securities and exchange law 中文意思是什麼

securities and exchange law 解釋
有價證券和交易法
  • securities : 期貨
  • and : n. 1. 附加條件。2. 〈常 pl. 〉附加細節。
  • exchange : vt 1 (以某物與另一物)交換,調換 (for) 2 互換,交流,交易。3 兌換。 vi 1 兌換 (for) 2 交換;...
  • law : n 勞〈姓氏〉。n 1 法律,法令;法典。2 法學;訴訟;司法界;律師(界),律師職務。3 (事物或科學的...
  1. Insider trading is a byproduct during the process of securities exchange and generally refers to those securities dealings made by the person precribed by the law for the purpose of obtaining benefits or decreasing economic loss according to the information not yet publicized by issuers but significant enough to influence prices of securities he possesses or made others do so. it was bitterly hated and cursed from its first appearance

    證券內幕交易是隨著證券交易的產生而產生的,是指法律規定的有關人員(內幕人員)為了獲得利益或減少損失,在其掌握的證券內幕信息尚未公開前,自己或使他人對相關證券進行的或買或賣的行為。從證券內幕交易一出現,就為人們所深惡痛絕。
  2. Article 19 a stock exchange shall, in accordance with the provision of article 154 of the law, lodge in the amount of fifty million nt dollars at one time as the compensation reserve and shall, within fifteen days after the end of each quarter, continue to lodge in the amount of twenty percent of the income of securities transaction charges

    第19條證券交易所應依本法第一百五十四條規定一次提存新臺幣五千萬元作為賠償準備金;並於每季終了后十五日內,按證券交易經手費收入之百分之二十,繼續提存。
  3. Notwithstanding condition 5. 4, unless and until the bank receives any instructions to the contrary, the bank shall be authorised to present to the extent that the bank has actual notice thereof for payment all securities which are called, redeemed or retired or otherwise become payable and all coupons and other income items held by it for the account of the customer which call for payment upon presentation and shall hold such cash as is received by it upon such payment for the account of the customer ; hold for the account of the customer hereunder all stock dividends, rights and similar securities issued with respect to any securities held by it hereunder ; exchange interim receipts or temporary securities for definitive securities and hold such definitive securities for the account of the customer ; and deduct or withhold any sum on account of any tax required, or which in its view is required to be deducted or withheld or for which it is in its view, liable or accountable, by law or practice of any relevant revenue authority of any jurisdiction

    盡管有第5 . 4 a條之規定,除非及直至本行收到任何相反之指示,本行將被授權i只限於本行有實際通知之范圍內把所有被催交贖回或收回或其他成為應支付之證券及所有息票及由本行代客戶之賬戶而持有並在出示時成為應付的其他收入項目出示以取得付款,及在取得該付款後代客戶之賬戶持有該些現金ii在此等條件下代客戶之賬戶持有一切就本行在此等條件下所持有的任何證券而發行之股票股息優惠認股權證及類似證券iii以中期收據或臨時證券兌換正式證券及為客戶之賬戶持有該正式證券及iv扣減或預扣任何稅務規定之款項或本行認為須扣減或預扣之款項或本行認為根據任何司法管轄權區之任何有關稅務機構之法律或慣例須支付或負責之款項。
  4. The securities and exchange law requires the classification of securities firms into securities underwriters, propriety traders, and securities brokers. amongst which, securities underwriters conducts business in the primary markets, while propriety traders and securities brokers engage in secondary market businesses such as propriety trading and securities brokerage services

    證券交易法第六條對有價證券有明文定義同法第十六條更明文將證券商劃分為承銷商自營商及經紀商,其中承銷商即是從事初級市場業務,自營商及經紀商則是從事自營買賣及居間行紀等次級市場業務。
  5. The book covers a wide range of laws and regulations affecting practice in these areas, including in particular : companies ordinance ; banking ordinance ; securities and future ordinance and related subsidiary legislation ; exchange listing rules ; takeovers code, insurance ordinance ; as well as various other ordinances and applicable common law and market practices

    而書中所探討的法例也相當廣泛,包括公司條例銀行條例證券及期貨條例及其他相關的輔屬法例等。此書可謂從事金融界別人士的必讀讀物。
  6. Livedoor executives are suspected of violating the securities exchange law by window - dressing the accounts of group companies and providing false information to manipulate the market

