| 单词 | 证券经纪人 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 释义 | 证券经纪人 —stock brokerSee also:证券 n—security n • certificate n 证券—stocks and bonds 经纪人—agent • manager • middleman 经纪 n—brokers pl • brokerage n • stockbroker n
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中间人代持证券的一个简单例子如下：上市公司 ABC [...] 发行了股份；ABC 名册上 注册持股人是 CDS；证券经纪人 Y 在 CDS 处拥有存放 ABC 股份的账户。 daccess-ods.un.org | A simple case of intermediated securities is the following: ABC, a publicly traded company, has issued shares; the registered holder of [...] the shares in the books of [...] ABC is CDS; Y, a securities broker, has an account [...]with CDS in which shares of ABC are held. daccess-ods.un.org |
于 1995 年至 2002 年期间，Solotar 女士每年均名列《机构投资者》(Institutional Investor) 杂志“全美最佳研究小组” (All-America Research Team) 的“证券经纪人及资 产管理人”类别，并一直在 Greenwich Survey 的投资组合经理排名中名类前茅。 china.ir.blackstone.com | Ms. Solotar was ranked each year from 1995 to 2002 in the Brokers and Asset Management category on the Institutional Investor All-America Research Team, and consistently ranked highly in the Greenwich Survey of portfolio managers. ir.blackstone.com |
您只能按照美国证券法下 的 S 规则，在“离岸交易”（定义见美国 证 券 下第 902 规则）中再售您的股票，包括在 NZSX 或 ASX 上进行的定期经纪交易，前提是您或代表您行事的任 何 人 ， 皆 不知道或没有理由知道购 买 人 在 美 国或是 美国证券法下第 902 规则所定义的“美国人”。 fbushare.com | You can only resell your Shares if you offer and sell them in an “offshore [...] transaction” (as defined in [...] Rule 902 under the US Securities Act) in compliance with Regulation S under the US Securities Act, including in regular brokered transactions on the NZSX or ASX where neither you nor anyone acting on your behalf knows or has reason to know that the sale has been pre-arranged with, or that the purchaser is, in the United States or a “U.S. person” as defined in Rule 902 under the US Securities Act. fbushare.com |
昌利(控股)有限公司(股票代号：8098) 于2011年3月在香港联合交易所创业板上市，主要业务包括(i)提 供 证券 、 期 货及期 权 经纪 及 买 卖、(ii)配售及包销服务及(iii)配套服务，包括申请新股及代 名 人 服 务 ，例如代领现金股息及以股代息的股份。 bmi-appraisals.com | CL Group (Holdings) Limited (stock code: 8098), listed on the GEM Board of [...] Hong Kong Stock [...] Exchange in March 2011, is engaged in the provision of (i) securities, futures and options broking and trading, (ii) placing and underwriting services & [...](iii) ancillary services [...]including application for new issues and nominee services such as collection of cash and scrip dividends. bmi-appraisals.com |
塔马罗先生负责执行零售及机构的订单，向交易师和零 售 经纪人 发 送确认报告，以 及所有权交易，交易涉及在OTC公告板(OTC Bulletin Board)和粉单(Pink Sheets)上市的证券。 primaryllc.com | Mr. Tammaro was responsible for executing [...] retail and [...] institutional orders, confirmation reports to sales traders and retail brokers, and proprietary trading, which included OTC Bulletin Board and Pink Sheet securities. primaryllc.com |
氟氯烃分配配额和进口配额、 R-141B 消费淘汰、将科隆自由贸易区纳入许 可 证制 度 、编制针对海关检查人员的实用培训方案和定期检查氟氯烃装运情况、制定和执行氟氯 烃管制法律、针对海关官员、制冷空调行业技师和教师编制培训方案和让进口商了解氟氯 烃进口配额分配新进程、与科隆自由贸易区再出口商协作、与学校、大学和非政府组织合 作开展宣传活动、培训关税经纪人、 建立一个数据库以及时管制氟氯烃、开展首批氟氯烃 淘汰管理计划活动以维持基准消费量。 multilateralfund.org | Assigned quotas and import quotas for HCFC, R-141B consumption phase-out, include the Colon Free Zone in the licensing system, prepare and bind practical training programme addressed to customs inspectors and carry out periodical inspections to HCFC shipments, develop and implement laws to control HCFCs, develop training programmess to customs officials, RAC technicians and teachers and keep imports informed on the new process for the assignment of HCFC import quotas, coordinate with Colon Free Zone re-exporters, carry out promotion activities with schools, universities and non-governmental organizations (NGOs), train customs brokers, develop a database for timely control of HCFCs, develop the first activities of the HPMP to maintain baseline consumption. multilateralfund.org |
