證券管理條例 的英文怎麼說

中文拼音 [zhèngquànguǎnlǐtiáolì]
證券管理條例 英文
securities act
  • 證 : Ⅰ動詞（證明） prove; verify; demonstrate Ⅱ名詞1 （證據） evidence; proof; testimony; witness 2 （...
  • 管 : Ⅰ名詞1 （管子） pipe; tube 2 （吹奏的樂器） wind musical instrument 3 （形狀似管的電器件） valve;...
  • 理 : Ⅰ名詞1 （物質組織的條紋） texture; grain （in wood skin etc ） 2 （道理;事理） reason; logic; tru...
  • 條 : Ⅰ名詞1 （細長的樹枝） twig 2 （條子） slip; strip 3 （分項目的） item; article 4 （層次; 秩序; 條...
  • 證券 : bond; security; negotiable securities
  • 管理 : manage; run; administer; supervise; rule; administration; management; regulation
  • 條例 : regulations; rules; ordinances; imperative
  1. The bank shall have a first and paramount lien on all securities, deposited property and other deeds, documents and property including security boxes and their contents other than those which are book debts or otherwise constitute a security over which such a lien would require registration under the companies ordinance now or at any time hereafter standing to the credit of the custodian accounts or in the possession, or under the control, of the bank or any employee or agent of the bank for the account of the customer the " secured assets " whether by way of security, safe - keeping or otherwise as security for payment to the bank of the liabilities

    對于客戶在現時已存入或此後任何時間存入保管賬戶，或由本行或其雇員或代理人代客戶以抵押保管或其他方式控制或持有，以作為向本行支付債務之抵押保證之所有證券存放財產及其他契據文件及財產包括保險箱及其所載之物件，但屬于賬面債項或根據公司條例規定應注冊以取得留置權之財產則除外以下統稱為有擔保資產，本行將有最優先及最高權力之留置權。
  2. Facing with the adjustment blemish of the market and the government, knowledge problem and market growth degree etc, the article analyzes and arguments tmsm, the investment theory of the gapsm and two - mechanism forming reason and specialty of our country, and tries to explain and answer the question of breadth fluctuation, high risk, price decision, proceeds and investment strategy etc in the gapsm. since 80 ages, a series of the important development has all taken place in the world and the economy of our country, and it produced the deep influence on the growth of the security market, and particularly the information revolution, all markets forming one body and the quick development of the derivable security product brought the unprecedented macroscopic opportunity and power to the security market ; but at the same time our security market with the structure absurdity of participators, higher risk, irregular law, closed market, the validity of supervise and no science of market regulation does not accommodate to the macroscopic environment and so our country security market needs a new set of security theory with environment. according to the macroscopic and microcosmic environment, this article defines that our country security market is both a gapsm and the initial stage of the gapsm

    上世紀80年代以來，世界和我國經濟都發生了一系列重大的變化，對證券市場的發展產生了深刻的影響，尤其是信息革命、市場一體化和證券衍生產品的迅速發展，給證券市場的發展帶來了前所未有的宏觀機遇和動力，而同時我國證券市場參與者結構的不合理、較高的風險、不規范的法律、市場的不開放、監管的不完全以及不科學的市場調控等微觀市場環境條件與此宏觀環境並不適應，從而我國證券市場需要一套適應環境變化的股票理論；本文就是以這一宏觀環境和微觀條件為依據，把我國證券市場定義為既是政府主導型證券市場又是市場初期；並對我國證券市場二元制產生的原因、特點及特殊性進行了分析，並通過我國政府調節的實例進行了論證，並對投資理論和投資策略進行了研究，這對控制我國證券市場的高風險以及獲取收益都具有重大意義。
  3. As a new financing instrument, since convertible bond came to the capital market of china, becase of its speclation and investment, it was accepted by government and companies and investors convertible bond may play an important role in broadening enterprises ' financing channels, enrich the variety of investing instruments and make our security market prosperous. csrc has issued the interrelated rules for public firms issue the convertible bonds. until the end of 2001, it has 55 firms plan to issue the the convertible bonds. but by end of 2002 only 5 firms issued the convertible bonds because of investor ' worry. but in 2003, the management strengthens the security market such as some public firms just to " fold money ", the convertible bonds become the most invest tools for the public firms refinance. only if the behavior of issuing convertible bonds is normalized our security market can tend towards a mature way, social capital can be optimized, and the public firms can also develop in an ample area. this paper base on the character of the convertible bonds

