Glossary

（English to Chinese）
 目录
A .................................................................................................................... 3
B .................................................................................................................... 5
C .................................................................................................................... 6
D .................................................................................................................. 10
E .................................................................................................................. 12
F .................................................................................................................. 13
G .................................................................................................................. 15
H .................................................................................................................. 15
I ................................................................................................................... 16
J ................................................................................................................... 18
L................................................................................................................... 18
M ................................................................................................................. 19
N .................................................................................................................. 22
O .................................................................................................................. 22
P .................................................................................................................. 23
Q .................................................................................................................. 26
R .................................................................................................................. 26
S .................................................................................................................. 28
T .................................................................................................................. 31
U .................................................................................................................. 33
V .................................................................................................................. 34
W ................................................................................................................. 34
A

abnormal situation 异常事件

abnormal trading 异常交易

abnormal trading activities 异常交易行为

abnormality in funds 资金异常

abnormality in positions 持仓异常

account books 账册

account opening materials 开户资料

account reconciliation 对账

accounting firm qualified to provide

具有证券、期货相关业务资格的会计师事
services in the securities and futures
务所
industry

accrued interest 应计利息

acquired 收购

actual available margin paid with

有价证券作为保证金的实际可用金额
securities

actual control 实际控制

Actual Control Account 实际控制关系账户；实际控制账户

adjustment or revocation of
调整或者取消会员资格
membership

administration of industry and 工商行政管理部门

commerce

administrative penalty 行政处罚

administrative regulations 行政法规

affix with 加盖

afternoon session 第二节交易

alert by telephone 电话提醒

Ancillary Provisions 附则

application 申请报告

application for mediation 调解申请书

application for reconsideration 复议申请书

application form 资格申请表

application software 应用软件

arbitrage positions 套利持仓

arbitrage quota 套利额度

arbitrage trading code 套利交易编码

arbitration institution 仲裁机构

articles of association 公司章程

ask quantity 申卖量

asset management scheme of

证券公司资产管理计划
securities company

asset-liability ratio 资产负债比例

audio and video materials 视听资料

authorized trader 指定下单人

automatically offset 自动对冲平仓

available fund 可用资金

available funds 可动用资金

bank 银行业金融机构

bank transfer 银行扣划

bar from the market; market bar 市场禁止进入措施

base contribution amount (of the

结算担保金基数
Guarantee Fund)

Basic Guarantee Fund 基础结算担保金

basis point value 基点价值绝对值

benchmark contract 基准合约

benchmark index 基准指数

benchmark value 基准计算价值

best ask price 最低卖价

best bid price 最高买价

bid price 买入价

bid quantity 申买量

book-entry fixed-coupon China

记账式附息式国债
government bonds

branch office 营业部

branches 分支机构

brokerage or proprietary business 经纪或者自营业务

business days 工作日

business liaison 业务联络员

business license 业务许可

Business License 营业执照

business plan 业务计划书

business protocols 业务制度

business representative 业务代表

calendar spread arbitrage 跨期套利

call auction 集合竞价

capital adequacy ratio 资本充足率

cash and related markets 现货等市场

cash market 现货市场

Cash Multiplier 配比乘数

cash settlement 现金交割

cash-futures arbitrage 期现套利

cautionary interview 约见谈话

centralized trading 集中交易

channeling (funds) 套用

check 支票

China Central Depository &

中央国债登记结算有限责任公司
Clearing Co., Ltd.
China Futures Association 中国期货业协会

China Futures Market Monitoring

Center; China Futures Market 中国期货保证金监控中心

Monitoring Center Co., Ltd.

China government bond 国债

China government bond code 国债代码

China government bond depository 国债托管机构

China government bond futures

国债期货合约
contract

China government bond transfer

国债过户费
fees

China Securities Depository and

中国证券登记结算有限责任公司
Clearing Co., Ltd.

