{"id":31285,"date":"2017-11-18T00:45:44","date_gmt":"2017-11-18T00:45:44","guid":{"rendered":"https:\/\/centax.dsoftware.vn\/?p=31285"},"modified":"2017-11-07T03:33:33","modified_gmt":"2017-11-07T03:33:33","slug":"thong-tu-742011tt-btc-huong-dan-giao-dich-chung-khoan","status":"publish","type":"post","link":"https:\/\/centax.dsoftware.vn\/?p=31285","title":{"rendered":"Th\u00f4ng t\u01b0 74\/2011\/TT-BTC h\u01b0\u1edbng d\u1eabn giao d\u1ecbch ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"\n\n\n\n
\n

B\u1ed8 T\u00c0I CH\u00cdNH
\n——–<\/b><\/span><\/p>\n<\/td>\n

\n

C\u1ed8NG H\u00d2A X\u00c3 H\u1ed8I CH\u1ee6 NGH\u0128A VI\u1ec6T NAM
\n\u0110\u1ed9c l\u1eadp – T\u1ef1 do – H\u1ea1nh ph\u00fac
\n—————-<\/b><\/span><\/p>\n<\/td>\n<\/tr>\n

\n

S\u1ed1: 74\/2011\/TT-BTC<\/span><\/p>\n<\/td>\n

\n

H\u00e0 N\u1ed9i, ng\u00e0y 01 th\u00e1ng 06 n\u0103m 2011<\/i><\/span><\/p>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

\u00a0<\/span><\/p>\n

TH\u00d4NG T\u01af<\/span><\/b><\/b><\/span><\/p>\n

H\u01af\u1edaNG D\u1eaaN V\u1ec0 GIAO D\u1ecaCH CH\u1ee8NG KHO\u00c1N<\/span><\/span><\/p>\n

C\u0103n c\u1ee9 Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1ed1 70\/2006\/QH11 \u0111\u01b0\u1ee3c Qu\u1ed1c H\u1ed9i th\u00f4ng qua ng\u00e0y 29\/06\/2006;
\nC\u0103n c\u1ee9 Ngh\u1ecb \u0111\u1ecbnh s\u1ed1\u00a0118\/2008\/N\u0110-CP\u00a0ng\u00e0y 27\/11\/2008 c\u1ee7a Ch\u00ednh ph\u1ee7 quy \u0111\u1ecbnh ch\u1ee9c n\u0103ng, nhi\u1ec7m v\u1ee5, quy\u1ec1n h\u1ea1n v\u00e0 c\u01a1 c\u1ea5u t\u1ed5 ch\u1ee9c c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh;
\nB\u1ed9 T\u00e0i ch\u00ednh h\u01b0\u1edbng d\u1eabn v\u1ec1 giao d\u1ecbch tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n nh\u01b0 sau:<\/span><\/i><\/span><\/p>\n

Ch\u01b0\u01a1ng I<\/b><\/b><\/span><\/p>\n

QUY \u0110\u1ecaNH CHUNG<\/b><\/span><\/p>\n

\u0110i\u1ec1u 1. Ph\u1ea1m vi \u0111i\u1ec1u ch\u1ec9nh<\/b><\/span><\/p>\n

Th\u00f4ng t\u01b0 n\u00e0y h\u01b0\u1edbng d\u1eabn ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch v\u00e0 qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n \u0111\u1ea1i ch\u00fang tr\u00ean S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n (SGDCK).<\/span><\/p>\n

\u0110i\u1ec1u 2. Gi\u1ea3i th\u00edch thu\u1eadt ng\u1eef<\/b><\/span><\/p>\n

Trong Th\u00f4ng t\u01b0 n\u00e0y, c\u00e1c thu\u1eadt ng\u1eef d\u01b0\u1edbi \u0111\u00e2y \u0111\u01b0\u1ee3c hi\u1ec3u nh\u01b0 sau:<\/span><\/p>\n

1. Th\u00e0nh vi\u00ean giao d\u1ecbch<\/i>\u00a0l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c SGDCK ch\u1ea5p thu\u1eadn tr\u1edf th\u00e0nh th\u00e0nh vi\u00ean giao d\u1ecbch.<\/span><\/p>\n

2. H\u1ec7 th\u1ed1ng giao d\u1ecbch<\/i>\u00a0l\u00e0 h\u1ec7 th\u1ed1ng m\u00e1y t\u00ednh d\u00f9ng cho ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i SGDCK.<\/span><\/p>\n

3. H\u1ec7 th\u1ed1ng chuy\u1ec3n l\u1ec7nh<\/i>\u00a0l\u00e0 h\u1ec7 th\u1ed1ng th\u1ef1c hi\u1ec7n vi\u1ec7c chuy\u1ec3n c\u00e1c l\u1ec7nh giao d\u1ecbch c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 t\u1eeb th\u00e0nh vi\u00ean giao d\u1ecbch \u0111\u1ebfn SGDCK.<\/span><\/p>\n

4. Bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1<\/i>\u00a0l\u00e0 gi\u1edbi h\u1ea1n dao \u0111\u1ed9ng gi\u00e1 ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh trong ng\u00e0y giao d\u1ecbch \u0111\u01b0\u1ee3c t\u00ednh theo t\u1ef7 l\u1ec7 ph\u1ea7n tr\u0103m (%) so v\u1edbi gi\u00e1 tham chi\u1ebfu.<\/span><\/p>\n

