{"id":31287,"date":"2017-11-17T00:45:17","date_gmt":"2017-11-17T00:45:17","guid":{"rendered":"https:\/\/centax.dsoftware.vn\/?p=31287"},"modified":"2017-11-07T01:59:55","modified_gmt":"2017-11-07T01:59:55","slug":"thong-tu-432010tt-btc-sua-doi-quy-che-dang-ky-luu-ky-bu-tru-va-thanh-toan-chung-khoan","status":"publish","type":"post","link":"https:\/\/centax.dsoftware.vn\/?p=31287","title":{"rendered":"Th\u00f4ng t\u01b0 43\/2010\/TT-BTC s\u1eeda \u0111\u1ed5i Quy ch\u1ebf \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"\n\n\n\n
B\u1ed8 T\u00c0I CH\u00cdNH
\n——<\/strong><\/span><\/td>\n		C\u1ed8NG H\u00d2A X\u00c3 H\u1ed8I CH\u1ee6 NGH\u0128A VI\u1ec6T NAM
\n\u0110\u1ed9c l\u1eadp \u2013 T\u1ef1 do \u2013 H\u1ea1nh ph\u00fac
\n————–<\/strong><\/span><\/td>\n<\/tr>\n
S\u1ed1: 43\/2010\/TT-BTC<\/span><\/td>\nH\u00e0 N\u1ed9i, ng\u00e0y 25 th\u00e1ng 03 n\u0103m 2010<\/em><\/span><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

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

S\u1eecA \u0110\u1ed4I, B\u1ed4 SUNG QUY CH\u1ebe \u0110\u0102NG K\u00dd, L\u01afU K\u00dd, B\u00d9 TR\u1eea V\u00c0 THANH TO\u00c1N CH\u1ee8NG KHO\u00c1N BAN H\u00c0NH K\u00c8M THEO QUY\u1ebeT \u0110\u1ecaNH S\u1ed0\u00a087\/2007\/Q\u0110-BTC\u00a0NG\u00c0Y 22 TH\u00c1NG 10 N\u0102M 2007 C\u1ee6A B\u1ed8 TR\u01af\u1edeNG B\u1ed8 T\u00c0I CH\u00cdNH<\/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\u00a014\/2007\/N\u0110-CP\u00a0ng\u00e0y 19\/01\/2007 c\u1ee7a Ch\u00ednh ph\u1ee7 quy \u0111\u1ecbnh chi ti\u1ebft thi h\u00e0nh m\u1ed9t s\u1ed1 \u0111i\u1ec1u c\u1ee7a Lu\u1eadt Ch\u1ee9ng kho\u00e1n;
\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 s\u1eeda \u0111\u1ed5i, b\u1ed5 sung m\u1ed9t s\u1ed1 \u0111i\u1ec3m trong 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\u00a0ng\u00e0y 22 th\u00e1ng 10 n\u0103m 2007 c\u1ee7a B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh (sau \u0111\u00e2y g\u1ecdi l\u00e0 Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC)\u00a0nh\u01b0 sau:<\/em><\/span><\/p>\n

\u0110i\u1ec1u 1.\u00a0<\/strong>S\u1eeda \u0111\u1ed5i t\u00ean Trung t\u00e2m L\u01b0u k\u00fd Ch\u1ee9ng kho\u00e1n (vi\u1ebft t\u1eaft l\u00e0 TTLKCK) th\u00e0nh Trung t\u00e2m L\u01b0u k\u00fd Ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam (vi\u1ebft t\u1eaft l\u00e0 VSD).<\/span><\/p>\n

