一级市场  primary market
一致行动  acting¹ in concert
一般性授权  general mandate
一般谘询及支援工作小组  General Advisory² and Support Working Team
一般豁免  general waiver; blanket waiver
一般权证  plain vanilla³ warrant
一线多机  multiple-workstations
一篮子指数买卖盘  index basket order
一篮子货币  basket of currencies; currency basket
一篮子备兑证  basket warrant
一篮子权证  basket warrant
九龙证券交易所  The Kowloon Stock Exchange
二手市场  used market
二级市场  secondary market; after market / aftermarket
「二项式」期权定价模式  binomial option pricing model
「二态」期权模式  "two-state" option valuation model
二线股  second liner; second line stock
二类股票(台湾)  TIGER Board(Taiwan)
人均国内生产总值  per capita gross domestic product
人均国民生产总值  per capita gross national product
入市指令  order instruction
入市价  entry price
《十载挑战与发展》(刊物)  A Decade of Challenge & Development(publication)
划
三角债  triangular⁴ debt
三个月拆息利率期货  Serial⁵ Month Hibor Futures⁶
三线股  third liner
上下限协议  ceiling-floor agreement
上市  listing; flotation
上市(复核)委员会  Listing (Review) Committee
上市上诉委员会  Listing Appeals Committee
《上市公司董事指引》  Guide for Directors of Listed Companies
《上市公司董事进行证券交易的标准守则》  Model Code for Securities Transactions by Directors of Listed Issuers
上市公司资料库  Primary Market Database
上市事宜谅解备忘录补篇(附件一)  First Supplement to the Addendum⁷ to Memorandum⁸ of Understanding Governing Listing Matters
上市事宜谅解备忘录补篇(重订版)  Amended⁹ and Restated Addendum to Memorandum of Understanding Governing Listing Matters
上市协议  Listing Agreement
上市委员会  Listing Committee
上市法团  listed corporation
上市后的收购活动  post-listing acquisition
上市规则  listing rules
上市开放式基金  listed open-end fund (LOF)
上市发行人  listed issuer
上市证券  listed securities
上市证券变动之月报  Monthly Return on Movement of Listed Securities
上海市期货同业公会  Shanghai Municipal Futures Industry Association
上海联合产权交易所  Shanghai United Assets and Equity¹⁰ Exchange
上海证券中央登记结算公司  Shanghai Securities Central Clearing and Registration¹¹ Corporation
上海证券交易所  Shanghai Stock Exchange
上诉委员会(证监会)  Appeals Panel(SFC)
下一交收日到期/逾期数额报告(中央结算系统)  Next Settlement Day Due / Overdue¹² Position Report(CCASS)
下载  download
口头竞价 / 口头唱价*(= 公开喊价)  auction(= open outcry)
大手交易  block trade
大手交易机制；大手交易设施  Block Trade Facility; Block Trading Facility (BTF)
大利市  Teletext
大利市版页  Teletext page
大利市资讯服务  Teletext Information Service
大利市网络供应商费用  Teletext carrier charge
大利市影像广播服务  Teletext video broadcast service
大批登记服务  bulk registration service
大宗交易*  block trade
大股东  substantial shareholder¹³; major shareholder
大型股  large cap stock
大量户口转移指示  Mass Account Transfer Instruction (Mass ATI)
大量开盘  mass quote
大额未平仓合约  large open position
大额股票(中央结算系统)  jumbo certificate(CCASS)
大额持仓汇报协议  Large Exposure Report Agreement
大额买卖盘  block order
小型恒生指数期货合约  Mini-HSI Futures
小型恒生指数期权合约  Mini-HSI Options
已交收数额报告(中央结算系统)  Settled Position Report(CCASS)
已停业公司  dormant¹⁴ company
已终止经营之业务  discontinued operations
已发行股份/股本/股票  issued shares; outstanding stock
「已划分的买卖」制度(中央结算系统)  isolated¹⁵ trades system(CCASS)
「不公平损害」补救  "unfair prejudice" remedy
不公平竞争  uneven¹⁶ playing field(cf level playing field)
不可抗力  force majeure
不定额供款  variable contribution
不活跃公司  dormant company
不派息欧式认沽期权  non-dividend paying European put option
不派息欧式认购期权  non-dividend paying European call option
不限量发行  tap issue
不记名式国库券(中国内地)  Bearer Treasury(Mainland China)
不记名证券  bearer securities
不停电电源装置；不间断电源装置  uninterrupted power supply (ups)
不动盘  inactive order
不当行为  misconduct
中小企业板块(深圳证券交易所)  SME Board(Shenzhen Stock Exchange)
中介人财务规管制度工作小组  Working Group on Review of Financial Regulatory Framework fro Intermediaries
中介控股公司  intermediate holding company
中介现象  intermediation
中介机构/团体  intermediary