5. Gi\u00e1 tham chi\u1ebfu\u00a0<\/i>l\u00e0 m\u1ee9c gi\u00e1 l\u00e0m c\u01a1 s\u1edf \u0111\u1ec3 SGDCK t\u00ednh gi\u1edbi h\u1ea1n dao \u0111\u1ed9ng gi\u00e1 ch\u1ee9ng kho\u00e1n trong ng\u00e0y giao d\u1ecbch.<\/span><\/p>\n

6. Ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh<\/i>\u00a0l\u00e0 ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch do h\u1ec7 th\u1ed1ng giao d\u1ecbch th\u1ef1c hi\u1ec7n d\u1ef1a tr\u00ean so kh\u1edbp c\u00e1c l\u1ec7nh mua v\u00e0 l\u1ec7nh b\u00e1n ch\u1ee9ng kho\u00e1n. Ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh bao g\u1ed3m kh\u1edbp l\u1ec7nh \u0111\u1ecbnh k\u1ef3 v\u00e0 kh\u1edbp l\u1ec7nh li\u00ean t\u1ee5c.<\/span><\/p>\n

7. Ph\u01b0\u01a1ng th\u1ee9c tho\u1ea3 thu\u1eadn<\/i>\u00a0l\u00e0 ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch trong \u0111\u00f3 c\u00e1c th\u00e0nh vi\u00ean giao d\u1ecbch t\u1ef1 tho\u1ea3 thu\u1eadn v\u1edbi nhau v\u1ec1 c\u00e1c \u0111i\u1ec1u ki\u1ec7n giao d\u1ecbch v\u00e0 \u0111\u01b0\u1ee3c th\u00e0nh vi\u00ean giao d\u1ecbch nh\u1eadp th\u00f4ng tin v\u00e0o h\u1ec7 th\u1ed1ng \u0111\u1ec3 ghi nh\u1eadn k\u1ebft qu\u1ea3 giao d\u1ecbch.<\/span><\/p>\n

8. Giao d\u1ecbch mua k\u00fd qu\u1ef9 ch\u1ee9ng kho\u00e1n (margin)<\/i>\u00a0l\u00e0 giao d\u1ecbch mua ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng c\u00f3 s\u1eed d\u1ee5ng ti\u1ec1n vay c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 s\u1eed d\u1ee5ng c\u00e1c ch\u1ee9ng kho\u00e1n kh\u00e1c c\u00f3 trong t\u00e0i kho\u1ea3n v\u00e0 ch\u1ee9ng kho\u00e1n mua \u0111\u01b0\u1ee3c b\u1eb1ng ti\u1ec1n vay \u0111\u1ec3 c\u1ea7m c\u1ed1.<\/span><\/p>\n

9. Th\u00f4ng tin n\u1ed9i b\u1ed9\u00a0<\/i>l\u00e0 th\u00f4ng tin li\u00ean quan \u0111\u1ebfn c\u00f4ng ty \u0111\u1ea1i ch\u00fang ho\u1eb7c qu\u1ef9 \u0111\u1ea1i ch\u00fang ch\u01b0a \u0111\u01b0\u1ee3c c\u00f4ng b\u1ed1 m\u00e0 n\u1ebfu \u0111\u01b0\u1ee3c c\u00f4ng b\u1ed1 c\u00f3 th\u1ec3 \u1ea3nh h\u01b0\u1edfng l\u1edbn \u0111\u1ebfn gi\u00e1 ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang ho\u1eb7c qu\u1ef9 \u0111\u1ea1i ch\u00fang \u0111\u00f3.<\/span><\/p>\n

10. Giao d\u1ecbch n\u1ed9i b\u1ed9<\/i>\u00a0l\u00e0 giao d\u1ecbch c\u00f3 s\u1eed d\u1ee5ng th\u00f4ng tin n\u1ed9i b\u1ed9 \u0111\u1ec3 mua b\u00e1n ch\u1ee9ng kho\u00e1n nh\u1eb1m mang l\u1ea1i l\u1ee3i \u00edch (thu l\u1eddi ho\u1eb7c tr\u00e1nh, gi\u1ea3m l\u1ed7) cho ng\u01b0\u1eddi th\u1ef1c hi\u1ec7n giao d\u1ecbch, ng\u01b0\u1eddi bi\u1ebft th\u00f4ng tin n\u1ed9i b\u1ed9 ho\u1eb7c ng\u01b0\u1eddi th\u1ee9 ba.<\/span><\/p>\n

11. Giao d\u1ecbch thao t\u00fang th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/i>\u00a0l\u00e0 vi\u1ec7c m\u1ed9t hay nhi\u1ec1u c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n ho\u1eb7c th\u00f4ng \u0111\u1ed3ng v\u1edbi nhau th\u1ef1c hi\u1ec7n, m\u1ed9t c\u00e1ch tr\u1ef1c ti\u1ebfp hay gi\u00e1n ti\u1ebfp vi\u1ec7c \u0111\u1eb7t l\u1ec7nh, giao d\u1ecbch ho\u1eb7c c\u00f4ng b\u1ed1, ph\u00e1t t\u00e1n th\u00f4ng tin nh\u1eb1m t\u1ea1o cung, c\u1ea7u, t\u00ednh thanh kho\u1ea3n, di\u1ec5n bi\u1ebfn gi\u00e1 gi\u1ea3 t\u1ea1o \u0111\u1ed1i v\u1edbi m\u1ed9t ho\u1eb7c nhi\u1ec1u lo\u1ea1i ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

