC see Securities Analysts Association of China SAC see Securities Association of China, The SAFE see State Administration of Foreign Exchange(Mainland China) SASAC see State-owned Assets Supervision and Administration Commission SBLA see securities borrowing and lending agreement SCCLR see Standing Committee on Company Law Reform SCEFI see Steering Committee on the Enhancement of Financial Infrastructure, The SCORE see Stock Options Reference Educator SCP see Self Clearing Participant SDNet see Securities and Derivatives Communication Network SEAQ see Stock Exchange Automated Quotations System(UK) SEAQI see Stock Exchange Automated Quotations System for International Equities(UK) SEATS see Stock Exchange Alternative Trading Service(UK) SEC see Securities and Exchange Commission(US) SEHK see Stock Exchange of Hong Kong Limited, The SEIS see Stock Exchange Information Services Limited SEOCH see SEHK Options Clearing House Limited, The SESDAQ see Stock Exchange of Singapore Dealing and Automated Quotation System SFC see Securities and Futures Commission, The SFAT see Securities and Futures Appeals Tribunal SGX see Singapore Exchange SI see settlement instruction SIB see Securities and Investment Board(UK) SMARTS see Securities Market Automated Research, Training & Surveillance System SMFP see share margin finance provider SOES see Small Order Entry System/Small Order Execution System(US) SPAN see Standard Portfolio Analysis of Risk SPDR see Standard & Poor's Depository Receipt SRN see Shareholder Reference Number SSAP see Statement of Standard Accounting Practice STAQS see Securities Trading Automated Quotation System(Mainland China) SWIFT see Society for Worldwide Interbank Financial Telecommunications S&P/HKEx Composite 标准普尔/香港交易所综合指数 S&P/HKEx GEM 标准普尔/香港交易所创业板指数 S&P/HKEx LargeCap 标准普尔/香港交易所大型股指数 S&P/HKEx MidCap 25 标准普尔/香港交易所中型股25指数 S&P/HKEx SmallCap 50 标准普尔/香港交易所小型股50指数 sales representative 营业代表 sales revenue 销售收入 salvage value 残值 same day exercise 同日行使

77鲜

samurai bond 武士债券 scalable 提高运作的能力 scalping 老鼠仓活动；食价 scheme of arrangement 协议安排；协议计划 screen 荧幕；屏幕* scrip dividend 以股代息 scrip fee 股票登记费；登记过户费 scrip issue 发行红股 scripless trading 无纸化交易 seasoned securities 优质证券 second board 第二板；第二板市场 second liner; second line stock 二线股 second market 第二板；第二板市场 secondary listing 第二上市 secondary market 交易市场；二级市场 Secretary for Economic Development and Labour 经济发展及劳工局局长 Secretary for Financial Services and the Treasury 财经事务及库务局局长 secured debts 抵押债项 Securities (Clearing Houses) Ordinance 《证券（结算所）条例》 Securities (Dealers, Investment Advisers, Partnerships and Representatives) Rules 《证券（交易商、投资顾问、合伙及代表）规则》 Securities (Disclosure of Interests) Notification History Reports 《证券（披露权益）具报纪录》 Securities (Disclosure of Interests) Notification Summaries(publication) 《证券（披露权益）具报摘要》(刊物) Securities (Disclosure of Interests) Ordinance 《证券（披露权益）条例》 Securities (Insider Dealing) Ordinance 《证券（内幕交易）条例》 Securities (Margin Financing) (Amendment) Ordinance 2000 《2000年证券（保证金融资）（修订）条例》 Securities (Stock Lending) Rules 《证券（证券借出）规则》 Securities Analysts Association of China (SAAC) 中国证券业协会证券分析师专业委员会 Securities and Derivatives Communication Network (SDNet) 证券及衍生工具团体网络 Securities and Exchange Act(Taiwan) 证券交易法(台湾) Securities and Exchange Commission (SEC)(US) 证券交易委员会(美国) Securities and Futures (Clearing Houses) Ordinance 《证券及期货（结算所）条例》 Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003 《2003年证券及期货（合约限量及须申报的持仓量）（修订）规则》 Securities and Futures (Disclosure of Interests - Exclusions) Regulation 《证券及期货（披露权益－免除 ）规例》 Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules 《证券及期货（披露权益－证券借贷）规则》 Securities and Futures (Price Stabilising) Rules 　 《证券及期货（稳定价格）规则》 Securities and Futures (Professional Investor) Rules 《证券及期货（专业投资者）规则》 Securities and Futures (Recognized Counterparty) Rules 《证券及期货（认可对手方 ）规则》 Securities and Futures (Short Selling Exemption and Stock Lending) Rules 《证券及期货（卖空豁免及证券借出 ）规则》 Securities and Futures (Stock Market Listing) Rules 《证券及期货（在证券市场上市 ）规则》 Securities and Futures (Transfer of Functions - Stock Exchange Company) Order 《证券及期货（转移职能予联交所 ）令》 Securities and Futures Appeals Panel 证券及期货事务上诉委员会 Securities and Futures Appeals Panel (Fee) Order 《证券及期货事务上诉委员会（费用）令》 Securities and Futures Appeals Panel Proceedings Rules 《证券及期货事务上诉委员会程序规则》 Securities and Futures Appeals Tribunal (SFAT) 证券及期货事务上诉审裁处 Securities and Futures Bureau(Taiwan) 证券期货局(台湾) Securities and Futures Commission, The (SFC) 证券及期货事务监察委员会（证监会） Securities and Futures Commission (Annual Returns) Rules 《证券及期货事务监察委员会（周年报表）规则》 Securities and Futures Commission (Fees) Rules 《证券及期货事务监察委员会（费用）规则》 Securities and Futures Commission (Levy) (Futures Contracts) Order 《证券及期货事务监察委员会（征费）（期货合约）令》