China Securities Index Co., Ltd. 中证指数有限公司

China Securities Regulatory

中国证券监督管理委员会
Commission

Chinese Mainland 中国境内

circuit breakers 熔断制度

clearing 结算

clearing (business/activities) 结算业务

clearing agreement 结算协议

Clearing and Delivery Personnel 结算交割员

Clearing and Delivery Personnel

结算交割员培训合格证书
training certificate
clearing and settlement statements 结算账表

clearing authorization 委托结算关系

clearing documents 结算资料

clearing institutions 结算机构

Clearing Member 结算会员

clearing relationship 结算关系

clearing reserve 结算准备金

clearing results 结算结果

clearing risk 结算风险

clearing risk management

结算风险管理制度
framework

client 客户

client number 客户号

client record 客户资料

close-out orders 平仓报单

closing price 收盘价

common guarantee fund 共同担保资金

common seal 单位公章

communication link 通信链路

compensation 补偿金

compensatory payment 差额补偿

compliance supervision 合法合规性管理

computer system 计算机系统

confidential information 商业秘密

contact person for technical

技术应急联系人
emergencies

continuous quote 持续报价

continuous trading 连续竞价

contract 合约

contract code 合约代码

contract months 合约月份

contract multiplier 合约乘数

contract name 合约名称

contract quota for nearby delivery

临近交割月份合约额度
month

contract value 合约价值

conversion factor 转换因子

cornering (a security) 囤积

credit standing 资信状况

credit voucher 贷记凭证

cross-product arbitrage 跨品种套利

CSDC Shanghai Branch 中国结算上海分公司

CSDC Shenzhen Branch 中国结算深圳分公司

CSI 500 Index 中证 500 股指

current cash balance 实有货币资金

D

daily clearing 每日结算

daily clearing 日常结算

daily delivery tenders 每日交割意向申报

daily information 每日信息

daily mark-to-market 当日无负债结算制度

daily settlement 当日结算

data links 数据链路

data security rules 数据安全管理制度

dedicated futures settlement

结算专柜
counter

Dedicated Guarantee Fund Account 结算担保金专用账户

dedicated line 专线

Dedicated Margin Account 专用资金账户

Dedicated Settlement Account 专用结算账户

dedicated staff 专人

deliverable China government

可交割国债
bond

delivery amount 交割金额

delivery date 交割日期

delivery fee 交割手续费

delivery payment 货款
delivery payment 交割货款

delivery tender; delivery intention 交割意向；交割意愿

delivery unit 交割单位

delivery-versus-payment (mode) 券款对付模式

depository 托管机构

Depository Account 托管账户

Depository Bank 存管银行

Depository Bank 期货保证金存管银行

deregistered 撤销

designated Depository Bank 指定存管银行

Designated Outlet 指定网点

detailed implementation rules 实施细则

Detailed Trading Rules of China

Financial Futures Exchange for 2- 中国金融期货交易所 2 年期国债期货合约

Year China Government Bond 交易细则

Futures Contract

development of value-added
增值开发
services

Dial-up Access 拨号接入

differential compensation 差额补偿金

directors 董事

disciplinary actions; disciplinary

纪律处分
sanctions
disclose 披露

Discount Rate 折扣比率

Discounted Value 折后金额

distribution 传播

divert 挪用

documentary evidence 书证

documentations 凭证

documents 文件

domicile 住所

electronic data 电子数据

emergency 突发事件

emergency action 紧急措施

emergency drill 应急演练

emergency floor trader 应急交易人员

Emergency Response Outlet 应急网点

Emergency Trading Floor 应急交易厅

emergency trading seat 应急交易席位

emergency trading terminal 应急交易终端

employment terminated 离职

end user 终端用户

enter into 签订
enterprise legal person 企业法人

entity 单位

entry pass 出入证明

equity index 股票指数

equity index futures 股指期货

exchange of futures for physicals 期转现

exchange of futures for physicals 期转现交易

Exchange's system 交易所系统

Exchange's trading system 交易所交易系统

execution confirmation 成交回报

execution data 成交数据

execution price of buy order 买入成交价

execution price of sell order 卖出成交价

execution result 成交结果

Executive Committee of the Board

董事会执行委员会
of Directors of the Exchange

exercise style 执行方式

expert 鉴定人

expert opinions 鉴定意见

expiry month 到期月份

extraordinary situation 异常情况

F
face value 面值

FAK at the best price 最优一档即时成交剩余撤销指令

FAK at the five best prices 最优五档即时成交剩余撤销指令

feasibility analysis 可行性论证

feasibility report 可行性报告

fees 费用

fees; transaction fees; service fees 手续费

fill-and-kill 即时成交剩余撤销指令属性

fill-or-kill 即时全部成交或撤销指令属性

final settlement price 交割结算价

financial conditions 财务状况

