常用金融证券专业词汇 (1).doc

share, equity, stock股票、股权; bond, debenture, debts债券;negotiable share可流通股份;convertible bond可转换债券;treasury/government bond国库券/政府债券;corporate bond企业债券;closed-end securities investment fund 封闭式证券投资基金;open-end securities investment fund 开放式证券投资基金;fund manager基金经理/管理公司;fund custodian bank 基金托管银行;market capitalization 市值;p/e ratio 市盈率;(price/earning)mark-to-market逐日盯市;payment versus delivery 银券交付;clearing and settlement 清算/结算;commodity/financial derivatives 商品/金融衍生产品;put / call option 看跌/看涨期权;margins, collateral 保证金;rights issue/offering 配股;bonus share 红股;dividend红利/股息;adr美国存托凭证/存股证;(american depository receipt)gdr全球存托凭证/存股证;(global depository receipt)retail/private investor 个人投资者/散户;institutional investor机构投资者;broker/dealer 券商;proprietary trading 自营;insider trading/dealing 内幕交易;market manipulation 市场操纵;prospectus招股说明书;ipo 新股/初始公开发行;(initial public offering)merger and acquisition收购兼并。advance-decline theory 涨跌理论arbitrage套利arbitrageur套利者as agent做代理ask-bid system竞价系统at-the-close order收盘指令at-the-market按市价at-the-opening(opening only)order开盘指令back up逆向变化bar chart条线图base market value基准市场价值bearish行情看跌bear market熊市bear raiders大量抛空者bid-and-asked quotation(or quote)买方报价和卖方报价（报价）blowout畅销blue-chip stocks蓝筹股breakout突破bullish行情看涨bull market牛市buying power购买力cancellation取消capitalization资本certificate证券证书climax(buying/selling)放量（买/卖）close收盘价closing transaction平仓交易commission佣金congestion area震荡区cornering the market*纵市场corporation股份公司cum rights含权cyclical stock周期性股票date of record登记日day order当日委托指令day trading日交易dealer交易商descending tops下降顶点趋势dip回调谷distribution area整理区diversification分散投资dividends红利dont fight the tape顺行情交易double bottom双底double top双顶dumping抛售effective date生效日期ex-distribution(x dis)无分配额ex-dividend(xd)(without dividend) date除息日expiration date到期日ex-right(xrt)除权face value面值floor交易大厅floor order tickets场内委托单free-riding自由放纵投机行为frozen account冻结账户fundamental analysis基本面分析futures期货gap跳空head and shoulders头肩形highballing高价交易holder of record登记持股人holding the market托盘horizontal price movement横盘hot issue抢手证券inactive market不活跃市场index指数insider内幕人institution机构投资者in the tank跳水issued-and-outstanding stocks已发行流通股issuer发行人joint account联合账户last trading day最后交易日liquidation清仓liquidity流动性listed stock上市股票long market value所持证券市场价值long position多头头寸manipulation*纵marketability流动性market price市场价格market value市场价值matched orders对敲指令merger合并negotiability流通性new issue新发行offer要价offering (asked) price卖方要价offering date发行日off-floor order场外委托on-floor order场内委托on the tape行情显示opening开盘价opening only order开盘委托指令opening transaction建仓交易oversold超卖overvalued估值过高p(rice)/e(arnings) ratio市盈率paper loss/profit账面损益pennant尖旗形picture行情place发售portfolio证券组合position头寸price range价格范围primary distribution(offering)初次发售primary market次级市场primary movement大趋势principals(stockholders)accredited 隶属 adjusted liabilities 经调整负债 advertisement 广告 advising on corporate finance 就机构融资提供意见 advising on futures contracts 就期货合约提供意见 advising on securities 就证券提供意见 Advisory Committee 咨询委员会 agents 代理人 aggregate gross foreign currency position 合计外币总持仓量 agreement 协议 agreement in writing 书面协议 amount of margin required to be deposited 按规定须存放的保证金数额 