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1、 本科生畢業(yè)論文（設(shè)計(jì)） 中文題目 英文題目 學(xué)生姓名 班級 學(xué)號 學(xué) 院

2、 專 業(yè) 指導(dǎo)教師 職稱 Bachelor’s Degree Thesis On the Lexical Features of English Financial Terminology and the Corresponding Strategies of Translation Major: English Language

3、 and Literature Author: Hu Jipeng Supervisor: Professor Liu Haicun College of Foreign Languages Jilin University May 2011 摘要 改革開放30年來，中國經(jīng)濟(jì)建設(shè)取得了舉世矚目的成就。金融業(yè)在國民經(jīng)濟(jì)的發(fā)展過程中發(fā)揮著越來越重要的作用。隨著經(jīng)濟(jì)全球化的不斷深入，金融活動中的涉外事項(xiàng)不斷增加，使作為國際交流“官方”語言的英語得到越來越多的重視,不少高校開設(shè)了金融英語課程。金融英語較強(qiáng)的專業(yè)性對語言學(xué)習(xí)使用提出了較高的要求。通過在本

4、科學(xué)習(xí)階段對金融知識的學(xué)習(xí)以及目前在投資公司的工作經(jīng)歷，筆者積累了金融，金融英語等方面的知識，為金融英語的研究做了一些鋪墊。 本文以金融英語術(shù)語作為研究對象，對其詞匯特點(diǎn)從構(gòu)詞特征和語義特征兩方面進(jìn)行了探究，并針對其主要特點(diǎn)進(jìn)一步提出了相應(yīng)的翻譯策略。第一章探討了本課題的可行性，目的以及意義并闡述了本文的研究方法。第二章首先對研究相關(guān)的概念給出了定義，對研究范圍做了界定。在對金融英語術(shù)語的總體構(gòu)詞特征進(jìn)行分析后，通過列舉具有代表性的實(shí)例，對金融英語術(shù)語的構(gòu)詞特征進(jìn)行了詳細(xì)的探討。并從詞義變遷，詞義的單一性，一詞多義和詞義的對義性等方面對金融英語術(shù)語的語義特征進(jìn)行了論述。第三章在第二章所探討的

5、構(gòu)詞特征和語義特征的基礎(chǔ)上，針對詞義單一性，一次多義，復(fù)合詞及縮略詞等金融英語術(shù)語主要特點(diǎn)嘗試提出了相應(yīng)的翻譯策略。文章最后提出了本文的局限性以及在學(xué)習(xí)工作中的應(yīng)用性。 關(guān)鍵詞：金融英語術(shù)語；構(gòu)詞特征；語義特征；翻譯策略 Abstract China has achieved great achievements in the construction of its economy in the last three decades since the opening up and reform policy was carried out in 1978. Finance

6、is becoming more and more important in the development of the nation’s economy. Globalization makes financial activities involve more and more foreign affairs. As “standard” language used in international communication, English is arousing greater attention of the public. Many universities and colle

7、ges have opened the course of Financial English. The specialization of Financial English sets high requirements for the learners. After self-learned finance in the university and worked in an investment company for more than half a year, the author has mastered certain knowledge of finance and finan

8、cial English which paves the way for carrying out the study. The study regards English financial terms as its study subject. The study explores the formation features and semantic features of English financial terminology on which basis the translating strategies of English financial terminology ar

9、e given. The first chapter discusses the feasibility, purpose, significance and method of the study. The second chapter firstly defines the related concepts and makes clear the scope of the study. After analyzing the general features of English financial terminology, the study explores the formation

10、 features of English financial terminology in detail by providing typical examples. Then the semantic features of English financial terminology are studied from the angle of meaning change, terms with one meaning, polysemy and antonym. According to the formation features and semantic features analyz

11、ed, the third chapter tentatively raises some strategies of how to translate English terminology into Chinese which specifically covers the four main lexical features of English financial terminology: terms with single meaning, polysemy, compounds and acronyms. The limitations and implications of th

12、e study are discussed at the end of the study. Key words：English Financial Terminology; Formation Features; Semantic Features; Strategies of Translation Contents Chapter 1 Introduction……………………………………………………1 1.1 The Feasibility of the Study……………………………………..1 1.2

