徐虎龙：“自营业务”英文怎么说？
2011-02-19 16:58阅读：
(五)其上海、深圳两个交易所的自营业务席位和非自营业务席位分别设立；
(5) having established trading seats for its own transactions and
for its clients' transactions respectively at the Shanghai Stock
Exchange and Shenzhen Stock Exchange;
【来源】中国双语法律法规数据库 徐虎龙 翻译
（四）自营业务资产状况和流动性良好，符合有关监管要求；
(4) the position and liquidity of assets of the business that it
operates for its own account are good and comply with relevant
regulatory requirements;
【来源】中国双语法律法规数据库 徐虎龙 翻译
第三十二条 货币经纪公司及其分公司仅限于向境内外金融机构提供经纪服务，不得从事任何金融产品的自营业务。
Article 32: Money brokers and their branches are limited solely to
providing brokerage services to financial institutions inside and
outside China. They may not deal in any financial products for
their own account.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第十六条
金融企业依法受托发放贷款、经营衍生产品、进行证券期货交易、买卖黄金、管理资产以及开展其他业务，应当与自营业务分开管理，按照合同约定分配收益、承担责任，不得挪用客户资金，不得转嫁经营风险。
Article 16: If a financial enterprise is entrusted in accordance
with law to advance loans, deal
in derivatives, carry out securities and futures trading, trade
gold, manage assets and conduct other businesses, it shall manage
such businesses separately from its own businesses, distribute the
income and bear the liability as agreed in contract, and shall not
divert the client funds or the operation risks.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第五十七条 商业银行资金业务的组织结构应当体现权限等级和职责分离的原则，做到前台交易与后台结算分离、自营业务与代客业务分离、业务操作与风险监控分离，建立岗位之间的监督制约机制。
Article 57 The organizational structure of a commercial bank's fund
business shall embody the principle of separating power levels from
duties, so that the front-office transaction is separated from
back-office settlement, the self-run business is separated from
client's business, the work operation is separated from risk
monitoring and control, and shall set up a supervision and
restriction mechanism between different posts.
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司必须将其证券经纪业务、证券承销业务、证券自营业务和证券资产管理业务分开办理，不得混合操作。
A securities company must keep its securities brokerage business,
securities underwriting business, securities business for its own
account and securities asset management business separate, and may
not mix their operations together.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第一百三十七条 证券公司的自营业务必须以自己的名义进行，不得假借他人名义或者以个人名义进行。
Article 137: Business on the own account of a securities company
must be conducted in its own name. Such business may not be
conducted in the name of another or in the name of an
individual.
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司的自营业务必须使用自有资金和依法筹集的资金。
Business on the own account of a securities company must use the
company's own funds and legally raised funds.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第二百零九条 证券公司违反本法规定，假借他人名义或者以个人名义从事证券自营业务的，责令改正，没收违法所得，并处以违法所得一倍以上五倍以下的罚款；没有违法所得或者违法所得不足三十万元的，处以三十万元以上六十万元以下的罚款；情节严重的，暂停或者撤销证券自营业务许可。对直接负责的主管人员和其他直接责任人员给予警告，撤销任职资格或者证券从业资格，并处以三万元以上十万元以下的罚款。
Article 209: If a securities company violates this Law by
conducting the securities business for its own account in the name
of another or in the name of an individual, it shall be ordered to
rectify the matter, its illegal income shall be confiscated and it
shall be fined between the amount (inclusive) of and five times its
illegal income; if there was no illegal income or if the illegal
income was less than Rmb300,000, it shall be fined between
Rmb300,000 (inclusive) and Rmb600,000; if the circumstances are
serious, its permit for engaging in the securities business for its
own account shall be revoked. The persons directly in charge and
the other persons directly responsible shall be given a warning,
their qualifications for their positions or their qualifications to
engage in the securities business shall be revoked and they shall
be fined between Rmb30,000 (inclusive) and Rmb100,000.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第二百二十条 证券公司对其证券经纪业务、证券承销业务、证券自营业务、证券资产管理业务，不依法分开办理，混合操作的，责令改正，没收违法所得，并处以三十万元以上六十万元以下的罚款；情节严重的，撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告，并处以三万元以上十万元以下的罚款；情节严重的，撤销任职资格或者证券从业资格。
Article 220: If a securities company fails to keep its securities
brokerage business, securities underwriting business, securities
business for its own account and securities asset management
business separate according to law and mixes their operations
together, it shall be ordered to rectify the matter, the illegal
income shall be confiscated, and a fine between Rmb300,000 and
Rmb600,000 shall be imposed. If the circumstances are serious, the
relevant business permit shall be revoked. The persons directly in
charge and the other persons directly responsible shall be given a
warning and a fine between Rmb30,000 (inclusive) and Rmb100,000. If
the circumstances are serious, their qualifications for their
positions or their qualifications to engage in the securities
business shall be revoked.