    國務院證券委員會在1997年3月25日頒發了《可轉換公司債券暫行管理辦法》 ，又於2001年4月26日頒發了《上市公司發行可轉換公司債券實施辦法》關于可轉換債券的規定和條例，對上市公司發行可轉換公司債券的要求條件比配股、增發更為寬松，截止到2001年4月，有200多家上市公司夠發行可轉換債券資格，到2001年底有55家公司計劃發行可轉換債券，但受到一些上市公司通過配股、增發等「圈錢」的影響，投資者對上市公司通過發行可轉換債券再融資是不得不持審慎態度， 2002年全年僅5家公司實施了可轉換債券，共籌集資金41 . 5億元人民幣，從總體發行情況看，發行規模越來越小，利率越來越高，投資者認可程度越來越低，發行和交易狀況每況愈下。
  4. Hantec is one of the few financial institutions in hong kong with full licences from the sfc under the new securities and futures ordinances - covering dealing in securities and futures contracts, leveraged foreign exchange trading, advising on securities, futures contracts and corporate finance, providing automated trading services, securities margin financing and asset management services

    自最新的證券及期貨條例實施以來，亨達為香港極少數獲證監會發出所有經營牌照的金融機構之一，獲準經營范圍涵蓋證券及期貨合約、杠桿式外匯買賣、就證券及期貨合約提供意見、就機構融資提供意見、自動對盤交易服務、證券保證金融資和資產管理服務等。
  5. The securities and futures ordinances, which will come into operation on april 1, 2003, will replace the current 12 licenses with a single licensing regime that covers nine regulated activities including dealing in securities and futures contracts, leveraged foreign exchange trading, advising on securities, futures contracts and corporate finance, providing automated trading services, securities margin financing and asset management services

    根據四月一日起正式實施之新證券及期貨條例，證監會將把現有的十二項牌照歸納為九類受規管金融服務活動，包括證券交易杠桿式外匯交易就證券提供意見就期貨合約提供意見就機構融資提供意見提供自動化交易服務提供證券保證金融資及提供資產管理。
  6. Article 124 the total amount of external liabilities of a securities firm may not exceed the prescribed multiple of its net assets, and the total amount of its current liabilities may not exceed a certain proportion of its total current assets. the specific multiple, proportion and administrative measures shall be prescribed by the securities regulatory authority under the state council

    第一百二十四條證券公司的對外負債總額不得超過其凈資產額的規定倍數，其流動負債總額不得超過其流動資產總額的一定比例其具體倍數比例和管理辦法，由國務院證券監督管理機構規定。
  7. " the hkma will monitor compliance of registered ais with the new requirements under the sfo during its normal course of prudential supervision, as well as through on - site examinations conducted by specialised examination teams of the hkma, " said mr y k choi, acting deputy chief executive of the hkma

    金管局署理副總裁蔡耀君說：金管局將會透過正常的審慎監管程序及專責現場審查小組的審查來監察獲注冊的認可機構對證券及期貨條例的新規定的遵守情況。
  8. Deemed registered institutions whose migration applications are currently being considered may continue to carry on regulated activities permitted under the sfo until a decision has been reached on the application

    至於其過渡至新制度的申請正受審理的當作注冊機構，則可在有關申請得出決定前繼續從事根據證券及期貨條例獲準的受規管活動。
  9. Respondents generally consider that the administration s proposed approach is the correct one, " the spokesman said. under the proposal in the bill, offshore funds, i. e. non - resident entities which can be individuals, partnerships, trustees of trust estates or corporations administering a fund, are exempt from tax in respect of profits derived from dealings in securities, dealings in futures contracts and leveraged foreign exchange trading as defined in the securities and futures ordinance cap

    根據草案中的建議，離岸基金，即指非居港的實體可以是管理基金的個人合信託產業的受託人或法團，在香港進行按證券及期貨條例第571章所界定的證券交易期貨合約交易及杠桿式外匯交易而獲得的利潤，可獲豁免繳稅。
  10. In the interest of public order, section 4 ( 17 ) ( i ) of summary offences ordinance ( cap 228 ) states that any person who organises, provides equipment for, or participates in any collection of money or exchange for donation of badges, token or similar articles in a public place for charitable purpose, is required to apply for psp from dsw. besides, ctel is empowered to issue lottery licence to those who wish to organise lottery activities under the gambling ordinance ( cap148 ). the ordinance also specifies the conditions which the applicants and holders of the lottery licence must observe

    （二）基於公共秩序理由，香港法例第228章《簡易程序治罪條例》第4 （ 17 ） （ i ）條規定，若任何人士在公眾地方為慈善用途而進行籌款活動，或售賣徽章、紀念品或類似物件的活動，須向社署署長申請公開籌款許可證。此外，影視處處長可根據《賭博條例》 （第148章）發出牌照，批準籌辦及售賣獎券。條例載述了申請或持有獎券活動牌照人士須履行的條件，而影視處處長還訂立了一些附加條件以規管在公用街道售賣獎券活動彩票。
  11. The securities will not be and have not been registered under the u. s. securities act of 1933 and may not be offered or sold in the united states absent registration or an applicable exemption from registration requirements

