C
CAPI China Association for the Promotion of Investment
CASIF Chinese Association of Securities Investment Funds, The
CBO Collateralised Bond Obligation
CBOE Chicago Board Options Exchange
CBOT Chicago Board of Trade
CBRC China Banking Regulatory Commission
CCASS Central Clearing and Settlement System
CCP Central Counterparty
CCSD Conference of Central Securities Depositories
CDC China Governmnet Securities Depository Trust & Clearing Co. Ltd.
CDR China depository receipt
CEDEL Centrale de Livraison de Valeurs Mobilieres【Europe】
CEPA Closer Economic Partnership Arrangement
CFA Corporate Finance Association
CFTC Commodity Futures Trading Commission【US】
CGT capital gains tax
CHATS Clearing House Automated Transfer System
CHESS see Clearing House Electronic Subregister System【Australia】
CHIS see Computershare Hong Kong Investor Services Limited
CICPA see Chinese Institute of Certified Public Accountants
CIMA see Chartered Institute of Management Accountants
CIRC see China Insurance Regulatory Commission
CIS see collective investment schemes
CLO see Collateralised Loan Obligation
CME see Chicago Mercantile Exchange
CMU see Central Moneymarkets Unit【HKMA】
CNS see continuous net settlement
COD see cash on delivery
COP see Calculated Opening Price
CPI see Capital Protected Instrument
CPT see Continuous Professional Training
CSDCC see China Securities Depository and Clearing Corporation Limited
CSRC see China Securities Regulatory Commission
cabinet bid 微值入價;微值交易
cabinet trade 微值交易
Cadbury Committee【UK】 凱伯里委員會【英國】
Cadbury Report【UK】 凱伯里報告書【英國】
Calculated Opening Price (COP) 擬定開市價格
calendar spread【options】 跨期買賣【期權(quán)】
call market 短期同業(yè)拆放市場
call option 認(rèn)購期權(quán)
call premium【bonds】 贖回溢價【債券】
call spread derivative warrant 跨價衍生權(quán)證
call warrant 認(rèn)購權(quán)證;回購權(quán)證
call writer 認(rèn)購期權(quán)沽出者
call-over 公開作價
cancelled share 注銷股份
candlestick chart 陰陽燭圖;燭柱圖
capital account 資本賬;資本項目*
capital adequacy 資本充裕程度
capital adequacy ratio 資本充裕/充足比率
capital adjustment 資本調(diào)整
capital appreciation 資本增值
capital expenditure 資本支出
capital formation 資本籌集;集資
capital gain 資本增值;資本增益
capital gains tax (CGT) 資本增值稅;資本增益稅
capital loss 資本虧損
capital market 資本市場
capital plus warrant 資本增值權(quán)證
capital preservation product 保本產(chǎn)品
Capital Protected Instrument (CPI) 保本證
capital reserve 資本儲備
capital value 資本值
capitalisation 資本化;市值
capitalisation issue 資本化發(fā)行;資金股本化
capitalisation of interest 利息資本化
carried forward【accounting】 結(jié)轉(zhuǎn)【會計】
cash alternative 現(xiàn)金選擇
cash client 現(xiàn)金客戶
cash commission rebate;
cash rebate 現(xiàn)金回傭
cash company 現(xiàn)金資產(chǎn)公司
cash flow 現(xiàn)金流向;現(xiàn)金周轉(zhuǎn)
cash flow statement 現(xiàn)金流動表
cash market 現(xiàn)貨市場
Cash Market Consultative Panel 現(xiàn)貨市場咨詢小組
cash marks 現(xiàn)金差額繳款
cash on delivery (COD) 貨銀對付;現(xiàn)金交收
cash prepayment service 款項預(yù)繳服務(wù)
