证券行业英语词汇

股票与证券行业英语词汇share,equity,stock　　　股票、股权bond,debenture,debts　　债券negotiableshare　　　　　可流通股份convertiblebond　　　　　可转换债券treasury/governmentbond　国库券/政府债券corporatebond　　　　　　企业债券closed-endsecuritiesinvestmentfund封闭式证券投资基金open-endsecuritiesinvestmentfund开放式证券投资基金fundmanager　　　　　　　基金经理/管理公司fundcustodianbank　　　基金托管银行marketcapitalization　　市值p/eratio　　　　　　　　市盈率(price/earning)mark-to-market　　　　　　逐日盯市paymentversusdelivery　银券交付clearingandsettlement　清算/结算commodity/financialderivatives商品/金融衍生产品put/calloption　　　　看跌/看涨期权margins,collateral　　　保证金rightsissue/offering　　配股bonusshare　　　　　　　红股dividend　　　　　　　　　红利/股息ADR　　美国存托凭证/存股证(AmericanDepositoryReceipt)GDR　　全球存托凭证/存股证(GlobalDepositoryReceipt)retail/privateinvestor　个人投资者/散户institutionalinvestor　　机构投资者broker/dealer　　　　　　券商proprietarytrading　　　自营insidertrading/dealing　内幕交易marketmanipulation　　　市场操纵prospectus　　　　　　　　招股说明书IPO　　　　　　新股/初始公开发行(InitialPublicOffering)mergerandacquisition　　收购兼并AllOrdinariesIndex（澳大利亚）股市指数Amex(AmericanStockExchange)美国股票交易所amortize摊提，分期偿还债务annuity年金享受权askingprice卖主的开叫价assess对（财产等）进行估价，确定（款项）的金额back拖欠的badloan呆账，坏账bailout帮助……摆脱困境balloon（分期付款中）最后数目特大的一笔barometer晴雨表，[喻]标记，指标basispoint基点（一个百分点的百分之一）bearmarkets熊市blue-chip（股票等）热门的，（在同行中）最赚钱的forexforeignexchangebond债券，公债bourse交易所，证券交易所bullmarkets牛市bullish牛市的bunji-change快速的大幅度变化CAC-40Index（法国）股市指数CD(certificate-of-deposit)大额存款单ChicagoMercantileExchange芝加哥商业交易所ConsumerPriceIndex消费者价格指数contagion蔓延correction调整couponrate券根利率CTA(CommoditiesTradingAdvisor)农矿产品交易顾问Currencyboard货币委员会DAXindex（法兰克福）德国股市指数deadloan死帐delist从上市证券表中除名derivatives衍生金融商品（由利率或债券、外汇或汇率以及股票或股价指数等现货市场衍生出来，主要有期货futures、期权optiontrading与掉期swap三种类型，品种多达100余种。）discount贴现discountrate贴现率DJIADow-JonesIndustrialAverage道"琼斯公用事业股价平均数。通常简称Dow（道），是30个主要工业公司股票价格的组合。Dow-JonesCompositeAverageof65representativestocks65种有代表性的股票的道"琼斯公用事业股价平均数Dow-JonesTranspositionsAverage道"琼斯运输业股价平均数Dow-JonesUtilitiesAverage道"琼斯公用事业股价平均数down付现款equity（押款金额以外的）财产价值，证券，股票escrow由第三者保存、等条件完成后即交受让人的契据（或证书等）facevalue面值FederalAgencyIssues联邦机构债券fluctuation起伏fluctuate起伏fraud欺骗，欺诈fraudulence欺骗（欺诈）行为fraudulent欺诈的FTSIFinancialTimes100ShareIndex（英国）金融时报100种股票指数good有效的HangSengIndex（香港）恒生指数holdings占有的财产，股票IbbotsonSmallCompanyIndexIbbotsonCompanyIndex中包括近2700家公司：即在纽约股市上交易的最后的20%股票imburse赔偿initialshare原始股IRAIndividualRetirementAccount个人退休账号junkbond假债券junkbonds垃圾债券lien扣押权，留置权liquidate清算，破产list（交易所）上市证券；把（证券）列人上市证券表longposition多头margin差额，保险金mutualfund公共基金NASD=NationalAssociationofSecuritiesDealers全美证券交易者协会NASDAQ(NationalAssociationofSecuritiesDealersAutomatedQuotations)纳斯达克（全美证券交易者协会自动化摘要）NAV(NetAssetValue)净资产值newissue(IPOInitialPublicOffering)新上市股票NikkeiStockAverage日经股票平均指数nosedive（价格等）暴跌