| 1. | Compliance with code of conduct and guidelines on conflict of interests matters by securities intermediaries
证券中介人遵守有关利益冲突问题的操守准则及指引的情况 |
| 2. | The guideline upholds one of the primary objectives of the sfo of maintaining a level playing field for all securities intermediaries
指引强调该条例其中一个主要目的，就是维持让所有证券业中介人公平竞争的市场环境。 |
| 3. | It is important that members of the investing public are given a choice to select their own securities intermediaries , be they banks or brokerage houses
无论由银行或经纪行提供证券中介服务，投资者能有所选择是很重要的。 |
| 4. | Deemed registered institutions which intend to continue securities intermediary activities after 31 march 2005 had to submit applications to the securities and futures commission for migration to the new regime within this period
有意在年月日后继续从事证券中介活动的当作注册机构，须于过渡期满前向证券及期货事务监察委员会提交过渡至新制度的申请。 |
| 5. | Then the article elaborated , on the basis of the public interest theory , upon major capital market in the world in such areas as securities " issuance and listing , security trading , security intermediaries , self - regulation organizations
在此基础上，论文从证券发行、上市、交易、证券商、自律机构等方面，对各国资本市场的监管制度作了具体的论证。 |
| 6. | The hkma spokesperson added that the hkma supported a level playing field for securities intermediaries and that it would co - operate with the sfc in the process of implementing the recommendations in the report that are relevant to the banking industry
金管局发言人补充说，金管局支持为证券业中介机构营造公平竞争的市场环境，并会与证券及期货事务监察委员会合作，以协助其推行报告书内与银行界别有关的建议。 |
| 7. | Gateway to wireless application server security : from a security point of view , a wireless gateway typically performs a security intermediary function such as bridging a wap / wtls protection environment on the wireless side with a http / ssl protection environment on the wired side
无线应用程序服务器安全网关:从安全的观点看，无线网关一般起到安全中介的作用，比如将无线端的wap / wtls保护环境桥接到有线端的http / ssl保护环境。 |
| 8. | The countermeasures for carrying out the resources - for - funds pattern include perfecting capital market , cultivating mature securities intermediaries , strengthening resource survey , ranking the resources in guizhou by exploitability and economic applicability , enhancing investors ' confidence and interest in resource development , and formulating and implementing resource - related policies and supporting measures as soon as possible
实施资源模式的对策取向有：完善资本市场，培育成熟的证券中介机构；加大资源勘察力度，对贵州省资源可开发程度和经济适用性进行排序，提高投资者对资源开发的信心和兴趣；尽快制定和实施资源证券化的相关政策和配套措施。 |
| 9. | The article elaborates , from a viewpoint of securities regulation , upon capital market in such areas as securities " issuance and listing , securities trading , securities intermediaries , self - regulatory organizations , with the emphasis laid on their respective functions and weak points . last but not least , the author analyzes the regulatory system in our second - board market and comes up with a series of indemnification measures
本文通过对海外二板市场监管方面的研究和分析，结合我国主板市场特殊的监管现状，构建了我国创业板市场的监管体系，包括监管体制、原则、手段、方法，提出我国创业板市场的监管应以交易所一线监管为主，证监会等其他证券监管部门为辅。 |
| 10. | 31 march 2005 the sfo provides for a two - year transitional period from the commencement of the ordinance on 1 april 2003 during which authorized institutions that were permitted under the old regime to carry out securities intermediary activities could continue these activities in the capacity of deemed registered institutions
证券及期货条例规定，在为期两年的过渡期内由年月日条例生效起计，在旧制度下获准进行证券中介活动的认可机构可以当作注册机构的身分继续进行这些活动。 |