    活力門高管人員涉嫌違反證券法,粉飾集團公司會計賬目,並提供虛假信息以操縱市場。
  7. An application for the listing of any securities shall be filed with a stock exchange and shall be subject to the examination and approval of the stock exchange according to law and a listing agreement shall be reached by both parties

    申請證券上市交易,應當向證券交易所提出申請,由證券交易所依法審核同意,並由雙方簽訂上市協議。
  8. The responsible people of a stock exchange or a securities registration and account balancing institution, or the directors, supervisors, or managers of a stock exchange who have been removed from office due to practices in violation of the law or of discipline, and it has been less than five years since the day of their removal

    (二)因違法行為或者違紀行為被撤銷資格的律師、注冊會計師或者法定資產評估機構、驗證機構的專業人員,自被撤銷資格之日起未逾五年。
  9. Earlier in the day, representatives from the senate and house, the securities and exchange commission, and the new york and nasdaq stock exchanges discussed how the new corporate governance law ? the sarbanes - oxley act of 2002 ? is being implemented by the regulatory bodies

    會議開始時,來自參眾兩院、證券與交易委員會、紐約證券交易所和納斯達克的代表討論了2002年薩本茵斯奧克斯萊法案在監管機構的實施情況。
  10. The main tort activities in the securities market can be classified as follows : 1 ) falsified or misleading information on important omissions that result in losses for investors during securities transaction ; 2 ) manipulation of securities market ; 3 ) securities exchange personnel with inside information ; and 4 ) issuance of securities to the public without prior approval by authorized body according to law

    《證券法》中的證券侵權行為包括虛假陳述,誤導、重大遺漏,操縱市場,內幕交易,發行人擅自發行證券等。產生民事侵權責任的構成要件是:首先,有侵權行為存在,即存在虛假陳述,誤導、重大遺漏行為,操縱市場行為,內幕交易行為和發行人擅自發行證券行為。
  11. But related transactions happen between special parties which have controlling and affecting relevant relations, when lacking of correspond regulations of law, in order to buck for some unfair interests, related parties and listed companies are usually apt to distort terms of exchange, which making the related transactions unfair. unfair related transactions will affect the interests of our country, minor stockholders and creditors, will affect the achievements and long - term development of the listed companies, indee d will affect the healthy and normative development of the securities market

    但是關聯交易發生在彼此存在控制與被控制、影響與被影響的關聯關系的特定主體之間,若缺乏相應法律監管和機制監管,為謀求一些不正當的利益,關聯人和上市公司往往容易扭曲交易條件,會造成公司關聯交易的不公正,從而影響到了國家、少數股東、債權人的利益以及上市公司自身的業績和長遠發展,甚至會影響證券市場的健康、規范發展。
  12. The regulations on trading and settlement are all listed on " roc over - the - counter securities exchange criteria governing review of securities traded on over - the - counter markets " and investors may search relative regulations by clicking " law inquiries " under gtsm website

    有關債券市場之交易給付結算及管理等具體規定,皆列于證券櫃臺買賣中心證券商營業處所買賣有價證券業務規則及其他相關法規中,投資人可在本中心網站查詢或逕洽本中心。
  13. Except for the historical information contained herein, the statements made in this web site constitute forward - looking statements within the meaning of section 27a of the securities act of 1933 and section 21e of the securities exchange act of 1934 under u. s. federal law

    除本條款所含的過往資訊外,本網站所作的聲明為1933年證券法第27條a和1934年證券交易法第21條e所述的前瞻性聲明。
  14. Article 1 these regulations are prescribed pursuant to paragraph 2 of article 18 - 2 of the securities and exchange law

    第1條本辦法依證券交易法第十八條之二第二項之規定訂定之。
  15. Article 1 these regulations are prescribed in accordance with article 93, article 99, article 102, article 137 and article 154 of the securities and exchange law ( hereinafter " the law " )

    第1條本規則依照證券交易法(以下簡稱本法)第九十三條、第九十九條、第一百零二條、第一百三十七條及第一百五十四條之規定訂定之。
  16. Yet neither the fsa nor the securities and exchange surveillance commission ( sesc ), the part of the agency that oversees securities markets, would have been able to punish offenders, had they found any, because the law empowers neither to do so

    但是金融服務社跟證券交易監督委員會(監管證券市場的分支機構)就算真的找到證據也沒有辦法處理違法者,因為法律並不賦予他們這么做的權利。
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