ancillary stabilizing action 附带稳定价格行动 appeal panel 上诉委员会 applicant 申请人 application 申请 application for review 复核申请 appointed day 指定日期 approved bank incorporated outside Hong Kong 法团的银行以外成立为核准的在香港 approved credit rating agency 核准信贷评级机构 approved custodian 核准保管人 approved futures exchange 核准期货交易所 approved introducing agent 核准介绍代理人 approved investment adviser 认可投资顾问 approved lending agent 核准借出代理人 approved person 核准人士 approved redeemable shares 核准可赎回股份 approved regional exchange 认可地区性交易所 approved securities borrowing and lending counterparty 核准证券借贷对手方 approved share registrar 认可股份登记员 approved standby subordinated loan facility 核准备用后偿贷款融通 approved stock exchange 核准证券交易所 approved subordinated loan 核准后偿贷款 arbitration panel 仲裁小组 arbitrator 仲裁人 articles 章程细则 asset management 资产管理 associate 有联系者 associated corporation 相联法团 associated entity 有联系实体 associated person 相联者 audit working papers 审计工作材料 auditor 核数师 authorized ATS provider 认可自动化交易服务提供者 authorized automated trading services 认可自动化交易服务 authorized financial institution 认可财务机构 authorized mutual fund 认可互惠基金 authorized person 获授权人 authorized representative 获授权代表 authorized unit trust 认可单位信托 automated trading service provider 自动化交易服务提供者 automated trading services 自动化交易服务 average monthly turnover 平均每月成交额金融词汇汇总A 9 i2 w& f1 F. w安全网 safety net % s/ 1 , g8 按可比口径 on comparable basis ) H2 j. J) E2 P8 w/ U% E. Q: 按轻重缓急 to prioritize 7 s3 r# ! P $ VF) Q) X暗补 implicit subsidy Q/ b t( o3 h暗亏 hidden loss 8 fC, Z) ) X2 k9 S# i $ - m2 R: l7 G2 l, ?! HB 5 i2 M6 ( i- h# R; A颁发营业执照 to license;to grant a licence to 8 P* cL8 T7 v- C4 R办理存款业务 to take deposits ; h& f/ k: N, Y3 ( m; % l. n保护农民的生产积极性 to protect farmersincentive to produce ?3 l C! ; Y+ w5 : M2 y; K) v备付金（超额准备金） excess reserves C Y+ a% O- C4 L, : N4 M+ ( r本外币并账 consolidation of domestic and foreign currencyaccounts r& L! X$ S; h9 J3 - P) 本外币对冲操作 sterilization operation . N+ K 7 v% h$ R& c本位利益 localized interest;departmentalism % D 5 s# & s2 h) h( H奔小康 to strive to prosper;to strive to become well-to-do + . a3 N, R) d* V, h) V9 N) R4 N( g避税（请见“逃税”） tax avoidance 2 x6 T J3 I3 M9 G* h% 0 V M币种搭配不当 currency mismatch : t, h5 I8 k: S3 j, r0 o4 l币种构成 currency composition ( % Q4 K* E! u, r7 y x e变相社会集资 disguised irregular（or illegal） fund raising + W0 h9 Y& b. L8 3 L9 R表外科目（业务） off-balance-sheet items（operation） ( e; S7 i2 E Z4 I) G薄弱环节 weaknesses;loopholes # V/ O! g1 Fm8 b不变成本 fixed cost + 9 t: * m% |3 不变价 at constant price;in real terms . 2 J. V% U$ _8 / o% I1 a6 d# C, T不动产 real estate 4 h9 d& _- f& , * Y8 r: Z( m7 n# U1 N不良贷款 problem loans；non-performing loans. f; x2 dZ1 s 7 8 i: q1 H7 o, iC- Du) b8 % o& j3 6 a财务公司 finance companies ! D+ S z w8 b5 C( $ s, K# N财政赤字 fiscal deficit c4 i- Q9 s7 R w& k0 G财政挤银行 fiscal pressure on the central bank（over monetary policy） 6 O8 ?) z I5 X财政政策与货币政策的配合 coordination of fiscal and monetary policies 6 V6 S( H3 s& s# N* Q5 c& K采取循序渐进的方法 in a phased and sequenced manner ) F. c; p8 w. t/ d( 操作弹性 operational flexibility 3 0 E2 g; ! D8 j# d; bO操纵汇率 to manipulate exchange rate ) c6 p4 a% q2 m5 b5 h H产品构成 product composition;product mix : x, n; E# H/ F6 _/ / 产品积压 