{"id":31289,"date":"2017-11-15T00:45:59","date_gmt":"2017-11-15T00:45:59","guid":{"rendered":"https:\/\/centax.dsoftware.vn\/?p=31289"},"modified":"2017-11-07T01:57:03","modified_gmt":"2017-11-07T01:57:03","slug":"quyet-dinh-87-2007qd-btc-quy-che-dang-ky-luu-ky-bu-tru-thanh-toan-chung-khoan","status":"publish","type":"post","link":"https:\/\/centax.dsoftware.vn\/?p=31289","title":{"rendered":"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"},"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>**********<\/i><\/span><\/p>\n<\/td>\n<\/tr>\n

\n

S\u1ed1: 87\/2007\/Q\u0110-BTC<\/span><\/p>\n<\/td>\n

\n

\u00a0 H\u00e0 N\u1ed9i, ng\u00e0y 22 th\u00e1ng 10 n\u0103m 2007<\/i><\/span><\/p>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

QUY\u1ebeT \u0110\u1ecaNH<\/b><\/span><\/p>\n

V\u1ec0 VI\u1ec6C BAN H\u00c0NH QUY CH\u1ebe \u0110\u0102NG K\u00dd, L\u01afU K\u00dd, B\u00d9 TR\u1eea V\u00c0 THANH TO\u00c1N CH\u1ee8NG KHO\u00c1N<\/span><\/p>\n

B\u1ed8 TR\u01af\u1edeNG B\u1ed8 T\u00c0I CH\u00cdNH<\/b><\/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\u00a077\/2003\/N\u0110-CP\u00a0ng\u00e0y 01\/07\/2003 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\u00a0 c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh;
\nTheo \u0111\u1ec1 ngh\u1ecb c\u1ee7a Ch\u1ee7 t\u1ecbch U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc,<\/i><\/span><\/p>\n

QUY\u1ebeT \u0110\u1ecaNH:<\/b><\/span><\/p>\n

\u0110i\u1ec1u 1<\/b>.\u00a0Ban h\u00e0nh k\u00e8m theo Quy\u1ebft \u0111\u1ecbnh n\u00e0y Quy ch\u1ebf \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

\u0110i\u1ec1u 2<\/b>.\u00a0Quy\u1ebft \u0111\u1ecbnh n\u00e0y c\u00f3 hi\u1ec7u l\u1ef1c sau 15 ng\u00e0y, k\u1ec3 t\u1eeb ng\u00e0y \u0111\u0103ng C\u00f4ng b\u00e1o, thay th\u1ebf Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a060\/2004\/Q\u0110-BTC<\/strong>\u00a0ng\u00e0y 15\/07\/2004 c\u1ee7a B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh v\u1ec1 vi\u1ec7c ban h\u00e0nh Quy ch\u1ebf \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

\u0110i\u1ec1u 3<\/b>.\u00a0Ch\u1ee7 t\u1ecbch U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc, Ch\u00e1nh v\u0103n ph\u00f2ng B\u1ed9, Th\u1ee7 tr\u01b0\u1edfng c\u00e1c \u0111\u01a1n v\u1ecb li\u00ean quan thu\u1ed9c B\u1ed9 T\u00e0i ch\u00ednh, Gi\u00e1m \u0111\u1ed1c Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, Th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n li\u00ean quan ch\u1ecbu tr\u00e1ch nhi\u1ec7m thi h\u00e0nh Quy\u1ebft \u0111\u1ecbnh n\u00e0y.\/.<\/span><\/p>\n

\u00a0<\/span><\/p>\n\n\n\n
\u00a0<\/span><\/i><\/b><\/span>N\u01a1i nh\u1eadn:
\n<\/span><\/i><\/b>– Th\u1ee7 t\u01b0\u1edbng, c\u00e1c Ph\u00f3 Th\u1ee7 t\u01b0\u1edbng Ch\u00ednh ph\u1ee7;
\n– V\u0103n ph\u00f2ng Qu\u1ed1c h\u1ed9i;
\n– V\u0103n ph\u00f2ng Ch\u1ee7 t\u1ecbch n\u01b0\u1edbc;
\n– V\u0103n ph\u00f2ng T\u01af v\u00e0 c\u00e1c ban c\u1ee7a \u0110\u1ea3ng;
\n– C\u00e1c B\u1ed9, c\u01a1 quan ngang B\u1ed9, c\u01a1 quan thu\u1ed9c Ch\u00ednh ph\u1ee7;
\n– To\u00e0 \u00e1n nh\u00e2n d\u00e2n t\u1ed1i cao;
\n– Vi\u1ec7n Ki\u1ec3m s\u00e1t Nh\u00e2n d\u00e2n t\u1ed1i cao;
\n– UBND, H\u0110ND c\u00e1c t\u1ec9nh, th\u00e0nh ph\u1ed1 tr\u1ef1c thu\u1ed9c T\u01af;
\n– C\u00f4ng b\u00e1o;
\n– Website Ch\u00ednh ph\u1ee7;
\n– C\u1ee5c Ki\u1ec3m tra v\u0103n b\u1ea3n – B\u1ed9 T\u01b0 ph\u00e1p;
\n– C\u00e1c \u0111\u01a1n v\u1ecb thu\u1ed9c B\u1ed9 T\u00e0i ch\u00ednh, Website B\u1ed9 T\u00e0i ch\u00ednh;
\n– L\u01b0u: VT, UBCKNN.<\/span><\/span><\/td>\n		\n

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

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

 <\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

QUY CH\u1ebe<\/span><\/b><\/span><\/p>\n

\u0110\u0102NG K\u00dd, L\u01afU K\u00dd, B\u00d9 TR\u1eea V\u00c0 THANH TO\u00c1N CH\u1ee8NG KHO\u00c1N
\n<\/span>(Ban h\u00e0nh k\u00e8m theo Quy\u1ebft \u0111\u1ecbnh s\u1ed1\u00a0 87\/2007\/Q\u0110-BTC ng\u00e0y 22\/10\/2007\u00a0<\/span><\/i>c\u1ee7a B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh)<\/i><\/span><\/p>\n

Ch\u01b0\u01a1ng 1:<\/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

Quy ch\u1ebf n\u00e0y quy \u0111\u1ecbnh nguy\u00ean t\u1eafc, n\u1ed9i dung li\u00ean quan \u0111\u1ebfn 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\u1ed1i v\u1edbi\u00a0Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n (sau \u0111\u00e2y g\u1ecdi t\u1eaft l\u00e0 TTLKCK), th\u00e0nh vi\u00ean c\u1ee7a TTLKCK, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, Ng\u00e2n h\u00e0ng thanh to\u00e1n v\u00e0 c\u00e1c kh\u00e1ch h\u00e0ng \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

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

Trong Quy ch\u1ebf 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. Ch\u1ee9ng kho\u00e1n ch\u1ee9ng ch\u1ec9\u00a0<\/b>l\u00e0 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e1t h\u00e0nh d\u01b0\u1edbi h\u00ecnh th\u1ee9c ch\u1ee9ng ch\u1ec9 v\u1eadt ch\u1ea5t. Th\u00f4ng tin v\u1ec1 vi\u1ec7c s\u1edf h\u1eefu h\u1ee3p ph\u00e1p c\u1ee7a ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ghi nh\u1eadn tr\u00ean ch\u1ee9ng ch\u1ec9 ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

