registered securities 中文意思是什麼

registered securities 解釋
記名證券
  • registered : adj 登記過的，注過冊的；記名的；掛號的。 a registered design [trade mark] 注冊圖案[商標]。 a regi...
  • securities : 期貨
  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. Has a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter, suspended or terminated your employment for cause

    是否曾因某種原因被依法注冊的券商、經紀、投資顧問或承銷商暫時中止或永久終結工作？
  4. 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。
  5. On the basis of the results of securities registration and clearing, a securities registration and clearing institution shall confirm the fact that particular securities are held by particular holders and provide registered information on the holders of the securities

    證券登記結算機構應當根據證券登記結算的結果，確認證券持有人持有證券的事實，提供證券持有人登記資料。
  6. In accordance with the actual registrations of securities and settlement of stock transactions, securities registration and settlement organizations shall verify the amount of various securities held by securities owners and supply the registered list of securities owners

    證券登記結算機構應當根據證券登記結算的結果，確認證券持有人持有證券的事實，提供證券持有人登記資料。
  7. To qualify as a registered rep, a person must pass tests known as the series 7 and series 63 securities license exams

    只有通過證券經紀人考試和經紀人州政府法規考試才能成為合格的注冊代理人。
  8. 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。
  9. 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。
  10. That is why the first general principle in the securities futures commission s code of conduct has this to say : " in conducting its business activities, a registered person should act honestly, fairly, and in the interests of its clients and the integrity of the market "

    這亦是為何《證券及期貨業務監察委員會注冊人操守準則》的首要原則便列明：注冊人在經營其業務時應以誠實、公平和維護客戶最佳利益的態度行事及確保市場穩健操作。
  11. The legend indicates that the securities may not be resold in the marketplace unless they are registered with the sec or are exempt from the registration requirements

    協議指出，除非你與公司注冊法人在證券管理委員會一起登記，否則股票不可能在市場中轉售。
  12. Of the respective dates of the introduction of rules and codes of conduct by the securities and futures commission and the stock exchange of hong kong limited, which spell out clearly the principles and practices which registered stock brokers or their staff should follow when dealing in transactions either for their own accounts or for their clients

    證券及期貨事務監察委員會或聯合交易所從何時開始訂有規則及操守準則，清楚列明注冊證券商或其從業員在處理本身或其客戶的交易時應遵循的原則及做法
  13. It is a registered securities dealer in hong kong and its principal activity is securities brokering. it currently holds three trading rights of the stock exchange of hong kong ltd. " the exchange "

    該公司是本港的注冊證券交易商，其主要業務是提供證券經紀服務，現持有3個由香港聯合交易所有限公司聯交所發出的交易權。
  14. However, foreign securities and foreign securities related products may be registered in the manner provided in the agreement entered into between the custodian institution and the appointed foreign custodian institution

    但持有外國之有價證券及證券相關商品，得依基金保管機構與國外受?保管機構所訂契約辦理。
  15. 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。
  16. Y ltd. was incorporated in hong kong on 28 february 1989 and it is an associated company of x ltd. it is a registered dealer under the securities ordinance. it currently holds 5 trading rights of the exchange

    Y有限公司於1989年2月28日在香港注冊，它是x有限公司的相聯公司，按證券條例注冊為交易商，現持有5個由聯交所發出的交易權。
  17. The hkma, in supervising the securities business of these exempt dealers, applies standards that are equivalent to those imposed by the sfc on registered dealers

    金管局按照等同證監會對注冊交易商實施的標準，監管這些獲豁免交易商的證券業務。
  18. Of the securities business of authorized institutions that are " exempt dealers ". such institutions are exempt from the need to be registered under the securities ordinance and are not subject to the supervision of the

    金管局在2000年2月把證券業務審查專家小組的數目由1組增加至3組；這些小組負責對具有獲豁免交易商資格的認可機構的證券業務進行
  19. 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。
  20. It is the first sfc registered securities firm in the special administrative region to provide trading of both hong kong and u. s. listed shares, as well as hk - qualified mutual funds via the internet

    該公司是香港證監會持牌經紀，亦是香港特別行政區首間在證監會注冊，可以提供香港及美國上市股票買賣服務，以及透過網際網路提供香港認可互惠基金買賣服務的證券商。
分享友人
分享到 Line

分享到臉書