Ch\u01b0\u01a1ng II<\/b><\/span><\/p>\n

QUY \u0110\u1ecaNH C\u1ee4 TH\u1ec2<\/b><\/span><\/p>\n

\u0110i\u1ec1u 3. T\u1ed5 ch\u1ee9c giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. SGDCK t\u1ed5 ch\u1ee9c giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh v\u00e0 ph\u01b0\u01a1ng th\u1ee9c th\u1ecfa thu\u1eadn. Ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc \u01b0u ti\u00ean v\u1ec1 gi\u00e1 v\u00e0 th\u1eddi gian.<\/span><\/p>\n

2. SGDCK t\u1ed5 ch\u1ee9c giao d\u1ecbch ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch tr\u00ean SGDCK th\u00f4ng qua h\u1ec7 th\u1ed1ng giao d\u1ecbch c\u1ee7a SGDCK, ngo\u1ea1i tr\u1eeb c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

a) C\u00e1c tr\u01b0\u1eddng h\u1ee3p quy \u0111\u1ecbnh t\u1ea1i\u00a0\u0110i\u1ec3m b Kho\u1ea3n 1 \u0110i\u1ec1u 4 Th\u00f4ng t\u01b0\u00a043\/2010\/TT-BTC<\/strong>\u00a0ng\u00e0y 25\/3\/2010 c\u1ee7a B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh s\u1eeda \u0111\u1ed5i, b\u1ed5 sung Quy ch\u1ebf \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n ban h\u00e0nh k\u00e8m theo Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC<\/strong>\u00a0ng\u00e0y 22 th\u00e1ng 10 n\u0103m 2007 c\u1ee7a B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh.<\/span><\/p>\n

b) \u0110\u1ea5u gi\u00e1 b\u00e1n ph\u1ea7n v\u1ed1n nh\u00e0 n\u01b0\u1edbc t\u1ea1i t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, c\u00f4ng ty \u0111\u1ea1i ch\u00fang;<\/span><\/p>\n

c) C\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n nh\u01b0\u1ee3ng kh\u00e1c qua Trung t\u00e2m L\u01b0u k\u00fd Ch\u1ee9ng kho\u00e1n (TTLKCK) sau khi \u0111\u01b0\u1ee3c U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCKNN) ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

3. SGDCK ban h\u00e0nh Quy ch\u1ebf h\u01b0\u1edbng d\u1eabn giao d\u1ecbch ch\u1ee9ng kho\u00e1n sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn. Quy ch\u1ebf h\u01b0\u1edbng d\u1eabn giao d\u1ecbch ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 v\u1ec1: Th\u1eddi gian giao d\u1ecbch; Ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch; C\u00e1ch x\u00e1c \u0111\u1ecbnh gi\u00e1 tham chi\u1ebfu; Bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1 ch\u1ee9ng kho\u00e1n; C\u00e1c lo\u1ea1i l\u1ec7nh giao d\u1ecbch; Vi\u1ec7c s\u1eeda l\u1ec7nh, h\u1ee7y l\u1ec7nh giao d\u1ecbch v\u00e0 c\u00e1c n\u1ed9i dung kh\u00e1c c\u00f3 li\u00ean quan.<\/span><\/p>\n

4. SGDCK H\u00e0 N\u1ed9i \u0111\u01b0\u1ee3c t\u1ed5 ch\u1ee9c giao d\u1ecbch ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft v\u00e0 ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00e1c c\u00f4ng ty \u0111\u1ea1i ch\u00fang ch\u01b0a ni\u00eam y\u1ebft tr\u00ean SGDCK, ngo\u1ea1i tr\u1eeb c\u00e1c tr\u01b0\u1eddng h\u1ee3p quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0111i\u1ec3m a, b v\u00e0 c Kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y.<\/span><\/p>\n

5. TTLKCK c\u1ea5p m\u00e3 ch\u1ee9ng kho\u00e1n cho c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch tr\u00ean SGDCK.<\/span><\/p>\n

\u0110i\u1ec1u 4. T\u1ea1m ng\u1eebng giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. SGDCK t\u1ea1m ng\u1eebng ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean to\u00e0n h\u1ec7 th\u1ed1ng trong tr\u01b0\u1eddng h\u1ee3p:<\/span><\/p>\n

a) H\u1ec7 th\u1ed1ng giao d\u1ecbch ho\u1eb7c h\u1ec7 th\u1ed1ng chuy\u1ec3n l\u1ec7nh c\u1ee7a SGDCK g\u1eb7p s\u1ef1 c\u1ed1;<\/span><\/p>\n

b) Khi x\u1ea3y ra c\u00e1c s\u1ef1 ki\u1ec7n b\u1ea5t kh\u1ea3 kh\u00e1ng l\u00e0m \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch c\u1ee7a th\u1ecb tr\u01b0\u1eddng nh\u01b0 thi\u00ean tai, h\u1ecfa ho\u1ea1n;<\/span><\/p>\n

c) UBCKNN y\u00eau c\u1ea7u ng\u1eebng giao d\u1ecbch \u0111\u1ec3 \u1ed5n \u0111\u1ecbnh th\u1ecb tr\u01b0\u1eddng;<\/span><\/p>\n

d) C\u00e1c tr\u01b0\u1eddng h\u1ee3p SGDCK th\u1ea5y c\u1ea7n thi\u1ebft \u0111\u1ec3 b\u1ea3o v\u1ec7 l\u1ee3i \u00edch c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