cash price 現(xiàn)貨價
cash settled ELI 以現(xiàn)金折算的息股證
cash settlement 現(xiàn)金交收
"Caveat Emptor" (let the buyer beware) 「買者自負(fù)」原則
CCASS/3 新一代中央結(jié)算系統(tǒng)
CCASS Depository 中央結(jié)算系統(tǒng)證券存管處
CCASS Guarantee Fund 中央結(jié)算系統(tǒng)保證基金
CCASS Internet System 中央結(jié)算系統(tǒng)互聯(lián)網(wǎng)系統(tǒng)
CCASS Operational Procedures 《中央結(jié)算系統(tǒng)運作程序規(guī)則》
CCASS Participant & Designated Bank List 《中央結(jié)算系統(tǒng)參與者及指定銀行名錄》
CCASS Phone System 「結(jié)算通」電話系統(tǒng)
"cease and desist" order 「終止及停止」令
ceiling-floor agreement 上下限協(xié)議
censure 譴責(zé);指責(zé)
Central Clearing and Settlement System (CCASS) 中央結(jié)算及交收系統(tǒng)(中央結(jié)算系統(tǒng))
central counterparty (CCP) 中央結(jié)算對手
central depository 中央存管處
Central Moneymarkets Unit (CMU)【HKMA】 債務(wù)工具中央結(jié)算系統(tǒng)【金管局】
central nominee 中央代理人
central order book 中央買賣盤紀(jì)錄
central transaction log 中央交易紀(jì)錄
Centrale de Livraison de Valeurs Mobilieres (CEDEL)【Europe】 中央證券交收系統(tǒng)【歐洲】
centralised borrowing and lending system 中央股份借貸系統(tǒng)
certificate of incorporation 公司注冊證書
certificate replacement service 補發(fā)證書服務(wù)
Certificate Treasury【Mainland China】 憑證式國庫券【中國內(nèi)地】
chain principle 連鎖關(guān)系原則
Chamber of Hong Kong Listed Companies 香港上市公司商會
change of domicile 遷冊
change of year end 更改財政年度結(jié)算日期
charge 抵押;押記;收費
charging structure 收費結(jié)構(gòu)
chartered financial analyst 特許財務(wù)分析員
Chartered Institute of Management Accountants (CIMA) 特許管理會計師公會
CHATS Payment Instruction 票據(jù)交換所自動轉(zhuǎn)賬系統(tǒng)付款指示
Chicago Board of Trade (CBOT) 芝加哥期貨交易所
Chicago Board Options Exchange (CBOE) 芝加哥期權(quán)交易所
Chicago Mercantile Exchange (CME) 芝加哥商品交易所
chief dealer 首席交易員
China Association for the Promotion of Investment (CAPI) 中國投資發(fā)展促進會
China Banking Regulatory Commission (CBRC) 中國銀行業(yè)監(jiān)督管理委員會(中國銀監(jiān)會)
China depository receipt (CDR) 中國預(yù)托證券;中國存托憑證*
China Government Securities Depository Trust & Clearing Co. Ltd. (CDC) 中央國債登記結(jié)算有限責(zé)任公司(中央國債登記結(jié)算公司)
China Insurance Regulatory Commission (CIRC) 中國保險監(jiān)督管理委員會(中國保監(jiān)會)
China International Economic and Trade Arbitration Commission 中國國際經(jīng)濟貿(mào)易仲裁委員會
China Securities Depository and Clearing Company Limited (CSDCC) 中國證券登記結(jié)算有限責(zé)任公司
China Securities Regulatory Commission (CSRC) 中國證券監(jiān)督管理委員會(中國證監(jiān)會)
China Securities Regulatory Commission Official Bulletin 【publication】 《中國證券監(jiān)督管理委員會公告》【刊物】
China Stock Markets Web 中國證券市場網(wǎng)頁
Chinese Association of Securities Investment Funds, The (CASIF) 中國證券業(yè)協(xié)會基金公會
Chinese Gold and Silver Exchange Society, The 金銀業(yè)貿(mào)易場
Chinese Institute of Certified Public Accountants (CICPA) 中國注冊會計師協(xié)會
Chinese News System 中文信息系統(tǒng)
Chinese Wall 職能劃分制度;職能分管制度
churning 頻密交易
circuit breaker 跌停板措施;自動暫緩交易機制
circuit fee 線路費