\u0110i\u1ec1u 2.\u00a0<\/strong>S\u1eeda \u0111\u1ed5i \u0111i\u1ec3m d, b\u1ed5 sung \u0110i\u1ec3m e Kho\u1ea3n 1 \u0110i\u1ec1u 7 Ch\u01b0\u01a1ng III Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201cd. C\u00f3 quy tr\u00ecnh nghi\u1ec7p v\u1ee5 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n \u0111\u00e1p \u1ee9ng \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u c\u1ee7a VSD.<\/em><\/span><\/p>\n

e. H\u1ec7 th\u1ed1ng c\u00f3 kh\u1ea3 n\u0103ng k\u1ebft n\u1ed1i v\u1edbi c\u1ed5ng giao ti\u1ebfp \u0111i\u1ec7n t\u1eed c\u1ee7a VSD v\u00e0 ph\u1ea7n m\u1ec1m qu\u1ea3n l\u00fd ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n \u0111\u00e1p \u1ee9ng \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u c\u1ee7a VSD.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 3.<\/strong>\u00a0S\u1eeda \u0111\u1ed5i, b\u1ed5 sung Kho\u1ea3n 8 \u0110i\u1ec1u 12 Ch\u01b0\u01a1ng III Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC<\/strong>\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c8. B\u1ecb UBCKNN r\u00fat nghi\u1ec7p v\u1ee5 m\u00f4i gi\u1edbi ch\u1ee9ng kho\u00e1n ho\u1eb7c thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 2 \u0110i\u1ec1u 51 c\u1ee7a Lu\u1eadt ch\u1ee9ng kho\u00e1n (\u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean l\u01b0u k\u00fd).<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 4.<\/strong>\u00a0S\u1eeda \u0111\u1ed5i, b\u1ed5 sung Kho\u1ea3n 1 \u0110i\u1ec1u 18 Ch\u01b0\u01a1ng IV Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC<\/strong>\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c1. Vi\u1ec7c chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft\/\u0111\u0103ng k\u00fd giao d\u1ecbch \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc sau:<\/em><\/span><\/p>\n

a) Ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n mu\u1ed1n th\u1ef1c hi\u1ec7n chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n ph\u1ea3i l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0o VSD th\u00f4ng qua c\u00e1c th\u00e0nh vi\u00ean l\u01b0u k\u00fd \u0111\u1ec3 giao d\u1ecbch mua b\u00e1n ch\u1ee9ng kho\u00e1n qua SGDCK ho\u1eb7c chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu theo quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n b \u0110i\u1ec1u n\u00e0y (tr\u1eeb tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu do th\u1eeba k\u1ebf ho\u1eb7c do t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh mua l\u1ea1i c\u1ed5 phi\u1ebfu c\u1ee7a c\u00e1n b\u1ed9, nh\u00e2n vi\u00ean khi ch\u1ea5m d\u1ee9t h\u1ee3p \u0111\u1ed3ng lao \u0111\u1ed9ng).<\/span><\/em><\/p>\n

b) VSD ch\u1ec9 th\u1ef1c hi\u1ec7n chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n ngo\u00e0i h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi c\u00e1c giao d\u1ecbch kh\u00f4ng mang t\u00ednh ch\u1ea5t mua b\u00e1n ho\u1eb7c kh\u00f4ng th\u1ec3 th\u1ef1c hi\u1ec7n \u0111\u01b0\u1ee3c qua h\u1ec7 th\u1ed1ng giao d\u1ecbch t\u1ea1i SGDCK, trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/em><\/p>\n

– Bi\u1ebfu, t\u1eb7ng, cho, th\u1eeba k\u1ebf ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt d\u00e2n s\u1ef1.<\/span><\/em><\/p>\n

– Giao d\u1ecbch ch\u1ee9ng kho\u00e1n l\u00f4 l\u1ebb theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/span><\/em><\/p>\n

– T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh\/C\u00f4ng \u0111o\u00e0n c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh mua l\u1ea1i c\u1ed5 phi\u1ebfu \u01b0u \u0111\u00e3i c\u1ee7a c\u00e1n b\u1ed9, c\u00f4ng nh\u00e2n vi\u00ean khi ch\u1ea5m d\u1ee9t h\u1ee3p \u0111\u1ed3ng lao \u0111\u1ed9ng l\u00e0m c\u1ed5 phi\u1ebfu qu\u1ef9, c\u1ed5 phi\u1ebfu th\u01b0\u1edfng cho c\u00e1n b\u1ed9, nh\u00e2n vi\u00ean.<\/span><\/em><\/p>\n

