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1、融資融券交易 

指投資者向具(ju)有融(rong)資融(rong)券業(ye)務資格的證(zheng)券公司提供擔(dan)保物,借入資金買入上市證(zheng)券(融(rong)資交(jiao)易)或借入上市證(zheng)券并(bing)賣出(融(rong)券交(jiao)易)的行(xing)為。

2、信用證券賬戶 

指投資(zi)者為參與融資(zi)融券(quan)交易,向(xiang)證(zheng)(zheng)券(quan)公司申請開立的(de)實(shi)名證(zheng)(zheng)券(quan)賬戶,用于記載投資(zi)者委托證(zheng)(zheng)券(quan)公司持有的(de)擔保證(zheng)(zheng)券(quan)的(de)明細數據。

投資者用(yong)于一(yi)家證(zheng)券(quan)(quan)交(jiao)易(yi)所(suo)上市證(zheng)券(quan)(quan)交(jiao)易(yi)的信用(yong)證(zheng)券(quan)(quan)賬戶只能(neng)有一(yi)個(ge)。

3、信用資金賬戶

指投資者為參與融(rong)資融(rong)券(quan)交易,在(zai)證券(quan)公司指定存(cun)管(guan)銀(yin)行開設的(de)(de)實(shi)名資金賬戶,用(yong)于記載投資者交存(cun)的(de)(de)擔保資金的(de)(de)明細數據。

投資(zi)者(zhe)只(zhi)能(neng)開立(li)一個信用(yong)資(zi)金賬戶。

4、初始授信額度

初始(shi)授(shou)(shou)信額(e)(e)度(du)是根據公司(si)剩余可授(shou)(shou)信額(e)(e)度(du)、客(ke)(ke)戶(hu)授(shou)(shou)信額(e)(e)度(du)上限結合客(ke)(ke)戶(hu)信用評級計(ji)算得出的、授(shou)(shou)予客(ke)(ke)戶(hu)可融資或融券(quan)的最大額(e)(e)度(du)。

5、標的證券

指在(zai)交(jiao)易(yi)所上市交(jiao)易(yi),經交(jiao)易(yi)所認可及證券公司確定(ding)的(de),可作為融資買入或融券賣出的(de)證券。

6、保證金 

指投資者(zhe)向(xiang)證(zheng)券(quan)(quan)(quan)公司(si)融(rong)入資金或證(zheng)券(quan)(quan)(quan)時,證(zheng)券(quan)(quan)(quan)公司(si)向(xiang)投資者(zhe)收取(qu)的一定比例的擔保資金,保證(zheng)金可以證(zheng)券(quan)(quan)(quan)公司(si)認可的證(zheng)券(quan)(quan)(quan)充(chong)抵,證(zheng)券(quan)(quan)(quan)公司(si)認可的證(zheng)券(quan)(quan)(quan)應符合證(zheng)券(quan)(quan)(quan)交(jiao)易所的規定。

7、可充抵保證金證券折算率 

指可充(chong)抵保證(zheng)(zheng)金證(zheng)(zheng)券(quan)在計算(suan)保證(zheng)(zheng)金金額時按其證(zheng)(zheng)券(quan)市值進行折算(suan)的(de)比率。證(zheng)(zheng)券(quan)公(gong)司可根據證(zheng)(zheng)券(quan)交(jiao)易(yi)所公(gong)布的(de)標準和市場(chang)情況(kuang)調整折算(suan)率,但不得高于證(zheng)(zheng)券(quan)交(jiao)易(yi)所標準。

8、保證金比例

指投資(zi)者(zhe)交付的保(bao)(bao)證金(jin)(jin)與(yu)融(rong)(rong)(rong)資(zi)、融(rong)(rong)(rong)券交易金(jin)(jin)額的比(bi)(bi)例,具(ju)體分(fen)為融(rong)(rong)(rong)資(zi)保(bao)(bao)證金(jin)(jin)比(bi)(bi)例和融(rong)(rong)(rong)券保(bao)(bao)證金(jin)(jin)比(bi)(bi)例。