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司必须将其证券经纪业务、证券承销业务、证券自营业务和证券资产管理业务分开办理,不得混合操作。
A securities company must undertake its operations of securities
brokerage, underwriting, self-operation and asset management in an
unconnected distinct manner.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第一百三十七条 证券公司的自营业务必须以自己的名义进行,不得假借他人名义或者以个人名义进行。
Article 137 A securities company must
undertake its self-operated business in its own name and may not
make use of any other person's name or conduct such operation in an
individual's name.
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司的自营业务必须使用自有资金和依法筹集的资金。
A securities company must undertake its self-operated business by
using its own capital and lawfully raised funds.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第二百零九条
证券公司违反本法规定,假借他人名义或者以个人名义从事证券自营业务的,责令改正,没收违法所得,并处以违法所得一倍以上五倍以下的罚款;没有违法所得或者违法所得不足三十万元的,处以三十万元以上六十万元以下的罚款;情节严重的,暂停或者撤销证券自营业务许可。对直接负责的主管人员和其他直接责任人员给予警告,撤销任职资格或者证券从业资格,并处以三万元以上十万元以下的罚款。
Article 209 Where a securities company
violates this Law by engaging in the self-operation of securities
by making use of any other's name or an individual's name, it shall
be ordered to make a correction. The illegal proceeds shall be
confiscated and a fine of not less than one time but not more than
five times the illegal proceeds shall be imposed. Where there are
no illegal proceeds or the illegal proceeds are less than
RMB30,000, a fine of not less than RMB30,000 but not more than
RMB200,000 shall be imposed. Under any serious circumstances, the
business license for securities self-operation shall be suspended
or revoked. The person-in-charge and any other person directly
responsible shall be issued a warning and be imposed with a fine of
not less than RMB30,000 but not more than RMB100,000 and
the relevant eligibility qualification mandatory for the post or
securities practice qualification shall be revoked.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第二百二十条
证券公司对其证券经纪业务、证券承销业务、证券自营业务、证券资产管理业务,不依法分开办理,混合操作的,责令改正,没收违法所得,并处以三十万元以上六十万元以下的罚款;情节严重的,撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告,并处以三万元以上十万元以下的罚款;情节严重的,撤销任职资格或者证券从业资格。
Article 220 Where a securities company
fails to carry out its securities operation of brokerage,
underwriting, self-operation or asset management in a separate
manner in accordance with the law but carries out its securities
operation through mixed operation, it shall be ordered to make a
correction. The illegal proceeds shall be confiscated and a fine of
not less than RMB300,000 and not more than RMB600,000 shall be
imposed. Under any serious circumstances, the relevant business
license shall be revoked. The person-in-charge and any other person
directly responsible shall be issued a warning and imposed with a
fine of not less than RMB30,000 but not more than RMB100,000. Under
any serious circumstances, the relevant eligibility qualification
mandatory for the post or securities practice qualification shall
be revoked.