– T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh d\u00f9ng c\u1ed5 phi\u1ebfu qu\u1ef9 \u0111\u1ec3 th\u01b0\u1edfng\/C\u00f4ng \u0111o\u00e0n c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh ph\u00e2n ph\u1ed1i c\u1ed5 phi\u1ebfu th\u01b0\u1edfng cho c\u00e1n b\u1ed9, nh\u00e2n vi\u00ean.<\/span><\/em><\/p>\n

– Giao d\u1ecbch c\u1ee7a c\u1ed5 \u0111\u00f4ng s\u00e1ng l\u1eadp trong th\u1eddi gian h\u1ea1n ch\u1ebf chuy\u1ec3n nh\u01b0\u1ee3ng.<\/span><\/em><\/p>\n

– T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh thay \u0111\u1ed5i c\u1ed5 \u0111\u00f4ng chi\u1ebfn l\u01b0\u1ee3c trong th\u1eddi gian h\u1ea1n ch\u1ebf chuy\u1ec3n nh\u01b0\u1ee3ng.<\/span><\/em><\/p>\n

– C\u00e1c tr\u01b0\u1eddng h\u1ee3p giao d\u1ecbch \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u0103ng k\u00fd t\u1ea1i VSD v\u00e0 \u0111\u01b0\u1ee3c SGDCK ch\u1ea5p thu\u1eadn nguy\u00ean t\u1eafc nh\u01b0ng chua \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn ni\u00eam y\u1ebft ch\u00ednh th\u1ee9c.<\/span><\/em><\/p>\n

– Nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a m\u00ecnh sang c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 trong tr\u01b0\u1eddng h\u1ee3p c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 nh\u1eadn qu\u1ea3n l\u00fd danh m\u1ee5c \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c b\u1eb1ng t\u00e0i s\u1ea3n.<\/span><\/em><\/p>\n

– C\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c \u1ee7y th\u00e1c sang nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c ho\u1eb7c c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 kh\u00e1c trong tr\u01b0\u1eddng h\u1ee3p ch\u1ea5m d\u1ee9t h\u1ee3p \u0111\u1ed3ng qu\u1ea3n l\u00fd danh m\u1ee5c \u0111\u1ea7u t\u01b0 ho\u1eb7c c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 gi\u1ea3i th\u1ec3, ph\u00e1 s\u1ea3n, ph\u1ea3i ho\u00e0n tr\u1ea3 nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c t\u00e0i s\u1ea3n ho\u1eb7c chuy\u1ec3n danh m\u1ee5c t\u00e0i s\u1ea3n sang c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 kh\u00e1c qu\u1ea3n l\u00fd.<\/em><\/span><\/p>\n

– C\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu theo quy\u1ebft \u0111\u1ecbnh c\u1ee7a T\u00f2a \u00e1n.<\/span><\/em><\/p>\n

– Chia t\u00e1ch, s\u00e1p nh\u1eadp, h\u1ee3p nh\u1ea5t, g\u00f3p v\u1ed1n b\u1eb1ng c\u1ed5 phi\u1ebfu th\u00e0nh l\u1eadp doanh nghi\u1ec7p ho\u1eb7c ph\u00e2n \u0111\u1ecbnh l\u1ea1i c\u01a1 ch\u1ebf qu\u1ea3n l\u00fd t\u00e0i ch\u00ednh c\u1ee7a doanh nghi\u1ec7p theo quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt d\u00e2n s\u1ef1, Lu\u1eadt doanh nghi\u1ec7p v\u00e0 Lu\u1eadt ch\u1ee9ng kho\u00e1n.<\/span><\/em><\/p>\n