融資(zi)保(bao)證(zheng)金比例(li)=保(bao)證(zheng)金/(融資(zi)買入(ru)證(zheng)券(quan)數量×買入(ru)價格)×100%。

融(rong)(rong)券(quan)保(bao)證(zheng)金比例=保(bao)證(zheng)金/(融(rong)(rong)券(quan)賣(mai)出證(zheng)券(quan)數量(liang)×賣(mai)出價格)×100%。

9、保證金可用余額 

保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)可用(yong)(yong)余(yu)額(e)(e)是指投資(zi)(zi)(zi)者用(yong)(yong)于充抵保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)的(de)現金(jin)(jin)(jin)、證(zheng)(zheng)(zheng)券(quan)(quan)(quan)市(shi)(shi)(shi)值(zhi)(zhi)及融(rong)(rong)(rong)資(zi)(zi)(zi)融(rong)(rong)(rong)券(quan)(quan)(quan)交易產(chan)生的(de)浮盈經折(zhe)算(suan)(suan)后形成的(de)保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)總額(e)(e),減去投資(zi)(zi)(zi)者未了結(jie)融(rong)(rong)(rong)資(zi)(zi)(zi)融(rong)(rong)(rong)券(quan)(quan)(quan)交易已占用(yong)(yong)保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)和相關(guan)利息、費用(yong)(yong)的(de)余(yu)額(e)(e)。其計(ji)算(suan)(suan)公式為: 保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)可用(yong)(yong)余(yu)額(e)(e)=現金(jin)(jin)(jin)+∑(可充抵保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)的(de)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)市(shi)(shi)(shi)值(zhi)(zhi)×折(zhe)算(suan)(suan)率)+∑[(融(rong)(rong)(rong)資(zi)(zi)(zi)買(mai)入證(zheng)(zheng)(zheng)券(quan)(quan)(quan)市(shi)(shi)(shi)值(zhi)(zhi)-融(rong)(rong)(rong)資(zi)(zi)(zi)買(mai)入金(jin)(jin)(jin)額(e)(e))×折(zhe)算(suan)(suan)率]+∑[(融(rong)(rong)(rong)券(quan)(quan)(quan)賣出(chu)金(jin)(jin)(jin)額(e)(e)-融(rong)(rong)(rong)券(quan)(quan)(quan)賣出(chu)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)市(shi)(shi)(shi)值(zhi)(zhi))×折(zhe)算(suan)(suan)率]-∑融(rong)(rong)(rong)券(quan)(quan)(quan)賣出(chu)金(jin)(jin)(jin)額(e)(e)-∑融(rong)(rong)(rong)資(zi)(zi)(zi)買(mai)入證(zheng)(zheng)(zheng)券(quan)(quan)(quan)金(jin)(jin)(jin)額(e)(e)×融(rong)(rong)(rong)資(zi)(zi)(zi)保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)比(bi)例(li)-∑融(rong)(rong)(rong)券(quan)(quan)(quan)賣出(chu)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)市(shi)(shi)(shi)值(zhi)(zhi)×融(rong)(rong)(rong)券(quan)(quan)(quan)保(bao)(bao)(bao)證(zheng)(zheng)(zheng)金(jin)(jin)(jin)比(bi)例(li)-利息及費用(yong)(yong)。