13、 The Purpose and Significance of the Study………………….….3 1.3 The Method of the Study…………………………………….….4 Chapter 2 Lexical Features of English Financial Terminology ………..6 2.1 Definition …………………………………………………..…..6 2.1.1 English Financial Terminology……………………….......6 2.1.2 Word

14、 vs. Term……………………………………............7 2.2 The Formation Features of English Financial Terminology…....8 2.2.1 General Formation Features………………………....…....8 2.2.2 Specific Analysis………………………………………...11 2.3 The Semantic Features of English Financial Terminology …...20

15、 2.3.1 Meaning Change of English Financial Terminology…….20 2.3.1.1 Extension of Meaning…………………………….21 2.3.1.2 Narrowing of Meaning……………………...……23 2.3.1.3 Shift of Meaning………………………………….25 2.3.2 Other Semantic Features………………………………....28

16、 2.3.2.1 Single meaning…………………………………...28 2.3.2.2 Mutiple Meaning…………………………………29 2.3.2.3 Antonym………………………………………….30 Chapter 3 Corresponding Strategies in Translating English Financial Terminology..……………………………………………………………..32 3.1 The Translating of Terms with Si

17、ngle Meaning ………………32 3.2 The Translating of Terms with Multiple Meaning…………….34 3.3 The Translating of Compounds………………………………..36 3.4 The Translating of Acronyms……………………………….....38 Chapter 4 Conclusion…………………………………………………….40 4.1 Conclusion………………………………………………….….40 4.2 The Lim

18、itations of the Study…………………………………..41 Notes……………………………………………………………………….42 References……………………………………………………………......43 Acknowledgements………………………………………………………45 v 吉林大學(xué)學(xué)士學(xué)位論文 Chapter 1 Introduction 1.1 The Feasibility of the Study It is self-evident that if a person wants

19、to carry out an academic study, he, firstly, must be well acquainted with the areas related to the study. As English major, I have systemically learned the basic theories of translation and linguistics in the past three years. I have also self-studied Finance and Economics by reading the relevant bo

20、oks and taking classes of the Department of Economics. In 2009, I successfully got the Certificate of Securities. And since Sept. 2010, I have worked as intern in an investment company to study the skills of financial management and risk investment which helps greatly to improve the author’s underst

21、anding of finance and the financial market. Based on the above knowledge, I try to do some study that combines the two branches, a study on financial English. Words are the most fundamental element of a language. “Without grammar, very little can be conveyed, without vocabulary nothing can be conv

22、eyed.” (Wilkins, 1977:109) To master a language, one has to memorize the vocabulary first which is usually a monotonous and boring task. After checking the material and studies of financial English, I find the English financial terminology is still worth further study. Due to the length of the thesi

23、s and in order to elaborate the viewpoint of the author much better, this study is trying to focus on the lexical features of English financial terminology and try to find some simple strategy advices based on the analyses of the lexical features of English financial terminology. 1.2 The Purpose

24、and Significance of the Study The study intends to explore the underlying rules of formation and semantic characteristics of English financial terminology and, furthermore, explore some basic corresponding translating advices, hoping to be helpful to the learners of financial English or the majors

25、of finance who wants to better themselves in specialized English. The study may also be helpful to the translators in related areas. With the fast growing economy in the last three decades in China, the financial system has also been developing very quickly. The two stock exchanges on the mainland

26、of China founded in the early 1990s had only 8 listed companies. By the time of May 2, 2011, the total market value of the two exchanges has been more than 26 trillion RMB, becoming one of the largest stock exchanges in the world. In 2005, the non-tradable share reform greatly improved the functions

27、 of the exchange. Margin trading was introduced to the stock exchanges on March 31, 2010. Stock index futures were introduced to the stock exchanges on April 16, 2010. All those events marked the fast growth of the financial markets of China. However, the financial markets of China are far from bein

28、g maturity compared with the financial markets in some developed countries. There are still much to learn for us. As China joined the WTO in 2001, the accelerated globalization brought both opportunities and challenges to China’s financial markets. New products and markets were introduced to China

29、such as all kinds of futures and derivatives and foreign exchange markets. More and more foreign capital that has always been looking for the highest profits entered China’s banking, securities and insurance system. As the main language used in international communication, English plays a vital role