2. Ch\u1ee9ng kho\u00e1n ghi s\u1ed5\u00a0<\/b>l\u00e0 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e1t h\u00e0nh d\u01b0\u1edbi h\u00ecnh th\u1ee9c b\u00fat to\u00e1n ghi s\u1ed5 ho\u1eb7c d\u1eef li\u1ec7u \u0111i\u1ec7n t\u1eed. Th\u00f4ng tin v\u1ec1 vi\u1ec7c s\u1edf h\u1eefu h\u1ee3p ph\u00e1p c\u1ee7a ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n ghi s\u1ed5 \u0111\u01b0\u1ee3c ghi nh\u1eadn tr\u00ean s\u1ed5 \u0111\u0103ng k\u00fd ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

3. S\u1ed5 \u0111\u0103ng k\u00fd ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n\u00a0<\/b>l\u00e0 s\u1ed5 ghi ch\u00e9p th\u00f4ng tin v\u1ec1 ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n do t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh l\u1eadp v\u00e0 \u0111\u0103ng k\u00fd v\u1edbi TTLKCK.<\/span><\/p>\n

4. Ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n<\/b>\u00a0l\u00e0 ng\u01b0\u1eddi c\u00f3 t\u00ean tr\u00ean s\u1ed5 \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK.<\/span><\/p>\n

5. Gi\u1ea5y ch\u1ee9ng nh\u1eadn\/S\u1ed5 ch\u1ee9ng nh\u1eadn s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n\u00a0<\/b>l\u00e0 v\u0103n b\u1ea3n do t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh c\u1ea5p cho ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n ghi s\u1ed5 \u0111\u1ec3 x\u00e1c nh\u1eadn th\u00f4ng tin v\u1ec1 vi\u1ec7c s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed9t th\u1eddi \u0111i\u1ec3m nh\u1ea5t \u0111\u1ecbnh.<\/span><\/p>\n

6. Th\u00e0nh vi\u00ean c\u1ee7a TTLKCK (th\u00e0nh vi\u00ean)<\/b>\u00a0l\u00e0 th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 th\u00e0nh vi\u00ean m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp t\u1ea1i TTLKCK.<\/span><\/p>\n

7. B\u00f9 tr\u1eeb song ph\u01b0\u01a1ng\u00a0<\/b>l\u00e0 ph\u01b0\u01a1ng th\u1ee9c b\u00f9 tr\u1eeb c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c kh\u1edbp trong c\u00f9ng ng\u00e0y theo t\u1eebng c\u1eb7p \u0111\u1ed1i t\u00e1c giao d\u1ecbch v\u00e0 theo t\u1eebng lo\u1ea1i ch\u1ee9ng kho\u00e1n \u0111\u1ec3 x\u00e1c \u0111\u1ecbnh ngh\u0129a v\u1ee5 thanh to\u00e1n r\u00f2ng \u0111\u1ed1i v\u1edbi ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n c\u1ee7a m\u1ed7i b\u00ean thanh to\u00e1n.<\/span><\/p>\n

8. B\u00f9 tr\u1eeb \u0111a ph\u01b0\u01a1ng\u00a0<\/b>l\u00e0 ph\u01b0\u01a1ng th\u1ee9c b\u00f9 tr\u1eeb c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c kh\u1edbp trong c\u00f9ng ng\u00e0y gi\u1eefa t\u1ea5t c\u1ea3 c\u00e1c b\u00ean tham gia giao d\u1ecbch theo t\u1eebng lo\u1ea1i ch\u1ee9ng kho\u00e1n \u0111\u1ec3 x\u00e1c \u0111\u1ecbnh ngh\u0129a v\u1ee5 thanh to\u00e1n r\u00f2ng \u0111\u1ed1i v\u1edbi ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n c\u1ee7a m\u1ed7i b\u00ean thanh to\u00e1n.<\/span><\/p>\n

9. Ngh\u0129a v\u1ee5 thanh to\u00e1n r\u00f2ng:\u00a0<\/b>l\u00e0 s\u1ed1 ti\u1ec1n, ch\u1ee9ng kho\u00e1n m\u00e0 b\u00ean thanh to\u00e1n giao d\u1ecbch c\u00f3 ngh\u0129a v\u1ee5 ph\u1ea3i thanh to\u00e1n th\u1ef1c c\u0103n c\u1ee9 v\u00e0o k\u1ebft qu\u1ea3 b\u00f9 tr\u1eeb giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

10. K\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n<\/b>\u00a0l\u00e0 vi\u1ec7c \u0111\u01b0a ch\u1ee9ng kho\u00e1n v\u00e0o l\u01b0u gi\u1eef t\u1eadp trung t\u1ea1i TTLKCK \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch.<\/span><\/p>\n

11. Gi\u1ea5y t\u1edd c\u00f3 gi\u00e1\u00a0<\/b>bao g\u1ed3m gi\u1ea5y t\u1edd c\u00f3 gi\u00e1 ng\u1eafn h\u1ea1n v\u00e0 gi\u1ea5y t\u1edd c\u00f3 gi\u00e1 d\u00e0i h\u1ea1n s\u1eed d\u1ee5ng trong c\u00e1c nghi\u1ec7p v\u1ee5 th\u1ecb tr\u01b0\u1eddng ti\u1ec1n t\u1ec7 gi\u1eefa Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc v\u1edbi c\u00e1c kh\u00e1ch h\u00e0ng l\u01b0u k\u00fd do Th\u1ed1ng \u0111\u1ed1c Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc quy \u0111\u1ecbnh.<\/span><\/p>\n

12. Ng\u00e2n h\u00e0ng thanh to\u00e1n\u00a0<\/b>l\u00e0 ng\u00e2n h\u00e0ng \u0111\u01b0\u1ee3c U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (sau \u0111\u00e2y vi\u1ebft t\u1eaft l\u00e0 UBCKNN) l\u1ef1a ch\u1ecdn \u0111\u1ec3 TTLKCK v\u00e0 th\u00e0nh vi\u00ean c\u1ee7a TTLKCK m\u1edf t\u00e0i kho\u1ea3n thanh to\u00e1n b\u1eb1ng ti\u1ec1n nh\u1eb1m ph\u1ee5c v\u1ee5 vi\u1ec7c thanh to\u00e1n ti\u1ec1n cho c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n (sau \u0111\u00e2y vi\u1ebft t\u1eaft l\u00e0 SGDCK), Trung t\u00e2m giao d\u1ecbch ch\u1ee9ng kho\u00e1n (sau \u0111\u00e2y vi\u1ebft t\u1eaft l\u00e0 TTGDCK) v\u00e0 cho c\u00e1c ho\u1ea1t \u0111\u1ed9ng thanh to\u00e1n kh\u00e1c.<\/span><\/p>\n

13. H\u1ed3 s\u01a1 h\u1ee3p l\u1ec7<\/b>\u00a0l\u00e0 h\u1ed3 s\u01a1 c\u00f3 \u0111\u1ea7y \u0111\u1ee7 gi\u1ea5y t\u1edd v\u00e0 c\u00f3 n\u1ed9i dung k\u00ea khai \u0111\u1ea7y \u0111\u1ee7 theo quy \u0111\u1ecbnh.<\/span><\/p>\n