【来源】中国双语法律法规数据库 徐虎龙 翻译
（三）作为证券公司专门的证券自营业务机构经营证券自营业务；
(3) as the securities company’s dedicated establishment engaging in
securities business for own account, engaging in securities
business for the securities company’s own account;
【来源】中国双语法律法规数据库 徐虎龙 翻译
第五条 分公司不得直接经营证券营业部的业务。分公司经授权经营证券自营业务或者证券资产管理业务的，不得经营其他业务。
Article 5: A branch may not directly engage in the business of a
securities business office. A branch that has been authorized to
engage in securities business for the account of the securities
company or securities asset management business may not engage in
other businesses.
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司不得授权同一家分公司经营具有利益冲突的不同业务。证券公司授权分公司经营证券自营业务或者证券资产管理业务的，公司总部不得再经营或者再授权其他分公司经营该业务。
A securities company may not authorize one branch to engage in
different businesses that present a conflict of interest. If a
securities company authorizes a branch to engage in securities
business for the securities company’s own account or in securities
asset management business, the head office of the company may no
longer engage in such business or authorize another branch to do
so.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第四条
证券公司进行现金管理，将自有资金投资于依法公开发行的国债、投资级公司债、货币市场基金、央行票据等证监会认可的风险较低、流动性较强的证券，以及证券公司经证监会批准设立的集合资产管理计划、专项资产管理计划，且投资规模不超过其净资本80%的，或者因依法履行承销义务而买卖证券的，无须取得证券自营业务资格，但应当比照执行证券自营业务的规则。
Article 4:If in its cash management a securities company invests
its own funds in legally publicly offered treasury bonds,
investment grade corporate bonds, money market funds, central bank
paper and other such low risk and highly liquid securities approved
by the CSRC, or a pooled asset management plan or dedicated asset
management plan that it has established with the approval of the
CSRC, and the scale of such investment does not exceed 80% of its
net capital, or if it buys and sells securities as a result of
performing its underwriting obligations in accordance with the law,
it shall not be required to obtain qualifications for dealing in
securities for its own account, but shall implement mutatis
mutandis the rules for dealing in securities for its own
account.
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司必须将其证券经纪业务、证券承销业务、证券自营业务和证券资产管理业务分开办理，不得混合操作。
Securities companies must handle their securities brokerage
business, securities distribution business, securities business
operated on their own account and securities asset management
business separately.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第一百三十七条 证券公司的自营业务必须以自己的名义进行，不得假借他人名义或者以个人名义进行。
Article 137: Business on the own account of securities companies
must be conducted in their own names. Such business may not be
conducted in the name of another or in the name of an
individual.
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司的自营业务必须使用自有资金和依法筹集的资金。
When carrying out business on own account, securities companies
must use their own funds and/or funds that they have raised
according to law.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第二百零九条
证券公司违反本法规定，假借他人名义或者以个人名义从事证券自营业务的，责令改正，没收违法所得，并处以违法所得一倍以上五倍以下的罚款；没有违法所得或者违法所得不足三十万元的，处以三十万元以上六十万元以下的罚款；情节严重的，暂停或者撤销证券自营业务许可。对直接负责的主管人员和其他直接责任人员给予警告，撤销任职资格或者证券从业资格，并处以三万元以上十万元以下的罚款。
Article 209: If a securities company violates the provisions hereof
by engaging in securities business on its own account using the
name of another person or the name of an individual, it shall be
ordered to rectify the matter, the illegal income shall be
confiscated, and a fine of not less than the amount of and not more
than five times the illegal income shall be imposed. If there is no
illegal income or the illegal income is less than Rmb 300,000, a
fine of not less than Rmb 300,000 and not more than Rmb 600,000
shall be imposed. If the circumstances are serious, its permit for
securities business on own account shall be suspended or revoked.