Circular on Provision of Financial Information on the Internet - Licensing Requirements【SFC】 有關(guān)在互聯(lián)網(wǎng)上提供財經(jīng)信息的通告 - 發(fā)牌規(guī)定【證監(jiān)會】
claim notice 索償通知
class action shareholder lawsuit 股東集體訴訟
claw back mechanism 回補機制
Clear Talk【publication】 《結(jié)算縱橫》【刊物】
clearing 結(jié)算;清算*
Clearing Agency Participant【CCASS Participants】 結(jié)算機構(gòu)參與者【中央結(jié)算系統(tǒng)參與者】
clearing agreement 結(jié)算協(xié)議書
Clearing Consultative Panel 結(jié)算咨詢小組
clearing house 結(jié)算所
Clearing House Automated Transfer System (CHATS) 票據(jù)交換所自動轉(zhuǎn)賬系統(tǒng)
Clearing House Electronic Subregister System (CHESS)【Australia】 結(jié)算所電子附屬登記系統(tǒng)【澳洲】
Clearing Participant【options trading】 結(jié)算參與者【期權(quán)買賣】
clearing price 結(jié)算價;清算價*
client account 客戶戶口
Client Identity Rule【SFC】 客戶身分規(guī)則【證監(jiān)會】
client margin 客戶按金
client server architecture 客戶服務(wù)器結(jié)構(gòu)
client's agreement 客戶協(xié)議書;客戶合約
close out 平倉;結(jié)清
closed-end fund 閉端式基金
Closer Economic Partnership Arrangement (CEPA) 更緊密經(jīng)貿(mào)關(guān)系安排
closing buy【options】 平買入倉【期權(quán)】
closing contract 平倉合約
closing price 收市價;收盤價
closing sale【options】 平賣出倉【期權(quán)】
closing stock 期末存貨
closing transaction 平倉交易
closure of books; closure of register 暫停辦理過戶登記手續(xù)
cluster server 群集式服務(wù)器
Coalition on Service Industry【Hong Kong General Chamber of Commerce】 服務(wù)業(yè)聯(lián)會【香港總商會】
Code of Banking Practice【HKMA】 《銀行營運守則》【金管局】
Code of Best Practice 《最佳應(yīng)用守則》
Code of Conduct 《操守準(zhǔn)則》
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 《證券及期貨事務(wù)監(jiān)察委員會持牌人或注冊人操守準(zhǔn)則》
Code of Conduct for Share Registrars 【SFC】 《股份登記機構(gòu)操守準(zhǔn)則》【證監(jiān)會】
Code of Conduct for Sponsors and Independent Financial Advisers 《保薦人及獨立財務(wù)顧問的操守準(zhǔn)則》
Code of Conduct Regulations 《專業(yè)操守規(guī)例》
Code on Investment-linked Assurance Schemes 《與投資有關(guān)的人壽保險計劃守則》
Code on Pooled Retirement Funds 《集資退休基金守則》
Code on Real Estate Investment Trusts 《房地產(chǎn)投資信托基金守則》
Code on Share Repurchases 《公司購回本身股份守則》
(《股份購回守則》)
Code on Takeovers and Mergers 《公司收購及合并守則》
Code on Unit Trusts and Mutual Funds 《單位信托及互惠基金守則》
cold shoulder order 冷淡對待令
collateral 抵押品;擔(dān)保物*
collateral eligibility 抵押品資格
Collateralised Bond Obligation (CBO) 債券抵押證券
Collateralised Loan Obligation (CLO) 貸款抵押證券
collateralised warrant 有抵押權(quán)證
collective investment fund 集體投資基金
collective investment scheme (CIS) 集體投資計劃
Collector of Stamp Revenue 印花稅署署長
co-manager 聯(lián)席經(jīng)辦人
combination order 綜合盤;組合盤
combined net tangible assets 合并有形資產(chǎn)凈值
combo order 綜合盤;組合盤
comfort letter 聯(lián)系證明書;信心保證書
commercial paper 商業(yè)票據(jù)
commission rebate 傭金回扣;回傭
Commissioner of Insurance 保險業(yè)監(jiān)理專員
Committee of Payment System【HKMA】 支付系統(tǒng)小組委員會【金管局】
Committee on Unit Trusts【SFC】 單位信托委員會【證監(jiān)會】
commodities dealer 商品交易商
Commodities Trading Ordinance 《商品交易條例》
Commodity Exchanges (Prohibition) Ordinance 《商品交易所(禁止經(jīng)營)條例》