stock pile;excessive inventory ( k+ j: F n$ N产销率 current period inventory;（即期库存，不含前期库存）sales/output ratio * g2 a9 t/ Q6 a8 k; j$ B产销衔接 marketability * H* F* B7 & D& x: C 产业政策 industrial policy # g D3 n9 x; s4 f 8 q长期国债 treasury bonds 2 h2 N% p( 0 n- m敞口头寸 open position G5 my0 j0 f& s炒股 to speculate in the stock market 3 m! e$ r J/ w; X4 t承购包销 underwrite（securities） 4 p) j# 4 Y8 x3 G4 9 p成套机电产品 complete sets of equipment;complete plant（s） + H( A+ p6 j: p7 , Z9 F* g城市信用社 urban credit cooperatives（UCCs） - g3 u0 0 D1 w# _, P* 城市合作银行 urban cooperative banks;municipal united banks ) e6 L- * | P: e0 + P9 w9 I$ * U城市商业银行 municipal commercial banks ( . g V; s. I; m( D; E p城乡居民收入增长超过物价涨幅 real growth in household income % 3 R+ k8 Cf; Z q. V持续升温 persistent overheating $ R9 d1 C5 ! v重复布点 duplicate projects ( m/ O( Q2 u3 F, B2 & h重置成本 replacement cost * X7 K# r7 B- / n, P; V1 o, l# c重组计划 restructuring plan + z+ f& t( : ) c6 L. W! y/ y$ n( k, Y4 A筹资渠道 funding sources;financing channels * u; F- Q! Z, o- m$ h& v初见成效 initial success ; V4 p+ l* L3 n3 f; u1 s- 出口统一管理、归口经营 canalization of exports 6 Q0 h9 # B) 4 ; x出口退税 export tax rebate K2 B$ m8 M2 |3 e7 |储蓄存款 household deposits（不完全等同于西方的savingsdeposits，前者包括活期存款，后者不包括。） - U/ n* l6 t1 G. t L& ; b/ R储蓄分流 diversion of household deposits r$ * e! B J* D3 K储源萎缩 decline in the availability of household savings % V% k) Ba6 $ K传导机制 transmission mechanism ; e / G1 Y2 p* R5 V从价税 ad valorem tax 9 B- h3 h0 R4 G4 c从紧控制 tight control # B* m4 X1 P+ t O! Z存贷款比例 loan/deposit ratio 3 # V4 J5 b% s- 9 _. v存款保险体系 deposit insurance system 3 jn- ?7 + J2 x8 f: F I6 FN2 p存款货币银行 deposit money banks ! Y( U9 w+ c7 4 Y. K) F6 ?, mc存款准备金 required reserves) L: y6 Q, l% # L* P) LD 0 j* j1 W- Y6 a- j) t0 E; v6 打白条 issue IOU - W2 V2 u; s$ 大额存单 certificate of deposit (CD) 8 / o/ l* IO6 F$ WL$ n大额提现 withdraw deposits in large amounts 2 _s) m* _ | r( j$ M% X- j大面积滑坡 wide-spread decline ! k! ! D; B8 l5 M2 3 E- + m大一统的银行体制 (all-in-one) mono-bank system ( : E. k. |2 R9 j8 b$ O* r呆账（请见“坏账”） bad loans & E1 Q8 T. q% o: h& J+ k( n呆账准备金 loan loss reserves (provisions) 2 m v2 S2 U4 q呆滞贷款 idle loans ) n. z5 P) I; Q+ 贷款沉淀 non-performing loans ) u! H6 v! X5 : J3 |3 贷款分类 loan classification & B1 T- i% H1 w( I! d贷款限额管理 credit control;to impose credit ceiling 4 G7 i/ % M, * w k; O2 m贷款约束机制 credit disciplinary (constraint) mechanism % B( |0 N( & M% s0 K代理国库 to act as fiscal agent . uL/ p% i2 u. A. F代理金融机构贷款 make loans on behalf of other institutions 6 / P4 v2 Z/ g6 f# U) 戴帽贷款 ear-marked loans 6 S/ y5 : P7 n9 j! p+ m: 2 K& Q9 H8 Q7 K倒逼机制 reversed transmission of the pressure for easing monetary condition ! - K, V, c7 ) s# i: M) x道德风险 moral hazard 2 o/ a3 J$ H3 I4 % c* N地区差别 regional disparity 5 p& O. c! V, j, J9 N f第一产业 the primary industry ?