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Unit 3: Stocks and Bonds






- Equity capital raised

through sale of shares,
represents the origin capital
paid into or invested in the
business by its founder.
- The proportional part of
a company's equity capital
represented by fully paid
up shares.
Stock serves a security for the
creditors of business since it
cannot be withdrawn to the
detriment of the creditors.
A debt security, in which the
authorized issuer owes the
holders a debt and depending
on the terms of the bond, is
obliged to pay interest and/or
to repay the principal at a later
A unit of account for various
financial instruments including
stocks and investment in
limited partnership and real
estate investment trust.
An individual or institution
(including corporation) that
legally owns one or more
shares of stock in a public or
private corporation.
Shareholders own the stock but

C phiu
C phn




Tri phiu

C phiu, phn
ng gp

C ng

Property/ real estate


Limited company

Private limited

To liquidate
Memorandum of
Association (GB) =
Certificate of
Incorporation (US)
Articles of Association
(GB) = Bylaws (US)
Over the counter

not the corporation itself.

A legal term that encompasses
land along with improvements
to the land, such as building,
fences, ....that are fixed in
An arrangement where entities
and/or individuals agree to
advance their interest; is
formed between one or more
business in which partners colabor to achieve and share
profits and losses
The company in which the
liability of the members or
subscribers is limited to what
they have invested or
guaranteed to the company.
The company in which the
owner has to put up the capital
themselves, or borrow from his
friends or a bank.
To sell all the possessions of a
bankrupt business
States the companys name, its
suppose, it registered office or
premises, and the amount of
authorized share capital
Set out the duties of directors
and the rights of
a stock exchange where
securities transactions are
made via telephone and
computer rather than on the

Bt ng sn

Cng ty hp
danh, hi bun

Cng ty TNHH

Cng ty TNHH
Mt thnh vin

Thanh ton,
thanh l
iu l cng ty

iu l, ni quy
ca Cng ty
Th trng phi
tp trung


Floating a company =
making a floatation

floor of an exchange
An examination of
a company's accounting
records and books conducted
by an outside professional in
order to determine whether
the company is maintaining
records according to generally
accepted accounting principles
The act of issuing
shares/stocks for the first time

Kim ton

Cng ty pht
hnh chng
khon ln u
C tc

Payments made by a
corporation to its shareholder
Annual General
Any meeting in which
i hi c ng
Meeting (GB) =
the shareholders of a publicly- thng nin
Meeting of shareholders traded company discuss and
vote on matters pertaining to
the company. At a shareholder
meeting, the company may
present its financial reports.
Shareholders also may ask
questions of the board of
directors. Publicly-traded
companies are required to have
at least one such meeting each
An obligation to pay an
N phi tr
amount in money, goods, or
services to another party. The
balance sheet lists the
liabilities. Typical liabilities
include your mortgage, car and
educational loans, and credit


Venture capital
To underwrite

Nominal/face value
Market price
Deferred share

Mutual fund/ unit trust

Preference shares /
preferred stocks

Blue chips

card debt.
A person or an organization to
whom money is owed
To be insolvent, unable to pay
Everything of value owed by a
business that can be used to
produce goods, pay liabilities,
so on.
Money invested in a possibly
risky new business.
The people who begin a new
To guarantee to buy an entire
new share issued, if no one
else wants it.
The value written on a share
The value listed in the
The share which does not
receive a dividend until other
categories of shares have had a
dividend paid on them, but
might earn a higher dividend if
the company does well.
Organizations that invest small
investors money in a wide
portfolio of securities.
The shares which receive a
fixed dividend which must be
paid in full before any
dividend is paid on other
Securities in companies that
are considered to be without

Ch n, ngi
cho vay
Ph sn
Ti sn

Vn ri ro, vn
mo him
Ngi sng lp
Bo m, bo
Mnh gi
Gi th trng
C phiu hng
li sau

Qu u t tn
C phiu u i

u t chng
khon thng

Ordinary share /
common stock

Defensive stock /
income stock
Growth stock

Participation certificate

The shares are often the only

kind of shares with voting
rights, entitles holders to vote
in the annual meeting, to elect
the board of directors, and to
generally exercise control of
the company. While common
stockholders are important in
terms of their level of control,
they have the
least precedence in the event
of liquidation. That is, if the
company goes bankrupt,
common stockholders do not
receive any money until
all bondholders,
other debt holders, and
preferred shareholders are paid
in full. Likewise, common
stock is not entitled to a
guaranteed dividend. Common
stock is also called ordinary
Is one that offers a good yield
but only a limited chance of
rise declare in price
Is one that is expected to
appreciate in capital value, it
usually has a high purchasing
price and a low current rate of
Grants their holders part of the
ownership of a company, but
usually without voting rights.

C phiu ph

Chng khon t
C phiu tng

Giy chng nhn

s hu