Commodity Futures Trading Commission (CFTC)【US】 商品期貨交易委員會【美國】
Common Collateral Management System 共同抵押品管理系統(tǒng)
common nominee 共享代理人
"common nominee" share certificate 「共享代理人」股票
Common Risk Management System 共同風(fēng)險管理系統(tǒng)
communication status message line 通訊線路現(xiàn)況顯示行
Companies (Amendment) Bill 2003 《2003年公司(修訂)條例草案》
Companies (Summary Financial Reports of Listed Companies) Regulation 《公司(上市公司的財務(wù)摘要報告)規(guī)例》
Companies Registry 公司注冊處
Company Bulletin Board【UK】 公司交易板【英國】
Compensation Committee 賠償委員會
Compensation Fund Reserve Account 賠償基金儲備賬
compliance officer【GEM】 法規(guī)主任【創(chuàng)業(yè)板】
composite order 綜合盤;組合盤
composite risk 綜合風(fēng)險
composite table 綜合表
composite trades 綜合買賣
Comptroller of the Currency【US】 美元總會計長【美國】
compulsory buy-in 強制補購
Compulsory Stock Borrowing and Lending Service in CCASS 中央結(jié)算系統(tǒng)強制證券借貸服務(wù)
Computershare Hong Kong Investor Services Limited (CHIS) 香港中央證券登記有限公司
concentrated position 集中持倉量
concentration risk 集中風(fēng)險
concentration risk adjustment 集中風(fēng)險調(diào)整
concept stock 概念股
conditional agreement 有條件協(xié)議
conditional cash offer 有條件現(xiàn)金收購;有條件現(xiàn)金要約
Conference of Central Securities Depositories (CCSD) 中央證券存管處國際會議
Conflict Committee 利益沖突事宜委員會
connected person 關(guān)連人士
connected transaction 關(guān)連交易
consideration 代價;約價*
consideration issue 代價發(fā)行
consideration share 代價股份
consolidated financial statement 綜合財務(wù)報表
consolidation 合并;整合
constitution 組織章程
construction-in-progress 在建工程
Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules 《建議就認(rèn)可海外規(guī)則修訂〈證券及期貨(穩(wěn)定價格)規(guī)則〉咨詢總結(jié)》
Consultation Conclusions on Proposals to Enhance the Regulation of Listing 《有關(guān)改善規(guī)管上市事宜的建議咨詢總結(jié)》
Consultation Paper on a Proposed Operational Model for a Scripless Securities Market 《有關(guān)無紙化證券市場的建議運作模式的咨詢文件》
Consultation Paper on Proposals for a Scripless Securities Market 《關(guān)于建立無紙化證券市場的建議的咨詢文件》
Consultation Paper on Proposals to Enhance the Regulation of Listing 《有關(guān)改善規(guī)管上市事宜的建議咨詢文件》
Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures 《為便利股份或債權(quán)證要約而就《公司條例》提出的修訂建議咨詢文件》
Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges 《與證券服務(wù)有關(guān)的收費及費用的良好披露指引草擬本咨詢文件》
Consultation Paper on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Action On Behalf of a Company 《有關(guān)賦權(quán)證券及期貨事務(wù)監(jiān)察委員會代表公司提出衍生訴訟的建議咨詢文件》
Consultation Paper on the Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel 《有關(guān)建議加強監(jiān)督核數(shù)師的公眾利益活動及成立財務(wù)匯報檢討委員會的咨詢文件》
Consultation Paper on the Regulation of On-Line Trading of Securities and Futures 《有關(guān)監(jiān)管證券及期貨的網(wǎng)上交易咨詢文件》
Consultation Paper on the Regulation of Sponsors and Independent Financial Advisers 《有關(guān)對保薦人及獨立財務(wù)顧問監(jiān)管的咨詢文件》
Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest 《關(guān)于處理分析員利益沖突的監(jiān)管架構(gòu)的咨詢文件》
