KS X 6300-2008 Glossary of back-office terms of securities industry《证券行业后台术语》.pdf

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2、 Glossary of back-office terms of securities industry . 1 ( , .) , . A. B. C. D. E. F. 2 . () A-1 (間接參加者 ) . ( ) , , . indirect market participant A-2 (强制買受 ) ( , ) ( ) , . . buying in KS X 6300:2008 2 () A-3 (個別決濟 ) , . , . trade-for-trade settlement A-4 (去來所市場決濟 ) . stock market settlement A-5 (去來

3、取消 ) . ( ) , . unwind A-6 (決濟 ) . , . settlement A-7 (決濟交着現狀 ) . gridlock A-8 (決濟機構 ) . , . settlement organizationA-9 (決濟基 ) . . , . clearing fund A-10 (決濟代 周旋制度 ) . . A-11 (決濟代理人 ) . settlement agent KS X 6300:2008 3 () A-12 (決濟代用證 ) , , , , . 3 . securities delivery bill A-13 (決濟行去來 ) , . , . fai

4、led transaction , default . failed transaction A-14 (決濟時限 ) . settlement deadline A-15 (決濟銀行制度 ) . . settling bank A-16 (決濟日 ) . (rolling settlement) , (account settlement) . 3 , . settlement date A-17 (決濟前豫納 ) , . deposit prior to settlement A-18 (決濟指定書 ) ( , ) , . settlement data A-19 (決濟後業務處理 ) ,

5、 , (corporate actions) (CSD) (custodian) . post settlement functions A-20 (更改 ) . (CNS) . CNS . novation KS X 6300:2008 4 () A-21 (更改的 差減 ) . . . , . obligation netting A-22 (交叉擔保制度 ) . . cross collateralization arrangement A-23 (交叉證據制度 ) ( , 甲 , ) . , . cross margining program A-24 (國際證券預託 決濟機關 ) ,

6、 Euroclear, Clearstream SIS SegaIntersettle . DVP bridge . ICSD(International Central Securities Depository) A-25 (機關投資者決濟 ) . institutional settlement A-26 (多者間差減 )/ (集中差減 ) ( ) . (Bilateral netting) , . , . multilateral netting KS X 6300:2008 5 () A-27 (單純保管繫 ) , . (custody link) . , (free of paym

7、ent) . custody-only link A-28 (當日決濟去來 ) . 3 . 3 . . same day settlement transaction A-29 (當日資 ) , (Next Day Funds) . (Finality of Payment), (Irrevocability) (Bank Guarantees) . G-30 (DVP) . ( , ) . same day funds A-30 (代決濟日 ) . , value date . value date A-31 (代支給保證 ) . . assured payment system A-32

8、gridlock) . A-33 (代用價格 ) , . substitute price of securities KS X 6300:2008 6 () A-34 (代用證券 ) , . substitute securities A-35 (對替決濟制度 ) , . , . . book-entry system A-36 (代替費用危險 ) . , . . , . replacement cost risk A-37 (賣買對照 ) , . (one-sided system), (two-sided system) (locked-in system) . (Trade Matc

9、h) (Settlement Match) . comparison/matching A-38 (賣買相對方 ) ( ) . . . counterparty A-39 (賣買承認 ) ( ) . ( ) confirmation affirmation ( ) . affirmation , confirmation . affirmation KS X 6300:2008 7 () A-40 (賣買確認 ) . ( ) ( ) . (confirmation) Trade Match ( ) (affirmation) Settlement Match . confirmation A-

10、41 (未決濟殘高 ) , . , . open positionA-42 (反對賣買 ) (1) , . . (2) . (long) (short) , (long covering liquidation) , , (short covering) . wind-up transaction/ covering A-43 (法的危險 ) . legal risk A-44 (保管危險 ) . ( ) . custody risk A-45 (普通去來 ) , 3 (T 2 ) . regular way transaction A-46 (分離決濟 ) , (DVP： Delivery

11、Versus Payment) . . FOP(Free Of Payment) A-47 bridge Euroclear Clearstream( Cedel) , (ICSD) ICSD . bridge settlement KS X 6300:2008 8 () A-48 (事前賣買對照 ) . pre-matchingA-49 (相計的 差減 ) . . , . payment netting A-50 (相對賣買 ) , , . , . private sale/negotiatedtransaction A-51 (相互決濟制度 ) , . mutual offset system A-52 (相互多重繫 ) , . . , . multiple-pass link A-53 (相互單一繫 ) , . . single-pass link A-54 (相互同時去來 ) . 3 . back-to-back transaction A-55 (相互繫 ) . bilateral/two- way link A-56 (損失分擔契約 ) . , . loss-sharing arrangementKS X 6300:2008 9 () A-57 (循環決濟 ) , . . . circle settlement A-58 (危險 )