2. Vi\u1ec7c t\u1ea1m ng\u1eebng giao d\u1ecbch t\u1eebng lo\u1ea1i ch\u1ee9ng kho\u00e1n c\u1ee5 th\u1ec3 th\u1ef1c hi\u1ec7n theo Quy ch\u1ebf giao d\u1ecbch c\u1ee7a SGDCK.<\/span><\/p>\n

3. SGDCK ph\u1ea3i b\u00e1o c\u00e1o UBCKNN ngay khi quy\u1ebft \u0111\u1ecbnh t\u1ea1m ng\u1eebng giao d\u1ecbch quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a, b Kho\u1ea3n 1 v\u00e0 Kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y.<\/span><\/p>\n

\u0110i\u1ec1u 5. Bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1<\/b><\/span><\/p>\n

1. SGDCK quy \u0111\u1ecbnh bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1 sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn;<\/span><\/p>\n

2. Trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o b\u00ecnh \u1ed5n th\u1ecb tr\u01b0\u1eddng, UBCKNN quy\u1ebft \u0111\u1ecbnh \u0111i\u1ec1u ch\u1ec9nh bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1.<\/span><\/p>\n

\u0110i\u1ec1u 6. S\u1eeda l\u1ed7i sau giao d\u1ecbch, x\u00e1c l\u1eadp giao d\u1ecbch v\u00e0 hu\u1ef7 b\u1ecf giao d\u1ecbch<\/b><\/span><\/p>\n

1. TTLKCK ch\u1ecbu tr\u00e1ch nhi\u1ec7m ban h\u00e0nh Quy tr\u00ecnh h\u01b0\u1edbng d\u1eabn vi\u1ec7c s\u1eeda l\u1ed7i sau giao d\u1ecbch \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft v\u00e0 \u0111\u0103ng k\u00fd giao d\u1ecbch tr\u00ean SGDCK sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

2. SGDCK ch\u1ecbu tr\u00e1ch nhi\u1ec7m ban h\u00e0nh quy \u0111\u1ecbnh v\u1ec1 vi\u1ec7c x\u00e1c l\u1eadp giao d\u1ecbch v\u00e0 h\u1ee7y b\u1ecf giao d\u1ecbch ch\u1ee9ng kho\u00e1n sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

\u0110i\u1ec1u 7. Giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0<\/b><\/span><\/p>\n

Nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean SGDCK v\u00e0 ch\u1ecbu tr\u00e1ch nhi\u1ec7m cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7, ch\u00ednh x\u00e1c c\u00e1c th\u00f4ng tin khi m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch.<\/span><\/p>\n

Nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c ph\u00e9p m\u1edf m\u1ed9t t\u00e0i kho\u1ea3n giao d\u1ecbch t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n, ngo\u1ea1i tr\u1eeb c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

a) T\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0;<\/span><\/p>\n

b) C\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ri\u00eang bi\u1ec7t cho b\u1ea3n th\u00e2n c\u00f4ng ty v\u00e0 t\u1eebng qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n do c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 qu\u1ea3n l\u00fd t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01a1i c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 m\u1edf t\u00e0i kho\u1ea3n v\u00e0 ph\u1ea3i n\u00eau r\u00f5 \u0111i\u1ec1u n\u00e0y trong h\u1ee3p \u0111\u1ed3ng m\u1edf t\u00e0i kho\u1ea3n. Tr\u01b0\u1eddng h\u1ee3p th\u1ef1c hi\u1ec7n qu\u1ea3n l\u00fd danh m\u1ee5c \u0111\u1ea7u t\u01b0, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 ph\u1ea3i m\u1edf hai (02) t\u00e0i kho\u1ea3n giao d\u1ecbch \u0111\u1ee9ng t\u00ean c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n thay m\u1eb7t cho nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c, bao g\u1ed3m m\u1ed9t (01) t\u00e0i kho\u1ea3n cho nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c trong n\u01b0\u1edbc v\u00e0 m\u1ed9t (01) t\u00e0i kho\u1ea3n cho nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c n\u01b0\u1edbc ngo\u00e0i.<\/span><\/p>\n

c) Nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01b0\u1edbc ngo\u00e0i th\u00e0nh l\u1eadp theo ph\u00e1p lu\u1eadt n\u01b0\u1edbc ngo\u00e0i \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u00e1ch bi\u1ec7t t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u1ec3 qu\u1ea3n l\u00fd ch\u1ee9ng kho\u00e1n thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a ch\u00ednh c\u00f4ng ty (t\u1ef1 doanh) v\u00e0 c\u00e1c t\u00e0i kho\u1ea3n cho kh\u00e1ch h\u00e0ng (m\u00f4i gi\u1edbi) c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01b0\u1edbc ngo\u00e0i.<\/span><\/p>\n

d) C\u00f4ng ty b\u1ea3o hi\u1ec3m 100% v\u1ed1n n\u01b0\u1edbc ngo\u00e0i ho\u1ea1t \u0111\u1ed9ng t\u1ea1i Vi\u1ec7t Nam khi tham gia giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u1ea3i m\u1edf hai (02) t\u00e0i kho\u1ea3n giao d\u1ecbch t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n: m\u1ed9t (01) t\u00e0i kho\u1ea3n \u0111\u1ea7u t\u01b0 t\u1eeb ngu\u1ed3n v\u1ed1n ch\u1ee7 s\u1edf h\u1eefu v\u00e0 ch\u1ecbu s\u1ef1 \u0111i\u1ec1u ch\u1ec9nh v\u1ec1 t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i, m\u1ed9t (01) t\u00e0i kho\u1ea3n \u0111\u1ea7u t\u01b0 t\u1eeb ngu\u1ed3n thu ph\u00ed b\u1ea3o hi\u1ec3m v\u00e0 kh\u00f4ng ch\u1ecbu s\u1ef1 \u0111i\u1ec1u ch\u1ec9nh v\u1ec1 t\u1ef7 l\u1ec7 s\u1edf h\u1eefu c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i.<\/span><\/p>\n