contested takeover 爭奪式收購
contingent liabilities 或然負(fù)債
contingent order【LSE】 附帶執(zhí)行買賣盤【倫敦交易所】
contingent premium 或有保費
continuing connected transaction 持續(xù)關(guān)連交易
continuing obligation 持續(xù)責(zé)任
continuing operation 持續(xù)經(jīng)營之業(yè)務(wù)
continuous auction 連續(xù)競價
continuous net settlement (CNS) 持續(xù)凈額交收
Continuous Professional Training (CPT) 持續(xù)專業(yè)培訓(xùn)課程
contra broker 對手經(jīng)紀(jì)
contract multiplier 合約乘數(shù)
contract note 成交單;成交單據(jù);買賣單據(jù)
contract size 合約股數(shù)
contract specifications 合約規(guī)格
contract unit 合約單位
contracted price 立約成價
contractual mutual fund 合約互惠基金
contrarian 逆向投資者
contribution 供款
control account 統(tǒng)制賬戶
controller workstation 中央控制工作站
controlling interest 控股權(quán)益
controlling shareholder 控股股東;控權(quán)股東
conversion【options】 變換交易【期權(quán)】
conversion ratio 換股比率
convertible bond 可轉(zhuǎn)換債券;可換股債券
convertible note 可轉(zhuǎn)換票據(jù);可換股票據(jù)
convertible redeemable note 可轉(zhuǎn)換可贖回票據(jù);可換股可贖回票據(jù)
convertible securities 可轉(zhuǎn)換證券;可換股證券
Co-ordinating Committee on Market Structure Reform 市場架構(gòu)改革統(tǒng)籌委員會
core earnings 核心盈利
cornering 挾倉
corporate accounting 集團會計
corporate actions service fee 代履行權(quán)責(zé)服務(wù)費
corporate communication 公司通訊
Corporate Exchange Participant 公司交易所參與者
Corporate Finance Adviser Code of Conduct 【SFC】 《企業(yè)融資顧問操守準(zhǔn)則》【證監(jiān)會】
Corporate Finance Association, The (CFA) 企業(yè)融資協(xié)會
corporate governance 企業(yè)管治;公司治理*
Corporate Governance Action Plan for 2003 2003年企管行動綱領(lǐng)
Corporate Investor Account 公司投資者戶口
Corporate Plan【SFC】 機構(gòu)計劃書【證監(jiān)會】
corporate raider 企業(yè)狙擊手
Corporate Substantial Shareholders Notification 法團大股東具報書
co-sponsor 副保薦人【創(chuàng)業(yè)板】;聯(lián)席保薦人
cost effectiveness 成本效益
cost of carry 持權(quán)成本【期權(quán)】;持有成本
co-trustee 聯(lián)合受托人
counter order 還盤
counterparty 交易對手;對手方
counterparty risk 對手風(fēng)險
coupon; coupon rate 票面息率;票面利率;券面利率
coupon-reset date 調(diào)息日
cover【ie close out a short position = buy in】 平倉
covered call【options】 備兌認(rèn)購期權(quán)
covered option 備兌期權(quán)
covered short selling 有擔(dān)保的賣空交易
covered warrant 備兌權(quán)證
covered writing 沽出備兌期權(quán)
credit 信貸
credit control 信貸管制
credit limit 信貸額度*
credit rating 信貸評級;信用評級
credit risk 信貸風(fēng)險
credit squeeze 信貸緊縮;收緊信貸
creditor 債權(quán)人
creeper 自由增購率
cross collateral 跨市場抵押品
cross currency trade 貨幣交叉盤買賣
cross listing 相互上市
cross margining 跨市場按金制度
cross-border listing 跨境上市
crossed market 對敲
crossed trade; cross trade; crossing 交叉買賣;交叉盤買賣
crossing system 交叉盤系統(tǒng)
crude oil futures 原油期貨
cumulative advance 累計墊款;累積墊款
currency basket 一籃子貨幣
currency board system 貨幣發(fā)行局制度;發(fā)鈔局制度
currency forward 遠期貨幣合約
currency futures 貨幣期貨
currency translation exposure 外幣折算風(fēng)險
currency warrant 貨幣權(quán)證
current account 經(jīng)常賬;往來賬
custodian 托管人;保管人
Custodian Participant【CCASS Participants】 托管商參與者【中央結(jié)算系統(tǒng)參與者】