證券中介人 的英文怎麼說

中文拼音 [zhèngquànzhōngjièrén]
證券中介人 英文
bill broker
  • 證 : Ⅰ動詞（證明） prove; verify; demonstrate Ⅱ名詞1 （證據） evidence; proof; testimony; witness 2 （...
  • 證券 : bond; security; negotiable securities
  1. As to the doctrine of liability fixation the author thought that, in line with the duty of care of different subject of misrepresentation, ve should built three different standards consequently which were strict liability, fault liability liability on willfulness. as to cautionary relation, this thesis maintained that it could be classified into cautionary relation on transaction and cautionary relation on loss, and that the former was the fast knot on the question of cautionary relation on civil responsibility of misrepresentation, and that we should built presumptive rule on cautionary relation referring to the relative institute of america

    關于歸責原則，作者認為應當根據不同虛假陳述主體對信息披露所負的注意義務提出嚴格責任、過失責任和故意責任三個相應歸責標準，其中，嚴格責任適用於證券發行人，過失責任適用於除發行人之外的其他所有信息披露文體，故意責任適用於中介機構承擔連帶這種特定情形。損害後果作為虛假陳述的必備要件之一，僅限於財產上的損害。對于因果關系，文章將其分為交易的因果關系和損失的因果關系，認為前者是虛假陳述民事責任因果關系的癥結所在。
  2. During the period of the creation and marketing, the main mechanisms connected with mbs include : the creator, the medium mechanism established for issuing security, the mechanism strengthening the credit of security, the mechanism rating the credit of security, the mechanism taking charge of mbs, the investing mechanism

    從住房抵押貸款證券的創造到上市交、易，期間與之發生聯系的各類機構主要包括：抵押貨款創造者、為發行抵押貨款證券而成立的中介機構、信用強化機構、信用評級機構、證券承銷商、金融監管機構、投資機構（或個人） 。
  3. 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。
  4. Apart from the profile provided by the office of the privacy commissioner for personal data ( pco ), which tells you briefly about tang s background ? a solicitor - turned barrister and former chief counsel of the securities and futures commission with nearly 35 years of experience in the practice of law, tang prefers to tell you what " privacy " is about rather than anything personal

    除了由個人資料私隱專員公署所提供之簡介中可略知鄧的背景由事務律師轉為訟務律師及前香港證券及期貨事務監察委員會首席律師，擁有接近35年法律經驗，鄧聲明只願談私隱，不談私事。
  5. Subject, the stock supervising bodies, mecum agencies, news agencies and public investors, etc. should manage together ; methodically, direct measures should be done step by step to strengthen supervisions and check up strictly firstly in prevention, secondarily in self - discipline ; approachfully, we must settle the relationships among the morality discipline, social supervision and legal means paying more attention to the use of legal means, enlarging the investigation of legal responsibility of insider trading. particularly, we should develop the positive ness of investors and give emphasis on the civil rights relief of public investors

    從主體上看，應當發揮證券監管機關、社會中介組織、新聞媒體、公眾投資者等各個方面力量，齊抓共管；從方法上看，應分階段採取有針對性的措施，以預防為主，自律為輔，加強監管，嚴厲查處；從手段上看，一定要處理好道德自律、社會輿論監督與法律手段之間關系，更加重視對法律手段的運用，加大對內幕交易行為人法律責任的追究，特別是應調動投資者積極性，更加註重公眾投資者的私權救濟。
  6. The first charter : the article explains the basic category of insider trading, the insider trading ( insider human ' s trading ) is a type of the error deed. the writer observed the deeds of insider trading in chinese securities market and revealed the characteristics of insider trading. that the government intervenes the insider trading turns to a trend, but it does n ' t mean the theory has been solved

    第一部分，文章介紹了內幕交易的基本范疇，內幕交易又稱內部人交易，是一種獨特的不正當交易行為，通過對我國證券市場內幕交易行為的透視，揭示了我國證券內幕交易行為的特點，特別是央視《經濟半小時》記者對著名經濟學家吳敬鏈先生的采訪報道后，中國證券市場愈演愈烈的內幕交易和操縱股價行為給世人以深刻的震撼力。
  7. The repledging limit applies when an intermediary or an associated entity of such intermediary repledges securities collateral of the intermediary

    凡中介人或該中介人的有聯系實體再質押該中介人的證券抵押品，該再質押上限即適用。
  8. The third chapter discusses the subject responsible for false statement in issuing securities, from issuers, sponsors, listed companies, securities underwriters, professional public intermediary organizations to persons responsible in involved units

    第三章承擔證券發行虛假陳述民事責任的主體。主體有發行人、發起人、上市公司；證券承銷商；專業中介機構；有關單位負有責任人員。
  9. Citic first broached the subject of renegotiating the stake it would take in bear last november following a precipitous drop in the us bank ' s shares, according to people familiar with the matter