NYSE’Volume纽约股票交易量NYSE’scompositeindex纽约股票交易综合指数NYSE(NewYorkStockExchange)纽约股票交易所(也称或BigBoard)obligation契约，债券outstanding拖欠的parvalue票面价值plummet骤然跌落policy保险单pool集合基金portfolio有价证券preferredstock优先股票premium奖金，佣金，担保费premium溢价proceeds收入，收益rally（股票价格等）止跌，上扬rebound反弹recoup偿还，补偿recovery恢复red-chipshare红筹股refund偿还rescuepackage一揽子救援resilience回弹，复原力resilient有回弹力的，恢复活力的risk保险项目run挤提存款,挤兑,争购Russell2000Russell2000种小资本股票S&P500(Standard&Poor’s500CompositeStockPriceIndex)普尔股价指数SEC(FederalSecuritiesandExchangeCommission)联邦证券与交易委员会securities证券，债券shares（英）股票=（美）stockshoreup支撑slash（大幅度）削减（工资等）slump暴跌，不景气SMIindex（苏黎士市）瑞士股票指数solvent有偿还能力的speculate投机speculation投机speculator投机者T-Bill(TreasuryBill)美国短期国债（每星期发行一次）T-bond(TreasuryBond)美国长期国债（期限为20年或30年）T-note(TreasuryNote)美国中期国债（期限为2年到10年）Technology-heavyNasdaq以技术为主的NasdaqTechnology-ladenNasdaq以技术为主的Nasdaqterm年限tech-heavyNASDAQ以技术股票为主的NASDAQtechnology-richstocks技术股票technology-weightedindex(NASDAQ)反映技术股票的指数(NASDAQ)----------------套利交易Arbitrage效率前缘EfficientFrontier高收益HighYield基金公会HKIFA基金经理FundManager基金销售文件Prospectus基准Benchmarks被动式管理PassiveManagement离岸基金OffshoreFund最大跌幅MaximumDrawdown揣测最佳时机MarketTiming期货管理型基金ManagedFutures短仓/淡仓ShortPosition跌势差DownsideDeviation雇主供款EmployerContribution雇员供款EmployeeContribution新高价High-On-HighBasis新兴市场EmergingMarkets新兴市场基金EmergingMarketsFund管理费ManagemantFee增长和收入基金GrowthandIncomeFund严格评估DueDiligence买入价BidPrice买卖差价Bid-offerSpread传统基金TraditionalFund债券基金BondFund单一对冲基金SingleStrategyHedgeFund单位Unit单位信托基金UnitTrust卖出价OfferPrice奖励费IncentiveFees对冲Hedge对冲基金HedgeFund对冲基金的基金FundOfHedgeFunds(FoHFs)对冲基金指引HedgeFundsGuidelines开放式基金Open-endFund强制性供款MandatoryContributions强积金MandatoryProvidentFundScheme-MPF总回报TotalReturn标准差StandardDeviation毕苏期权定价模式Black-Scholes环球宏观MacroFunds环球基金GlobalFund绝对回报AbsoluteReturn认可基金AuthorisedFunds认沽期权PutOption/Put认股权证基金WarrantFund认购期权CallOption/Call证券借出StockLending贝他系数Beta资产分配AssetAllocation资产净值NetAssetvalue-NAV赎回Redemption赎回通知期RedemptionNoticePeriod赎回费RedemptionFee赎回费/买入费RedemptionPrice/BidPrice进取型的投资管理AggressiveGrowth进取型增长基金AggressiveGrowthFund长/短仓持股Long/ShortEquity长仓/好仓/持货LongPosition预设回报率HurdleRateh主动式管理ActiveManagementCalmar比率CalmarRatioSharpe比率SharpeRatioSortino比率SortinoRatio入息基金IncomeFund子基金BabyFunds/UnderlyingFunds已调整风险回报Risk-adjustedReturn互惠基金MutualFund公积金计划PensionPlan分散投资Diversification主要经纪PrimeBroker可换股债券套戥ConvertibleBondArbitrage另类投资AlternativeInvestment市场中立MarketNeutral平均成本效益Dollor-costAveraging再投资Reinvestment合并套戥MergerArbitrage地区基金RegionalFund如计划为伞子基金UmbrellaFund有限责任LimitedLiability自愿性供款VoluntaryContributions行业/主题基金Sector/ThemeFund价值型管理value均衡基金BalancedFunds投资年期TimeHorizon投资组合Portfolio投资顾问InvestmentAdviser杠杆Leverage/Gearing杠