– C\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu kh\u00f4ng mang t\u00ednh ch\u1ea5t giao d\u1ecbch mua b\u00e1n kh\u00e1c ph\u1ea3i \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 5.\u00a0<\/strong>S\u1eeda \u0111\u1ed5i, b\u1ed5 sung Kho\u1ea3n 1 \u0110i\u1ec1u 21 Ch\u01b0\u01a1ng V Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c1. Vi\u1ec7c l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng t\u1ea1i VSD \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc: kh\u00e1ch h\u00e0ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 th\u00e0nh vi\u00ean l\u01b0u k\u00fd t\u00e1i l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng t\u1ea1i VSD.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 6.\u00a0<\/strong>S\u1eeda \u0111\u1ed5i, b\u1ed5 sung Kho\u1ea3n 3, 5 \u0110i\u1ec1u 24 Ch\u01b0\u01a1ng V Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c3. T\u1ed5ng s\u1ed1 d\u01b0 tr\u00ean c\u00e1c t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng m\u1edf t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i lu\u00f4n kh\u1edbp v\u1edbi s\u1ed1 d\u01b0 c\u00e1c t\u00e0i kho\u1ea3n l\u01b0u k\u00fd c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd m\u1edf t\u1ea1i VSD. S\u1ed1 d\u01b0 chi ti\u1ebft tr\u00ean t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a t\u1eebng kh\u00e1ch h\u00e0ng t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i kh\u1edbp v\u1edbi s\u1ed1 li\u1ec7u s\u1edf h\u1eefu c\u1ee7a kh\u00e1ch h\u00e0ng \u0111\u00f3 t\u1ea1i VSD.<\/em><\/span><\/p>\n

5. Khi ph\u00e1t hi\u1ec7n sai s\u00f3t trong th\u00f4ng tin trong t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean ho\u1eb7c kh\u00e1ch h\u00e0ng c\u1ee7a th\u00e0nh vi\u00ean, VSD ph\u1ea3i th\u00f4ng b\u00e1o ngay cho th\u00e0nh vi\u00ean v\u00e0 th\u00e0nh vi\u00ean c\u00f3 tr\u00e1ch nhi\u1ec7m \u0111i\u1ec1u ch\u1ec9nh cho ph\u00f9 h\u1ee3p.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 7.\u00a0<\/strong>B\u1ed5 sung \u0110i\u1ec3m f Kho\u1ea3n 1 \u0110i\u1ec1u 26 Ch\u01b0\u01a1ng V Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201cf. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 tr\u00e1ch nhi\u1ec7m c\u1eadp nh\u1eadt h\u00e0ng ng\u00e0y th\u00f4ng tin m\u1edf, \u0111\u00f3ng t\u00e0i kho\u1ea3n l\u01b0u k\u00fd c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 th\u1ef1c hi\u1ec7n trong ng\u00e0y t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd cho VSD v\u00e0 th\u1ef1c hi\u1ec7n \u0111\u1ed1i chi\u1ebfu th\u00f4ng tin s\u1ed1 d\u01b0 t\u00e0i kho\u1ea3n l\u01b0u k\u00fd c\u1ee7a t\u1eebng kh\u00e1ch h\u00e0ng v\u1edbi s\u1ed1 li\u1ec7u s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng t\u1ea1i VSD tr\u00ean c\u01a1 s\u1edf c\u00e1c s\u1ed1 li\u1ec7u v\u1ec1 s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng m\u00e0 VSD cung c\u1ea5p cho th\u00e0nh vi\u00ean l\u01b0u k\u00fd. Tr\u00ecnh t\u1ef1, th\u1ee7 t\u1ee5c th\u1ef1c hi\u1ec7n c\u1eadp nh\u1eadt th\u00f4ng tin t\u00e0i kho\u1ea3n v\u00e0 \u0111\u1ed1i chi\u1ebfu s\u1ed1 d\u01b0 th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh c\u1ee7a VSD.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 8.<\/strong>\u00a0S\u1eeda \u0111\u1ed5i Kho\u1ea3n 3 \u0110i\u1ec1u 27 Ch\u01b0\u01a1ng V Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c3. UBCKNN h\u01b0\u1edbng d\u1eabn c\u1ee5 th\u1ec3 v\u1ec1 th\u1eddi h\u1ea1n th\u1ef1c hi\u1ec7n b\u00e1n ch\u1ee9ng kho\u00e1n sau giao d\u1ecbch, sau khi \u0111\u01b0\u1ee3c B\u1ed9 T\u00e0i ch\u00ednh ch\u1ea5p thu\u1eadn<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 9.<\/strong>\u00a0B\u1ed5 sung Kho\u1ea3n 3,4 \u0110i\u1ec1u 28 Ch\u01b0\u01a1ng V Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c3. VSD th\u1ef1c hi\u1ec7n y\u00eau c\u1ea7u k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n cho nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u1ed3ng th\u1eddi v\u1edbi \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n khi c\u00f3 y\u00eau c\u1ea7u t\u1eeb T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh \u0111\u1ee9ng ra \u0111\u1ea1i di\u1ec7n cho c\u00e1c c\u1ed5 \u0111\u00f4ng. VSD quy \u0111\u1ecbnh h\u1ed3 s\u01a1, th\u1ee7 t\u1ee5c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p n\u00e0y.<\/em><\/span><\/p>\n