77鲜

Securities and Futures Commission (Levy) (Securities) (Amendment) Order 《证券及期货事务监察委员会（征费）（证券）（修订）令》 Securities and Futures Commission (Levy) Rules 《证券及期货事务监察委员会（征费）规则》 Securities and Futures Commission Ordinance 《证券及期货事务监察委员会条例》 Securities and Futures Commission (Transfer of Functions) Order 《证券及期货事务监察委员会（职能移交）令》 Securities and Futures Intermediaries Activities Surveys(SFC) 《证券及期货中介机构业务调查》(证监会) Securities and Futures Market Development Working Group 　 证券期货市场发展工作小组 Securities and Futures Ordinance 《证券及期货条例》 Securities and Investment Board (SIB)(UK) 证券及投资管理局(英国) Securities Association of China, The (SAC) 中国证券业协会 securities borrowing and lending agreement (SBLA) 证券借贷协议书 Securities Brokers Course 证券经纪课程 Securities Brokers Examination 证券经纪考试 securities collateral 证券抵押品 Securities Compensation Fund Committee(SFC) 证券赔偿基金委员会(证监会) securities lender 证券借出人 securities margin financier 证券保证金融资人 Securities Market Automated Research, Training & Surveillance System (SMARTS) 证券市场资料研究、培训及监察自动化系统 Securities Market Herald (publication) 《证券市场导报》 Securities Offering Issues sub-group 　 证券发售事宜工作小组 Securities Trading Automated Quotation System (STAQS)(Mainland China) 证券交易自动报价系统(中国内地) Securities Training Programme 证券业培训课程 securities-on-hold mechanism 冻结股份机制 securitisation 证券化 security 抵押品；担保物* security arrangement 抵押安排；保障安排 security interest 担保权益 "see-through" price 透视价 segregated trust account 独立信托户口 segregation of securities 证券隔分 SEHK Enquiry Hotline 联交所资讯服务热线 SEHK Monthly Bulletin 《香港联合交易所月刊》 SEHK Options Clearing House Limited, The (SEOCH) 香港联合交易所期权结算所有限公司（联交所期权结算所） selective marketing basis 选择性销售方式 Self Clearing Participant (SCP) 自行结算参与者 self-clearing 自行结算 self-regulatory organisation; self-regulating organisation 自律监管机构 sell order 卖盘；沽盘 sensitivity analysis 敏感度分析 SEOCH collateral 联交所期权结算所抵押品 SEOCH Participant 联交所期权结算所参与者 separate listing 独立上市 Serial Month Hibor Futures 三个月拆息利率期货 series margin value 系列按金价值 set off 抵销 Settled Position Report(CCASS) 已交收数额报告(中央结算系统) settlement backlog 交收积压 settlement bank 交收银行 settlement cap 交收上限 settlement date 交收日 settlement instruction (SI) 交收指示 Settlement Instruction Batch Upload(CCASS) 交收指示整批传送(中央结算系统) settlement instruction transaction 「交收指示」交易 settlement period 交收期 Settlement Report(CCASS) 交收报告(中央结算系统) settlement risk 交收风险 SFC (HKEC Listing) Appeals Committee 证监会（香港交易所上市）上诉委员会 SFC (HKEC Listing) Committee 证监会（香港交易所上市）委员会 SFC (HKEC Listing) Executive 证监会（香港交易所上市）执行人员 SFC Alert 《证监快讯》 SFC Code on MPF Products 《证监会强积金产品守则》 SFC Dual Filing Advisory Group 　 证监会双重存档事宜顾问小组 SFC Enforcement Reporter 《证监会执法月报》 shadow director 影子董事 Shanghai Municipal Futures Industry Association 上海市期货同业公会 Shanghai Securities Central Clearing and Registration Corporation 上海证券中央登记结算公司