Ch\u01b0\u01a1ng 2:<\/b><\/span><\/p>\n

\u0110\u0102NG K\u00dd HO\u1ea0T \u0110\u1ed8NG L\u01afU K\u00dd<\/b><\/span><\/p>\n

\u0110i\u1ec1u 3. \u0110i\u1ec1u ki\u1ec7n \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd<\/b><\/span><\/p>\n

C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i mu\u1ed1n \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ph\u1ea3i \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 48 c\u1ee7a Lu\u1eadt ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

\u0110i\u1ec1u 4. H\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd, chi nh\u00e1nh ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd<\/b><\/span><\/p>\n

1. C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i n\u1ed9p cho UBCKNN h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd bao g\u1ed3m:<\/span><\/p>\n

a. Gi\u1ea5y \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n (Ph\u1ee5 l\u1ee5c 01\/LK<\/strong> ban h\u00e0nh k\u00e8m theo Quy ch\u1ebf n\u00e0y).<\/span><\/p>\n

b. B\u1ea3n sao Gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng.<\/span><\/p>\n

c. B\u1ea3n thuy\u1ebft minh v\u1ec1 c\u01a1 s\u1edf v\u1eadt ch\u1ea5t, k\u1ef9 thu\u1eadt b\u1ea3o \u0111\u1ea3m th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n (Ph\u1ee5 l\u1ee5c 02\/LK<\/strong> ban h\u00e0nh k\u00e8m theo Quy ch\u1ebf n\u00e0y).<\/span><\/p>\n

d. B\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u00e3 \u0111\u01b0\u1ee3c ki\u1ec3m to\u00e1n c\u1ee7a n\u0103m g\u1ea7n nh\u1ea5t, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p c\u00f4ng ty ch\u1ee9ng kho\u00e1n m\u1edbi th\u00e0nh l\u1eadp.<\/span><\/p>\n

2. C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i n\u1ed9p cho UBCKNN h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd chi nh\u00e1nh ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd bao g\u1ed3m:<\/span><\/p>\n

a. B\u1ea3n sao Gi\u1ea5y \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n do UBCKNN c\u1ea5p cho ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i, c\u00f4ng ty ch\u1ee9ng kho\u00e1n;<\/span><\/p>\n

b. Gi\u1ea5y \u0111\u0103ng k\u00fd chi nh\u00e1nh ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n (Ph\u1ee5 l\u1ee5c 03\/LK<\/strong> ban h\u00e0nh k\u00e8m theo Quy ch\u1ebf n\u00e0y).<\/span><\/p>\n

c. B\u1ea3n thuy\u1ebft minh v\u1ec1 c\u01a1 s\u1edf v\u1eadt ch\u1ea5t k\u1ef9 thu\u1eadt b\u1ea3o \u0111\u1ea3m th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i chi nh\u00e1nh (Ph\u1ee5 l\u1ee5c 02\/LK ban h\u00e0nh k\u00e8m theo Quy ch\u1ebf n\u00e0y).<\/span><\/p>\n

d. Gi\u1ea5y u\u1ef7 quy\u1ec1n cho chi nh\u00e1nh th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n (Ph\u1ee5 l\u1ee5c 04\/LK<\/strong> ban h\u00e0nh k\u00e8m theo Quy ch\u1ebf n\u00e0y).<\/span><\/p>\n

\u0110i\u1ec1u 5. Th\u1eddi h\u1ea1n c\u1ea5p Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd\u00a0 v\u00e0 tri\u1ec3n khai ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. Th\u1eddi h\u1ea1n UBCKNN c\u1ea5p Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n cho ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i, c\u00f4ng ty ch\u1ee9ng kho\u00e1n l\u00e0 m\u01b0\u1eddi l\u0103m (15) ng\u00e0y k\u1ec3 t\u1eeb ng\u00e0y UBCKNN nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 h\u1ee3p l\u1ec7. Tr\u01b0\u1eddng h\u1ee3p t\u1eeb ch\u1ed1i, UBCKNN c\u00f3 v\u0103n b\u1ea3n tr\u1ea3 l\u1eddi v\u00e0 n\u00eau r\u00f5 l\u00fd do.<\/span><\/p>\n

2. Th\u1eddi h\u1ea1n UBCKNN ch\u1ea5p thu\u1eadn cho chi nh\u00e1nh c\u1ee7a ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i, chi nh\u00e1nh c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n cung c\u1ea5p d\u1ecbch v\u1ee5 l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n l\u00e0 m\u01b0\u1eddi (10) ng\u00e0y k\u1ec3 t\u1eeb ng\u00e0y UBCKNN nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 \u0111\u1ea7y \u0111\u1ee7, h\u1ee3p l\u1ec7. Tr\u01b0\u1eddng h\u1ee3p t\u1eeb ch\u1ed1i, UBCKNN c\u00f3 v\u0103n b\u1ea3n tr\u1ea3 l\u1eddi v\u00e0 n\u00eau r\u00f5 l\u00fd do.<\/span><\/p>\n

3. Trong th\u1eddi h\u1ea1n m\u01b0\u1eddi hai (12) th\u00e1ng, k\u1ec3 t\u1eeb ng\u00e0y \u0111\u01b0\u1ee3c c\u1ea5p Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i ph\u1ea3i l\u00e0m th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00fd th\u00e0nh vi\u00ean l\u01b0u k\u00fd t\u1ea1i TTLKCK v\u00e0 ti\u1ebfn h\u00e0nh ho\u1ea1t \u0111\u1ed9ng.<\/span><\/p>\n

4. Trong th\u1eddi h\u1ea1n ba (03) th\u00e1ng, k\u1ec3 t\u1eeb ng\u00e0y chi nh\u00e1nh \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i ph\u1ea3i l\u00e0m th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00fd chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u1edbi TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 6. \u0110\u00ecnh ch\u1ec9, thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd<\/b><\/span><\/p>\n

1. Vi\u1ec7c \u0111\u00ecnh ch\u1ec9, thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 51 c\u1ee7a\u00a0 Lu\u1eadt ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

2. UBCKNN c\u00f3 v\u0103n b\u1ea3n ch\u1ea5m d\u1ee9t ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd c\u1ee7a chi nh\u00e1nh c\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p:<\/span><\/p>\n

a. C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i b\u1ecb thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd.<\/span><\/p>\n

b. Kh\u00f4ng l\u00e0m th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00fd chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd t\u1ea1i TTLKCK theo quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 4 \u0110i\u1ec1u 5 c\u1ee7a Quy ch\u1ebf n\u00e0y.<\/span><\/p>\n

c. Vi ph\u1ea1m c\u00e1c quy \u0111\u1ecbnh c\u1ee7a TTLKCK v\u00e0 b\u1ecb thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

Ch\u01b0\u01a1ng 3:<\/b><\/span><\/p>\n

TH\u00c0NH VI\u00caN C\u1ee6A TRUNG T\u00c2M L\u01afU K\u00dd CH\u1ee8NG KHO\u00c1N<\/b><\/span><\/p>\n

\u0110i\u1ec1u 7. \u0110i\u1ec1u ki\u1ec7n \u0111\u0103ng k\u00fd th\u00e0nh vi\u00ean l\u01b0u k\u00fd<\/b><\/span><\/p>\n