3. Vi\u1ec7c m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh t\u1ea1i\u00a0Kho\u1ea3n 2 \u0110i\u1ec1u 81, Lu\u1eadt Ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

4. Tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00e1c nhau, trong h\u1ed3 s\u01a1 m\u1edf t\u00e0i kho\u1ea3n t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n m\u1edbi ph\u1ea3i ghi r\u00f5 s\u1ed1 l\u01b0\u1ee3ng t\u00e0i kho\u1ea3n \u0111\u00e3 m\u1edf v\u00e0 m\u00e3 s\u1ed1 t\u00e0i kho\u1ea3n t\u1ea1i c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n tr\u01b0\u1edbc \u0111\u00f3.<\/span><\/p>\n

5. Nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch sau khi \u0111\u00e3 \u0111\u0103ng k\u00fd v\u00e0 \u0111\u01b0\u1ee3c TTLKCK c\u1ea5p m\u00e3 s\u1ed1 giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

6. UBCKNN h\u01b0\u1edbng d\u1eabn nguy\u00ean t\u1eafc c\u1ea5p m\u00e3 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n cho nh\u00e0 \u0111\u1ea7u t\u01b0. C\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n c\u00f3 tr\u00e1ch nhi\u1ec7m l\u01b0u gi\u1eef c\u00e1c th\u00f4ng tin v\u1ec1 ch\u1ee7 t\u00e0i kho\u1ea3n, th\u00f4ng tin giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c ch\u1ee9ng t\u1eeb c\u00f3 li\u00ean quan t\u1ed1i thi\u1ec3u 10 n\u0103m k\u1ec3 t\u1eeb ng\u00e0y ph\u00e1t sinh giao d\u1ecbch.<\/span><\/p>\n

7. Nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i \u0111\u1ea3m b\u1ea3o t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 b\u1eb1ng ti\u1ec1n ho\u1eb7c ch\u1ee9ng kho\u00e1n trong giao d\u1ecbch. UBCKNN h\u01b0\u1edbng d\u1eabn t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 b\u1eb1ng ti\u1ec1n ho\u1eb7c ch\u1ee9ng kho\u00e1n sau khi \u0111\u01b0\u1ee3c B\u1ed9 T\u00e0i ch\u00ednh ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

8. Vi\u1ec7c chuy\u1ec3n nh\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch ph\u1ea3i th\u1ef1c hi\u1ec7n qua SGDCK. C\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n nh\u01b0\u1ee3ng n\u00eau t\u1ea1i Kho\u1ea3n 2 \u0110i\u1ec1u 3 Th\u00f4ng t\u01b0 n\u00e0y \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n th\u00f4ng qua TTLKCK v\u00e0 ph\u1ea3i c\u00f4ng b\u1ed1 th\u00f4ng tin tr\u00ean SGDCK.<\/span><\/p>\n

9. C\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n mua c\u1ed5 phi\u1ebfu, ch\u1ee9ng ch\u1ec9 qu\u1ef9 l\u00f4 l\u1ebb c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 theo gi\u00e1 tho\u1ea3 thu\u1eadn ho\u1eb7c t\u1ed5 ch\u1ee9c giao d\u1ecbch l\u00f4 l\u1ebb cho kh\u00e1ch h\u00e0ng theo h\u01b0\u1edbng d\u1eabn c\u1ee7a UBCKNN.<\/span><\/p>\n

\u0110i\u1ec1u 8. Giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong ng\u00e0y giao d\u1ecbch:<\/b><\/span><\/p>\n

1. Nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch ng\u01b0\u1ee3c chi\u1ec1u (mua, b\u00e1n) c\u00f9ng m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n trong ng\u00e0y giao d\u1ecbch, khi \u0111\u00e1p \u1ee9ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n sau:<\/span><\/p>\n

a) S\u1eed d\u1ee5ng m\u1ed9t t\u00e0i kho\u1ea3n m\u1edf t\u1ea1i m\u1ed9t c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n c\u1ea3 l\u1ec7nh mua v\u00e0 b\u00e1n;<\/span><\/p>\n

b) Ch\u1ec9 \u0111\u01b0\u1ee3c mua (ho\u1eb7c b\u00e1n) m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n n\u1ebfu l\u1ec7nh b\u00e1n (ho\u1eb7c l\u1ec7nh mua) c\u1ee7a ch\u1ee9ng kho\u00e1n c\u00f9ng lo\u1ea1i tr\u01b0\u1edbc \u0111\u00f3 \u0111\u00e3 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n v\u00e0 l\u1ec7nh giao d\u1ecbch ph\u1ea3i \u0111\u00e1p \u1ee9ng y\u00eau c\u1ea7u t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 theo quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 7, \u0110i\u1ec1u 7 Th\u00f4ng t\u01b0 n\u00e0y.<\/span><\/p>\n

c) C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng l\u01b0u k\u00fd ch\u1ecbu tr\u00e1ch nhi\u1ec7m ki\u1ec3m tra t\u00ednh h\u1ee3p l\u1ec7 c\u1ee7a l\u1ec7nh \u0111\u1eb7t mua\/b\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0.<\/span><\/p>\n