The persons in charge that are directly responsible therefor and
other directly responsible persons shall be issued a warning. Their
employment qualifications or securities business qualifications
shall be revoked and they shall be fined not less than Rmb 30,000
and not more than Rmb 100,000.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第二百二十条
证券公司对其证券经纪业务、证券承销业务、证券自营业务、证券资产管理业务，不依法分开办理，混合操作的，责令改正，没收违法所得，并处以三十万元以上六十万元以下的罚款；情节严重的，撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告，并处以三万元以上十万元以下的罚款；情节严重的，撤销任职资格或者证券从业资格。
Article 220: If a securities company fails to keep its securities
brokerage business, securities distribution business, securities
business on its own account and securities asset management
business separate according to law and operates them together, it
shall be ordered to rectify the matter. The illegal income shall be
confiscated, and a fine of not less than Rmb 300,000 and not more
than Rmb 600,000 shall be imposed. If the circumstances are
serious, the relevant business licence shall be revoked. The
persons in charge that are directly responsible therefor and other
directly responsible persons shall be issued a warning and fined
not less than Rmb 30,000 and not more than Rmb 100,000. If the
circumstances are serious, their employment qualifications or
securities business qualifications shall be revoked.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第九条 会员分为自营会员和代理会员两类。自营会员均可从事代理业务，代理会员只能从事代理业务，不得从事自营业务。
Article 9: Members shall consist of members trading for their own
account and agent members. Members trading for their own account
may also engage in agent business while agent members may only
engage in agent business and may not engage in business traded for
their own account.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第十条 自营业务指会员为其自身外汇业务的正常进行而从事的外汇交易。
Article 10: “Business traded for one’s own account” shall refer to
foreign exchange trading engaged in by members for the normal
operation of their own foreign exchange business.
【来源】中国双语法律法规数据库 徐虎龙 翻译
（三）自营业务资产状况和流动性良好，符合有关监管要求；
3. The financial situation and liquidity of its self-operated
business is good, and conforms to relevant supervisory
requirements;
【来源】中国双语法律法规数据库 徐虎龙 翻译
第二条证券公司证券自营业务以套期保值为目的参与股指期货交易，证券公司证券资产管理业务（包括集合、定向、限额特定资产管理业务）参与股指期货交易，适用本指引。
Article 2 The Guidance shall apply to stock index futures trading
for hedging purposes engaged by securities companies with
securities proprietary trading qualification and stock index
futures trading by securities companies with securities asset
management schemes (including collective asset management schemes,
directional asset management schemes and specific asset management
schemes subject to limitations).
【来源】中国双语法律法规数据库 徐虎龙 翻译
证券公司证券自营业务不以套期保值为目的参与股指期货交易的，应当经中国证监会批准，有关规定另行制定。
Stock index futures trading for non-hedging purposes engaged by
securities companies with securities proprietary trading
qualification shall be approved by the China Securities Regulatory
Commission (the “CSRC”) and relevant regulations will be formulated
by the CSRC separately.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第三条证券公司证券自营业务、证券资产管理业务参与股指期货交易（以下简称证券公司参与股指期货交易），应当制定参与股指期货交易的相关制度，包括投资决策流程、投资目的、投资规模及风险控制等事项，并经董事会审议通过后实施。有关董事会决议应当向公司住所地证监局报备。
Article 3 Rules shall be formulated for participation of stock
index futures trading by securities companies with securities
proprietary trading and securities asset management qualifications
(hereinafter referred to as “participation of stock index futures
trading by securities companies”), with respect to matters such as
investment decision-making process, investment purpose, investment
scale and risk control, and shall be implemented after examination
and approval of the board of directors. The resolution of the board
of directors shall be filed with CSRC’s regional bureau in the
place where the domicile of the company is located.
【来源】中国双语法律法规数据库 徐虎龙 翻译
第七条证券公司证券自营业务参与股指期货交易的，应当遵守中国金融期货交易所（以下简称中金所）有关套期保值交易的规则，并符合以下要求：
Article 7 Participation of stock index futures trading by
securities companies with securities proprietary trading
qualification shall comply with the rules formulated by China
Financial Futures Exchange (the “CFFE”) subject to the following
requirements:
【来源】中国双语法律法规数据库 徐虎龙 翻译
（一）证券公司申请用于套期保值的股指期货交易编码时，应当提交证券自营业务资格文件及中金所要求的其他材料。
(1) In applying for stock index futures trading code for hedging
purposes, securities companies shall provide qualification
documents in terms of securities proprietary trading and other
materials required by CFFE.
【来源】中国双语法律法规数据库 徐虎龙 翻译