投资基金 - 投资者的 [...] 投资基金 购买股份的股票型基金，由一个管理 证券经纪，A银 行或授权的独立的资源管理器，通过CVM。 zh-cn.iniciantenabolsa.com | Investment Funds - The investor of a investment fund [...] purchase shares of a stock fund, [...] administered by a Securities Brokerage, A bank or an [...]independent Resource Manager, authorized by CVM. en.iniciantenabolsa.com |
要获得金伯利进程证书，必须提供 经纪人 / 中 间商收据，而政府钻石办公 室可以根据经纪人/中间商收据，追查到钻石的特定采矿凭单(见附件十六图片 A)。 daccess-ods.un.org | From the broker/dealer receipt alone, which is required to obtain a KP certificate, Government [...] Diamond Office officials [...]can trace diamonds back to a particular mining voucher (see picture A in annex XVI). daccess-ods.un.org |
UBS AG香港分行（稳定市场经办人）或任何代其行事 的 人 士 根据 《 证券 及 期货（稳定价格）规则》在稳定价格期间作出的稳定价格行动如下：（1）于国际发售中超额配售498,255,000股H股，占行使超额配售权之前根据全球发售初步发售H股数目的15%；（2）按每股H股8.47港元至9.05港元的价格范围（不包括应付 的 1 % 经纪 佣 金、0.004%香港证监会交易征费、0.005%香港交易所交易费）于市场接连购入H股。 cmbc.com.cn | The stabilizing actions undertaken by the UBS AG, Hong [...] Kong Branch as the stabilizing manager, or any person acting for it, in compliance with the Securities and Futures (Price Stabilizing) Rules, during the stabilizing period were: (1) Over-allocations of an aggregate of 498,255,000 shares in the International Offering, representing 15% of the Offer Shares initially offered under the Global Offering before any exercise of the over-allotment option; (2) Successive market purchases which purchases were made in the price range of HK$8.47 to HK$9.05 per Share (excluding brokerage of 1.0%, SFC transaction [...]levy of 0.004% [...]and Hong Kong Stock Exchange trading fee of 0.005%). cmbc.com.cn |
将受到最多影响的中央证券存 管机构和大型托管公司大多都很 好地理解这一影响，并提前做了充分准备，而受影响度较弱的银行 和 券 商/ 经纪 商 理 解程 度较低，准备工作也不充分。 swift.com | The CSDs and large custodians that will be affected most are most aware and advanced in their preparations: the banks and broker/dealers that will be impacted to a lesser extent are not as aware or as advanced. swift.com |
在按每家公司的国别对这些综合结果做进一步筛选后，中国国际金融有限公司被评为中国最 佳 证券经纪 公 司 ，联昌国际证券（CIMB Securities）在马来西亚荣登榜首，麦格理资本证券（Macquarie Capital Securities）为澳大利亚/新西兰最佳 证券经纪 公 司 ，三星证券则为韩国最 佳 证券经纪 公 司。 tipschina.gov.cn | When these aggregated totals are further [...] screened by the country [...] in which each firm is domiciled, China International Capital Corp. is deemed China's Best Brokerage, CIMB Securities is tops in Malaysia, Macquarie Capital Securities is No. 1 in Australia/New Zealand, and Samsung Securities is the Best Brokerage in South Korea. tipschina.gov.cn |
经公平贸易核证的货物，例如 咖啡、茶、香蕉、手工艺品、糖、可可、葡萄酒和蜂蜜，因为免 去 经纪人 而 保证 生产者得到的最低价格高于市价。 daccess-ods.un.org | Fair Trade-certified goods such as coffee, tea, bananas, handicrafts, sugar, cocoa, wine and honey guarantee a minimum, higher than market price to producers by eliminating middlemen. daccess-ods.un.org |
