证券监管英语核心词汇与缩略语速查手册.docxVIP

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证券监管英语核心词汇与缩略语速查手册

一、单选题（每题2分，共10题）

说明：请选择最符合题意的选项。

1.WhatdoesSECstandforintheUnitedStates?

A)SecuritiesandExchangeCommission

B)StockExchangeCommission

C)SecuritiesandCommoditiesExchange

D)SecurityandExchangeCouncil

答案：A

2.WhichofthefollowingisakeytermintheEuropeanUnionsMiFIDIIregulation?

A)SOX

B)GDPR

C)EMIR

D)HIPAA

答案：C

3.WhatisthemeaningofIPOinfinancialmarkets?

A)InitialPublicOffering

B)In-ProcessOffering

C)ImprovedPublicOffering

D)IncrementalPublicOffering

答案：A

4.WhichacronymreferstoMarketAbuseRegulationintheUK?

A)MAR

B)MFR

C)MRR

D)MBR

答案：A

5.WhatdoesCFDstandforintradingterminology?

A)ContractforDifference

B)CertificateofDeposit

C)CashFlowDocument

D)CapitalFundsDistribution

答案：A

二、多选题（每题3分，共5题）

说明：请选择所有符合题意的选项。

6.WhichofthefollowingareregulatorybodiesintheUnitedStates?

A)CFTC

B)FCA

C)SEC

D)FINRA

答案：A,C,D

7.WhattermsareassociatedwithDerivativesTrading?

A)Options

B)Futures

C)SpotTrading

D)Swaps

答案：A,B,D

8.WhichofthesearekeycomponentsoftheEUsMarketsinFinancialInstrumentsRegulation(MiFIR)?

A)Transparency

B)Disclosure

C)Harmonization

D)Settlement

答案：A,B,C,D

9.WhattermsrelatetoRiskManagementinsecurities?

A)VaR

B)BaselIII

C)Leverage

D)LiquidityCoverageRatio

答案：A,B,D

10.WhichorganizationsareinvolvedintheGlobalFinancialStabilityframework?

A)IMF

B)WorldBank

C)BIS

D)ECB

答案：A,C

三、填空题（每题2分，共5题）

说明：请根据括号内的英文缩写填写中文全称或对应术语。

11.AMLstandsfor________.

答案：Anti-MoneyLaundering

12.ESGrefersto________incorporategovernance.

答案：Environmental,Social,andGovernance

13.MTMstandsfor________intradesettlement.

答案：Mark-to-Market

14.CFTCisthefullformof________intheU.S.

答案：CommodityFuturesTradingCommission

15.STOstandsfor________inblockchainfinance.

答案：SecurityTokenOffering

四、判断题（每题2分，共5题）

说明：请判断下列说法的正误（正确填√，错误填×）。

16.ROEmeasuresacompanysprofitab