中午资料传送服务  Mid-day Data File Transfer Service
中文资讯系统  Chinese News System
中外合资企业  Sino-foreign equity joint¹⁷ venture
中央代理人  central nominee
中央交易纪录  central transaction log
中央存管处  central depository
中央股份借贷系统  centralised borrowing and lending system
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 Government Securities Depository Trust & Clearing Co. Ltd. (CDC)
中央控制工作站  controller workstation
中央结算及交收系统 (中央结算系统)  Central Clearing and Settlement System (CCASS)
《中央结算系统一般规则》  General Rules of CCASS
中央结算系统互联网系统  CCASS Internet System
中央结算系统保证基金  CCASS Guarantee Fund
中央结算系统强制证券借贷服务  Compulsory Stock Borrowing and Lending Service in CCASS
中央结算系统参与者及指定银行名录  CCASS Participant & Designated Bank List
中央结算系统参与者保荐户口  CCASS Participant Sponsored Account
中央结算系统登记册  CCASS Register
《中央结算系统运作程序规则》  CCASS Operational Procedures
中央结算系统证券存管处  CCASS Depository
中央结算对手  central counterparty (CCP)
中央买卖盘纪录  central order book
中央证券交收系统(欧洲)  Centrale de Livraison de Valeurs Mobilieres (CEDEL)(Europe)
中央证券存管处国际会议  Conference of Central Securities Depositories (CCSD)
中位价期权  middle-priced option
中型股  mid-cap stock
中国人民银行  People's Bank of China (PBOC)
中国内地发行人  PRC issuer
《中国公司在香港上市指南》(刊物)  Listing Chinese Companies in Hong Kong(publication)
中国存托凭证*  China depository receipt (CDR)
中国投资发展促进会  China Association for the Promotion of Investment (CAPI)
中国保险监督管理委员会（中国保监会）  China Insurance Regulatory Commission (CIRC)
中国国际经济贸易仲裁委员会  China International Economic and Trade Arbitration Commission
中国注册会计师协会  Chinese Institute of Certified Public Accountants (CICPA)
中国会计学会  Accounting Society of China (ASC)
中国证券市场网页  China Stock Markets Web
中国预托证券  China depository receipt (CDR)
中国银行业监督管理委员会（中国银监会）  China Banking Regulatory Commission (CBRC)
中国证券登记结算有限责任公司（中国结算公司）  China Securities Depository & Clearing Corporation Limited (CSDCC)
中国证券业协会  The Securities Association of China (SAC)
中国证券业协会基金公会  The Chinese Association of Securities Investment Funds(CASIF)
中国证券业协会证券分析师专业委员会  Securities Analysts Association of China (SAAC)
中国证券监督管理委员会（中国证监会）  China Securities Regulatory Commission (CSRC)
《中国证券监督管理委员会公告》  China Securities Regulatory Commission Official Bulletin (publication)
中期报告  interim report
中华民国证券柜台买卖中心  GreTai Securities Market (GTSM)
中间行使价  middle exercise price
互保基金  Fidelity Fund
互动语音电话系统  Interactive Voice Response System (IVRS)
互惠基金  mutual fund
互联网  Internet
介绍形式上市  listing by introduction
介绍代理人  introducing agent
内在值  intrinsic value
《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
《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》  Mainland/Hong Kong Closer Economic Partnership Arrangement - Arrangements relating to Qualifications of Securities and Futures Industry Practitioners
内部核数师  internal auditor
内部监控  internal control
《内部监控规例》  Internal Control Regulations
内部稽核  internal audit
内部储备  inner reserve
内部谴责  internal censure
内资股(中国内地)  domestic share(Mainland China)
内幕交易  insider dealing
内幕交易者  insider dealer
内幕交易审裁处  Insider Dealing Tribunal
内联网  intranet
《公司(上市公司的财务摘要报告)规例》  Companies (Summary Financial Reports of Listed Companies) Regulation
公司户口  house account; principal account
公司交易板(英国)  Company Bulletin Board(UK)
公司交易所参与者  Corporate Exchange Participant
《公司收购及合并守则》  Code on Takeovers and Mergers
公司投资者户口  Corporate Investor Account
公司治理*  corporate governance
公司法改革常务委员会  Standing Committee on Company Law Reform
公司仓  house position; firm position
公司专用户口  proprietary account
公司通讯  corporate communication
公司通讯工作小组  Working Group on Corporate Communications
公司注册处  Companies Registry
公司注册处处长  Registrar of Companies