现已扩充向俄金监督局报告的可疑交易实体名单，其中将为销售或购置房地 产提供经纪服务的实体、律师、公 证人 以 及 参与提供法律或会计服务等业务活动 的人包括在内。 daccess-ods.un.org | The list of entities reporting suspicious transactions to Rosfinmonitoring has been [...] expanded. It includes [...] entities providing brokering services for the sale or acquisition of real estate, lawyers, notaries, and also individuals [...]engaged in business [...]activities involving the provision of legal or accounting services. daccess-ods.un.org |
但是，也涵盖经纪人的许可证制度却 在 经纪人 和 消 费者一级作出相匹配的记录。 multilateralfund.org | However, the licensing system covering [...] dealers as well did produce matching records at dealer and consumer level multilateralfund.org |
在这方面，2010 年，领土政府颁布了一项指令，某些商业活动是留给开 曼人 的， 例如卡车货运、商业捕鱼、油漆、汽车修理、广播电台、电力和管道行业、 空调、水上运动、办公用品、美容美发、房地 产 经纪 机 构 、 证券 公 司 和运输。 daccess-ods.un.org | In that connection, the territorial Government issued a directive in 2010 that certain business activities were reserved for [...] Caymanians, such as [...] trucking, commercial fishing, painting, auto repair, radio broadcasting, electrical and plumbing trades, air conditioning, water sports, office supplies, beauty salons, real estate agencies, security companies and transportation. daccess-ods.un.org |
根据巴拿马刑法规定，凡接收、储存、交易、转换或转让资金 、 证券 、 财产 或其他财政资源，且明知它们源自与贩毒、诈骗、非法武器贩运、贩 运 人 口、 绑架、勒索、贪污、腐蚀公职人员、 恐怖主义行为、盗窃或国际贩运车辆有 关的活动，而且其目的是隐藏或掩盖其非法来源或协助逃避此种犯罪的法律 后果的，应处以 5 至 12 年监禁和 100 至 200 天的罚款。 daccess-ods.un.org | Anyone who receives, deposits, [...] trades in, converts or [...] transfers money, securities, property or other financial resources in the knowledge that they are derived from activities related to drug trafficking, fraud, illicit arms trafficking, trafficking in persons, kidnapping, extortion, embezzlement, corruption of public servants, [...]terrorist acts, theft or international trafficking in vehicles, as provided for under Panamanian criminal law, [...]with the aim of hiding or concealing their illicit origin or of helping to evade the legal consequences of such crimes shall be sentenced to 5 to 12 years’ imprisonment and a fine of 100 to 200 days. daccess-ods.un.org |
免责声明: 在任何情况下,Dukascopy银行不以任何形式参与外聘帐户管理人的交易决策,同时对任何外 聘 经纪人 的 策 略和/或业绩不作任何陈述 , 保 证 和 承 担任何义务。 dukascopy.com | Disclaimer: Without any exceptions, Dukascopy Bank SA does not participate in any way in trading decisions made by external account [...] managers and makes no [...] representations, warranties and assumes no obligations with regard to any external account manager's trading strategy [...]and/or performance. dukascopy.com |
投资 如果相信身份窃贼已冒用了您的证券 、 投资 或 经纪 账 户 ，立即通知您的经纪或 账户经理人。 citibank.com.sg | investments If you believe that [...] an identity thief has [...] tampered with your securities, investments or brokerage account, immediately report it to your broker or [...]account manager. citibank.com.sg |
此类风险和不确定性因素包括但不局限于立迪思公司的电容式触摸控制器集成电路产品或触摸技术缺乏市场应用，推迟这些新产品的量产计划，延迟把我们的产品整合到消费电子产品中，我们对第三方制造商的依赖，整个便携电子及半导体业的发展趋势，以及其他立迪思公 司 经 常 在 提交给美 国 证券 交 易 委员会的报告中详细描述的风险，这些报告包括截至2007年12月31日的10-K表年报以及截至2008年9月30日的10-Q表季报。 tipschina.gov.cn | Such risks and uncertainties include, but are not limited to, lack of market adoption for Leadis' capacitive touch controller ICs or the haptics technology, delays in ramping these new products into production, delays in the integration of our products into consumer electronic devices, our reliance on third-party manufacturers, general portable electronics and semiconductor industry trends, and other risks [...] detailed from time to time in Leadis' [...] reports filed with the Securities and Exchange Commission [...]including its Form 10-K for the [...]year ended December 31, 2007 and Form 10-Q for the quarter ended September 30, 2008. tipschina.gov.cn |