4. Tr\u01b0\u1eddng h\u1ee3p T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh qu\u1ea3n l\u00fd ch\u1ee9ng kho\u00e1n b\u1eb1ng h\u00ecnh th\u1ee9c ghi s\u1ed5 tr\u00ean t\u00e0i kho\u1ea3n v\u00e0 kh\u00f4ng ph\u00e1t h\u00e0nh t\u1edd ch\u1ee9ng ch\u1ec9, vi\u1ec7c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo h\u01b0\u1edbng d\u1eabn c\u1ee7a VSD.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 10.<\/strong>\u00a0H\u1ee7y b\u1ecf \u0110i\u1ec3m a, f, g, h v\u00e0 s\u1eeda \u0111\u1ed5i, b\u1ed5 sung \u0110i\u1ec3m i, k Kho\u1ea3n 1 \u0110i\u1ec1u 30 Ch\u01b0\u01a1ng V Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201ci. Khi th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u01a1i kh\u00e1ch h\u00e0ng \u0111ang m\u1edf t\u00e0i kho\u1ea3n b\u1ecb h\u1ee7y b\u1ecf t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean, thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd, r\u00fat nghi\u1ec7p v\u1ee5 m\u00f4i gi\u1edbi ch\u1ee9ng kho\u00e1n ho\u1eb7c b\u1ecb VSD h\u1ee7y t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/em><\/span><\/p>\n

k. C\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu theo quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec3m b Kho\u1ea3n 1 \u0110i\u1ec1u 4 Th\u00f4ng t\u01b0 n\u00e0y.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 11.<\/strong>\u00a0H\u1ee7y b\u1ecf Kho\u1ea3n 4 v\u00e0 s\u1eeda \u0111\u1ed5i, b\u1ed5 sung Kho\u1ea3n 3 \u0110i\u1ec1u 32 Ch\u01b0\u01a1ng VI Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c3. \u0110\u1ed1i v\u1edbi giao d\u1ecbch mua, b\u00e1n ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft\/ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd giao d\u1ecbch, VSD th\u1ef1c hi\u1ec7n thanh to\u00e1n c\u0103n c\u1ee9 v\u00e0o k\u1ebft qu\u1ea3 giao d\u1ecbch do SGDCK cung c\u1ea5p.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 12.<\/strong>\u00a0S\u1eeda \u0111\u1ed5i, b\u1ed5 sung Kho\u1ea3n 1, 2 \u0110i\u1ec1u 40 Ch\u01b0\u01a1ng VI Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c1. VSD c\u00f3 quy\u1ec1n h\u1ee7y thanh to\u00e1n giao d\u1ecbch trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/em><\/span><\/p>\n

– Th\u00e0nh vi\u00ean m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n giao d\u1ecbch sau khi \u0111\u00e3 \u00e1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p theo quy \u0111\u1ecbnh m\u00e0 kh\u00f4ng th\u1ec3 kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c.<\/span><\/em><\/p>\n