2. Nh\u00e0 \u0111\u1ea7u t\u01b0 kh\u00f4ng \u0111\u01b0\u1ee3c ph\u00e9p:<\/span><\/p>\n

a) Th\u1ef1c hi\u1ec7n giao d\u1ecbch m\u00e0 kh\u00f4ng d\u1eabn \u0111\u1ebfn vi\u1ec7c thay \u0111\u1ed5i quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n;<\/span><\/p>\n

b) \u0110\u1ed3ng th\u1eddi \u0111\u1eb7t l\u1ec7nh mua v\u00e0 b\u00e1n c\u00f9ng m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n trong t\u1eebng l\u1ea7n kh\u1edbp l\u1ec7nh tr\u00ean c\u00f9ng m\u1ed9t t\u00e0i kho\u1ea3n ho\u1eb7c c\u00e1c t\u00e0i kho\u1ea3n kh\u00e1c nhau m\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u1ee9ng t\u00ean s\u1edf h\u1eefu.<\/span><\/p>\n

\u0110i\u1ec1u 9. T\u00e0i kho\u1ea3n giao d\u1ecbch \u1ee7y quy\u1ec1n<\/b><\/span><\/p>\n

1. Nh\u00e0 \u0111\u1ea7u t\u01b0 khi m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u00ec c\u00f3 th\u1ec3 \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n giao d\u1ecbch trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

a) \u1ee6y quy\u1ec1n giao d\u1ecbch b\u1eb1ng v\u0103n b\u1ea3n cho c\u00f4ng ty ch\u1ee9ng kho\u00e1n ho\u1eb7c ng\u00e2n h\u00e0ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n giao d\u1ecbch thay cho m\u00ecnh. Khi \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n\/ng\u00e2n h\u00e0ng l\u01b0u k\u00fd thay m\u1eb7t nh\u00e0 \u0111\u1ea7u t\u01b0 th\u1ef1c hi\u1ec7n giao d\u1ecbch v\u00e0 ph\u1ea3i tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh v\u1ec1 giao d\u1ecbch, thanh to\u00e1n ch\u1ee9ng kho\u00e1n, ngh\u0129a v\u1ee5 c\u00f4ng b\u1ed1 th\u00f4ng tin v\u00e0 ch\u1ecbu tr\u00e1ch nhi\u1ec7m tr\u01b0\u1edbc nh\u00e0 \u0111\u1ea7u t\u01b0 v\u1ec1 n\u1ed9i dung theo \u1ee7y quy\u1ec1n;<\/span><\/p>\n

b) \u1ee6y quy\u1ec1n giao d\u1ecbch b\u1eb1ng v\u0103n b\u1ea3n cho c\u00e1 nh\u00e2n kh\u00e1c th\u1ef1c hi\u1ec7n giao d\u1ecbch thay cho m\u00ecnh ph\u1ea3i \u0111\u1ea3m b\u1ea3o:<\/span><\/p>\n

– C\u00f3 x\u00e1c nh\u1eadn vi\u1ec7c \u1ee7y quy\u1ec1n c\u1ee7a ch\u00ednh quy\u1ec1n \u0111\u1ecba ph\u01b0\u01a1ng ho\u1eb7c c\u00f4ng ch\u1ee9ng theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/span><\/p>\n

– H\u1ee3p \u0111\u1ed3ng \u1ee7y quy\u1ec1n ph\u1ea3i n\u00eau r\u00f5 ph\u1ea1m vi \u1ee7y quy\u1ec1n;<\/span><\/p>\n

– Ng\u01b0\u1eddi \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n kh\u00f4ng \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch v\u1edbi ch\u00ednh m\u00ecnh ho\u1eb7c v\u1edbi ng\u01b0\u1eddi th\u1ee9 ba m\u00e0 m\u00ecnh l\u00e0 ng\u01b0\u1eddi \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n.<\/span><\/p>\n

2. Nh\u00e2n vi\u00ean c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c ph\u00e9p nh\u1eadn \u1ee7y quy\u1ec1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0.<\/span><\/p>\n

3. Nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf nhi\u1ec1u t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u1ea3i b\u00e1o c\u00e1o ngh\u0129a v\u1ee5 c\u1ed5 \u0111\u00f4ng l\u1edbn tr\u00ean t\u1ed5ng s\u1ed1 ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00e1c t\u00e0i kho\u1ea3n v\u00e0 c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

\u0110i\u1ec1u 10. Giao d\u1ecbch c\u1ed5 phi\u1ebfu qu\u1ef9<\/b><\/span><\/p>\n

1. T\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch mua l\u1ea1i, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9 tr\u00ean SGDCK th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt. SGDCK ban h\u00e0nh Quy ch\u1ebf h\u01b0\u1edbng d\u1eabn c\u1ee5 th\u1ec3 v\u1ec1 giao d\u1ecbch c\u1ed5 phi\u1ebfu qu\u1ef9 sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

2. Tr\u01b0\u1eddng h\u1ee3p b\u00e1n ra c\u1ed5 phi\u1ebfu qu\u1ef9, c\u00f4ng ty \u0111\u1ea1i ch\u00fang ph\u1ea3i b\u00e1o c\u00e1o UBCKNN \u00edt nh\u1ea5t b\u1ea3y (07) ng\u00e0y tr\u01b0\u1edbc ng\u00e0y th\u1ef1c hi\u1ec7n giao d\u1ecbch.<\/span><\/p>\n