另外值得一提的是，教科 文组织发挥了“海洋技术的供需之间 的‘诚实经纪人’”的作用。 unesdoc.unesco.org | Of additional interest here is the reference to UNESCO as “an honest broker between demand for ocean technology and the supply of that technology”. unesdoc.unesco.org |
自 2005 年起，经纪人使用 的工作站一直承担着德意 志 证 交所 系统 (Deutsche Börse Systems) 的主要工作。 igel.com | Workstation PCs Too Extensive and Expensive Since 2005, the workstations used by brokers have been among the responsibilities of Deutsche Börse Systems. igel.com |
前瞻性声明：除了本文包含的历史信息之外，本新闻稿陈述的事项，包括双方开发和构建三频无线解决方案的计划、三频解决方案提升无线设备性能和功能从而支持新型计算和娱乐应用的预期能力、三频设备与现有无线网络产品和标准的预期兼容性、以及Atheros和Wilocity的计划、目标、预期和意图，均属《1995年 私 人证券 诉 讼改革法案》中定义的前瞻性声明。 tipschina.gov.cn | NOTE ON FORWARD-LOOKING STATEMENTS: Except for the historical information contained herein, the matters set forth in this press release, including the parties' plans to develop and build tri-band wireless solutions, the expected capability of tri-band solutions to enhance the performance and functionality of wireless devices to enable new computing and entertainment applications, the anticipated compatibility of the tri-band devices with existing wireless networking products and standards, and the plans, objectives, expectations and intentions of Atheros [...] and Wilocity, are forward-looking statements within the [...] meaning of the Private Securities Litigation Reform [...]Act of 1995. tipschina.gov.cn |
由于没有准确定义，许多研究报告提出了广泛的解释，认为所有非常规筹资 方式都属于创新性发展筹资，范围从上述的机制，例如把官方发展援助的承 诺证 券化、 国际征税和新的特别提款权分配，到所有“其他创新”，例如当地货币债 券和货币对冲保值、与国内生产总值(国内总产值)挂钩的债券、激励把 工 人 汇款 用于发展投资和公共担保的天气保险机制。 daccess-ods.un.org | The lack of a precise definition has caused many studies to offer a broad interpretation and consider all types of non-conventional forms of finance under the rubric of innovative development financing, ranging from [...] the mechanisms mentioned [...] earlier, such as securitization of ODA commitments, international taxes and new SDR allocations, to all kinds of “other innovations”, such as local currency bonds and currency hedges, gross domestic product (GDP)-linked bonds, incentives to channel worker remittances to [...]developmental investments [...]and publicly guaranteed weather insurance mechanisms. daccess-ods.un.org |
最佳证券经纪公司 排行榜反映的是在《机构投资者》杂志进行的三项全亚洲调查中赢得投票的卖方公司的整体业绩，这三项调查分别为研究、销售与交易服务。 tipschina.gov.cn | The Best Brokerages ranking reflects [...] the performance of sell-side firms that receive votes in all three of the magazine's [...]All-Asia surveys: research, sales and trading services. tipschina.gov.cn |
经纪人/中间 商 收据记录了采矿凭单上印刷的独特号码，还有矿工姓名、中间 商 / 经纪人 ( 买 方) 姓名、钻石的克拉重量和描述。 daccess-ods.un.org | The broker/dealer receipt records the unique number printed on the mining voucher, in addition to the name of the miner, the name of the dealer/broker (buyer), [...] the carat weight and a description of the stones. daccess-ods.un.org |
基于一个新的海关经纪人，20 11年6月3日登 记 证 书 № 0353/00 “TIS”经营作为一个海关代表没有任何限制，在该地区的活动，类型的货物下的统一命名的外国经济活动的海关联盟，俄罗斯，运输方式和类型的海关业务。 tis-spb.com | According to the Certificate of Inclusion into Register of Customs [...] Brokers dated 03 June 2011 № 0353/00, TIS-Broker Ltd [...]is a customs representative without any restrictions on region, types of transport, customs operations and goods according to the Foreign Economic Activity Commodity Nomenclature (Russia). tis-spb.com |