    據知情人士介紹，去年11月，在貝爾斯登股價出現驟跌后，中信證券首先提出重新討論它將在這家美國投行持有的股份。
  10. 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。
  11. 6 the relevant staff members of public intermediary organizations who participate in securities trading pursuant to their statutory duties and the relevant staff members of securities registration and clearing institutions and securities trading service organizations ; and

    六由於法定職責而參與證券交易的社會中介機構或者證券登記結算機構證券交易服務機構的有關人員
  12. In the more complicated cases of the debt and equity markets, where the investors actually take on the risk of the fund raisers, the roles of the financial intermediaries include the creation of the financial instruments in the primary markets the stock exchange and the underwriters of new share issues and the brokering of transactions in these instruments in the secondary markets the brokers and the market makers

    至於在較復雜的債市及股市，投資者直接承受集資者的風險，金融中介人的角色則包括在第一市場創造金融工具即作為證券交易所及新股上市的包銷商，以及在第二市場促成這些工具的交易即作為經紀及市場莊家。
  13. The major views include the following : ( 1 ) securities companies have experienced three stages involving rudiment, high - speed development and standardized development. ( 2 ) the competition between securities companies is becoming ever - increasingly fierce, but remaining relatively stable. the concentration degree of securities business remains to be heightened in comparison with foreign counterparts

    主要觀點有: 1 、券商的發展經歷了萌芽、高速發展及規范發展三個階段; 2 、券商之間的競爭日趨激烈，但比較穩定，與國外券商相比，證券業的集中度還有進一步提高的餘地; 3 、券商的經濟職能是媒介資金需求和優化資源配置、構造證券市場、促進購並重組; 4 、券商存在的問題主要是規模小、業務差異化程度小、法人治理結構不完善等。
  14. An intermediary between an issuer of debt securities and the investors. investment banks usually charge a fee for this service

    債務證券發行人和投資者之間的中介。通常投資銀行為這項服務收費。
  15. Part three was the discovery on the questions about system of relief on substantial law from the point of judicial practice which included four parts. in the first part, this article held that the proper defendant should including issuer of securities, initiator of securities, directors, supervisors and managers of issuer, securities dealer and its high official, intermediary " organization and its liable person, and securities supervision commission and that each kind of the said persons have their own grounds for exemption

    正文第三部分主要是從司法實踐角度來研究虛假陳述實體法救濟制度諸問題，包括四部分內容:一是賠償義務主體的范圍及抗辯理由。關於前者，本文從比較法角度提出責任主體應包括證券發行人，證券發起人，發行人的董事、監事和經理，證券承銷商及其高級管理人員，證券中介機構及其責任人員以及中國證監會，並一一分析其具體范圍及可行性問題。
  16. Among these irregular behaviors, there exist some things much the same, like overdrawing fund, legal persons exchanging stock in name of individual, intermediary institutions putting forward fabricated certifications, listed companies showing fabricated financial statements and market controlling, issuing stock by chief, exchanging stock irregularly, expanding fabricated information, etc. nearly twenty accounting rules have been decreed so far since the first accounting rule was declared in 1997 in china

    中國證券市場出現的違法、違規行為具有一定的同質性，主要表現為透支挪用資金、法人投資者以個人名義炒股、中介機構出具虛假證明、披露虛假財務報表、市場操縱、欺詐發行、內幕交易、虛假消息等。我國自1997年公布第一個會計準則以後，至今為止已頒布了近20個準則，不斷修訂《公司法》 、 《證券法》等各種監督法規，但仍然無法徹底制止財務報告舞弊案例的發生。
  17. Securities and futures client securities amendment rules 2006 the amendment rules amend the principal rules for the purpose of imposing a repledging limit on intermediaries licensed for dealing in securities or securities margin financing

    2006年證券及期貨客戶證券修訂規則修訂規則修訂主體規則，對獲發牌進行證券交易或證券保證金融資的中介人實施再質押上限。
  18. Article l37 a securities firm that, in securities trading, buys or sells securities on behalf of its clients or operates as an intermediary is a securities broker with the status of a legal person

    第一百三十七條在證券交易中，代理客戶買賣證券，從事中介業務的證券公司，為具有法人資格的證券經紀人。
  19. In a survey conducted by the securities and futures commission ( sfc ) in 2002, 172 intermediaries registered with the commission and exempt persons declared their primary business as fund management

    根據證券及期貨事務監察委員會年內進行的調查，有172名在該會注冊的中介人及豁免注冊人士表示以基金管理（即管理投資組合及或提供投資建議）為他們的主要業務。
  20. Compliance with code of conduct and guidelines on conflict of interests matters by securities intermediaries

    證券中介人遵守有關利益沖突問題的操守準則及指引的情況
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