1. C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i \u0111\u0103ng k\u00fd l\u00e0 th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u1ee7a TTLKCK ph\u1ea3i \u0111\u00e1p \u1ee9ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n sau:<\/span><\/p>\n

a. C\u00f3 Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n do UBCKNN c\u1ea5p.<\/span><\/p>\n

b. C\u00f3 t\u1ed1i thi\u1ec3u m\u1ed9t th\u00e0nh vi\u00ean Ban Gi\u00e1m \u0111\u1ed1c \u0111\u01b0\u1ee3c ph\u00e2n c\u00f4ng ph\u1ee5 tr\u00e1ch ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd, \u0111\u0103ng k\u00fd, thanh to\u00e1n b\u00f9 tr\u1eeb.<\/span><\/p>\n

c. C\u00f3 nh\u00e2n vi\u00ean nghi\u1ec7p v\u1ee5 \u0111\u00e3 tham gia kho\u00e1 h\u1ecdc nghi\u1ec7p v\u1ee5 c\u1ee7a TTLKCK.<\/span><\/p>\n

d. C\u00f3 quy tr\u00ecnh nghi\u1ec7p v\u1ee5, h\u1ec7 th\u1ed1ng c\u01a1 s\u1edf v\u1eadt ch\u1ea5t v\u00e0 ph\u1ea7n m\u1ec1m \u0111\u00e1p \u1ee9ng \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u c\u1ee7a TTLKCK.<\/span><\/p>\n

2. Chi nh\u00e1nh ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i, c\u00f4ng ty ch\u1ee9ng kho\u00e1n mu\u1ed1n \u0111\u0103ng k\u00fd cung c\u1ea5p d\u1ecbch v\u1ee5 l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n ph\u1ea3i \u0111\u00e1p \u1ee9ng \u0111\u01b0\u1ee3c c\u00e1c \u0111i\u1ec1u ki\u1ec7n sau:<\/span><\/p>\n

a. C\u00e1c \u0111i\u1ec1u ki\u1ec7n quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m b, c v\u00e0 d Kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y;<\/span><\/p>\n

b. \u0110\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

c. C\u00f3 gi\u1ea5y u\u1ef7 quy\u1ec1n c\u1ee7a ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i, c\u00f4ng ty ch\u1ee9ng kho\u00e1n cho chi nh\u00e1nh th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n (Ph\u1ee5 l\u1ee5c 04\/LK ban h\u00e0nh k\u00e8m theo Quy ch\u1ebf n\u00e0y).<\/span><\/p>\n

3. Tu\u1ef3 \u0111i\u1ec1u ki\u1ec7n c\u1ee5 th\u1ec3, TTLKCK quy \u0111\u1ecbnh c\u00e1c \u0111i\u1ec1u ki\u1ec7n ch\u1ea5p thu\u1eadn th\u00e0nh vi\u00ean l\u01b0u k\u00fd, chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd kh\u00e1c sau khi \u0111\u01b0\u1ee3c s\u1ef1 ch\u1ea5p thu\u1eadn c\u1ee7a UBCKNN.<\/span><\/p>\n

\u0110i\u1ec1u 8. \u0110\u0103ng k\u00fd th\u00e0nh vi\u00ean l\u01b0u k\u00fd, chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd<\/b><\/span><\/p>\n

1. TTLKCK quy \u0111\u1ecbnh th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00fd th\u00e0nh vi\u00ean l\u01b0u k\u00fd, chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

2. TTLKCK ph\u1ea3i g\u1eedi b\u00e1o c\u00e1o UBCKNN v\u1ec1 vi\u1ec7c \u0111\u0103ng k\u00fd th\u00e0nh vi\u00ean l\u01b0u k\u00fd, chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb ng\u00e0y c\u1ea5p Gi\u1ea5y ch\u1ee9ng nh\u1eadn th\u00e0nh vi\u00ean l\u01b0u k\u00fd, ch\u1ea5p thu\u1eadn cho chi nh\u00e1nh c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

\u0110i\u1ec1u 9. \u0110\u0103ng k\u00fd th\u00e0nh vi\u00ean m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp<\/b><\/span><\/p>\n

1. C\u00e1c t\u1ed5 ch\u1ee9c sau \u0111\u00e2y \u0111\u01b0\u1ee3c \u0111\u0103ng k\u00fd l\u00e0m th\u00e0nh vi\u00ean m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp t\u1ea1i TTLKCK:<\/span><\/p>\n

a. Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc.<\/span><\/p>\n

b. Kho b\u1ea1c Nh\u00e0 n\u01b0\u1edbc.<\/span><\/p>\n

c. T\u1ed5ng c\u00f4ng ty \u0111\u1ea7u t\u01b0 v\u00e0 kinh doanh v\u1ed1n Nh\u00e0 n\u01b0\u1edbc.<\/span><\/p>\n

d. C\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng, b\u1ea3o hi\u1ec3m tham gia th\u1ecb tr\u01b0\u1eddng tr\u00e1i phi\u1ebfu do SGDCK, TTGDCK t\u1ed5 ch\u1ee9c.<\/span><\/p>\n

e. Trung t\u00e2m l\u01b0u k\u00fd c\u00e1c n\u01b0\u1edbc.<\/span><\/p>\n

f. C\u00e1c \u0111\u1ed1i t\u01b0\u1ee3ng kh\u00e1c theo qui \u0111\u1ecbnh c\u1ee7a TTLKCK.<\/span><\/p>\n

2. Th\u00e0nh vi\u00ean m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp l\u00e0 Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc m\u1edf t\u00e0i kho\u1ea3n \u0111\u1ec3 l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n l\u00e0 c\u00e1c lo\u1ea1i gi\u1ea5y t\u1edd c\u00f3 gi\u00e1 thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a ch\u00ednh Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc v\u00e0 c\u00e1c kh\u00e1ch h\u00e0ng l\u01b0u k\u00fd c\u1ee7a Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc nh\u1eb1m ph\u1ee5c v\u1ee5 cho m\u1ee5c \u0111\u00edch giao d\u1ecbch tr\u00ean th\u1ecb tr\u01b0\u1eddng ti\u1ec1n t\u1ec7.<\/span><\/p>\n

3. C\u00e1c th\u00e0nh vi\u00ean m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec3m b, c v\u00e0 d Kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y m\u1edf t\u00e0i kho\u1ea3n \u0111\u1ec3 l\u01b0u k\u00fd c\u00e1c ch\u1ee9ng kho\u00e1n thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a ch\u00ednh m\u00ecnh v\u00e0 \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng d\u1ecbch v\u1ee5 l\u01b0u k\u00fd, \u0111\u0103ng k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n c\u1ee7a TTLKCK.<\/span><\/p>\n

4. TTLKCK quy \u0111\u1ecbnh th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00fd l\u00e0m th\u00e0nh vi\u00ean m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp t\u1ea1i TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 10. H\u1ee3p \u0111\u1ed3ng cung c\u1ea5p d\u1ecbch v\u1ee5 gi\u1eefa TTLKCK v\u1edbi th\u00e0nh vi\u00ean<\/b><\/span><\/p>\n