financial disputes 账款纠纷

financial futures brokerage permit 金融期货经纪业务资格许可证明文件

financial product 金融产品

financial statements 财务报表

fiscal year 会计年度

fixed coupon rate; fixed-coupon 固定利率

force liquidation; force-liquidate 强行平仓

forced liquidation 强行平仓制度

forced position reduction 强制减仓制度

formal investigation 立案调查

frequently submits and cancels

频繁报撤单行为
orders

full inspection 全面检查

fund management company 基金管理公司

Funds Deposits 入金

funds transfer 资金划拨

Funds Withdrawals 出金

futures company 期货公司

Futures Margin Account 期货保证金账户

futures margin depository business 期货保证金存管业务

futures margin management

期货保证金存管制度
framework

futures margin safe deposit

期货保证金安全存管监控机构
monitoring agency

Futures Settlement Account 期货结算账户

futures trading information 期货交易信息

gateway 前置机

General Clearing Member 全面结算会员

General Institutional Client 一般单位客户

General Provisions 总则

Guarantee Fund 结算担保金

Guarantee Fund 结算担保金制度

H
have (the rights) 享有权利

hedging and arbitrage activities 套期保值与套利交易

hedging and arbitrage

套期保值和套利管理制度
management system

hedging plan 套期保值方案

hedging positions 套期保值持仓

hedging quota 套期保值额度

hedging trading code 套期保值交易编码

hierarchical risk management

分级负责
framework

high price 最高价

Hosted Access 托管集中接入

identification; identity document 身份证明（文件/材料）

illegal transfer of benefits 利益输送

immediately 立即

improper means 不正当手段

in a daily and chronological order 按日序时

in a separate account and

分账管理
segregated from all other funds

in an open, fair, and impartial

公开、公平、公正和诚实信用的原则
manner and with integrity
in good faith 诚实信用；诚实守信

index points 指数点

index product 指数产品

individuals qualified to engage in

期货从业人员
futures business

individuals who handle application

经办人
filing

information distribution service 信息传播服务业务

information licensing agreement 交易信息经营许可协议

information licensing agreement 信息经营协议

information security emergencies 突发信息安全事件

information service provider 信息服务机构

information services 信息服务业务

insider information 内幕信息

instrument 票据

instrument-based payment 票据支付

inter-city funds transfer system 异地资金划拨系统

Inter-Exchange Link Access 三所间接接入

internal compliance inspection 内部合规检查

internal measures 规章制度

investigation of violations 违规调查

investigator 调查人员
investor suitability regime 投资者适当性制度

IT Department 技术中心

joint testing 联合测试

judicial authorities 司法机关

judicial investigation 司法调查

LAN Access 局域网接入

large orders 大笔申报

large position reporting regime 大户持仓报告制度

larger-side positions 单向大边持仓

last price 最新价

last trading day 最后交易日

latest execution price 最新成交价

legal representative 法定代表人

licensed to engage in financial

金融期货经纪业务资格
futures brokerage activities

limit order 限价指令

limit up/limit down 价格波动限制

limit up/limit down 每日价格最大波动限制；涨跌停板制度；

 涨跌停板幅度

limit up/limit down price 涨跌停板价格

list of major shareholders 主要股东名册

listing benchmark price 挂盘基准价

listing exchange 上市交易所

long and short positions in the

same product or across specific 同品种、跨品种双向持仓

different products

long public holiday 国家法定长假

lot 手

low price 最低价

major violations 重大违法违规

malfunction 发生故障

manage entrusted assets in a

分户管理
separate account

margin account 保证金账户

margin call 追加保证金

margin call 追加保证金通知

margin requirement 保证金制度

margin standard 保证金标准

market data 行情
market data 交易行情

market data 市场行情

market maker 做市商

market maker agreement 做市商协议

market making (business) 做市交易

market making for mock trading 仿真交易做市

market making implementation

做市交易实施方案
plan

market opening and closing times 开市收市时间

market order 市价指令

market risk conditions 市场风险情况

market risk conditions 市场风险状况

Market to Limit at the best price 最优一档即时成交剩余转限价指令

Market to Limit at the five best

最优五档即时成交剩余转限价指令
prices

market-oriented information
以市场为导向的显示应用系统
display system

market-to-limit 即时成交剩余转限价

materials 资料

materials for preliminary review 预审材料

materials for technical preparation 技术准备材料

maturity date 到期日

medium-short-term 中短期
member 会员

member contact person system 会员联系人制度