– Th\u00e0nh vi\u00ean\/kh\u00e1ch h\u00e0ng th\u00e0nh vi\u00ean b\u00e1n kh\u1ed1ng ch\u1ee9ng kho\u00e1n khi ch\u01b0a c\u00f3 h\u01b0\u1edbng d\u1eabn c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh.<\/span><\/em><\/p>\n

– Th\u00f4ng tin v\u1ec1 t\u00e0i kho\u1ea3n giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng c\u00f3 li\u00ean quan kh\u00f4ng \u0111\u01b0\u1ee3c c\u1eadp nh\u1eadt theo quy \u0111\u1ecbnh c\u1ee7a VSD t\u1ea1i th\u1eddi \u0111i\u1ec3m th\u1ef1c hi\u1ec7n thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/span><\/em><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 giao d\u1ecbch b\u1ecb h\u1ee7y thanh to\u00e1n ph\u1ea3i ch\u1ecbu ho\u00e0n to\u00e0n tr\u00e1ch nhi\u1ec7m \u0111\u1ed1i v\u1edbi c\u00e1c t\u1ed5n th\u1ea5t ph\u00e1t sinh cho kh\u00e1ch h\u00e0ng v\u00e0 th\u00e0nh vi\u00ean c\u00f3 li\u00ean quan do giao d\u1ecbch kh\u00f4ng \u0111\u01b0\u1ee3c thanh to\u00e1n. M\u1ee9c b\u1ed3i th\u01b0\u1eddng do c\u00e1c b\u00ean t\u1ef1 th\u1ecfa thu\u1eadn nh\u01b0ng kh\u00f4ng v\u01b0\u1ee3t qu\u00e1 m\u01b0\u1eddi ph\u1ea7n tr\u0103m (10%) gi\u00e1 tr\u1ecb c\u1ee7a giao d\u1ecbch b\u1ecb h\u1ee7y thanh to\u00e1n.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 13.<\/strong>\u00a0S\u1eeda \u0111\u1ed5i, b\u1ed5 sung Kho\u1ea3n 2 \u0110i\u1ec1u 41 Ch\u01b0\u01a1ng VI Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c2. \u0110\u1ed1i v\u1edbi giao d\u1ecbch c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang ch\u01b0a ni\u00eam y\u1ebft, khi ph\u00e1t hi\u1ec7n t\u00e0i kho\u1ea3n c\u1ee7a th\u00e0nh vi\u00ean kh\u00f4ng \u0111\u1ee7 ti\u1ec1n, t\u00e0i kho\u1ea3n c\u1ee7a th\u00e0nh vi\u00ean\/kh\u00e1ch h\u00e0ng c\u1ee7a th\u00e0nh vi\u00ean thi\u1ebfu ch\u1ee9ng kho\u00e1n \u0111\u1ec3 thanh to\u00e1n, ho\u1eb7c th\u00f4ng tin v\u1ec1 t\u00e0i kho\u1ea3n giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng c\u00f3 li\u00ean quan kh\u00f4ng \u0111\u01b0\u1ee3c c\u1eadp nh\u1eadt theo quy \u0111\u1ecbnh c\u1ee7a VSD t\u1ea1i th\u1eddi \u0111i\u1ec3m th\u1ef1c hi\u1ec7n thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n, VSD x\u1eed l\u00fd c\u00e1c giao d\u1ecbch \u0111\u00f3 theo quy \u0111\u1ecbnh t\u1ea1i Quy ch\u1ebf h\u01b0\u1edbng d\u1eabn nghi\u1ec7p v\u1ee5 c\u1ee7a VSD.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 14.<\/strong>\u00a0S\u1eeda \u0111\u1ed5i Kho\u1ea3n 2, b\u1ed5 sung Kho\u1ea3n 7, 8 \u0110i\u1ec1u 42 Ch\u01b0\u01a1ng VII Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a087\/2007\/Q\u0110-BTC\u00a0nh\u01b0 sau:<\/span><\/p>\n