各方当事人同意采取一切可能的措施,对本协议项下的任何争议以及任何和所有关于仲裁程序和裁决的资料严守机密，除非由于下列需 要或要求另作别论：(a)为保证一方当 事 人 能 适 当地行使或执行其在本协议或仲裁庭所做出的裁决项下的各项权利；或(b)适用法律或 任何证券交易 所、监管机构的规定,或任何法院、任何其它主管机关或裁判庭的命令要求予以披露。 squiresanders.com | Confidentiality – The parties agree to use all possible measures to keep the existence of any dispute hereunder and any and all information concerning any arbitration proceedings and any award [...] strictly confidential [...] except (a) to the extent necessary to enable a party to properly exercise or enforce its rights under this agreement or under any award rendered by the Arbitration Tribunal or (b) to the extent required by applicable law or by regulations of any stock exchange [...]or regulatory authority [...]or pursuant to any order of court or any other competent authority or tribunal. squiresanders.com |
统法协会证券公约》有关优先权的规则可摘要如下：(a)成为中 间 人 代持 证券的账 户持有人的有担保债权人排序先于任何相竞求偿人（见第 11 条和第 19 条第 2 款）；(b)以控制权方式使担保权取得对抗第三方效力的有担保债权人优先 于以公约以外的法律规定的任何其他办法取得对抗第三方效力的担保权（例 如，以登记方式；见第 12 条和第 19 条第 2 款）；(c)如两人取得相同中间人代持 证券的控 制权，则取得控制权时间在先者优先（第 19 条第 3 款）；(d)如一证券 中间人持有其所管理的证券账户的担保权，随后允许另一有担保债权人取得该 账户的控制权，则该另一债权人排序在先（第 19 条第 4 款）。 daccess-ods.un.org | The rules of the Unidroit Securities Convention on priority may be summarized as follows: (a) a secured creditor who becomes the account [...] holder in respect of [...] intermediated securities ranks ahead of any competing claimant (see articles 11 and 19, para. 2); (b) a secured creditor whose security right has been made effective against third parties by control has priority over any security right made effective against third parties by any other method provided by non-Convention law (for example, by registration; see articles 12 and 19, para. 2); (c) if two persons obtain control of the same intermediated securities, the first in time to obtain control will prevail (article 19, para. 3); (d) if a securities intermediary who holds a security right in a securities account maintained [...]by it subsequently [...]permits another secured creditor to obtain control of the account, the other creditor will rank first (article 19, para. 4). daccess-ods.un.org |
(2) 董事会可发行认股权证或可换股证券或类似性质的证券，以赋予该等 权证或证券持有人认购本公司股本中的任何类别之股份或证券，而该等认股权证或 证券可按董事会不时决定之条款予以发行。 aactechnologies.com | (2) The Board may issue warrants or convertible securities or securities of similar nature conferring the right upon the holders thereof to subscribe for any class of shares or securities in the capital of the Company on such terms as it may from time to time determine. aactechnologies.com |
在最终协议达成后，ArcelorMittal同意在普通股 非 经纪 私 募（以下称“批股”）的同时，再对公司进行投资，并在考虑与 债 券 转 换 及批股有关的潜在股票发行后，打算收购公司达19.9%的普通股股权。 tipschina.gov.cn | Upon completion of the Definitive Agreement, [...] ArcelorMittal has agreed to [...] invest additional capital into the Company by way of a non-brokered private placement of common shares (the "Share Placement") [...]and intends to acquire [...]up to 19.9% of the Company's common shares after taking into account potential shares issued upon the conversion of its Debentures and the Share Placement. tipschina.gov.cn |
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