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Due Diligence

The process of getting sufficient information about a potential customer to determine their investment suitability.

盡職調(diào)查

取得某一潛在客戶的充足信息以確定投資是否合適的過程。

“Know Your Customer” Rule

Suitable recommendations must be made to a customer based on information obtained when the customer opens an account.

“了解客戶”規(guī)則

必須基于客戶開戶時(shí)取得的信息向客戶進(jìn)行合適的推介。

Hypothecation Agreement

Allows a brokerage to use securities in an account as collateral when providing loans. Must be signed when opening a margin account.

擔(dān)保契約協(xié)議

當(dāng)提供貸款時(shí)允許經(jīng)紀(jì)公司將賬戶內(nèi)的證券作為抵押品。必須在開設(shè)空白賬戶時(shí)簽署。

Discretionary Account

An account which allows a broker to act without the consent of the customer when buying and selling securities on their behalf.

授權(quán)賬戶

允許經(jīng)紀(jì)人代表客戶進(jìn)行買入賣出操作而無須事先取得客戶同意的賬戶。

Street Name

Describes securities held in the name of the brokerage instead of issuing physical certificates. More convenient when settling trades.

轉(zhuǎn)讓記名

用經(jīng)紀(jì)公司的名稱而不是具體的證書來描述所持證券，使得交易更加便捷。

Custodial Account

An account opened for the benefit of a minor and managed by a custodian until the child reaches an age of majority.

保管賬戶

由保管人為未成年人管理，直至其成年的賬戶。

Joint Tenants in Common

Account registration for two or more persons in which， upon the death of one JT， their portion is not transferred to the surviving JTs.

共有人共同賬戶

2人以上共有賬戶，一共有人死亡其份額不轉(zhuǎn)讓給存續(xù)的其它共有人。

Joint Tenants with Right of Survivorship

Upon the death of one joint tenant， ownership of the securities in the account passes to the surviving joint tenants.

共同賬戶

一共有人死亡，證券所有權(quán)轉(zhuǎn)讓給存續(xù)共有人。