C

CAPI China Association for the Promotion of Investment
CASIF Chinese Association of Securities Investment Funds, The
CBO Collateralised Bond Obligation
CBOE Chicago Board Options Exchange
CBOT Chicago Board of Trade
CBRC China Banking Regulatory Commission
CCASS Central Clearing and Settlement System
CCP Central Counterparty
CCSD Conference of Central Securities Depositories
CDC China Governmnet Securities Depository Trust & Clearing Co. Ltd.
CDR China depository receipt
CEDEL Centrale de Livraison de Valeurs Mobilieres【Europe】
CEPA Closer Economic Partnership Arrangement
CFA Corporate Finance Association
CFTC Commodity Futures Trading Commission【US】
CGT capital gains tax
CHATS Clearing House Automated Transfer System
CHESS see Clearing House Electronic Subregister System【Australia】
CHIS see Computershare Hong Kong Investor Services Limited
CICPA see Chinese Institute of Certified Public Accountants
CIMA see Chartered Institute of Management Accountants
CIRC see China Insurance Regulatory Commission
CIS see collective investment schemes
CLO see Collateralised Loan Obligation
CME see Chicago Mercantile Exchange
CMU see Central Moneymarkets Unit【HKMA】
CNS see continuous net settlement
COD see cash on delivery
COP see Calculated Opening Price
CPI see Capital Protected Instrument
CPT see Continuous Professional Training
CSDCC see China Securities Depository and Clearing Corporation Limited
CSRC see China Securities Regulatory Commission

cabinet bid 微值入价；微值交易
cabinet trade 微值交易
Cadbury Committee【UK】 凯伯里委员会【英国】
Cadbury Report【UK】 凯伯里报告书【英国】
Calculated Opening Price (COP) 拟定开市价格
calendar spread【options】 跨期买卖【期权】
call market 短期同业拆放市场
call option 认购期权
call premium【bonds】 赎回溢价【债券】
call spread derivative warrant 跨价衍生权证
call warrant 认购权证；回购权证
call writer 认购期权沽出者
call-over 公开作价
cancelled share 注销股份
candlestick chart 阴阳烛图；烛柱图
capital account 资本账；资本项目*
capital adequacy 资本充裕程度
capital adequacy ratio 资本充裕/充足比率
capital adjustment 资本调整
capital appreciation 资本增值
capital expenditure 资本支出
capital formation 资本筹集；集资
capital gain 资本增值；资本增益
capital gains tax (CGT) 资本增值税；资本增益税
capital loss 资本亏损
capital market 资本市场
capital plus warrant 资本增值权证
capital preservation product 保本产品
Capital Protected Instrument (CPI) 保本证
capital reserve 资本储备
capital value 资本值
capitalisation 资本化；市值
capitalisation issue 资本化发行；资金股本化
capitalisation of interest 利息资本化
carried forward【accounting】 结转【会计】
cash alternative 现金选择
cash client 现金客户
cash commission rebate;
cash rebate 现金回佣
cash company 现金资产公司
cash flow 现金流向；现金周转
cash flow statement 现金流动表
cash market 现货市场
Cash Market Consultative Panel 现货市场咨询小组
cash marks 现金差额缴款
cash on delivery (COD) 货银对付；现金交收
cash prepayment service 款项预缴服务
cash price 现货价
cash settled ELI 以现金折算的息股证
cash settlement 现金交收
"Caveat Emptor" (let the buyer beware) 「买者自负」原则
CCASS/3 新一代中央结算系统
CCASS Depository 中央结算系统证券存管处
CCASS Guarantee Fund 中央结算系统保证基金
CCASS Internet System 中央结算系统互联网系统
CCASS Operational Procedures 《中央结算系统运作程序规则》
CCASS Participant & Designated Bank List 《中央结算系统参与者及指定银行名录》
CCASS Phone System 「结算通」电话系统
"cease and desist" order 「终止及停止」令
ceiling-floor agreement 上下限协议
censure 谴责；指责
Central Clearing and Settlement System (CCASS) 中央结算及交收系统（中央结算系统）
central counterparty (CCP) 中央结算对手