\u201c2. C\u00f3 v\u1ed1n \u0111i\u1ec1u l\u1ec7 th\u1ef1c g\u00f3p tr\u00ean 5.000 t\u1ef7 \u0111\u1ed3ng.<\/em><\/span><\/p>\n

7. C\u00f3 \u00edt nh\u1ea5t 10 th\u00e0nh vi\u00ean c\u1ee7a VSD cam k\u1ebft \u0111\u0103ng k\u00fd m\u1edf t\u00e0i kho\u1ea3n thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n sau khi \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn l\u00e0m Ng\u00e2n h\u00e0ng thanh to\u00e1n v\u00e0 kh\u00f4ng \u0111\u01b0\u1ee3c t\u1eeb ch\u1ed1i khi th\u00e0nh vi\u00ean c\u1ee7a VSD \u0111\u1ec1 ngh\u1ecb s\u1eed d\u1ee5ng d\u1ecbch v\u1ee5 Ng\u00e2n h\u00e0ng thanh to\u00e1n.<\/span><\/em><\/p>\n

8. H\u1ec7 th\u1ed1ng c\u00f3 kh\u1ea3 n\u0103ng l\u01b0u gi\u1eef s\u1ed1 li\u1ec7u th\u00f4ng tin thanh to\u00e1n giao d\u1ecbch trong v\u00f2ng \u00edt nh\u1ea5t 01 n\u0103m v\u00e0 c\u00f3 th\u1ec3 cung c\u1ea5p ngay cho UBCKNN ho\u1eb7c VSD trong v\u00f2ng 01 ng\u00e0y khi c\u00f3 y\u00eau c\u1ea7u.<\/em>\u201d<\/span><\/p>\n

\u0110i\u1ec1u 15.<\/strong>\u00a0Hi\u1ec7u l\u1ef1c thi h\u00e0nh<\/span><\/p>\n

1. Th\u00f4ng t\u01b0 n\u00e0y c\u00f3 hi\u1ec7u l\u1ef1c thi h\u00e0nh sau 45 ng\u00e0y k\u1ec3 t\u1eeb ng\u00e0y k\u00fd. Tr\u01b0\u1eddng h\u1ee3p c\u00e1c th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u1ee7a VSD ch\u01b0a \u0111\u00e1p \u1ee9ng \u0111\u01b0\u1ee3c c\u00e1c \u0111i\u1ec1u ki\u1ec7n quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 2 Th\u00f4ng t\u01b0 n\u00e0y th\u00ec ph\u1ea3i ho\u00e0n t\u1ea5t vi\u1ec7c n\u00e2ng c\u1ea5p h\u1ec7 th\u1ed1ng v\u00e0 s\u1eeda \u0111\u1ed5i quy tr\u00ecnh nghi\u1ec7p v\u1ee5 ch\u1eadm nh\u1ea5t l\u00e0 3 th\u00e1ng k\u1ec3 t\u1eeb ng\u00e0y Th\u00f4ng t\u01b0 n\u00e0y c\u00f3 hi\u1ec7u l\u1ef1c thi h\u00e0nh.<\/span><\/p>\n

2. Trong qu\u00e1 tr\u00ecnh th\u1ef1c hi\u1ec7n n\u1ebfu c\u00f3 v\u01b0\u1edbng m\u1eafc, \u0111\u1ec1 ngh\u1ecb c\u00e1c \u0111\u01a1n v\u1ecb ph\u1ea3n \u00e1nh k\u1ecbp th\u1eddi v\u1ec1 B\u1ed9 T\u00e0i ch\u00ednh \u0111\u1ec3 nghi\u00ean c\u1ee9u gi\u1ea3i quy\u1ebft.\/.<\/span><\/p>\n