30、 in the process of internationalization of the financial markets in China, which has aroused great enthusiasm of people to learn financial English. However, in the process of doing the research, I found that only a few materials that related to the study of financial English are available. With hum

31、ble effort, I want to fill a bit gap by doing the study. Knowing the formation features and semantic features and some basic translation skills will definitely benefit all the learners and translators, help them understand the terms much better and thus remember those terms relatively easily. In th

32、e process of translating, the translator can take the corresponding strategies to improve the efficiency and correctness of the translation. 1.3 The Method of the Study Through the analysis of the processes of formation and semantic characteristics of English financial terms, the study tries to

33、explore the lexical features of English financial terminology. Based on the statistics gathered from the relevant materials, the general formation features of English financial terminology are analyzed. The study then discusses the specific formation processes of English financial terminology by pro

34、viding typical examples accordingly. All the terms used in the study are selected from International Dictionary of Finance edited by Bonnock Graham and Manser William. The study discussed the semantic features of English financial terminology in meaning change, terms with single meaning, polysemy a

35、nd antonym. The three ways of meaning change, extension of meaning, narrowing of meaning and shift of meaning are elaborated with examples I met in reading. In the third chapter, some strategies of translating are given according to the features of formation and semantic features of English termin

36、ology summarized in the previous chapter. Chapter 2 Lexical Features of English Financial Terminology The relevant concepts are defined in the first place to make clear the scope and the subject of the study. The features of formation of English terminology are analyzed in the second

37、 part. The semantic features are explored in the third part. 2.1 Definition 2.1.1 English Financial Terminology To study English financial terminology, it is necessary to define the term in order to be clear about the subject and the scope of the study. To define English financial terminology

38、, finance should be the point where I began the discussion. In a broad sense, “finance is the study of how people allocate scarce resources over time. Two features that distinguish financial decisions from other resource allocation decisions are that the costs and benefits of financial decisions ar

39、e (1) spread out over time and (2) usually not known with certainty in advance by either the decision makers or anybody else.” ( Bodie and Merton,2002:2) In a narrow sense, finance is “the science that describes the management of money, banking, credit, investment and assets.”(Bonnock and Manser, 20

40、03:500) Simply, finance deals with matters related to money and the markets. In this study, the latter sense is much more proper to be used. And consequently English financial terminology refers to those specialized terms used in the fields of banking, securities, insurance and investment. 2.1.2

41、Word vs. Term The definition of word is still under controversy. “A word, then, is a free form which does not consist entirely of (two or more) lesser free forms; in brief, a word is a minimum free form” (Bloomfield 1933: 178) Bloomfield’s statement is a classical linguistic definition. But it does

42、 not take meaning into consideration which is a crucial aspect of a word. A more popular definition given by Zhang Yunfei is “In brief, a word may be defined as a fundamental unit of speech and a minimum free form; with a unity of sound and meaning (both lexical and grammatical meaning), capable of

43、 performing a given syntactic function.”(Zhang Yunfei, 2004:2) “From the point view of semantics, a word is an entity of sound, meaning and grammatical features.”(Lyons, 2000:1) This definition does not mention “minimum free form” which reflects that in semantics “form” is not an important aspect o

44、f word. Actually, in semantics, as long as the entity has the properties of sound, meaning and grammatical features, it is regarded as one word no matter it is a free form or phrase Terminology refers to technical terms of a particular subject. And a term, as the Collins Advanced Dictionary defi

45、nes, “is a word or expression with a specific meaning, especially one which is used in relation to a particular subject.” Classical linguists think a term can be a word or more than a word. And in semantics, a term can be regarded as a word. In this study all the English financial terms are regarded

46、 as English financial words. 2.2 The Formation Features of English Financial Terminology Compared with general English words, English financial terminology has its own features of formation which mainly reflects in the differences in frequency of different formation processes. 2.2.1 General

47、Formation Features General English words are formed in certain ways. In Zhang Yunfei’s book, An Introduction to Modern English Lexicology, 11 processes of word formation were introduced of which 3 are the major processes and 8 are minor ones. The 11 processes of word formation introduced are: co

48、mpounding，derivation, conversion, acronym, clipping, blending, back-formation, words from proper nouns, reduplication, neoclassical formation and miscellaneous. The first 3 ones are the major processes of word formation and the rest are the minor ones. The percentage of firmly establish new word

