卖空  short selling
卖空空仓  open short position
卖空股份总额  short interest
卖空价规则  tick rule
卖空卖方  short seller
卖家(期权)  writer(options)
卖价  offer price
卖盘  sell order
卖盘价  ask price; asked price
账面值  book value
账面记录  book entry
账面净值  net book value
账面过账  book entry
账龄分析  aging analysis of accounts
《适用于在互联网上宣传或销售集体投资计划的人士的指引》  Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet (CIS Internet Guidance Note)
《适当人选的准则》(证监会)  The Fit and Proper Criteria(SFC)
迁册  change of domicile
销售收入  sales revenue
销项增值税  output VAT
饵盘  bait order
余额  balance
学术界谘询委员会(证监会)  Academic Advisory Committee(SFC)
学术评审谘询委员会(证监会)  Academic and Accreditation Advisory Committee (AAAC)(SFC)
凭证式股东  certificated shareholder
凭证式国库券(中国内地)  Certificate Treasury(Mainland China)
《操守准则》  Code of Conduct
操纵价格  price manipulation
担保人  guarantor
担保交易  guarantee transaction
担保物*  collateral; security
担保计划  Guarantee Scheme
担保权益  security interest
整合  consolidation; integration
整批输入交收指示  SI Batch File Service
整体持仓  overall position
机构交易员组合系统(澳洲)  Portfolio System for Institutional Traders (POSIT)(Australia)
机构投资者  institutional investor
机构客户  institutional client
机构计划书(证监会)  Corporate Plan(SFC)
机构风险  institutional risk
历史成本  historical cost
历史波幅  historical volatility
澳洲证券交易所  Australian Stock Exchange (ASX)
澳洲证券及投资监察委员会（澳洲证监会）  Australian Securities and Investments Commission (ASIC)
独立上市  separate listing
独立非执行董事  independent non-executive director
独立信托户口  segregated trust account
独立财务顾问  independent financial adviser
独立调查局  　  Independent Investigation Board
独立顾问  independent adviser
独资经营者  sole proprietor
穆迪投资评级  Moody's Investment Grade
积欠款项  arrears
融通票据  accommodation bill
融资人  financier
融资租赁承担  finance lease commitment
谘询委员会(证监会)  Advisory Committee(SFC)
输入买卖盘时段  order input period
「输入与核对分工」功能(中央结算系统)  maker-checker facility(CCASS)
办公室前线系统  front-office system
办公室后勤/后勤运作系统  back-office system
迟报交易  late reported sales
选时交易  market timing
选择性销售方式  selective marketing basis
醒目卡  smart card
错误包容  fault tolerance
错误交易合约  mistraded contract
错误陈述  misstatement
随意提增法  arbitrary scale up method
随机分配  random assignment
静态资讯  static information
头寸  position
头寸交易商(商品市场)  position trader(commodity market)
头盘  at-the-opening order
龙债券  dragon bond
偿债能力风险  insolvency risk
偿债基金  sinking fund
优先股  preference share; preferred share
优先普通股  preferred ordinary share
优先认购权  pre-emptive right
优质证券  seasoned securities
应付即日差额缴款  intra-day marks payment obligations
应付账款  accounts payable
应用指引  Practice Note
应用研究基金  Applied Research Fund
应用程式界面  Application Programming Interface (API)
应收账款  accounts receivable
应占股权  attributable equity interest
应计收益  accrued revenue
应计利息  accrued interest
应计制(会计)  accrual basis(accounting)
应计费用  accrued expenses
应退增值税  recoverable VAT
拟定开市价格  Calculated Opening Price (COP)
档案传送协定  file transfer protocol
档案转换  file transfer
检讨持牌法团财务规管制度工作小组  Working Group on Review of the Financial Regulatory Framework for Licensed Corporations
检讨证券及期货市场规管架构运作专家小组  　  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 by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure
营业日  business day
营业代表  sales representative
营运指令  working order
营运风险  operational risk
营运/营业租赁  operating lease
营运买卖盘  working order
营运资金  working capital
烛柱图  candlestick chart
获分配人士  assignee
获配售人  placee
获配发人  allottee
获提名董事  proposed director
环球股本证券市场  Global Equity Market
环球债券  global bond
环球预托证券  global depository receipt (GDR)
环球银行财务电信协会  Society for Worldwide Interbank Financial Telecommunications (SWIFT)
瞬像 / 瞬态(电脑)  snapshot(computer)
总市值  total market capitalisation; aggregate market value
总按金价值  total margin value
总持仓限额  gross limit
总账  general ledger
总额按金计算  gross margining
联交所交易权  Stock Exchange Trading Right
联交所交易权持有人  Holder of Stock Exchange Trading Right
联交所期权结算所抵押品  SEOCH collateral
联交所期权结算所参与者  SEOCH Participant
联交所资讯服务热线  SEHK Enquiry Hotline