member number 会员号

Member Service System 会员服务系统

membership 会员资格

membership registration form 会员入会登记表

membership registration form 会员入会信息登记表

merged 兼并

minimum execution quantity 最小成交数量

minimum trading margin 最低交易保证金

ministry-level rules 规章

misappropriate 占用

misconduct 不良行为

mock trade 仿真交易

monitoring center 监控中心

monitoring the safe deposit of

期货保证金安全存管监控
futures margin

monthly information 每月信息

monthly risk-based regulatory

月度风险监管报表
statement

morning session 第一节

morning session 第一节交易

Multiplier-Based Cap 最大配比金额

N

nationwide centralized bank-

全国集中式银期转账系统
futures transfer system

negative credibility record 不良诚信记录

net price 净价

new carrying member 移入会员

nominal coupon rate 票面利率

non-corporate Special Institutional

非法人客户
Client

non-delivery penalty 惩罚性违约金（交割）

non-futures-company 非期货公司

non-futures-company member 非期货公司会员

non-statutory disclosures 非法定披露信息

Notification of Forced Liquidation 强行平仓通知书

notional trading value 交易金额

notional value 成交金额；成交额

notional value of positions 持仓合约价值

offer price 卖出价

officer 高级管理人员

One-Sided Market 单边市

One-Sided Market 同方向连续涨跌停板单边无连续报价

open interest 持仓量

open interest 市场单边总持仓

open position in contract; open

未平仓合约
contract

opening price 开盘价

order 委托指令

order 指令

order confirmation 委托回报

order matching period 指令撮合时间

order submission period 指令申报时间

organization 机构

Organization Code Certificate 组织机构代码证

original member 移出会员

originally registered location 原登记备案地

other economic organization 其他经济组织

outlet 营业网点

over-the-counter trading 场外交易

own funds 自有资金

payables and receivables 资金收付

Pending Liquidation Quantity 申报平仓数量

perform (the obligations) 履行义务

personnel engaging in futures

期货业务人员
business

physical delivery 实物交割

physical evidence 物证

placement of orders in quick

密集申报
succession

pledge registration 质押登记

position limit 持仓限额

position limit 持仓限额制度

positions in cash 现金差价

positions in excess 超仓头寸

positions with level one profitability 第一级盈利持仓

positions with level three

第三级盈利持仓
profitability

positions with level two profitability 第二级盈利持仓

powers 职权

pre-arranged trade 对敲

premises 场地

prevail 为准

previous execution price 前一成交价

price changes 涨跌

price limits 价格限制制度

price limits 交易价格限制

price-time priority 价格优先、时间优先的原则

principal 负责人

principle of "substance over form" 实质重于形式的原则

private investment fund registered

with the Asset Management 经基金业协会备案的私募投资基金

Association of China

Private Network for Members;

会员专网
Private Network

processed results of value-adding

增值开发成果
development

product 交易品种

product code 交易代码

product quota 产品额度

professional personnel; employee 从业人员

profits and losses 盈亏

promissory note 本票

properly preserve 妥善保管（纸质文件）

proprietary-trading member 自营会员

protocols 工作制度

provisional 试行

provisional measures 临时处置措施

public censure 公开谴责

public holidays 国家法定假日

public interest 公众利益

punitive damages 惩罚性违约金（违规）

qualification to engage in futures

期货从业人员资格
business

Qualified Foreign Institutional

合格境外机构投资者
Investors

quarterly month 季月

quotation mode 报价方式

quotation unit 报价单位

random inspection 抽样检查

real-time execution confirmation

即时成交回报系统
system

real-time intra-bank transfer

行内实时汇划系统
system

real-time market data 即时行情

real-time market data 实时行情

real-time market data system 同步报价系统

re-assigned 离岗
receipt slip 进账单

receive 接受（交易所管理）

reconciliation statement 对账单

reconsideration 复议

reconsideration decision 复议决定

recuse 回避

redundancy requirements 冗余要求

registration application 备案申请书

regular mode 一般模式

regulatory authority 监管部门

regulatory cooperation mechanism 监管协作机制

regulatory measures 监管措施（监管机构）

regulatory watch list 监管关注名单

relay 转接

release (securities) from margin

解除质押
pledge

relevant agency 相关单位

Remote Direct Access 远程直接接入

rename 更名

reporting threshold 持仓报告标准

reprimand 通报批评

require an explanatory statement

限期说明情况
within a time period
requiring the close-out of positions
限期平仓
within a prescribed time period