    該證券尚未並且將不會根據美國證券管理條例第1933條在美國登記。倘證券並無在美國登記或者獲得登記豁免，任何人不得在美國邀約購買或出售證券。
  12. Then, this paper empirically tested the validation and predictive accuracy of different var risk management model in the domestic financial market. finally, with the analysis of modem financial risk management development trend and the current domestic financial risk management situation, this paper made a prospect for the application of this model in the construction of domestic financial risk management system. through the analysis, the main conclusions are as follows : ( l ) the traditional mean - variance model is the special example of the portfolio selection based on the var risk management model for the case that the returns of the portfolio are assumed to be normally distributed ; compared with the mean - variance model, the var risk management model is more comprehensive and accurate in the measurement of the portfolio risk, so based on the var model, the investors can allocate the asset more effectively. ( 2 ) the var risk management model can provide the timely and comprehensive risk information for the top risk manager, so it is very helpful to the improvement of total risk management efficiency. ( 3 ) based on the var model, the raroc performance valuation approach can reflect the real performance of the portfolio manager and provide the coherent standard for the allocation of risk limitation and the construction of the incentive compatibility constraint mechanism in the financial instiutions

    通過研究分析，本文主要得出如下結論： （ 1 ）傳統的markowitz均值? ?方差模型僅僅是在資產組合收益率正態分佈假設條件下基於var風險管理模型進行資產組合選擇的特例，與均值? ?方差模型中的方差風險度量方法相比， var風險管理模型能夠更全面、更貼切地衡量資產組合的風險，且基於此模型能夠更有效地進行資產配置決策； （ 2 ） var風險管理模型能夠滿足更高層次風險管理者對風險信息的需求，有助於整體風險管理效率的提高； （ 3 ）基於var風險管理模型的raroc績效評價能夠反映資產組合管理人的真實業績，從而為金融機構風險限額的分配和激勵約束機制的制定提供統一的標準； （ 4 ）國內證券市場資產組合收益率服從正態分佈的假設明顯不成立，實證檢驗表明基於資產組合收益率正態分佈假設條件下的方差? ?協方差模型對國內資產組合風險的預測存在較大的偏差，由於文中證明在收益率正態分佈假設條件下基於方差? ?協方差模型進行資產組合選擇的結果等價于markowitz的均值? ?方差模型，因此，均值? ?方差模型對國內資產組合風險的預測同樣會存在著較大的偏差，而半參數var風險管理模型則能夠取得較好的預測衡量效果； （ 5 ） var風險管理模型符合未來金融風險管理的發展趨勢，基於var風險管理模型建立內容提要風險限額內控體系、風險信息披露體系和業績評價體系，並進行金融監管，將有助於國內金融機構內部風險管理方法和外部監管技術跟上國際金融風險管理的發展潮流。
  13. Article 128 a securities firm shall derive for a trading risk reserve from its annual after - tax profits to make up losses from securities trading. the specific percentage for such derivation shall be prescribed by the securities regulatory authority under the state council

    第一百二十八條證券公司從每年的稅后利潤中提取交易風險準備金，用於彌補證券交易的損失，其提取的具體比例由國務院證券監督管理機構規定。
  14. Related regulations and laws in china in china, regulations and laws related to backdoor listing include " company and corporation law ", " securities law ", " stock offering and trading management regulations ", etc. in addition, it is reported that another related regulation named " detailed rules on merger and acquisition " is being drafted

    六、買殼上市的相關腿問圖目前，我國有關上市公司收購行為的法律、法規主要有《公司法》 、 （股票發行與交易管理暫行條例》以及1999年7月ir開始施行的《證券法》 。在《證券法》施行之後， 《股票發行與交易管理暫行條例》中與《證券法》相抵觸的內容便失去法律效力，不相抵觸的內容，可以繼續執行。
  15. Was signed by the hkma, the mandatory provident fund schemes authority, the sfc and the insurance authority in 2004

    在《證券及期貨條例》實施后，金管局、強制性公積金計劃管理局、證監會及保險業監督在2004年訂立經修訂的
  16. The bank is a deemed registered institution under the securities and futures ordinance cap. 571 " sfo " permitted to carry on type 1 dealing in securities, type 4 advising on securities and type 9 asset management regulated activities

    根據證券及期貨條例第571章證券及期貨條例本行乃被視為一家注冊機構，獲準經營第1類證券買賣第4類就證券提供意見及第9類資產管理受規管活動。
  17. A hong kong monetary authority hkma spokesperson said that the bill would introduce changes to the banking ordinance corresponding to the new licensing regime being introduced for securities and futures commission licensees under the securities and futures bill sf bill

    香港金融管理局金管局發言人表示，條例草案將會就銀行業條例引入修訂條款，以配合證券及期貨條例草案向證券及期貨事務監察委員會證監會持牌人推行的新監管制度。
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