联名个人投资者户口  Joint Individual Investor Account
联合交易所赔偿基金  Unified Exchange Compensation Fund
联合受托人  co-trustee
联邦基金  Federal funds
联邦基金利率  Federal funds rate
联邦结算系统  Fed wire; Fedwire; FedWire
联邦储备系统  Federal Reserve System
联席保荐人  co-sponsor
联席经办人  co-manager
联网  networking
联线投资服务  on-line investment service
联机界面联系  on-line interface
联营公司  associated company; associate company; associate
联系人士  associate
联系设施(电脑)  gateway(computer)
联系汇率  pegged exchange rate
联系汇率制  pegged rate system
联系证明书 / 信心保证书  　  comfort letter
联属公司  affiliated company; affiliate
聪明咭  smart card
临时清盘人  provisional liquidator
临时结算表  Provisional Clearing Statement (PCS)
薪酬利益  remuneration package
豁免 / 豁免规定  waiver
豁免上市地位  exempt listing status
豁免交易商  exempt trader
豁免自营买卖商  Exempt Principal Trader
豁免基金经理  Exempt Fund Manager
购回 / 购回股份  repurchase; share repurchase
购股权  share option
购买力平价  purchasing power parity (PPP)
避税  tax avoidance
《迈进新纪元》(刊物)  Positioning for a New Era(publication)
还本付息*  redemption
还盘  counter order
锅炉室  　  boiler room
隐藏交易额买卖盘  hidden-size order
点子  basis point
储备  reserve
储备基金  reserve fund
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)
渎职行为  misconduct
浏览及挑选  browse and pick
简便指南(自动对盘系统)  Quick Reference Guide(AMS)
职工股(中国内地)  employee share(Mainland China)
职能划分制度 / 职能分管制度  Chinese Wall
《职业退休计划条例》  Occupational Retirement Schemes Ordinance
职权范围  terms of reference
蓝筹股  blue chip
转手纸  transfer deed; transfer form
转仓  roll-over
转配股(中国内地)  individually held state and legal-person share; transfer right share(Mainland China)
转拨  transfer
转让  assignment; transfer
转让人  assignor; transferor
锁仓  locked position
双重上市 / 双边上市  dual listing
双重存档制度；双重呈报规定  　  dual filing
双边净额结算  bilateral netting
双边价  two-way quote
离岸金融中心  offshore financial centre
离岸盈利重组  offshore profit regrouping
离岸基金  offshore fund
离岸调期  offshore swap
离差(统计)  dispersion(statistics)
离场交易  off-floor trading; off-board trading
离场买卖盘  off-floor order
额外按金  additional margin
坏账  bad debt
坏账及呆账拨备/备抵  provision for bad and doubtful debts;
allowance for bad and doubtful debts
缴入股本  paid-up capital; paid-in capital
缴足股本  fully paid-up capital
《2000年证券（保证金融资）（修订）条例》  Securities (Margin Financing) (Amendment) Ordinance 2000
《证券（内幕交易）条例》  Securities (Insider Dealing) Ordinance
《证券（交易商、投资顾问、合伙及代表）规则》  Securities (Dealers, Investment Advisers, Partnerships and Representatives) Rules
《证券（披露权益）具报纪录》  Securities (Disclosure of Interests) Notification History Reports
《证券（披露权益）具报摘要》(刊物)  Securities (Disclosure of Interests) Notification Summaries(publication)
《证券（披露权益）条例》  Securities (Disclosure of Interests) Ordinance
《证券（结算所）条例》  Securities (Clearing Houses) Ordinance
《证券（证券借出）规则》  Securities (Stock Lending) Rules
《证券上市规则》（《香港联合交易所有限公司证券上市规则》）  Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited)
证券化  securitisation
证券及投资管理局(英国)  Securities and Investment Board (SIB)(UK)
证券及衍生工具团体网络  Securities and Derivatives Communication Network (SDNet)
《证券及期货（在证券市场上市 ）规则》  Securities and Futures (Stock Market Listing) Rules
《证券及期货（披露权益－免除 ）规例》  Securities and Futures (Disclosure of Interests - Exclusions) Regulation
《证券及期货（披露权益－证券借贷）规则》  Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
《证券及期货（专业投资者）规则》  Securities and Futures (Professional Investor) Rules
《证券及期货（结算所）条例》  Securities and Futures (Clearing Houses) Ordinance
《证券及期货（认可对手方 ）规则》  Securities and Futures (Recognized Counterparty) Rules
《证券及期货（卖空豁免及证券借出）规则》  Securities and Futures (Short Selling Exemption and Stock Lending) Rules
《证券及期货（转移职能予联交所 ）令》  Securities and Futures (Transfer of Functions - Stock Exchange Company) Order
《证券及期货（稳定价格）规则》  　  Securities and Futures (Price Stabilising) Rules
《证券及期货中介机构业务调查》(证监会)  Securities and Futures Intermediaries Activities Surveys(SFC)
《证券及期货市场改革政策文件》  A Policy Paper on Securities and Futures Market Reform