 <\/p>\n\n\n\n
\u00a0<\/em><\/strong><\/span>N\u01a1i nh\u1eadn:
\n<\/em><\/strong>– V\u0103n ph\u00f2ng Ch\u00ednh ph\u1ee7;<\/span>
\n– V\u0103n ph\u00f2ng Trung \u01b0\u01a1ng v\u00e0 c\u00e1c Ban c\u1ee7a \u0110\u1ea3ng;<\/span>
\n– V\u0103n ph\u00f2ng Qu\u1ed1c h\u1ed9i;<\/span>
\n– V\u0103n ph\u00f2ng Ch\u1ee7 t\u1ecbch n\u01b0\u1edbc;<\/span>
\n– C\u00e1c B\u1ed9, c\u01a1 quan ngang B\u1ed9, c\u01a1 quan thu\u1ed9c Ch\u00ednh ph\u1ee7;<\/span>
\n– H\u0110ND, UBND c\u00e1c t\u1ec9nh, th\u00e0nh ph\u1ed1 tr\u1ef1c thu\u1ed9c Trung \u01b0\u01a1ng;<\/span>
\n– V\u0103n ph\u00f2ng BC\u0110 ph\u00f2ng ch\u1ed1ng tham nh\u0169ng TW;<\/span>
\n– Vi\u1ec7n Ki\u1ec3m s\u00e1t NDTC, T\u00f2a \u00e1n NDTC;<\/span>
\n– Ki\u1ec3m to\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/span>
\n– C\u01a1 quan Trung \u01b0\u01a1ng c\u1ee7a c\u00e1c \u0111o\u00e0n th\u1ec3;<\/span>
\n– C\u00f4ng b\u00e1o;<\/span>
\n– Website Ch\u00ednh ph\u1ee7;<\/span>
\n– C\u1ee5c ki\u1ec3m tra v\u0103n b\u1ea3n – B\u1ed9 T\u01b0 ph\u00e1p;<\/span>
\n– C\u00e1c \u0111\u01a1n v\u1ecb thu\u1ed9c B\u1ed9 T\u00e0i ch\u00ednh;<\/span>
\n– Website BTC;<\/span>
\n– L\u01b0u: VT, UBCKNN.<\/span><\/td>\n		\n

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

Tr\u1ea7n Xu\u00e2n H\u00e0 \u00a0<\/span><\/p>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

\u00a0M\u1eddi c\u00e1c b\u1ea1n xem th\u00eam c\u00e1c b\u00e0i vi\u1ebft li\u00ean quan:\u00a0<\/span><\/p>\n

Quy\u1ebft \u0111\u1ecbnh 87\/2007\/Q\u0110-BTC Quy ch\u1ebf \u0111\u0103ng k\u00fd l\u01b0u k\u00fd, b\u00f9 tr\u1eeb thanh to\u00e1n ch\u1ee9ng kho\u00e1n<\/span><\/p>\n

Ph\u1ee5 l\u1ee5c Quy\u1ebft \u0111\u1ecbnh 87\/2007\/Q\u0110-BTC Quy ch\u1ebf \u0111\u0103ng k\u00fd l\u01b0u k\u00fd, b\u00f9 tr\u1eeb thanh to\u00e1n ch\u1ee9ng kho\u00e1n<\/span><\/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 \u2013 T\u1ef1 do \u2013 H\u1ea1nh ph\u00fac ————– S\u1ed1: 43\/2010\/TT-BTC H\u00e0 N\u1ed9i, ng\u00e0y 25 th\u00e1ng 03 n\u0103m 2010 \u00a0 TH\u00d4NG T\u01af S\u1eecA \u0110\u1ed4I, B\u1ed4 SUNG QUY CH\u1ebe \u0110\u0102NG K\u00dd, L\u01afU K\u00dd, B\u00d9 TR\u1eea V\u00c0 THANH TO\u00c1N CH\u1ee8NG KHO\u00c1N BAN H\u00c0NH K\u00c8M THEO..<\/p>\n","protected":false},"author":7,"featured_media":1774,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"tags":[4535,4536,4537],"_links":{"self":[{"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/posts\/31287"}],"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=31287"}],"version-history":[{"count":0,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/posts\/31287\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=\/wp\/v2\/media\/1774"}],"wp:attachment":[{"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=31287"}],"wp:term":[{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/centax.dsoftware.vn\/index.php?rest_route=%2Fwp%2Fv2%2Ftags&post=31287"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}