3. T\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch \u0111\u01b0\u1ee3c mua l\u1ea1i c\u1ed5 phi\u1ebfu l\u00f4 l\u1ebb c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u1ec3 l\u00e0m c\u1ed5 phi\u1ebfu qu\u1ef9. T\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch mua l\u1ea1i c\u1ed5 phi\u1ebfu l\u00f4 l\u1ebb ph\u1ea3i \u0111\u1ea3m b\u1ea3o ngu\u1ed3n v\u1ed1n mua l\u1ea1i c\u1ed5 phi\u1ebfu qu\u1ef9 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u00e0 kh\u00f4ng ph\u1ea3i h\u1ea1n ch\u1ebf th\u1eddi h\u1ea1n b\u00e1n ra c\u1ed5 phi\u1ebfu l\u00f4 l\u1ebb \u0111\u00e3 mua l\u00e0m c\u1ed5 phi\u1ebfu qu\u1ef9.<\/span><\/p>\n

\u0110i\u1ec1u 11. Giao d\u1ecbch k\u00fd qu\u1ef9 ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. C\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9 sau khi \u0111\u00e3 b\u00e1o c\u00e1o v\u1edbi UBCKNN.<\/span><\/p>\n

2. Nh\u00e0 \u0111\u1ea7u t\u01b0 mu\u1ed1n th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9 ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n. T\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch, nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c ph\u00e9p m\u1edf m\u1ed9t (01) t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9. C\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u1ea3i qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 v\u1edbi c\u00e1c t\u00e0i kho\u1ea3n giao d\u1ecbch kh\u00e1c.<\/span><\/p>\n

3. Ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e9p giao d\u1ecbch k\u00fd qu\u1ef9 l\u00e0 c\u1ed5 phi\u1ebfu, ch\u1ee9ng ch\u1ec9 qu\u1ef9 \u0111\u1ea7u t\u01b0 \u0111ang ni\u00eam y\u1ebft tr\u00ean SGDCK \u0111\u00e1p \u1ee9ng y\u00eau c\u1ea7u v\u1ec1 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e9p giao d\u1ecbch k\u00fd qu\u1ef9 theo quy \u0111\u1ecbnh c\u1ee7a UBCKNN. C\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 ngh\u0129a v\u1ee5 c\u00f4ng b\u1ed1 c\u00f4ng khai danh m\u1ee5c ch\u1ee9ng kho\u00e1n m\u00e0 c\u00f4ng ty th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9.<\/span><\/p>\n

4. C\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o \u0111\u1ecbnh k\u1ef3, b\u00e1o c\u00e1o theo y\u00eau c\u1ea7u v\u1ec1 ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch k\u00fd qu\u1ef9 v\u1edbi UBCKNN, SGDCK v\u00e0 TTLKCK.<\/span><\/p>\n

5. Trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft, \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o an to\u00e0n cho ho\u1ea1t \u0111\u1ed9ng c\u1ee7a th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, UBCKNN c\u00f3 th\u1ec3 y\u00eau c\u1ea7u c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n t\u1ea1m ng\u1eebng giao d\u1ecbch k\u00fd qu\u1ef9.<\/span><\/p>\n

6. UBCKNN quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 nghi\u1ec7p v\u1ee5 giao d\u1ecbch k\u00fd qu\u1ef9 cho c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

\u0110i\u1ec1u 12. C\u00e1c tr\u01b0\u1eddng h\u1ee3p ch\u1ee9ng kho\u00e1n b\u1ecb qu\u1ea3n l\u00fd<\/b><\/span><\/p>\n

SGDCK quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 \u0111i\u1ec1u ki\u1ec7n, bi\u1ec7n ph\u00e1p, th\u1eddi h\u1ea1n \u00e1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p \u0111\u1ed1i v\u1edbi c\u00e1c tr\u01b0\u1eddng h\u1ee3p ch\u1ee9ng kho\u00e1n giao d\u1ecbch tr\u00ean SGDCK thu\u1ed9c di\u1ec7n b\u1ecb c\u1ea3nh b\u00e1o, ki\u1ec3m so\u00e1t, t\u1ea1m ng\u1eebng giao d\u1ecbch v\u00e0 \u0111\u00ecnh ch\u1ec9 giao d\u1ecbch sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

\u0110i\u1ec1u 13. Giao d\u1ecbch b\u1ecb c\u1ea5m<\/b><\/span><\/p>\n

1. Giao d\u1ecbch b\u1ecb c\u1ea5m bao g\u1ed3m: giao d\u1ecbch n\u1ed9i b\u1ed9, giao d\u1ecbch thao t\u00fang th\u1ecb tr\u01b0\u1eddng v\u00e0 c\u00e1c giao d\u1ecbch b\u1ecb c\u1ea5m kh\u00e1c theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/span><\/p>\n

2. C\u00e1c h\u00e0nh vi vi ph\u1ea1m v\u1ec1 giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c x\u1eed l\u00fd theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

\u0110i\u1ec1u 14. Ch\u1ebf \u0111\u1ed9 b\u00e1o c\u00e1o v\u00e0 gi\u00e1m s\u00e1t<\/b><\/span><\/p>\n

1. SGDCK, TTLKCK th\u1ef1c hi\u1ec7n ch\u1ebf \u0111\u1ed9 b\u00e1o c\u00e1o t\u00ecnh h\u00ecnh giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u1edbi UBCKNN.<\/span><\/p>\n

2. SGDCK, TTLKCK thu\u1ed9c \u0111\u1ed1i t\u01b0\u1ee3ng gi\u00e1m s\u00e1t c\u1ee7a UBCKNN v\u1ec1 giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