证券及期货事务上诉委员会  Securities and Futures Appeals Panel (SFAT)
《证券及期货事务上诉委员会（费用）令》  Securities and Futures Appeals Panel (Fee) Order
《证券及期货事务上诉委员会程序规则》  Securities and Futures Appeals Panel Proceedings Rules
证券及期货事务上诉审裁处  Securities and Futures Appeals Tribunal
证券及期货事务监察委员会（证监会）  The Securities and Futures Commission (SFC)
《证券及期货事务监察委员会（费用）规则》  Securities and Futures Commission (Fees) Rules
《证券及期货事务监察委员会（周年报表）规则》  Securities and Futures Commission (Annual Returns) Rules
《证券及期货事务监察委员会（职能移交）令》  Securities and Futures Commission (Transfer of Functions) 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) (Securities) (Amendment) Order
《证券及期货事务监察委员会（征费）规则》  Securities and Futures Commission (Levy) Rules
《证券及期货事务监察委员会（征费）（期货合约）令》  Securities and Futures Commission (Levy) (Futures Contracts) Order
《证券及期货事务监察委员会条例》  Securities and Futures Commission Ordinance
《证券及期货事务监察委员会注册人操守准则》  Code of Conduct for Persons Registered with the Securities and Futures Commission
《证券及期货条例》  Securities and Futures Ordinance
证券代号  stock code
《证券代号名录》  List of Stock Codes
证券市场分析文凭深造课程  Diploma Course in Advanced Securities Market Analysis
证券市场资料研究、培训及监察自动化系统  Securities Market Automated Research, Training & Surveillance System (SMARTS)
《证券市场导报》  Securities Market Herald (publication)
证券市场历史研究计划  Stock Market History Project
证券交易自动报价系统(中国内地)  Securities Trading Automated Quotation System(STAQS)(Mainland China)
证券交易委员会(美国)  Securities and Exchange Commission (SEC) (US)
《证券交易所合并条例》  Stock Exchanges Unification Ordinance
证券交易法(台湾)  Securities and Exchange Act(Taiwan)
证券交易纪录(光碟)  Trade Record (Equity)(CD Rom)
证券合伙商号  dealing partnership
证券批销经纪  jobber
证券抵押品  securities collateral
证券的认可价值  admissible securities value
证券保证金融资  share margin financing
证券保证金融资人  securities margin financier
证券按贷财务提供者  share margin finance provider (SMFP)
证券借出人  securities lender
证券借贷协议书  securities borrowing and lending agreement (SBLA)
证券商  dealer
证券商代表  dealer's representative
证券商协会  Institute of Securities Dealers
证券商董事  dealing director
证券登记公司总会有限公司  Federation of Shares Registrars Limited
证券发售事宜工作小组  Securities Offering Issues sub-group
证券期货市场发展工作小组  Securities and Futures Market Development Working Group
证券期货局(台湾)  Securities and Futures Bureau(Taiwan)
证券汇集转按  margin pooling
证券业培训课程  Securities Training Programme
《证券业检讨委员会报告书》  Report of the Securities Review Committee
证券经纪考试  Securities Brokers Examination
证券经纪业营商环境工作小组  Working Group on the Business Environment of the Stockbroking Industry
证券经纪课程  Securities Brokers Course
证券经销经纪  jobber
证券经销经纪印花税  jobber stamp duty
证券隔分  segregation of securities
证券赔偿基金委员会(证监会)  Securities Compensation Fund Committee(SFC)
《证监快讯》  SFC Alert
《证监会执法月报》  SFC Enforcement Reporter
《证监会强积金产品守则》  SFC Code on MPF Products
证监会双重存档事宜顾问小组  SFC Dual Filing Advisory Group
《关于建立无纸化证券市场的建议的谘询文件》(证监会)  　  Consultation Paper on Proposals for a Scripless Securities Market(SFC)
《关于律师及会计师提供附带投资意见的指引》(证监会)  Guidance Note on Incidental Investment Advice Provided by Solicitors and Accountants(SFC)
《关于注册人在首次公开发售中利用互联网收集证券认购申请的指引》(证监会)  Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering(SFC)
关连人士  connected person
关连人士交易  related party transaction
关连交易  connected transaction
关税及贸易总协定（关贸总协定）  General Agreement on Tariffs and Trade (GATT)
竞价市场  auction market
竞价投标  auction
竞价限价盘  at-auction limit order
竞价盘  at-auction order
筹备董事会  Preparatory Board
议价交易  negotiated transaction
谴责  reprimand; censure
摊销  amortisation
摊薄  dilution
权益列表  entitlement table
权益法(会计)  equity method(accounting)
权益股本  equity capital; equity share capital
权益报表(中央结算系统)  Entitlement Statement(CCASS)
权责发生制*(会计)  accrual basis(accounting)
权衡报告制度  differential reporting
权证  warrant
赎回  redemption
赎回溢价(债券)  call premium(bonds)
变现  realisation
变换交易(期权)  conversion(options)
变价调整  variation adjustment
智能卡  smart card

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