central depository 中央存管处
Central Moneymarkets Unit (CMU)【HKMA】 债务工具中央结算系统【金管局】
central nominee 中央代理人
central order book 中央买卖盘纪录
central transaction log 中央交易纪录
Centrale de Livraison de Valeurs Mobilieres (CEDEL)【Europe】 中央证券交收系统【欧洲】
centralised borrowing and lending system 中央股份借贷系统
certificate of incorporation 公司注册证书
certificate replacement service 补发证书服务
Certificate Treasury【Mainland China】 凭证式国库券【中国内地】
chain principle 连锁关系原则
Chamber of Hong Kong Listed Companies 香港上市公司商会
change of domicile 迁册
change of year end 更改财政年度结算日期
charge 抵押；押记；收费
charging structure 收费结构
chartered financial analyst 特许财务分析员
Chartered Institute of Management Accountants (CIMA) 特许管理会计师公会
CHATS Payment Instruction 票据交换所自动转账系统付款指示
Chicago Board of Trade (CBOT) 芝加哥期货交易所
Chicago Board Options Exchange (CBOE) 芝加哥期权交易所
Chicago Mercantile Exchange (CME) 芝加哥商品交易所
chief dealer 首席交易员
China Association for the Promotion of Investment (CAPI) 中国投资发展促进会
China Banking Regulatory Commission (CBRC) 中国银行业监督管理委员会（中国银监会）
China depository receipt (CDR) 中国预托证券；中国存托凭证*
China Government Securities Depository Trust & Clearing Co. Ltd. (CDC) 中央国债登记结算有限责任公司(中央国债登记结算公司)
China Insurance Regulatory Commission (CIRC) 　 中国保险监督管理委员会（中国保监会）
China International Economic and Trade Arbitration Commission 中国国际经济贸易仲裁委员会
China Securities Depository and Clearing Company Limited (CSDCC) 中国证券登记结算有限责任公司
China Securities Regulatory Commission (CSRC) 中国证券监督管理委员会（中国证监会）
China Securities Regulatory Commission Official Bulletin 【publication】 《中国证券监督管理委员会公告》【刊物】
China Stock Markets Web 中国证券市场网页
Chinese Association of Securities Investment Funds, The (CASIF) 中国证券业协会基金公会
Chinese Gold and Silver Exchange Society, The 金银业贸易场
Chinese Institute of Certified Public Accountants (CICPA) 中国注册会计师协会
Chinese News System 中文信息系统
Chinese Wall 职能划分制度；职能分管制度
churning 频密交易
circuit breaker 跌停板措施；自动暂缓交易机制
circuit fee 线路费
Circular on Provision of Financial Information on the Internet - Licensing Requirements【SFC】 有关在互联网上提供财经信息的通告 - 发牌规定【证监会】
claim notice 索偿通知
class action shareholder lawsuit 股东集体诉讼
claw back mechanism 回补机制
Clear Talk【publication】 《结算纵横》【刊物】
clearing 结算；清算*
Clearing Agency Participant【CCASS Participants】 结算机构参与者【中央结算系统参与者】
clearing agreement 结算协议书
Clearing Consultative Panel 结算咨询小组
clearing house 结算所
Clearing House Automated Transfer System (CHATS) 票据交换所自动转账系统
Clearing House Electronic Subregister System (CHESS)【Australia】 结算所电子附属登记系统【澳洲】
Clearing Participant【options trading】 结算参与者【期权买卖】
clearing price 结算价；清算价*
client account 客户户口
Client Identity Rule【SFC】 客户身分规则【证监会】
client margin 客户按金
client server architecture 客户服务器结构
client's agreement 客户协议书；客户合约
close out 平仓；结清
closed-end fund 闭端式基金
Closer Economic Partnership Arrangement (CEPA) 　 更紧密经贸关系安排
closing buy【options】 平买入仓【期权】
closing contract 平仓合约
closing price 收市价；收盘价
closing sale【options】 平卖出仓【期权】
closing stock 期末存货
closing transaction 平仓交易
closure of books; closure of register 暂停办理过户登记手续
cluster server 群集式服务器
Coalition on Service Industry【Hong Kong General Chamber of Commerce】 服务业联会【香港总商会】
Code of Banking Practice【HKMA】 《银行营运守则》【金管局】
Code of Best Practice 《最佳应用守则》
Code of Conduct 《操守准则》
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 《证券及期货事务监察委员会持牌人或注册人操守准则》