49、s coined by the above processes(except borrowing) since World War Ⅱ is studied by Geoffery Leech as is shown by the follow chart: Figure 4.1 Percentage of English word formation process frequency (made by the author according to the original statistics①) The chart clearly shows that the 3 maj

50、or formation processes (besides borrowing) are responsible for most of the new words that coined after the WWⅡ. Compounding is the most productive formation processes. Borrowing words from other languages also contributes quite a lot to the current English vocabulary. As for English financial te

51、rms, Wang Yanjian provides a similar chart for English financial terminology in his book. Figure 2.2 Percentage of formation process frequency in English financial terminology (Wang Yanjian, 2005:43) From the chart, we can see that compounding is still the most productive formation process

52、in English financial terminology and even more productive compared with in the general English word formation processes. Acronym becomes the second productive formation processes. Derivative and borrowing foreign words still are of the important formation processes. Another feature is that words fro

53、m proper names occupy higher proportion in English financial terminology. 2.2.2 Specific Analysis A specific analysis of English financial terminology is necessary to be done here according to the general formation features. A. Compounding Compounding or composition is process of word-forma

54、tion consisting of joining two or more bases to form a new unit, a compound word. The largest number of new words, both general English word and English financial terminology, are formed by compounding. According to the syntactic relations between the elements of compounds, noun compounds can be div

55、ided into seven sub-categories. Examples are as follows: a. Subject and verb Exchange rate overshooting(the exchange rate overshoots): A phenomenon whereby the exchange rate changes by more in the short run that it does in the long run when the money supply changes. Floating rate(the rate floats)

56、: A rate of interest that varies with the market, more particularly with an agreed reference standard. Fallen angel(the angel falls): A bond that was once investment grade but has since been reduced to junk bond status. Roll-down return(the return rolls down): A form of return that arises when the

57、 value of a bond converges to par as maturity is approached. The size of the roll-down return varies greatly between long and short-dated bonds. Roll-down is smaller for long-dated bonds that are trading away from parcompared to bondsthat are short-dated. b. Verb and object Accounting earnings(to

58、account earnings): A companys earnings as reported in the income statement. Economic value added(to add economic value): A method for evaluating companies by comparing the rate of return on investment with the weighted average cost of capital. Scrip issue(to issue scrip): To issue temporary docume

59、nt representing a fraction of a share resulting from a split or spin-off.Scrips may be applied to the purchase of full shares. Selling hedge(to sell the hedge): A hedging strategy with which the sale of futures contracts are meant to offset a long underlying commodity position.Also known as a "shor

60、t hedge." c. Verb and adverbial Day trading (to trade within the day): Purchase and sale of a position during the same day. Public offering(to offer to the public): The sale of equity shares or other financial instruments by an organization to the public in order to raise funds for business expan

61、sion and investment. Selling short (to sell short): A security sale made in the expectation that the price will fall. Value investing (to invest in value): Thestrategy of selecting stocks that trade for less than their intrinsic values. d. Restrictive relation Bear market(market in bear situat

62、ion): A market in which price are falling. Cross-currency swap(swap in different currencies): A currency swap is a foreign exchange agreement between two parties to exchange a given amount of currency for another and , after a specified period of time, to give back the original amounts swapped. Da

63、y trader( trader who trades within a day): A stock trader who holds positions for a very short time (from minutes to hours) and makes numerous trades each day. Most trades are entered and closed out within the same day. Dragon bond(bond issued in dragon countries): A bond that is issued in Asia but

64、 denominated in U.S. dollars. e. Compound from phrasal verbs Drawdown(to draw down): The peak-to-trough decline during a specific record period of an investment, fund or commodity. A drawdown is usually quoted as the percentage between the peakand the trough. Take-over(to take over): A corporat

65、e action where an acquiring company makes a bid for an acquiree. If the target company is publicly traded, the acquiring company will make an offer for the outstanding shares. Leaseback(to lease back): An arrangement where the seller of an asset leases back the same asset from the purchaser. Roll

66、back(to roll back): When an investor replaces an old options position with new one having an earlier expiration date (and the same strike price). No matter how the compound words formed, the number of them makes them worth people’s special attention. The use of compounds can make the text more concise and accurate which is in line with the brief and accurate features of financial English. B. Acronym Acronym plays a significant role in the formation of English financial terminology. Two