1. TTLKCK cung\u00a0 c\u1ea5p d\u1ecbch v\u1ee5 cho th\u00e0nh vi\u00ean c\u1ee7a TTLKCK tr\u00ean c\u01a1 s\u1edf h\u1ee3p \u0111\u1ed3ng \u0111\u01b0\u1ee3c k\u00fd gi\u1eefa TTLKCK v\u00e0 th\u00e0nh vi\u00ean. H\u1ee3p \u0111\u1ed3ng g\u1ed3m nh\u1eefng n\u1ed9i dung ch\u00ednh sau:<\/span><\/p>\n

a. N\u1ed9i dung cung c\u1ea5p d\u1ecbch v\u1ee5.<\/span><\/p>\n

b. N\u1ed9i dung li\u00ean quan \u0111\u1ebfn tr\u00e1ch nhi\u1ec7m c\u1ee7a TTLKCK, th\u00e0nh vi\u00ean c\u1ee7a TTLKCK.<\/span><\/p>\n

c. N\u1ed9i dung li\u00ean quan \u0111\u1ebfn gi\u1ea3i quy\u1ebft tranh ch\u1ea5p (n\u1ebfu c\u00f3).<\/span><\/p>\n

d. N\u1ed9i dung li\u00ean quan \u0111\u1ebfn vi\u1ec7c ch\u1ea5m d\u1ee9t h\u1ee3p \u0111\u1ed3ng.<\/span><\/p>\n

2. TTLKCK quy \u0111\u1ecbnh n\u1ed9i dung chi ti\u1ebft c\u1ee7a h\u1ee3p \u0111\u1ed3ng cung c\u1ea5p d\u1ecbch v\u1ee5 gi\u1eefa TTLKCK v\u1edbi th\u00e0nh vi\u00ean c\u1ee7a TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 11. \u0110\u00ecnh ch\u1ec9 t\u1ea1m th\u1eddi ho\u1ea1t \u0111\u1ed9ng c\u1ee7a th\u00e0nh vi\u00ean<\/b><\/span><\/p>\n

TTLKCK \u0111\u00ecnh ch\u1ec9 t\u1ea1m th\u1eddi ho\u1ea1t \u0111\u1ed9ng c\u1ee7a th\u00e0nh vi\u00ean sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn trong nh\u1eefng tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

1. Th\u01b0\u1eddng xuy\u00ean vi ph\u1ea1m ngh\u0129a v\u1ee5 c\u1ee7a th\u00e0nh vi\u00ean do TTLKCK quy \u0111\u1ecbnh.<\/span><\/p>\n

2. \u0110\u1ec3 x\u1ea3y ra thi\u1ebfu s\u00f3t g\u00e2y t\u1ed5n th\u1ea5t nghi\u00eam tr\u1ecdng cho kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

\u0110i\u1ec1u 12. C\u00e1c tr\u01b0\u1eddng h\u1ee3p thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn th\u00e0nh vi\u00ean c\u1ee7a TTLKCK<\/b><\/span><\/p>\n

1. Th\u00e0nh vi\u00ean t\u1ef1 nguy\u1ec7n ch\u1ea5m d\u1ee9t t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean v\u00e0 \u0111\u01b0\u1ee3c TTLKCK ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

2. H\u1ebft th\u1eddi h\u1ea1n t\u1ea1m \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng m\u00e0 th\u00e0nh vi\u00ean kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c c\u00e1c vi ph\u1ea1m theo y\u00eau c\u1ea7u c\u1ee7a UBCKNN v\u00e0 TTLKCK.<\/span><\/p>\n

3. B\u1ecb thu h\u1ed3i Gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng.<\/span><\/p>\n

4. Trong qu\u00e1 tr\u00ecnh ho\u1ea1t \u0111\u1ed9ng kh\u00f4ng duy tr\u00ec \u0111\u01b0\u1ee3c c\u00e1c \u0111i\u1ec1u ki\u1ec7n \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 48 c\u1ee7a Lu\u1eadt ch\u1ee9ng kho\u00e1n (\u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean l\u01b0u k\u00fd).<\/span><\/p>\n

5. Chia t\u00e1ch, s\u00e1p nh\u1eadp, h\u1ee3p nh\u1ea5t, chuy\u1ec3n \u0111\u1ed5i, gi\u1ea3i th\u1ec3, ph\u00e1 s\u1ea3n.<\/span><\/p>\n

6. Th\u00e0nh vi\u00ean \u0111\u00e3 l\u00e0m th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00fd th\u00e0nh vi\u00ean l\u01b0u k\u00fd t\u1ea1i TTLKCK m\u00e0 kh\u00f4ng ti\u1ebfn h\u00e0nh ho\u1ea1t \u0111\u1ed9ng theo quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 3 \u0110i\u1ec1u 5 c\u1ee7a Quy ch\u1ebf n\u00e0y.<\/span><\/p>\n

7. Th\u00e0nh vi\u00ean vi ph\u1ea1m c\u00e1c quy \u0111\u1ecbnh v\u1ec1 th\u00e0nh vi\u00ean c\u1ee7a TTLKCK, bao g\u1ed3m c\u00e1c vi ph\u1ea1m theo quy \u0111\u1ecbnh trong h\u1ee3p \u0111\u1ed3ng cung c\u1ea5p d\u1ecbch v\u1ee5 gi\u1eefa TTLKCK v\u00e0 th\u00e0nh vi\u00ean d\u1eabn \u0111\u1ebfn ch\u1ea5m d\u1ee9t t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean.<\/span><\/p>\n

8. B\u1ecb UBCKNN 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).<\/span><\/p>\n

\u0110i\u1ec1u 13. C\u00e1c tr\u01b0\u1eddng h\u1ee3p thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd<\/b><\/span><\/p>\n

1. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd t\u1ef1 nguy\u1ec7n xin ch\u1ea5m d\u1ee9t ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd c\u1ee7a chi nh\u00e1nh.<\/span><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ch\u1ea5m d\u1ee9t ho\u1ea1t \u0111\u1ed9ng c\u1ee7a chi nh\u00e1nh theo y\u00eau c\u1ea7u c\u1ee7a c\u01a1 quan c\u00f3 th\u1ea9m quy\u1ec1n.<\/span><\/p>\n

3. Chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd vi ph\u1ea1m c\u00e1c quy ch\u1ebf c\u1ee7a TTLKCK v\u00e0 \u0111\u00e3 \u0111\u01b0\u1ee3c TTLKCK c\u00f3 c\u00f4ng v\u0103n nh\u1eafc nh\u1edf, c\u1ea3nh c\u00e1o nh\u01b0ng kh\u00f4ng kh\u1eafc ph\u1ee5c.<\/span><\/p>\n

Ch\u01b0\u01a1ng 4:<\/b><\/span><\/p>\n

\u0110\u0102NG K\u00dd CH\u1ee8NG KHO\u00c1N<\/span><\/b><\/span><\/p>\n

\u0110i\u1ec1u 14. \u0110\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK<\/span><\/b><\/span><\/p>\n

1. C\u00e1c lo\u1ea1i ch\u1ee9ng kho\u00e1n sau \u0111\u00e2y ph\u1ea3i th\u1ef1c hi\u1ec7n \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK:<\/span><\/p>\n

a. Ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00e1c c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft.<\/span><\/p>\n

b. Tr\u00e1i phi\u1ebfu ch\u00ednh ph\u1ee7 ni\u00eam y\u1ebft tr\u00ean TTGDCK ho\u1eb7c SGDCK.<\/span><\/p>\n

c. Tr\u00e1i phi\u1ebfu c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c kinh t\u1ebf, c\u1ee7a ch\u00ednh quy\u1ec1n \u0111\u1ecba ph\u01b0\u01a1ng ni\u00eam y\u1ebft tr\u00ean TTGDCK ho\u1eb7c SGDCK.<\/span><\/p>\n

d. Ch\u1ee9ng ch\u1ec9 qu\u1ef9 \u0111\u1ea7u t\u01b0 ni\u00eam y\u1ebft tr\u00ean\u00a0 SGDCK.<\/span><\/p>\n

e. C\u00e1c lo\u1ea1i ch\u1ee9ng kho\u00e1n kh\u00e1c ph\u1ea3i \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK tr\u00ean c\u01a1 s\u1edf tho\u1ea3 thu\u1eadn gi\u1eefa TTLKCK v\u00e0 t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh.<\/span><\/p>\n

2. Ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK theo h\u00ecnh th\u1ee9c \u0111\u0103ng k\u00fd ghi s\u1ed5.<\/span><\/p>\n

3. TTLKCK c\u1ea5p m\u00e3 cho c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK v\u00e0 m\u00e3 n\u00e0y \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng th\u1ed1ng nh\u1ea5t khi ni\u00eam y\u1ebft t\u1ea1i SGDCK ho\u1eb7c TTGDCK.<\/span><\/span><\/p>\n

\u0110i\u1ec1u 15. Th\u00f4ng tin v\u1ec1 ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd, \u0111\u1ed1i t\u01b0\u1ee3ng n\u1ed9p h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK<\/span><\/b><\/span><\/p>\n

1. T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh th\u1ef1c hi\u1ec7n \u0111\u0103ng k\u00fd c\u00e1c th\u00f4ng tin sau v\u1ec1 ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK:<\/span><\/p>\n

a. Th\u00f4ng tin v\u1ec1 t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

b. Th\u00f4ng tin v\u1ec1 ch\u1ee9ng kho\u00e1n ph\u00e1t h\u00e0nh.<\/span><\/p>\n

c. Th\u00f4ng tin v\u1ec1 danh s\u00e1ch ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

2. \u0110\u1ed1i t\u01b0\u1ee3ng n\u1ed9p h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd:<\/span><\/p>\n

a. T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh c\u00f3 ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft l\u00e0m th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n tr\u1ef1c ti\u1ebfp v\u1edbi TTLKCK.<\/span><\/p>\n

b. C\u00f4ng ty \u0111\u1ea1i ch\u00fang ch\u01b0a ni\u00eam y\u1ebft \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n th\u00f4ng qua th\u00e0nh vi\u00ean l\u01b0u k\u00fd l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

3. TTLKCK quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 v\u1ec1 c\u00e1c n\u1ed9i dung quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 1 v\u00e0 2 \u0110i\u1ec1u n\u00e0y.<\/span><\/p>\n

\u0110i\u1ec1u 16. Qu\u1ea3n l\u00fd th\u00f4ng tin ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd<\/span><\/b><\/span><\/p>\n

1. TTLKCK qu\u1ea3n l\u00fd t\u1eadp trung c\u00e1c th\u00f4ng tin v\u1ec1 ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd ho\u1eb7c c\u00f3 th\u1ec3 u\u1ef7 quy\u1ec1n b\u1eb1ng h\u1ee3p \u0111\u1ed3ng cho th\u00e0nh vi\u00ean l\u01b0u k\u00fd thay m\u1eb7t TTLKCK qu\u1ea3n l\u00fd.<\/span><\/p>\n

2. TTLKCK quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 vi\u1ec7c qu\u1ea3n l\u00fd th\u00f4ng tin ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd theo nguy\u00ean t\u1eafc sau:<\/span><\/p>\n

a. M\u1ecdi thay \u0111\u1ed5i li\u00ean quan \u0111\u1ebfn th\u00f4ng tin ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK\u00a0 ph\u1ea3i \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo c\u00e1c quy \u0111\u1ecbnh v\u1ec1 qu\u1ea3n l\u00fd th\u00f4ng tin c\u1ee7a TTLKCK.<\/span><\/p>\n

b. TTLKCK quy \u0111\u1ecbnh th\u1eddi gian t\u1ed1i \u0111a \u0111i\u1ec1u ch\u1ec9nh th\u00f4ng tin v\u1ec1 s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n sau khi ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK.<\/span><\/p>\n

c. T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh ph\u1ea3i h\u00f2an to\u00e0n ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 t\u00ednh ch\u00ednh x\u00e1c, \u0111\u1ea7y \u0111\u1ee7 v\u00e0 k\u1ecbp th\u1eddi c\u1ee7a c\u00e1c th\u00f4ng tin ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd v\u1edbi TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 17. H\u1ee3p \u0111\u1ed3ng cung c\u1ea5p d\u1ecbch v\u1ee5 gi\u1eefa TTLKCK v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh<\/span><\/b><\/span><\/p>\n

1. TTLKCK cung\u00a0 c\u1ea5p d\u1ecbch v\u1ee5 cho t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh tr\u00ean c\u01a1 s\u1edf h\u1ee3p \u0111\u1ed3ng \u0111\u1ec3 thay m\u1eb7t t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh th\u1ef1c hi\u1ec7n c\u00e1c c\u00f4ng vi\u1ec7c v\u1ec1 qu\u1ea3n l\u00fd th\u00f4ng tin ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ef1c hi\u1ec7n quy\u1ec1n \u0111\u1ed1i v\u1edbi ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n. H\u1ee3p \u0111\u1ed3ng g\u1ed3m nh\u1eefng n\u1ed9i dung ch\u00ednh sau:<\/span><\/p>\n

a. N\u1ed9i dung cung c\u1ea5p d\u1ecbch v\u1ee5.<\/span><\/p>\n

b. Tr\u00e1ch nhi\u1ec7m c\u1ee7a TTLKCK, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh.<\/span><\/p>\n

c. N\u1ed9i dung li\u00ean quan \u0111\u1ebfn gi\u1ea3i quy\u1ebft tranh ch\u1ea5p (n\u1ebfu c\u00f3).<\/span><\/p>\n

d. Vi\u1ec7c ch\u1ea5m d\u1ee9t h\u1ee3p \u0111\u1ed3ng.<\/span><\/p>\n

2. TTLKCK quy \u0111\u1ecbnh chi ti\u1ebft n\u1ed9i dung h\u1ee3p \u0111\u1ed3ng cung c\u1ea5p d\u1ecbch v\u1ee5 gi\u1eefa TTLKCK v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh.<\/span><\/p>\n

\u0110i\u1ec1u 18. Chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1. Vi\u1ec7c chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc sau:<\/span><\/span><\/p>\n

a. Ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK nh\u01b0ng ch\u01b0a l\u01b0u k\u00fd 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 TTLKCK \u0111\u1ec3 giao d\u1ecbch mua, b\u00e1n qua SGDCK, TTGDCK.<\/span><\/p>\n

b.TTLKCK th\u1ef1c hi\u1ec7n chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n ch\u01b0a l\u01b0u k\u00fd kh\u00f4ng qua giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i SGDCK, TTGDCK trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

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

– Giao d\u1ecbch ch\u1ee9ng kho\u00e1n l\u00f4 l\u1ebb theo qui \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><\/p>\n

– 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.<\/span><\/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><\/p>\n