/ o7 o- l! T: r3 第二产业 the secondary industry 4 ; y! H* j) y1 3 s第三产业 the service industry;the tertiary industry 0 N! g+ V% Q B# M8 C递延资产 deferrable assets 1 | va2 o/ - i: Q L$ r订货不足 insufficient orders , g: C9 3 ; W; - o. p; i定期存款 time deposits 9 B- W# J( m) _定向募集 raising funds from targeted sources |6 A. m2 | J D东道国（请见“母国”） host country 4 * sx# $ h/ X6 d- f独立核算 independent accounting 4 p# ( H- F! t- # 7 SA$ y3 I短期国债 treasury bills r3 J: v g+ & I J; 对冲操作 sterilization operation;hedging j$ Q1 ze0 _( W对非金融部门债权 claims on non-financial sector + H: k) Q! Y0 r+ n9 * z; o5 Q多种所有制形式 diversified ownership 0 A8 H$ v4 H6 t 5 f- g2 Z, R/ l; h1 E . D; V( L9 x* Q9 E9 z 4 U- D( x b恶性通货膨胀 hyperinflation & e. D2 g+ z- g8 y: h5 x1 ? S二级市场 secondary market W: Q7 l% H% I, z # . X3 n, A& S$ ; p5 HF 8 n) h& v- V) B2 A发行货币 to issue currency ; i e, P# |U发行总股本 total stock issue 5 z. S) t& 2 n. F5 a4 gl6 s0 Q法定准备金 required reserves;reserve requirement 6 ?, M$ a& K; O. Y+ u: h3 D4 y法人股 institutional shares ) i& z- g& S# $ i8 I法人股东 institutional shareholders 7 Q0 T! K: F2 x3 f2 l. Y$ s4 * O法治 rule of law 0 h8 h2 _! + a) R+ o$ A房地产投资 real estate investment ) t7 8 ! J7 D5 v/ E放松银根 to ease monetary policy $ u, y) C9 q4 ?; E( M5 P- n非现场稽核 off-site surveillance (or monitoring) ; e* q3 |/ q; f& Z0 T9 f/ s非银行金融机构 non-bank financial institutions : L4 j2 P0 J, z7 d非赢利性机构 non-profit organizations 6 ( C( Q- d2 7 g5 t; f分税制 assignment of central and local taxes;tax assignment system 1 W. q- l+ p* j O* l分业经营 segregation of financial business (services); division of business scope based on the type of financial institutions - _7 X7 A+ 9 D% X4 i& N风险暴露（风险敞口） risk exposure $ O# FL. n1 n9 3 4 3 P$ Z风险管理 risk management % s u8 2 L0 B( m( I r风险意识 risk awareness * |7 h& a8 7 h! * o风险资本比例 risk-weighted capital ratios / |% H3 S y0 K+ I: Y风险资本标准 risk-based capital standard : V, M5 e* t2 P+ y. s* g服务事业收入 public service charges;users charges . W$ M* & n! r扶贫 poverty alleviation 5 g9 b/ ?: ( _|负增长 negative growth - y6 & 5 Y. : u3 Q复式预算制 double-entry budgeting;capital and current budgetary accountG 0 , # # A% O改革试点 reform experimentation 7 V5 q2 a4 g9 W( K! f/ X杠杆率 leverage ratio ; F) y( r/ H8 J杠杆收购 leveraged buyout 7 H/ v4 m( J) _: j0 H高息集资 to raise funds by offering high interest , m; G/ a I6 R个人股 non-institutional shares - z6 q5 i/ x$ p0 U& U/ x* x5 u根本扭转 fundamental turnaround (or reversal)& / e, y, n1 R+ H6 a Z* M公开市场操作 open market operations 1 E* t9 gh+ A/ N( z/ z- n* M公款私存 deposit public funds in personal accounts % c6 i) j0 4 V% $ % e) q公用事业 public utilities 1 g3 ?& ?* v7 , Z* u公有经济 the state-owned sector;the public sector 8 j H X$ o) F: o, P* y) _0 公有制 public ownership + T& & B0 e$ z; $ U4 |工业成本利润率 profit-to-cost ratio ( W0 L& i, i+ Z3 v4 t工业增加值 industrial value added % L4 1 A7 x6 E# h, nS5 wj供大于求 supply exceeding demand;excessive supply - a2 F . N4 q7 B鼓励措施 incentives t5 : I6 W& N股份合作企业 joint-equity cooperative enterprises 6 G! L1 S, F0 K# E股份制企业 joint-equity enterprises 6 b8 I3 S9 B. i& C1 C股份制银行 joint-equity banks ( d# R7 G Qni固定资产贷款 fixed asset loans f: : p. Q4 K* I$ l$ X+ V关税减免 tariff reduction and exemption 5 e2 Y0 O/ _$ 3 S. g关税减让 tariff concessions 8 h+ H9 Q. y/ o5 P: U: G关税优惠 tariff incentives;preferential tariff treatment m- u+ a% e* QJ规范行为 to regularize (or standardize) behavior , i0 G$ |: l _ 规模效益 economies of scale + a5 4 _* F& A; X国计民生 national interest and peoples livelihood ) j: Y6 o6 f, q; l4 C, _& Y国家对个人其他支出 other government outlays