licensed securities 中文意思是什麼

licensed securities 解釋
持牌證券
  1. A cash account not involving securities borrowing and lending is available from most of licensed or registered persons

    大多數持牌人或注冊人均提供不涉及證券借貸的現金帳戶。
  2. A registered representative is someone who is licensed by the securities and exchange commission and the new york stock exchange to act as an account executive ( ae ) for clients of brokerages

    注冊代理人是證券交易委員會和紐約證券交易所授權為客戶從事經紀業務的經紀人。
  3. 11 a cash account not involving securities borrowing and lending is available from you and most licensed or registered persons

    閣下及大多數持牌人或注冊人均提供不涉及證券借貸的現金帳戶。
  4. To uphold one of the primary objectives of the sfo of maintaining a level playing field for all securities intermediaries, the guideline sets out clearly that the hkma will remain the front - line supervisor of registered ais, which are required to comply with standards equivalent to those applied by the sfc to licensed securities brokers in relation to their regulated activities

    為配合證券及期貨條例其中一個主要目的，即維持讓所有證券業中介人公平競爭的市場環境，指引清楚說明金管局仍然是獲注冊的認可機構的前線監管者，而這些機構必須遵守證監會就持牌證券經紀的受規管活動所實施的同等標準。
  5. But an authority may be required by the licensed or registered persons, for example, to facilitate margin lending to you or to allow your securities or securities collateral to be lent to or deposited as collateral with third parties

    然而，持牌人或注冊人可能需要授權書，以便例如向你提供保證金貸款或獲準將你的證券或證券抵押品借出予第三者或作為抵押品存放于第三方。
  6. 2. mr chow was a representative accredited to wing lung securities limited and wing lung futures limited, licensed and approved as a responsible officer to carry on type 1 dealing in securities and type 2 dealing in futures contracts regulated activities

    2 .周曾經是隸屬于永隆證券有限公司及永隆期貨有限公司的代表，及曾獲發牌及核準為進行第1類證券交易及第2類期貨合約交易受規管活動的負責人員。
  7. 4. mr tam is a representative accredited to wing lung securities limited and wing lung futures limited, licensed and approved as a responsible officer to carry on type 1 dealing in securities and type 2 dealing in futures contracts regulated activities respectively

    4 .談現時是隸屬于永隆證券有限公司及永隆期貨有限公司的代表，並獲發牌及核準為進行第1類證券交易及第2類期貨合約交易受規管活動的負責人員。
  8. If your securities or securities collateral are received or held by the licensed or registered person in hong kong, the above arrangement is allowed only if you consent in writing

    假如你的證券或證券抵押品是由持牌人或注冊人在香港收取或持有的，則上述安排僅限於你已就此給予書面同意的情況下方行有效。
  9. An sfc investigation subsequently revealed that, between april 2003 and may 2004, ho was an assistant manager supervising the san po kong sub - section of the securities department of wing lung bank. he and his two subordinates were not licensed by the sfc for dealing in futures contracts

    證監會的調查其後發現，在2003年4月至2004年5月期間，何是監督永隆銀行證券部新蒲崗分組的助理經理，他與兩名下屬並無獲證監會發牌進行期貨合約交易。
  10. Although the licensed or registered person is responsible to you for securities or securities collateral lent or deposited under your authority, a default by it could result in the loss of your securities or securities collateral

    雖然有關持牌人或注冊人根據你的授權書而借出或存放屬於你的證券或證券抵押品須對你負責，但上述持牌人或注冊人的違責行為可能會導致你損失你的證券或證券抵押品。
  11. Securities and futures contract notes, statements of account and receipts amendment rules 2006 the amendment rules amend the principal rules to impose additional disclosure requirements in monthly client statements on any intermediary which is licensed for securities margin financing or dealing in securities where such intermediary or an associated entity of such intermediary has repledged securities collateral

    2006年證券及期貨成交單據戶口結單及收據修訂規則修訂規則修訂主體規則，以規定凡獲發牌進行證券保證金融資或證券交易的中介人或該中介人的有聯系實體再質押證券抵押品，即須對該中介人施加在客戶月結單內作出額外披露的規定。
  12. It will increase the amount of hkd liquidity that can be obtained by licensed banks through the discount window by temporarily removing existing restrictions and the hkma accepting a wider range of debt securities as eligible collateral

    擴大貼現窗的操作，暫時撤銷現時對貼現窗的若干限制。同時，金管局會接納更多債務證券為合資格抵押品，使持牌銀行可以透過貼現窗獲取更多的港元流動資金：
  13. He is a licensed mpf intermediary and a securities and futures commission registered dealer s representative

    陳氏為認可強積金中介人及香港證監會注冊交易商代表。
  14. Code of conduct for persons licensed by or registered with the securities and futures commission

    證券及期貨事務監察委員會持牌人或注冊人操守準則
  15. Is the client a licensed corporation registered with the securities and futures commission

    客戶是否證券及期貨事務監察委員會之持牌法團
  16. The same transitional arrangements applied to securities brokers, which could carry on regulated activities as deemed licensed corporations

    上述過渡安排同樣適用於證券經紀，後者可以當作持牌法團的身分進行受規管活動。
  17. The financial intermediary must be an authorized institution as defined in the banking ordinance or a licensed corporation licensed to perform type 1, 4 or 9 regulated activities under the securities and futures ordinance

    金融中介機構必須是《銀行業條例》訂明的認可機構或根據《證券及期貨條例》獲發牌以進行第1 、 4或9類受規管活動的持牌法團。
  18. If there shall be any conflict between these conditions and any other terms and conditions governing services, facilities and products of the bank which specifically concern the code, the code of conduct for persons licensed by or registered with the securities and futures commission as amended from time to time or any explanatory notes or other general descriptive information about the bank s services, these conditions shall prevail

    若此等條件與任何其他規限本行之服務貸款便利及產品而明確地與營運守則及適用於證券及期貨事務監察委員會持牌人或注冊人的管理監督及內部監控指引經不時修訂有關之任何條款及條件，或與有關本行服務之任何摘要說明或其他一般描述或說明資料有任何沖突，概以此等條件為準。
  19. The 366 reporting institutions comprised 177 licensed banks, 66 restricted licence banks, 111 deposit taking companies and 12 securities houses

    這次調查共有家申報機構，計為家持牌銀行家有限制牌照銀行家接受存款公司，以及家證券行。
  20. There is risk if you provide the licensed or registered person with an authority that allows it to apply your securities or securities collateral pursuant to a securities borrowing and lending agreement, repledge your securities collateral for financial accommodation or deposit your securities collateral as collateral for the discharge and satisfaction of its settlement obligations and liabilities

    向持牌人或注冊人提供授權書，容許其按照某份證券借貸協議書使用你的證券或證券抵押品、將你的證券抵押品再質押以取得財務通融，或將你的證券抵押品存放為用以履行及清償其交收責任及債務的抵押品，存在一定風險。
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