Ch\u01b0\u01a1ng III<\/b><\/span><\/p>\n

T\u1ed4 CH\u1ee8C TH\u1ef0C HI\u1ec6N<\/b><\/span><\/p>\n

\u0110i\u1ec1u 15. \u0110i\u1ec1u kho\u1ea3n thi h\u00e0nh<\/b><\/span><\/p>\n

1. UBCKNN ch\u1ecbu tr\u00e1ch nhi\u1ec7m ban h\u00e0nh c\u00e1c quy \u0111\u1ecbnh h\u01b0\u1edbng d\u1eabn c\u1ee5 th\u1ec3. C\u00e1c SGDCK, TTLKCK ch\u1ecbu tr\u00e1ch nhi\u1ec7m ban h\u00e0nh c\u00e1c Quy ch\u1ebf h\u01b0\u1edbng d\u1eabn, Quy tr\u00ecnh nghi\u1ec7p v\u1ee5 v\u00e0 gi\u00e1m s\u00e1t vi\u1ec7c tu\u00e2n th\u1ee7 c\u00e1c ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch c\u1ee7a th\u00e0nh vi\u00ean sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

2. Th\u00f4ng t\u01b0 n\u00e0y c\u00f3 hi\u1ec7u l\u1ef1c thi h\u00e0nh k\u1ec3 t\u1eeb ng\u00e0y 01\/08\/2011.<\/span><\/p>\n

3. Vi\u1ec7c s\u1eeda \u0111\u1ed5i, b\u1ed5 sung Th\u00f4ng t\u01b0 n\u00e0y do B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh quy\u1ebft \u0111\u1ecbnh.<\/span><\/p>\n\n\n\n
\u00a0<\/span><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

N\u01a1i nh\u1eadn:<\/i><\/b>\u00a0<\/span>
\nV\u0103n ph\u00f2ng Ch\u00ednh ph\u1ee7;\u00a0<\/span>
\nV\u0103n ph\u00f2ng Trung \u01b0\u01a1ng v\u00e0 c\u00e1c Ban c\u1ee7a \u0110\u1ea3ng;<\/span>
\nV\u0103n ph\u00f2ng Qu\u1ed1c h\u1ed9i;<\/span>
\nV\u0103n ph\u00f2ng Ch\u1ee7 t\u1ecbch n\u01b0\u1edbc;<\/span>
\nC\u00e1c B\u1ed9, c\u01a1 quan ngang B\u1ed9, c\u01a1 quan thu\u1ed9c Ch\u00ednh ph\u1ee7;<\/span>
\nH\u0110ND, UBND c\u00e1c t\u1ec9nh, th\u00e0nh ph\u1ed1 tr\u1ef1c thu\u1ed9c Trung \u01b0\u01a1ng;<\/span>
\nV\u0103n ph\u00f2ng BC\u0110 ph\u00f2ng ch\u1ed1ng tham nh\u0169ng TW;<\/span>
\nVi\u1ec7n Ki\u1ec3m s\u00e1t NDTC, To\u00e0 \u00e1n NDTC;<\/span>
\nKi\u1ec3m to\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/span>
\nC\u01a1 quan Trung \u01b0\u01a1ng c\u1ee7a c\u00e1c \u0111o\u00e0n th\u1ec3;<\/span>
\nC\u00f4ng b\u00e1o;\u00a0<\/span>
\nWebsite Ch\u00ednh ph\u1ee7;<\/span>
\nC\u1ee5c ki\u1ec3m tra v\u0103n b\u1ea3n – B\u1ed9 T\u01b0 ph\u00e1p;<\/span>
\nC\u00e1c \u0111\u01a1n v\u1ecb thu\u1ed9c B\u1ed9 T\u00e0i ch\u00ednh;<\/span>
\nWebsite BTC;<\/span>
\nL\u01b0u: VT, UBCKNN.<\/span><\/p>\n

KT.B\u1ed8 TR\u01af\u1edeNG
\nTH\u1ee8 TR\u01af\u1edeNG<\/b><\/span><\/p>\n

Tr\u1ea7n Xu\u00e2n H\u00e0<\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

B\u1ed8 T\u00c0I CH\u00cdNH ——– C\u1ed8NG H\u00d2A X\u00c3 H\u1ed8I CH\u1ee6 NGH\u0128A VI\u1ec6T NAM \u0110\u1ed9c l\u1eadp – T\u1ef1 do – H\u1ea1nh ph\u00fac —————- S\u1ed1: 74\/2011\/TT-BTC H\u00e0 N\u1ed9i, ng\u00e0y 01 th\u00e1ng 06 n\u0103m 2011 \u00a0 TH\u00d4NG T\u01af H\u01af\u1edaNG D\u1eaaN V\u1ec0 GIAO D\u1ecaCH CH\u1ee8NG KHO\u00c1N C\u0103n c\u1ee9 Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1ed1 70\/2006\/QH11 \u0111\u01b0\u1ee3c Qu\u1ed1c H\u1ed9i th\u00f4ng qua ng\u00e0y 29\/06\/2006;..<\/p>\n","protected":false},"author":7,"featured_media":26598,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"tags":[4533,4534,4532],"_links":{"self":[{"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/posts\/31285"}],"collection":[{"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/users\/7"}],"replies":[{"embeddable":true,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=31285"}],"version-history":[{"count":0,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/posts\/31285\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/media\/26598"}],"wp:attachment":[{"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=31285"}],"wp:term":[{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=%2Fwp%2Fv2%2Ftags&post=31285"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}