77鲜

Shanghai Stock Exchange 上海证券交易所 Shanghai United Assets and Equity Exchange 上海联合产权交易所 share capital 股本 share entitlements 股份权益 share exchange 以股换股 share margin finance provider (SMFP) 证券按贷财务提供者 share margin financing 证券保证金融资；股票按贷财务 share option 购股权；股份认购权；认股权；认股期权 share register 股东名册 share registrar 股票过户登记处；过户处 share repurchase 购回股份；股份购回 share scheme 股份计划 shareholder loan 股东贷款 Shareholders Group(SFC) 股东权益小组(证监会) shareholding 股权 shareware 共用软件 shelf registration facility(US) 暂搁注册；缓行注册(美国) Shenzhen Securities Clearing Company Limited 深圳证券结算有限公司 Shenzhen Securities Registration Company Limited 深圳证券登记有限公司 Shenzhen Stock Exchange 深圳证券交易所 short call 认购期权空仓；认购短仓 short interest 卖空股份总额 short option 期权短仓 short options contract 期权短仓合约 short position 淡仓；空仓；空头* short put 认沽期权空仓；认沽短仓 short seller 卖空卖方 short selling 卖空；沽空；抛空 Short Selling Pilot Scheme 股份卖空试验计划 short squeeze 挟仓 short term borrowings 短期举债；短期借贷 short-dated securities 短期证券 short-term money 短期资金 SI Activity Report(CCASS) 交收指示活动报告(中央结算系统) SI Batch File Service 整批输入交收指示 SI Status Report(CCASS) 交收指示状况报告(中央结算系统) SI transaction 交收指示的交易 significant shareholder(GEM) 高持股量股东(创业板) simulation system 模拟系统 Singapore Exchange (SGX) 新加坡交易所 single price auction system 单一价格竞价市场 single share derivative warrant 单一种股份的衍生权证 sinking fund 偿债基金 Sino-foreign equity joint venture 中外合资企业 slow trading 交投呆滞 small cap stock 细价股 Small Order Entry System / Small Order Execution System (SOES)(US) 细盘撮合系统(美国) Small Order First-In-First-Out 细额先到先得 smart card 聪明卡；醒目卡；灵巧卡 SME Board(Shenzhen Stock Exchange) 中小企业板块(深圳证券交易所) snapshot 瞬像；瞬态；「定镜」处理 Society for Worldwide Interbank Financial Telecommunications (SWIFT) 环球银行财务电信协会 soft commission 软佣金；非金钱佣金 soft currency 软货币；弱势货币 soft landing 软着陆 soft-dollar benefits 非金钱利益 sole proprietor 独资经营者 source code 源指令码 sovereign debt 外债