– C\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu kh\u00e1c do Gi\u00e1m \u0111\u1ed1c TTLKCK quy\u1ebft \u0111\u1ecbnh sau khi c\u00f3 \u00fd ki\u1ebfn ch\u1ea5p thu\u1eadn c\u1ee7a UBCKNN.<\/span><\/p>\n

2. Hi\u1ec7u l\u1ef1c c\u1ee7a vi\u1ec7c chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 2 \u0110i\u1ec1u 54 c\u1ee7a\u00a0 Lu\u1eadt ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

3. TTLKCK quy \u0111\u1ecbnh h\u1ed3 s\u01a1, th\u1ee7 t\u1ee5c chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd.<\/span><\/p>\n

\u0110i\u1ec1u 19. Hu\u1ef7 b\u1ecf \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1. Vi\u1ec7c hu\u1ef7 b\u1ecf \u0111\u0103ng k\u00fd \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

a. Ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd h\u1ebft hi\u1ec7u l\u1ef1c l\u01b0u h\u00e0nh.<\/span><\/p>\n

b. Ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00e1c c\u00f4ng ty \u0111\u1ea1i ch\u00fang \u0111\u00e3 \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK nh\u01b0ng kh\u00f4ng c\u00f2n \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n l\u00e0 c\u00f4ng ty \u0111\u1ea1i ch\u00fang v\u00e0 c\u00f3 y\u00eau c\u1ea7u hu\u1ef7 \u0111\u0103ng k\u00fd.<\/span><\/p>\n

c. T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh kh\u00f4ng ph\u1ea3i l\u00e0 c\u00f4ng ty \u0111\u1ea1i ch\u00fang t\u1ef1 nguy\u1ec7n hu\u1ef7 \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

2. TTLKCK quy \u0111\u1ecbnh th\u1ee7 t\u1ee5c hu\u1ef7 b\u1ecf \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

\u0110i\u1ec1u 20. Th\u1ef1c hi\u1ec7n quy\u1ec1n c\u1ee7a ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1.T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh u\u1ef7 quy\u1ec1n cho TTLKCK l\u00e0m th\u1ee7 t\u1ee5c th\u1ef1c hi\u1ec7n c\u00e1c quy\u1ec1n sau \u0111\u00e2y \u0111\u1ed1i v\u1edbi c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK v\u00e0 ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m h\u00f2an to\u00e0n v\u1ec1 c\u00e1c quy\u1ebft \u0111\u1ecbnh li\u00ean quan \u0111\u1ebfn t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n quy\u1ec1n cho ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n:<\/span><\/p>\n

a. Quy\u1ec1n b\u1ecf phi\u1ebfu.<\/span><\/p>\n

b. Quy\u1ec1n nh\u1eadn l\u00e3i, v\u1ed1n g\u1ed1c tr\u00e1i phi\u1ebfu v\u00e0 c\u1ed5 t\u1ee9c c\u1ed5 phi\u1ebfu b\u1eb1ng ti\u1ec1n.<\/span><\/p>\n

c. Quy\u1ec1n nh\u1eadn c\u1ed5 t\u1ee9c b\u1eb1ng c\u1ed5 phi\u1ebfu, c\u1ed5 phi\u1ebfu th\u01b0\u1edfng.<\/span><\/p>\n

d. Quy\u1ec1n mua c\u1ed5 phi\u1ebfu ph\u00e1t h\u00e0nh th\u00eam.<\/span><\/p>\n

e. Quy\u1ec1n chuy\u1ec3n \u0111\u1ed5i tr\u00e1i phi\u1ebfu chuy\u1ec3n \u0111\u1ed5i.<\/span><\/p>\n

f. Quy\u1ec1n thay \u0111\u1ed5i t\u00ean, t\u00e1ch, g\u1ed9p c\u1ed5 phi\u1ebfu.<\/span><\/p>\n

g. C\u00e1c quy\u1ec1n kh\u00e1c theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

2. Ch\u1ec9 nh\u1eefng ng\u01b0\u1eddi c\u00f3 t\u00ean tr\u00ean s\u1ed5 \u0111\u0103ng k\u00fd ng\u01b0\u1eddi s\u1edf h\u1eefu do TTLKCK l\u1eadp v\u00e0o ng\u00e0y \u0111\u0103ng k\u00fd cu\u1ed1i c\u00f9ng m\u1edbi \u0111\u01b0\u1ee3c nh\u1eadn c\u00e1c quy\u1ec1n ph\u00e1t sinh li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

3. Ng\u00e0y \u0111\u0103ng k\u00fd cu\u1ed1i c\u00f9ng l\u00e0 ng\u00e0y do t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh ho\u1eb7c TTLKCK \u1ea5n \u0111\u1ecbnh tr\u00ean c\u01a1 s\u1edf u\u1ef7 quy\u1ec1n c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh nh\u1eb1m x\u00e1c \u0111\u1ecbnh danh s\u00e1ch ng\u01b0\u1eddi s\u1edf h\u1eefu \u0111\u01b0\u1ee3c h\u01b0\u1edfng quy\u1ec1n ph\u00f9 h\u1ee3p v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

4. TTLKCK, th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh ch\u1ecbu tr\u00e1ch nhi\u1ec7m th\u1ef1c hi\u1ec7n quy\u1ec1n cho ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd t\u1ea1i TTLKCK; ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 c\u00e1c thi\u1ec7t h\u1ea1i g\u00e2y ra cho ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n do kh\u00f4ng tu\u00e2n th\u1ee7 \u0111\u00fang c\u00e1c quy \u0111\u1ecbnh v\u1ec1 th\u1ef1c hi\u1ec7n quy\u1ec1n c\u1ee7a Quy ch\u1ebf n\u00e0y ho\u1eb7c Quy ch\u1ebf nghi\u1ec7p v\u1ee5 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n c\u1ee7a TTLKCK trong ph\u1ea1m vi tr\u00e1ch nhi\u1ec7m c\u1ee7a m\u00ecnh.<\/span><\/p>\n

5. TTLKCK quy \u0111\u1ecbnh th\u1ee7 t\u1ee5c th\u1ef1c hi\u1ec7n quy\u1ec1n c\u1ee7a ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd.<\/b><\/span><\/p>\n

Ch\u01b0\u01a1ng 5:<\/span><\/b><\/span><\/p>\n

L\u01afU K\u00dd CH\u1ee8NG KHO\u00c1N<\/span><\/b><\/span><\/p>\n

\u0110i\u1ec1u 21. Nguy\u00ean t\u1eafc l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1. Vi\u1ec7c l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng t\u1ea1i TTLKCK \u0111\u01b0\u1ee3c qu\u1ea3n l\u00fd theo hai c\u1ea5p: 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 TTLKCK.<\/span><\/span><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd nh\u1eadn l\u01b0u k\u00fd c\u00e1c ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u1edbi t\u01b0 c\u00e1ch l\u00e0 ng\u01b0\u1eddi \u0111\u01b0\u1ee3c kh\u00e1ch h\u00e0ng u\u1ef7 quy\u1ec1n th\u1ef1c hi\u1ec7n c\u00e1c 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. \u0110\u1ec3 l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, kh\u00e1ch h\u00e0ng ph\u1ea3i k\u00fd h\u1ee3p \u0111\u1ed3ng m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u1edbi th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