requiring to report on a situation 报告情况

residual maturity 剩余期限

responsive quote 回应报价

right of recourse 追偿权

risk alert 风险提示

risk control records 风控记录

risk incident 风险事件

Risk Reserve 风险准备金

risk warning announcement 风险警示公告

risk warnings 风险警示制度

risk-based regulatory indicator 风险监管指标

risk-based regulatory statement 风险控制指标监管报表

risk-based regulatory statements 风险监管报表

risk-isolation mechanism 风险隔离机制

routine inspection 日常检查

rules of the Exchange 交易所规定

rules of the Exchange 交易所规则

safeguarding market order 维护市场正常交易秩序

seat; trading seat 席位

securities 有价证券

securities registration and clearing

证券登记结算机构
agency

self-regulation 自律监督管理

self-regulatory measures 监管措施（交易所）

self-regulatory measures 自律处罚

self-trade 自买自卖

seller trading margin 卖方交易保证金

serious violation 情节严重的

settlement and delivery 交割结算

settlement documents 结算单据

settlement method 交割方式

settlement price 结算价

settlement price 结算价格

settlement price on the preceding

上一交易日结算价
trading day

settlement seal 结算专用章

settlement statements 资金结算报表

Shareholder Meeting 股东大会

single-counted 单边

social security fund 社会保障类公司

software developer 软件开发公司

Special Clearing Member 特别结算会员

Special Institutional Client 特殊单位客户

specific notice 专用通知书

splitting of positions 分仓

SSE 50 Index 上证 50 股指

State organs and public institutions 国家机关和事业单位

statement of payments and receipts 收付款明细清单

statement on preparedness 准备情况说明书

statements of the parties involved 当事人陈述

static routing 静态路由

statistical documents 统计资料

statutory disclosures 法定披露信息

strike price intervals 执行价格间距

sub-contracting 转包

sub-leasing 转租

subsidiary account 明细账户

successive orders 连续申报

suitability regime for financial

金融期货投资者适当性制度
futures investors

supervise 督促

supervision 监督管理

supervision and inspection 监督检查

supervisors 监事

Supervisory Board 监事会

suspend the opening of new
暂停开仓
positions

suspend trading; interrupted 暂停交易

suspension or restriction of
暂停或者限制业务
business activities

system software 系统软件

technical failure 技术故障

technical system 技术系统

telecommunications lines 通讯线路

telecommunications system 通讯系统

test report 测试成绩单

testimony of witnesses 证人证言

the amount available for withdrawal 可出金额

the current deposit rate 同期银行活期存款利率

the Exchange's staff 交易所工作人员

the matching ratio between futures

资产配比要求
and underlying positions

threshold for the circuit breaker 熔断幅度

tick size 最小变动价位

tiered clearing system 分级结算制度

timely 及时
title defect 权利瑕疵

total face value 券面总额

total quarter-end client equity

每季度末客户权益总额情况表
information form

track record 经营历史

trading abnormality 交易异常

trading and clearing data 交易结算数据

Trading Clearing Member 交易结算会员

trading code 交易编码

trading code system 交易编码制度

trading day 交易日

trading direction (buy or sell) 买卖方向

trading hours 交易时间

trading information 交易信息

trading margin 交易保证金

Trading Member 交易会员

Trading Membership application

交易会员资格申请书
form

trading order 交易指令

trading price 交易价格

trading results 交易结果

Trading Rules (of the Exchange) 交易规则

trading unit 交易单位

trading volume 成交量

trading-related measures 交易管理办法

trading-related rules 交易管理规定

trading-volume-weighted average
按照成交量的加权平均价
execution price

transaction date 成交日期

transaction fees 交易手续费

transaction number 成交编号

transaction receipt 业务凭证

transaction record 成交记录

transcript 笔录

transfer of custody 转托管

transfer of positions 移仓

transmission 传输

trust company 信托公司

two-sided quote 双边报价

underlying 合约标的

underlying instrument 标的物

underlying securities 现货
unit loss 单位净持仓亏损

unit profit 单位净持仓盈利

unjustifiable delay 无故逾期

value-added information service 信息增值服务业务

Variation Guarantee Fund 变动结算担保金

verbal reminder 谈话提醒

violate the position limit 违规超仓

violation 违规案件

violation (of rules and regulations)

违规违约行为
and breach (of contract)

violation of laws and regulations;

违法违规
violation

wash trades 自买自卖

watch list 重点监控名单

whistleblowing tip 举报

witness 见证人

written admonishment 书面警示

written decision 处理决定书