77鲜

sovereign risk 主权风险 Special Levy 特别征费 special limit order 特别限价盘 Special Treasury(Mainland China) 特种国债；特别国债(中国内地) Special Treatment(Mainland China) 特别处理股(中国内地) specialised bank 专业银行* Specialist System(US) 「特许证券商」制度(美国) speed bump 停市措施 spin-off 分拆；分拆上市 split 股份拆细 Split Register 分列登记册 sponsor 保荐人 Sponsor's Declaration 《保荐人声明》 sponsoring broker 保荐经纪 spot market 现货市场 spot month 现货月 spot price 现货价 spread 价位；差价 spread(options) 跨价/跨期式组合(期权) spread margin 复式按金 spread of holders 持股人的分布情况 spread of sector 行业覆盖层面 spread option 复式期权 spread order 复式盘 spread table 价位表 spread trading 跨期买卖；跨价买卖 squeeze 挟仓 stagflation 滞胀 staggering maturities 交错到期组合 stamp duty 印花税 Stamp Duty Ordinance 《印花税条例》 Standard & Poor's Depository Receipt (SPDR) 标准普尔500综合指数预托证券 Standard & Poor's Rating 标准普尔评级 standard accounting practice 标准会计准则 standard contract 标准合约 standard deviation 标准差 standard deviation of daily return 每日回报标准差 Standard Portfolio Analysis of Risk (SPAN) 标准组合风险分析 standard registration service 标准登记服务 Standing Committee on Company Law Reform (SCCLR) 公司法改革常务委员会 standstill agreement 暂缓还款协议 standstill return 股价不动时回报 State Administration of Foreign Exchange (SAFE)(Mainland China) 国家外汇管理局(中国内地) State Bureau for Industrial and Commercial Administration (Mainland China) 国家工商局(中国内地) State Council Securities Committee(Mainland China) 国务院证券委员会（证券委）(中国内地) State Economic and Trade Commission(Mainland China) 国家经济贸易委员会（国家经贸委）(中国内地) state share(Mainland China) 国家股；国有股(中国内地) State Statistics Bureau(Mainland China) 国家统计局(中国内地) State Taxation Bureau(Mainland China) 国家税务局(中国内地) statement of "non-owner movement in equity" 非所有者权益变动表 statement of account 户口结单 statement of adjustments 调整表；调整声明 Statement of Standard Accounting Practice (SSAP) 《会计实务准则》 Statement of Stock Movement(CCASS) 股份转移报告(中央结算系统) State-owned Assets Supervision and Administration Commission (SASAC) 国有资产监督管理委员会 state-owned enterprise(Mainland China) 国营企业(中国内地) static information 静态资讯 Status Report on Issuers' Delay in Releasing Results Announcement 有关发行人延迟公布业绩之报告 statutory public welfare fund(Mainland China) 法定公益金(中国内地) statutory reserve 法定储备 statutory surplus reserve(Mainland China) 法定公积金(中国内地) Steering Committee on Organisational Review(SEHK) 组织架构检讨指导委员会(联交所) Steering Committee on the Enhancement of Financial Infrastructure, The (SCEFI) 金融基础设施督导委员会 stock borrowing and lending 股票借贷 stock borrowing and lending position information page(Teletext) 股票借贷数额资料页(大利市) stock clearing fee 股份结算费 stock code 股份代号；证券代号 stock conversion 股份收纳 stock custody fee 股份托管费 stock deposit fee 股份存入费 Stock Deposit Form 股份存入表格 Stock Exchange Alternative Trading System (SEATS)(UK) 交易所另项交易系统(英国) Stock Exchange Automated Quotations System (SEAQ)(UK) 交易所自动报价系统(英国) Stock Exchange Automated Quotations System for International Equities (SEAQI)(UK) 交易所国际自动报价系统(英国) Stock Exchange Information Services Limited (SEIS) 香港联合交易所资讯服务有限公司 Stock Exchange of Hong Kong Limited, The (SEHK) 香港联合交易所有限公司（联交所） Stock Exchange of Singapore Dealing and Automated Quotation System (SESDAQ) 新加坡证券交易所交易及自动报价系统 Stock Exchange Trading Right 联交所交易权 Stock Exchanges Unification Ordinance 《证券交易所合并条例》 stock futures 股票期货 stock lender 股票出借人；贷股人 Stock Lender Participant(CCASS Participant) 　 贷股人参与者(中央结算系统参与者) Stock Lending Account(clearing) 股票贷出户口(结算) Stock Market History Project 证券市场历史研究计划 Stock Market Information Donation Programme 股市资料捐赠计划 stock option 股票期权 Stock Options Reference Educator (SCORE) 股票期权参考教育站 stock page(Teletext) 股份页(大利市机) stock pledgee 股票承押人；股份承押人 Stock Pledgee Participant (CCASS Participants) 股份承押人参与者(中央结算系统参与者) stock return 股票归还 Stock Segregated Account with Statement Service(CCASS) 附寄结单服务的股份独立户口(中央结算系统) stock settlement fee 股份交收费 stock split 股份拆细 stock withdrawal fee 股份提取费 Stockbrokers' Association of Hong Kong (1891) 香港股票经纪会（1891年） stop limit order 止蚀限价盘 stop order; stop-loss order 止蚀盘 straddle(options) 马鞍式组合(期权) straight bond 普通债券 straight-through processing 直通式交易程序 straightline method of depreciation 直线折旧法 strangle(options) 勒束式组合(期权) "street name" share certificate 「街名」股票；待转名股份 strike price(options) 行使价；敲价(期权) strong dollar 强势美元 sub-commission 回扣/回抽佣金；倒扣 sub-index 分类指数 sub-ledger 分类账 subordinated loan 附属贷款；后偿贷款 subscription 认购 subscription warrant (vs derivative warrant) 股本权证（相对于衍生权证） subsidiary 附属公司 substantial shareholder 大股东；主要股东 sub-underwriter 分包销商 summary financial report 财务摘要报告 summary offence 轻微违纪事件/行为 supervisor(Mainland China) 监事(中国内地) supervisory committee(Mainland China) 监事会(中国内地) supplemental/supplementary listing document 补充/增补上市文件 supranational entity 超国家机构 surplus reserve 盈余储备 suspended trading; suspension 停牌 suspense account 暂记账 swap 掉期 Swiss Commodities, Futures and Options Association 瑞士商品、期货及期权协会 syndicated credit 银团融资 syndicated lending 银团贷款