公式(shi)中(zhong),融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)金(jin)額(e)=融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)證(zheng)券(quan)(quan)(quan)(quan)的(de)(de)數(shu)(shu)量×賣(mai)(mai)(mai)(mai)出(chu)(chu)價(jia)格(ge),融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)證(zheng)券(quan)(quan)(quan)(quan)市(shi)值(zhi)=融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)證(zheng)券(quan)(quan)(quan)(quan)數(shu)(shu)量×市(shi)價(jia),融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)證(zheng)券(quan)(quan)(quan)(quan)數(shu)(shu)量指融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)后尚未償還的(de)(de)證(zheng)券(quan)(quan)(quan)(quan)數(shu)(shu)量;∑[(融(rong)資(zi)(zi)買(mai)入證(zheng)券(quan)(quan)(quan)(quan)市(shi)值(zhi)-融(rong)資(zi)(zi)買(mai)入金(jin)額(e))×折算率(lv)]、∑[(融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)金(jin)額(e)-融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)證(zheng)券(quan)(quan)(quan)(quan)市(shi)值(zhi))×折算率(lv)]中(zhong)的(de)(de)折算率(lv)是指融(rong)資(zi)(zi)買(mai)入、融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)證(zheng)券(quan)(quan)(quan)(quan)對應的(de)(de)折算率(lv),當融(rong)資(zi)(zi)買(mai)入證(zheng)券(quan)(quan)(quan)(quan)市(shi)值(zhi)低于融(rong)資(zi)(zi)買(mai)入金(jin)額(e)或融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)證(zheng)券(quan)(quan)(quan)(quan)市(shi)值(zhi)高于融(rong)券(quan)(quan)(quan)(quan)賣(mai)(mai)(mai)(mai)出(chu)(chu)金(jin)額(e)時(shi),折算率(lv)按100%計算。

10、擔保物

指證(zheng)券公司向客(ke)(ke)戶收取的(de)保(bao)證(zheng)金以及客(ke)(ke)戶融(rong)(rong)資(zi)買入的(de)全(quan)部(bu)證(zheng)券和融(rong)(rong)券賣出所得全(quan)部(bu)資(zi)金,整體作(zuo)為(wei)客(ke)(ke)戶對證(zheng)券公司融(rong)(rong)資(zi)融(rong)(rong)券所生債務的(de)擔保(bao)物。

11、維持擔保比例

維持擔(dan)保比例(li)是(shi)指(zhi)客戶擔(dan)保物價(jia)值(zhi)與其(qi)融資(zi)融券債務之(zhi)間的比例(li),計算(suan)公式為:

維持(chi)擔保(bao)(bao)比(bi)例=(現金+信用證券(quan)賬戶內證券(quan)市值總和(he)(he)+其他擔保(bao)(bao)物價值)/(融資(zi)買入金額+融券(quan)賣出證券(quan)數量×當前市價+利息及(ji)費用總和(he)(he))。

公式(shi)中,其他(ta)擔保物(wu)是指客(ke)戶維持擔保比(bi)(bi)例(li)低(di)于最低(di)維持擔保比(bi)(bi)例(li)時,客(ke)戶經證券公司認(ren)可(ke)后(hou)提(ti)交的除(chu)現金及(ji)信用證券賬(zhang)戶內證券以外的其他(ta)擔保物(wu),其價值(zhi)根據證券公司與客(ke)戶約(yue)定的估值(zhi)方(fang)式(shi)計(ji)算或雙方(fang)認(ren)可(ke)的估值(zhi)結果確定。

客戶(hu)信用證(zheng)券(quan)賬戶(hu)內的(de)(de)證(zheng)券(quan),出(chu)現被(bei)(bei)(bei)調出(chu)可(ke)充抵保證(zheng)金(jin)證(zheng)券(quan)范圍(wei)、被(bei)(bei)(bei)暫停交易、被(bei)(bei)(bei)實施(shi)風險警示等(deng)(deng)特殊情形或者因權益處理等(deng)(deng)產生(sheng)尚未(wei)到賬的(de)(de)在途(tu)證(zheng)券(quan),證(zheng)券(quan)公司在計算客戶(hu)維持擔保比例時,可(ke)以(yi)根據(ju)與客戶(hu)的(de)(de)約定(ding)按(an)照公允價(jia)格或其他定(ding)價(jia)方式計算其市值。


火狐体育