公司注册证书  certificate of incorporation
公司董事学会(英国)  Institute of Directors (IoD)(UK)
公司盘  firm order
《公司购回本身股份守则》  Code on Share Repurchases
公布系统  public address system
公平市值  fair market value
公平竞争  level playing field(cf uneven playing field)
公正交易  arm' s length transaction
公告板  bulletin board
公众利益  public interest
公众利益董事  Public Interest Director
公众持股市值  public float capitalisation
公众持股量  public float; free float
公开叫价交易  open outcry trading
公开市场活动  open market operations
公开作价  call-over
公开招股  offer to the public
公开售股  open offer
公开密码匙基础建设  Public Key Infrastructure (PKI)
公开喊价/叫价(= 口头竞价)  open outcry(= auction)
公开发售  offer for sale; open offer
公开认购  offer for subscription
公开谴责  public censure
公开权益  disclosure of interests
《公认会计原则》  Generally Accepted Accounting Principles(GAAP)
公积金计划  Provident Fund Scheme
分包销商  sub-underwriter
分列登记册  Split Register
分行证明书  branch certificate
分拆 / 分拆上市  spin-off
分派  distribution
分销  distribution
分类指数  sub-index
分类账  sub-ledger
午市  afternoon session
反向可转换产品  reverse convertibles
反收购  reverse takeover
反收购文件  defence document
反通货膨胀  disinflation
反驳交易  rejected sales
反弹  rally
反馈测试模式  beta test mode
太平洋区资本市场研究中心  Pacific-Basin Capital Markets Research Center
太平洋经济合作会议  Pacific Economic Cooperation Council (PECC)
太平洋证券交易所  Pacific Stock Exchange (PSE)
少数股东  minority shareholder
少数股东权益  minority interest
巴塞尔协定  Basel Concordat
巴塞尔协议  Basel Agreement
巴塞尔银行监管委员会(巴塞尔委员会)  Basel Committee on Banking Supervision (Basel Committee)
引伸波幅  implied volatility
户口结单  statement of account
户口结余月结单(中央结算系统)  Monthly Balance Statement(CCASS)
户口转移指示  Account Transfer Instruction (ATI)
户口转移指示整批档案传送  ATI Batch File Transfer
手  board lot; round lot
支付系统小组委员会(金管局)  Committee of Payment System(HKMA)
文件风险  documentation risk
日本中央银行  Bank of Japan
日本公社债研究所  Japan Bond Research Institute (JBRI)
日经平均指数  Nikkei Stock Average
日转期汇  Rolling Forex
欠款  arrears
止蚀限价盘  stop limit order
止蚀盘  stop order; stop-loss order
牛市  bull market
主承销商*  lead underwriter
主板  main board
主要主管(创业板)  principal supervisor(GEM)
主要交易  major transaction
主要股东  major shareholder; substantial shareholder
主要保荐人  primary sponsor
主要经办人  lead manager
主要经济指标  leading economic indicator
主权风险  sovereign risk
世界银行  World Bank
仔细审查/审核  due diligence
付运中货品  goods-in-transit
代收股息/债券利息服务费  dividend and debt securities interest collection service fee
代履行权责服务费  corporate actions service fee
代客买卖  agency trade
代客买卖户口  agency account
代表委任表格  proxy form
代理人  agent
代理人户口  nominee account
代理户口  agency account
代价  consideration
代价股份  consideration share
代价发行  consideration issue
代办股份转让系统(中国内地)  Agency Share Transfer System (Mainland China)
以（马克）计值 / 为计价货币 / 为单位  denominated in (DM)
以先旧后新方式配售  placing and top-up; top up placing
以披露为本  disclosure-based
以物易物的虚晃交易  banner barter transaction
以股代息  dividend in specie; scrip dividend
以股换股  share exchange
以信息披露为重  disclosure-based
以按金形式缴付的期权金  margined premium
以现金折算的息股证  cash settled ELI
以责务变更的方式进行净额结算  netting by novation
以最佳价格 / 条件执行交易的原则  principle of best execution
以报价 / 开盘带动  quote-driven
以买卖盘带动  order-driven
以监管机构评审为本  merit-based
出市代表 / 出市员  floor trader; authorised clerk
加权指数  Weighted Index(Taiwan Stock Exchange)
加速折旧  accelerated depreciation
包销  underwrite
包销承担净值  net underwriting commitment
包销商  underwriter
包销银团  underwriting syndicate
北京产权交易所  China Beijing Equity Exchange
另项投资市场(英国)  Alternative Investment Market (AIM)(UK)
另选登记服务  optional registration service
另类投资  alternative investment
「只限长仓」期权经纪  Long Only Brokers for Options (LOBO)

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