to individuals * n+ O% _$ B/ A6 J3 T e: a _+ F国家风险 country risk ! b$ x. e R( k国际分工 international division of labor 3 ?7 g( + S. C/ G国际收支 balance of payments ( S3 9 % V& ) , s0 国有独资商业银行 wholly state-owned commercial banks ; a8 f# t/ i k. k; d国有经济（部门） the state-owned (or public) sector 7 Q- P7 Y2 n U- g8 S7 U国有企业 state-owned enterprises (SOEs) 4 1 T( $ t H* 国有制 state-ownership . x6 6 K% w: E国有资产流失 erosion of state assets 6 z( j! E; Y/ L) K# ; v% x国债回购 government securities repurchase . a$ : L; x h i国债一级自营商 primary underwriters of government securities $ d* j% |+ U% ?! 过度竞争 excessive competition . M Q6 2 O# P5 Y1 d( j. gA过度膨胀 excessive expansion + Y$ B9 |, i/ y0 I过热迹象 signs of overheating % S1 j; : rd7 V* ( D( Q/ n* - p& J/ g; H/ H - j4 G B3 B0 B, $ x合理预期 rational expectation $ a; Q) b5 n5 L) z$ x) . |核心资本 core capital ( j# H V* v; T9 l8 v R& p8 c/ P合资企业 joint-venture enterprises - J C: m: B# y! W: R* Fv4 : z红利 dividend 9 bw2 e! J; f8 E, w|/ Z宏观经济运营良好 sound macroeconomic performance & K U: w7 W8 M& M5 宏观经济基本状况 macroeconomic fundamentals : 6 ! k! A- F% N: K: D宏观调控 macroeconomic management (or adjustment) 9 e; G/ p. p6 d. Y( N* Y宏观调控目标 macroeconomic objectives (or targets) 3 Q L0 d5 i+ h1 f) s4 坏账 bad debt . ; 2 R6 o5 z3 h& y. O0 % - x8 还本付息 debt service : ?- # |- x, r8 H- L3 w换汇成本 unit export cost;local currency cost of export earnings : u7 _: x1 c5 n汇兑在途 funds in float 6 y1 e; n$ Y4 I& j1 I汇兑支出 advance payment of remittance by the beneficiarys bank 5 , J2 Z6 J7 C5 C0 m* ! 1 O! I汇率并轨 unification of exchange rates % ry5 m) o7 活期存款 demand deposits 1 p* n9 T! J% J D$ z汇率失调 exchange rate misalignment - J( m( y6 7 t3 ?混合所有制 diversified (mixed) ownership 4 ? u! P. e L7 eV H8 l货币政策态势 monetary policy stance * a& T: c& 4 _货款拖欠 overdue obligations to suppliersJ ) y0 1 t( x8 B; m! F l基本建设投资 investment in infrastructure $ f# $ F; 0 L! 1 k基本经济要素 economic fundamentals 4 u( x K$ y8 p( y, R基本适度 broadly appropriate , m! v! S9 x$ P, l9 d( O6 c) I* L9 |: h- W基准利率 benchmark interest rate # r) |- 3 K V, i1 C, |机关团体存款 deposits of non-profit institutions ! O& L8 d& O8 o( L4 n- A机会成本 opportunity cost 1 M! N4 B6 y0 |$ Z/ _激励机制 incentive mechanism . f) * Y+ vQO积压严重 heavy stockpile;excessive inventory / K9 5 c2 S8 u% j9 挤提存款 run on banks ! c! w, X; i7 g- 7 A挤占挪用 unwarranted diversion of (financial) resources (from designated uses) + c/ U- f2 ( Q6 N: _: x+ 7 F. x技改投资 investment in technological upgrading - U1 T2 X/ o1 Z% % v! I技术密集型产品 technology-intensive product * G+ s/ i0 V+ I* 计划单列市 municipalities with independent planning status : S$ A3 x: S, w + v计划经济 planned economy $ y: q6 / p2 O$ Z7 q# h4 i* Y集体经济 the collective sector ) 7 8 t/ I9 f% O5 g! j- s加大结构调整力度 to intensify structural adjustment + y& M2 H( t7 _2 ) l; H加工贸易 processing trade ( H# A: l7 I; m) 加快态势 accelerating trend ; P, 5 N) x) p# A, L9 C加强税收征管稽查 to enhance tax administration $ f* P; y8 X m& F& n3 K加权价 weighted average price ; J2 B4 w% d2 y- 6 a价格放开 price liberalization ; r5 U9 k: W% M( g5 k& B价格形成机制 pricing mechanism % ! n4 1 |8 k) N2 kv9 P减亏 to reduce losses * 1 ; y. P8 C; 4 G( W2 H简化手续 to cut red tape;to simplify (streamline)