杆借贷比率LeverageRatio每日估值DailyValuation每年回报AnnualReturn供款Contribution受压/濒临破产的证券DistressedSecurities定息工具套戥FixedIncomeArbitrage定息基金Fixed-incomeFund承受风险能力RiskTolerance注册地Domicile沽空ShortSelling波幅Volatility股份Share股息分派DividenedDistributions股票基金EquityFund表现费PerformanceFees阿尔法系数Alpha非认可基金UnauthorisedFund信托人Trustee保本对冲基金CapitalGuaranteedHedgeFunds封闭式基金Closed-endFund界定利益计划DefinedBenefitPlan界定供款计划DefinedContributionPlan相关系数Correlation重大事件主导的投资EventDriven/SpecialSituations首次认购费Front-endFeebigmacs,big/large-capstock,mega-issue大盘股offering,list上市bourse证交所corporatechampion龙头企业ShanghaiExchange上海证交所pensionfund养老基金mutualfund共同基金hedgemutualfund对冲式共同基金share股票valuation股价underwriter保险商governmentbond政府债券savingaccount储蓄帐户equitymarket股市shareholder股东delist摘牌mongey-loser亏损企业inventory存货tradedcompany,tradingenterprise上市公司stakeholder利益相关者transparency透明度Msnbc:Microsoftnationalbroadcast微软全国广播公司marketfundamentalist市场经济基本规则damage-contralmachinery安全顾问efficientmarket有效市场intellectualproperty知识产权opportunisticpractice投机行为WorldCom世通公司bribery行贿entrepreneur企业家cookthebook做假帐regulatorysystem监管体系audit审计accountingfirm会计事务所GreatDepression大萧条portfolio投资组合money-market短期资本市场capitual-market长期资本市场volatility波动diversification多元化commodity期货realestate房地产option期权calloption看涨期权putoption看跌期权merger并购arbitrage套利Securities&ExchangeCommission〈美〉证券交易委员会dollarstandard美元本位制flight贬值budget预算deficit赤字baddebt坏帐output产值macroeconomic宏观经济fiscalstimulus财政刺激astoreofvalue保值transactioncurrency结算货币forwardexchange期货交易interventioncurrency干预货币Treasurybond财政部公债currnt-account经常项目pickupinrice物价上涨FederalReserve美联储inflation通货膨胀deflation通货紧缩tightercredit紧缩信贷monetarypolicy货币政策awashinexcesscapacity生产力过剩foreighexchange外汇spottransaction即期交易forwardtransaction远期交易optionforwardtransaction择期交易swaptransaction调期交易quote报价settlmentanddelivery交割buyingrate买入价sellingrate卖出价spread差幅contractatpar平价premium升水discount贴水directquoationmethod直接报价法indirectquoationmethod间接报价法dividend股息domesticcurrency本币floatingrate浮动利率parentcompany母公司creditswap互惠贷款venturecapital风险资本virtualvalue虚拟价值physicalgood物质产品abstractgood抽象产品Patent&TrademarkOffice专利与商标局bookvalue帐面价值physicalcapital实际资本IPO:initialpublicoffering新股首发jobmachine就业市场welfarecapitalism福利资本主义collectivemarketcap市场资本总值golbalcorporation跨国公司transnationalstatus跨国优势transferprice转让价格GeneralAccountingOffice〈美〉会计总会consolidation兼并leveraged杠杆acquiringcompany收购公司badloan呆帐chartofcashflow现金流量表clearly-establishedownership产权清晰debttoequity债转股diversityofequities股权多元化economyofscale规模经济emergingeconomies新兴经济exchange-rateregime汇率机制fundandfinancing筹资融资globalfinancialarchitecture全球金融体系globalintegration,globality全球一体化，全球化gopublic上市growthspurt（经济的）急剧增长haveone's"twocommas"百万富翁hedgeagainst套期保值housingmortgage住房按揭holdings控股，所持股份holdingcompany控股公司initialofferings原始股initialpublicofferings首次公募innovativebusiness创新企业intellectualcapital智力资本inter-banklending拆借internetcustomer网上客户investmentpayoffperiod投资回收期joint-stock参股mallrat爱逛商店的年轻人meansofproduction生产要素(the)medicalcostsocialpoolformajordiseases大病医疗费用社会统筹mergersandacquisitions并购mobile-phonebanking移动电话银行业moods人气netpotato网虫non-storeseling直销offering新股online-banking网上银行业online-finance在线金融onlineclient（银行的）网上客户paperprofit帐面收益physicalassets有形资产projectfundsystem项目资本金制度pyramidsale传销recapitalize资产重组regionalcorrencyblocks地区货币集团regulate调控selloff变现share(stock)option期权，股票认购权smartcard智能卡slashprices杀价sparecapacity闲置的生产能力stronggrowth强劲的增长势头switchtrade转手贸易take…public上市taptheidleassets盘活存量资产transaction（银行的）交易transferpaymentfromtheexchequer财政转移支付venture-capital风险资本virtualbank虚拟银行wiretransfer电子转帐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accredited隶属adjustedliabilities经调整负债advertisement广告advisingoncorporatefinance就机构融资提供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appr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计算差额marketcapitalization市场资本值marketcharge市场押记marketcollateral市场抵押品marketcontract市场合约marketinformation市场消息marketmisconduct市场失当行为MarketMisconductTribunal市场失当行为审裁处marketvalue市值materialtime关键时间member成员memorandum章程大纲Mini-HangSengIndexFuturesContract小型恒生指数期货合约Mini-HangSengIndexOptionsContract小型恒生指数期权合约minor未成年minoroffence轻微罪行minoritycontroller次要控制人misconduct失当行为misfeasance不当行为MonetaryAuthority金融管理专员MonetaryAuthorityguideline《金融管理专员指引》MonetaryAuthority-appointedMarketMaker金融管理专员委任的庄家moneylaunderingactivities洗钱活动moneylender放债人multilateralagency多边机构mutualfund互惠基金N-Onegligentmisrepresentation疏忽的失实陈述netequity权益净额netposition净持仓量nettangibleassets有形资产净值netunderwritingcommitment包销承担净额newfuturescontract新期货合约non-collateralizedwarrants非抵押权证non-executivedirector非执行董事noteissuanceandrevolvingunderwritingfacility票据的发行及循环式包销融通notifiableinterest须具报权益notifiablepercentagelevel须具报百分率水平notionalprincipalamount名义本金额number数目offer要约offerdocument要约文件offerprice要约价offereecompany要约标的公司offeror要约人off-exchangetradedderivativecontracts场外买卖衍生工具合约off-exchangetransaction场外交易officer高级人员OfficialReceiver破产管理署署长OfficialTrustee法定受托人off-marketsharerepurchase场外股份购回off-marketsharerepurchasecircular场外股份购回通告off-markettransaction场外交易Ombudsman申诉专员omnibusaccount客户汇集综合账户on-exchangetransaction场内交易optionscontract期权合约order命令ordinarymember普通成员othercollateral其它抵押品out-of-the-moneyamount价外值overseascompany海外公司overseasstockmarket海外证券市场panelmember上诉委员parties各方party当事一方percentagefigure百分率数字percentagelevel百分率水平performance执行periodofinsurance保险期permanentidentitycard永久性居民身分证personunderinvestigation受调查人physicallysettledequityderivatives实物结算股本衍生工具pilotprogramme试验计划pilotprogrammemarketmaker试验计划庄家pilotprogrammesecurities试验计划证券portfolio投资组合possession管有prescribedcountry订明国家prescribedevent订明事件prescribedfee订明费用prescribedgain订明收益prescribedlimit订明上限prescribedmanner订明方式prescribedpurpose订明目的prescribedrequirement订明规定PresentingOfficer提控官primarystabilizingaction基本稳定价格行动principal主事人PrivacyCommissionerforPersonalData私隐专员proceedings研讯程序professionalaccountant专业会计师professionalinvestor专业投资者prohibitedperson受禁制人士property财产prospectus招股章程public公众；大众publicannouncement公开宣告purchase买；购买qualifiedcorporation合资格法团qualifiedlender合资格借出人qualifiedoverseasschem合资格海外计划qualifiedshares合资格股份qualifyingclient合资格客户qualifyingcreditrating合资格信贷评级qualifyingdebtsecurities合资格债务证券rankingliabilities认可负债recipient接收人recklessmisrepresentation罔顾实情的失实陈述recognizedcertificate认可证书recognizedcertificationauthority认可核证机关recognizedclearinghouse认可结算所recognizedcounterparty认可对手方recognizedexchangecompany认可交易所recognizedexchangecontroller认可控制人recognizedfuturesmarket认可期货市场recognizedinvestorcompensationcompany认可投资者赔偿公司recognizedoccupationalretirementscheme认可职业退休计划recognizedstockmarket认可证券市场record纪录redeemableshares可赎回股份registerofcompanies公司登记册registerofdirectors‘andchiefexecutives’interestsandshortpositions董事及最高行政人员权益及淡仓登记册registerofinterestsinsharesandshortpositions股份权益及淡仓登记册registered注册registeredcompany注册公司registeredinstitution注册机构RegistrarofCompanies公司注册处处长registration注册regulatedactivity受规管活动regulatedfunction受规管职能regulatedinvestmentagreement受规管投资协议regulatedperson受规管人士regulations规例regulatorybody规管机构relatedassets有连系资产relevantagreement有关协议relevantauthority有关当局；监管当局relevantauthorizedautomatedtradingservices有关认可自动化交易服务relevantcommunication有关通讯relevantcondition有关条件relevantcontract有关合约relevantcontravention违例事件relevantcorporation相关法团relevantdate有关日期relevantevent有关事件relevantexchangecompany有关交易所公司relevantinformation有关消息relevantmarket有关市场relevantoffer有关要约relevantoffice-holder有关人员relevantoverseasmarket有关境外市场relevantperiod有关期间relevantproperty有关财产relevantprovisions有关条文relevantrecognizedexchangecontroller相关认可控制人relevantrecognizedmarket有关认可市场relevantsecurities有关证券relevantsharecapital有关股本relevantshares有关股份relevanttime有关时间remittance转付remuneration报酬repealedOrdinance已废除条例repealedSecuritiesRules已废除的《证券规则》report报告reportablematter须报告事项reportableposition须申报的持仓量reportingcurrency申报货币reportingday申报日reportingperiod申报期representation陈述representative代表repurchasetransaction回购交易requiredliquidcapital规定速动资金requiredliquidcapitaldeficit规定速动资金短欠数额respondent答辩人responsibleofficer负责人员review复核rightsissue供股RiskManagementCommittee风险管理委员会rollingbalancecashclient滚存结余现金客户rules规章ruling裁定