client securities 中文意思是什麼

client securities 解釋
客戶證券
  • client : n 1 訴訟[辯護]委託人；顧客，客人。2 〈古羅馬〉（依附貴族的）門客；受保護者，依附他人者。3 附庸國...
  • securities : 期貨
  1. 5 inveigling a client into making an unnecessary purchase or sale of securities in order to obtain a commission ; or

    五為牟取傭金收入，誘使客戶進行不必要的證券買賣
  2. Fairness, impartiality and openness is the spirit of the securities law. however, in the current chinese security market, the illegal behaviors like insider trading, false presentment, manipulation of market and cheating client etc are in vogue, which is a big gap to the spirit of securities law

    公正、公平、公開為證券法之精神，而在我國目前的證券市場中，內幕交易、操縱市場、虛假陳述、中介組織造假等違法行為橫行，與證券法之立法精神相差甚遠。
  3. Article 194 any security company handling brokerage business that accepts carte blanches of a client in buying and selling securities, or makes a commitment to the client on the returns on the buying and selling of securities or compensation for the losses in securities buying and selling shall be ordered to make a rectification and imposed a fine of more than rmb 50000 yuan less than rmb 200000 yuan

    第一百九十四條證券公司經辦經紀業務，接受客戶的全權委託買賣證券的，或者對客戶買賣證券的收益或者賠償證券買賣的損失作出承諾的，責令改正，處以五萬元以上二十萬元以下的罰款。
  4. The client by signing a " client agreement " with boom securities h. k. limited " boom " understand and accept that

    透過與寶盛證券（香港）有限公司（ " boom " ）所簽訂的"客戶協議"書，客戶清楚明白及知悉
  5. Structure financial instrument includes commercial mortgage - backed securities ( cmbs ), asset - backed securities ( abs ), real estate investment trusts ( reit ), and residential mortgage - backed securities ( cmbs ). according the research report of us, most of abs and mbs is floating interest rate, and credit rate is aaa and duration is short term. also, the structure of abs and mbs are different with different client requirement of cash flow

    在美國金融市場上的結構化金融產品包括個人住房貸款抵押支持證券（ rmbs ） 、商業貸款抵押支持證券（ cmbs ） 、債務抵押債券（ cdo ）和資產支持證券（ abs ） ，而abs主要包括信用卡應收賬款支持證券（ creditcardabs ） 、汽車貸款支持證券（ autoabs ） 、學生貸款支持證券（ studentloanabs ）和家庭財產支持證券（ homeequityloanabs ）等。
  6. Article 186 if a securities firm, in violation of the provisions of this law, sells for a client securities that are not actually in the client s account or provides funds for a client to purchase securities, its illegal gains therefrom shall be confiscated and a fine equal to the value of the securities illegally purchased or sold shall be imposed on it

    第一百八十六條證券公司違反本法規定，為客戶賣出其帳戶上未實有的證券或者為客戶融資買入證券的，沒收違法所得，並處以非法買賣證券等值的罰款。
  7. You do not have my / our written authority under section 7 ( 2 ) of the securities and futures ( client securities ) rules ( cap. 571 sub. leg. ) to apply any of my / our securities in question pursuant to a securities borrowing and lending agreement

    本人/吾等並無根據《證券及期貨（客戶證券）規則》 （第571章附屬條例）第7 （ 2 ）條以書面授權閣下根據證券借貸協議運用任可有關本人/吾等的證券。
  8. Goldman sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net worth individuals

    高盛是一傢具領導地位的國際投資銀行、證券及投資管理公司，為全球各地各行各業的重要客戶提供全方位金融服務，客戶包括企業、金融機構、政府和高資產值人士。
  9. 4 purchasing or selling securities in a client s account without the client s authorization, or purchasing or selling securities under the name of a client

    四私自買賣客戶帳戶上的證券，或者假借客戶的名義買賣證券
  10. Securities and futures client money rules securities and futures client money rules

    證券及期貨有聯系實體-通知規則
  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. Article 144 a securities firm and its employees may not, in private and not through the company s place of business established according to law, accept instructions from a client to purchase or sell securities

    第一百四十四條證券公司及其從業人員不得未經過其依法設立的營業場所私下接受客戶委託買賣證券。
  13. Article 196 any security company and any of its employees that accepts the entrustment of a client in private for the buying and selling of securities in violation of the provisions of this law shall be confiscated of the illegal income and concurrently imposed a fine of more than 100 % less than 500 % of the illegal income

    第一百九十六條證券公司及其從業人員違反本法規定，私下接受客戶委託買賣證券的，沒收違法所得，並處以違法所得一倍以上五倍以下的罰款。
  14. Article 196 if a securities firm or one of its employees, in violation of the provisions of this law, privately accepts instructions from a client to purchase or sell securities, the illegal gains shall be confiscated and a fine of not less than the amount of but not more than five times the illegal gains shall be imposed

    第一百九十六條證券公司及其從業人員違反本法規定，私下接受客戶委託買賣證券的，沒收違法所得，並處以違法所得一倍以上五倍以下的罰款。
  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. Securities and futures client securities rules

    證券及期貨客戶證券規則
  17. Then, this thesis had analyzed current demand from the securities companies and the feature of existing data, designed the granularity model, dimension model, system structure and function module of data warehouse for securities companies. the author had detailed demonstrated the designing and realizing of multi - dimension dataset, data conversion module, manage and control module, multi - dimensional analysis module, demonstrated the analysis result to client terminal with the example of client transaction analysis. so to provide quick and effective reports and analysis to the decision makers of securities companies in multiple aspects, and upgrade the company ’ s market reaction speed and competitiveness

    其次，根據對券商現有需求及現有數據特點的分析，對券商數據倉庫的粒度模型、維度模型、系統結構及功能模塊進行了設計，並以客戶交易分析主題為例詳細闡述了多維數據集的建立以及數據轉換模塊、管理控制模塊、多維分析模塊及多維數據前端展示的實現，從多角度、多方位為券商決策人員提供了快速有效的各種分析報表，提高了企業的市場反應速度和競爭力水平。
  18. Article 38. stock exchanges, securities companies, and securities registration and settlement institutions shall keep their client accounts confidential in accordance with the law

    第三十八條證券交易所、證券公司、證券登記結算機構必須依法為客戶所開立的帳戶保密。
  19. 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。
  20. Securities and futures client securities amendment rules 2006

    2006年證券及期貨客戶證券修訂規則
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