Code of Conduct for Share Registrars 【SFC】 　 《股份登记机构操守准则》【证监会】
Code of Conduct for Sponsors and Independent Financial Advisers 　 《保荐人及独立财务顾问的操守准则》
Code of Conduct Regulations 《专业操守规例》
Code on Investment-linked Assurance Schemes 《与投资有关的人寿保险计划守则》
Code on Pooled Retirement Funds 《集资退休基金守则》
Code on Real Estate Investment Trusts 《房地产投资信托基金守则》
Code on Share Repurchases 《公司购回本身股份守则》
（《股份购回守则》）
Code on Takeovers and Mergers 《公司收购及合并守则》
Code on Unit Trusts and Mutual Funds 《单位信托及互惠基金守则》
cold shoulder order 冷淡对待令
collateral 抵押品；担保物*
collateral eligibility 抵押品资格
Collateralised Bond Obligation (CBO) 债券抵押证券
Collateralised Loan Obligation (CLO) 贷款抵押证券
collateralised warrant 有抵押权证
collective investment fund 集体投资基金
collective investment scheme (CIS) 集体投资计划
Collector of Stamp Revenue 印花税署署长
co-manager 联席经办人
combination order 综合盘；组合盘
combined net tangible assets 合并有形资产净值
combo order 综合盘；组合盘
comfort letter 联系证明书；信心保证书
commercial paper 商业票据
commission rebate 佣金回扣；回佣
Commissioner of Insurance 保险业监理专员
Committee of Payment System【HKMA】 支付系统小组委员会【金管局】
Committee on Unit Trusts【SFC】 单位信托委员会【证监会】
commodities dealer 商品交易商
Commodities Trading Ordinance 《商品交易条例》
Commodity Exchanges (Prohibition) Ordinance 《商品交易所（禁止经营）条例》
Commodity Futures Trading Commission (CFTC)【US】 商品期货交易委员会【美国】
Common Collateral Management System 共同抵押品管理系统
common nominee 共享代理人
"common nominee" share certificate 「共享代理人」股票
Common Risk Management System 共同风险管理系统
communication status message line 通讯线路现况显示行
Companies (Amendment) Bill 2003 《2003年公司(修订)条例草案》
Companies (Summary Financial Reports of Listed Companies) Regulation 《公司(上市公司的财务摘要报告)规例》
Companies Registry 公司注册处
Company Bulletin Board【UK】 公司交易板【英国】
Compensation Committee 赔偿委员会
Compensation Fund Reserve Account 赔偿基金储备账
compliance officer【GEM】 法规主任【创业板】
composite order 综合盘；组合盘
composite risk 综合风险
composite table 综合表
composite trades 综合买卖
Comptroller of the Currency【US】 美元总会计长【美国】
compulsory buy-in 强制补购
Compulsory Stock Borrowing and Lending Service in CCASS 中央结算系统强制证券借贷服务
Computershare Hong Kong Investor Services Limited (CHIS) 香港中央证券登记有限公司
concentrated position 集中持仓量
concentration risk 集中风险
concentration risk adjustment 集中风险调整
concept stock 概念股
conditional agreement 有条件协议
conditional cash offer 有条件现金收购；有条件现金要约
Conference of Central Securities Depositories (CCSD) 中央证券存管处国际会议
Conflict Committee 利益冲突事宜委员会
connected person 关连人士
connected transaction 关连交易
consideration 代价；约价*
consideration issue 代价发行
consideration share 代价股份
consolidated financial statement 综合财务报表
consolidation 合并；整合
constitution 组织章程
construction-in-progress 在建工程
Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilising) Rules in relation to Recognition of Overseas Rules 　 《建议就认可海外规则修订〈证券及期货(稳定价格)规则〉咨询总结》
Consultation Conclusions on Proposals to Enhance the Regulation of Listing 《有关改善规管上市事宜的建议咨询总结》
Consultation Paper on a Proposed Operational Model for a Scripless Securities Market 　 《有关无纸化证券市场的建议运作模式的咨询文件》

Consultation Paper on Proposals for a Scripless Securities Market 　 《关于建立无纸化证券市场的建议的咨询文件》
Consultation Paper on Proposals to Enhance the Regulation of Listing 　 《有关改善规管上市事宜的建议咨询文件》
Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures 《为便利股份或债权证要约而就《公司条例》提出的修订建议咨询文件》
Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges 　 《与证券服务有关的收费及费用的良好披露指引草拟本咨询文件》
Consultation Paper on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Action On Behalf of a Company 　 《有关赋权证券及期货事务监察委员会代表公司提出衍生诉讼的建议咨询文件》
Consultation Paper on the Proposals to Enhance the Oversight of the Public Interest Activities of Auditors and Establish a Financial Reporting Review Panel 　 《有关建议加强监督核数师的公众利益活动及成立财务汇报检讨委员会的咨询文件》
Consultation Paper on the Regulation of On-Line Trading of Securities and Futures 《有关监管证券及期货的网上交易咨询文件》
Consultation Paper on the Regulation of Sponsors and Independent Financial Advisers 　 《有关对保荐人及独立财务顾问监管的咨询文件》
Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest 《关于处理分析员利益冲突的监管架构的咨询文件》
contested takeover 争夺式收购
contingent liabilities 或然负债
contingent order【LSE】 附带执行买卖盘【伦敦交易所】
contingent premium 或有保费
continuing connected transaction 持续关连交易
continuing obligation 持续责任
continuing operation 持续经营之业务
continuous auction 连续竞价
continuous net settlement (CNS) 持续净额交收
Continuous Professional Training (CPT) 持续专业培训课程
contra broker 对手经纪
contract multiplier 合约乘数
contract note 成交单；成交单据；买卖单据
contract size 合约股数
contract specifications 合约规格
contract unit 合约单位
contracted price 立约成价
contractual mutual fund 合约互惠基金
contrarian 逆向投资者
contribution 供款
control account 统制账户
controller workstation 中央控制工作站
controlling interest 控股权益
controlling shareholder 控股股东；控权股东
conversion【options】 变换交易【期权】
conversion ratio 换股比率
convertible bond 可转换债券；可换股债券
convertible note 可转换票据；可换股票据
convertible redeemable note 可转换可赎回票据；可换股可赎回票据
convertible securities 可转换证券；可换股证券
Co-ordinating Committee on Market Structure Reform 市场架构改革统筹委员会
core earnings 核心盈利
cornering 挟仓
corporate accounting 集团会计
corporate actions service fee 代履行权责服务费
corporate communication 公司通讯
Corporate Exchange Participant 公司交易所参与者
Corporate Finance Adviser Code of Conduct 【SFC】 　 《企业融资顾问操守准则》【证监会】
Corporate Finance Association, The (CFA) 企业融资协会
corporate governance 企业管治；公司治理*
Corporate Governance Action Plan for 2003 　 2003年企管行动纲领
Corporate Investor Account 公司投资者户口
Corporate Plan【SFC】 机构计划书【证监会】
corporate raider 企业狙击手
Corporate Substantial Shareholders Notification 法团大股东具报书
co-sponsor 副保荐人【创业板】；联席保荐人
cost effectiveness 成本效益
cost of carry 持权成本【期权】；持有成本
co-trustee 联合受托人
counter order 还盘
counterparty 交易对手；对手方
counterparty risk 对手风险
coupon; coupon rate 票面息率；票面利率；券面利率
coupon-reset date 调息日
cover【ie close out a short position = buy in】 平仓
covered call【options】 备兑认购期权
covered option 备兑期权
covered short selling 有担保的卖空交易
covered warrant 备兑权证
covered writing 沽出备兑期权
credit 信贷
credit control 信贷管制
credit limit 信贷额度*
credit rating 信贷评级；信用评级
credit risk 信贷风险
credit squeeze 信贷紧缩；收紧信贷
creditor 债权人
creeper 自由增购率
cross collateral 跨市场抵押品
cross currency trade 货币交叉盘买卖
cross listing 相互上市
cross margining 跨市场按金制度
cross-border listing 跨境上市
crossed market 对敲
crossed trade; cross trade; crossing 交叉买卖；交叉盘买卖
crossing system 交叉盘系统
crude oil futures 原油期货
cumulative advance 累计垫款；累积垫款
currency basket 一篮子货币
currency board system 货币发行局制度；发钞局制度
currency forward 远期货币合约
currency futures 货币期货
currency translation exposure 外币折算风险
currency warrant 货币权证
current account 经常账；往来账
custodian 托管人；保管人
Custodian Participant【CCASS Participants】 托管商参与者【中央结算系统参与者】