3. TTLKCK nh\u1eadn t\u00e1i l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1eeb c\u00e1c th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u1edbi t\u01b0 c\u00e1ch l\u00e0 ng\u01b0\u1eddi \u0111\u01b0\u1ee3c th\u00e0nh vi\u00ean u\u1ef7 quy\u1ec1n th\u1ef1c hi\u1ec7n c\u00e1c nghi\u1ec7p v\u1ee5 li\u00ean quan t\u1edbi 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. \u0110\u1ec3 t\u00e1i l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n \u0111\u1ee9ng t\u00ean th\u00e0nh vi\u00ean l\u01b0u k\u00fd t\u1ea1i TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 22. M\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1. Th\u00e0nh vi\u00ean c\u1ee7a TTLKCK ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK \u0111\u1ec3 th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd t\u1ea1i TTLKCK. M\u1ed7i th\u00e0nh vi\u00ean c\u1ee7a TTLKCK ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf m\u1ed9t t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK v\u00e0 kh\u00f4ng \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd kh\u00e1c.<\/span><\/p>\n

2. Nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf m\u1ed9t t\u00e0i kho\u1ea3n duy nh\u1ea5t t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd, tr\u1eeb nh\u1eefng tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

a. C\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n ri\u00eang bi\u1ec7t cho c\u00f4ng ty v\u00e0 cho t\u1eebng qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n do c\u00f4ng ty qu\u1ea3n l\u00fd. 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 l\u01b0u k\u00fd \u0111\u1ee9ng t\u00ean c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 t\u1ea1i ng\u00e2n h\u00e0ng l\u01b0u k\u00fd thay m\u1eb7t cho nh\u00e0 \u0111\u1ea7u t\u01b0 u\u1ef7 th\u00e1c (01 t\u00e0i kho\u1ea3n cho nh\u00e0 \u0111\u1ea7u t\u01b0 u\u1ef7 th\u00e1c trong n\u01b0\u1edbc v\u00e0 01 t\u00e0i kho\u1ea3n cho nh\u00e0 \u0111\u1ea7u t\u01b0 u\u1ef7 th\u00e1c n\u01b0\u1edbc ngo\u00e0i).<\/span><\/p>\n

b. 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 hai t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u00e1ch bi\u1ec7t t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd \u0111\u1ec3 qu\u1ea3n l\u00fd ch\u1ee9ng kho\u00e1n thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a ch\u00ednh c\u00f4ng ty v\u00e0\u00a0 kh\u00e1ch h\u00e0ng c\u1ee7a c\u00f4ng ty.<\/span><\/p>\n

c. C\u00f4ng ty b\u1ea3o hi\u1ec3m 100% v\u1ed1n n\u01b0\u1edbc ngo\u00e0i ph\u1ea3i m\u1edf hai t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed9t th\u00e0nh vi\u00ean l\u01b0u k\u00fd \u0111\u1ec3 qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t c\u00e1c kho\u1ea3n \u0111\u1ea7u t\u01b0 t\u1eeb ngu\u1ed3n v\u1ed1n ch\u1ee7 s\u1edf h\u1eefu v\u00e0 t\u1eeb ngu\u1ed3n ph\u00ed b\u1ea3o hi\u1ec3m khi th\u1ef1c hi\u1ec7n \u0111\u1ea7u t\u01b0 tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

3. Nh\u00e0 \u0111\u1ea7u t\u01b0 l\u00e0 t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n n\u01b0\u1edbc ngo\u00e0i m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd sau khi \u0111\u0103ng k\u00fd m\u00e3 s\u1ed1 giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

4. TTLKCK quy \u0111\u1ecbnh th\u1ee7 t\u1ee5c m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 23. T\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean t\u1ea1i TTLKCK<\/span><\/b><\/span><\/p>\n

1. T\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean t\u1ea1i TTLKCK bao g\u1ed3m:<\/span><\/p>\n

a. T\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch.<\/span><\/p>\n

b. T\u00e0i kho\u1ea3n t\u1ea1m ng\u1eebng giao d\u1ecbch.<\/span><\/p>\n

c. T\u00e0i kho\u1ea3n c\u1ea7m c\u1ed1.<\/span><\/p>\n

d. T\u00e0i kho\u1ea3n t\u1ea1m gi\u1eef.<\/span><\/p>\n

e. T\u00e0i kho\u1ea3n ch\u1edd thanh to\u00e1n.<\/span><\/p>\n

f. T\u00e0i kho\u1ea3n phong to\u1ea3 ch\u1edd r\u00fat.<\/span><\/p>\n

g. T\u00e0i kho\u1ea3n ch\u1edd giao d\u1ecbch.<\/span><\/p>\n

h. T\u00e0i kho\u1ea3n s\u1eeda l\u1ed7i giao d\u1ecbch.<\/span><\/p>\n

i. C\u00e1c t\u00e0i kho\u1ea3n kh\u00e1c theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

2. T\u00e0i kho\u1ea3n l\u01b0u k\u00fd c\u1ee7a th\u00e0nh vi\u00ean c\u1ee7a TTLKCK n\u00eau t\u1ea1i Kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y \u0111\u01b0\u1ee3c ph\u00e2n lo\u1ea1i nh\u01b0 sau:<\/span><\/p>\n

a) T\u00e0i kho\u1ea3n c\u1ee7a ch\u00ednh th\u00e0nh vi\u00ean c\u1ee7a TTLKCK.<\/span><\/p>\n

b) T\u00e0i kho\u1ea3n cho kh\u00e1ch h\u00e0ng trong n\u01b0\u1edbc c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd<\/span><\/p>\n

c) T\u00e0i kho\u1ea3n cho kh\u00e1ch h\u00e0ng n\u01b0\u1edbc ngo\u00e0i c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

3. T\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean t\u1ea1i TTLKCK bao g\u1ed3m c\u00e1c n\u1ed9i dung sau \u0111\u00e2y:<\/span><\/p>\n

a. S\u1ed1 t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

b. T\u00ean v\u00e0 \u0111\u1ecba ch\u1ec9 c\u1ee7a th\u00e0nh vi\u00ean.<\/span><\/p>\n

c. S\u1ed1 l\u01b0\u1ee3ng, lo\u1ea1i v\u00e0 m\u00e3 ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd.<\/span><\/p>\n

d. S\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n t\u0103ng gi\u1ea3m v\u00e0 l\u00fd do c\u1ee7a vi\u1ec7c t\u0103ng gi\u1ea3m.<\/span><\/p>\n

e. C\u00e1c th\u00f4ng tin c\u1ea7n thi\u1ebft kh\u00e1c.<\/span><\/p>\n

\u0110i\u1ec1u 24. Qu\u1ea3n l\u00fd t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK<\/b><\/span><\/p>\n

1. TTLKCK qu\u1ea3n l\u00fd t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n theo nguy\u00ean t\u1eafc sau \u0111\u00e2y:<\/span><\/p>\n

a. Ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd t\u1ea1i TTLKCK l\u00e0 t\u00e0i s\u1ea3n thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a kh\u00e1ch h\u00e0ng, \u0111\u01b0\u1ee3c qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t v\u1edbi t\u00e0i s\u1ea3n c\u1ee7a TTLKCK.<\/span><\/p>\n

b. TTLKCK kh\u00f4ng \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u00ec l\u1ee3i \u00edch c\u1ee7a b\u00ean th\u1ee9 ba ho\u1eb7c v\u00ec l\u1ee3i \u00edch c\u1ee7a ch\u00ednh TTLKCK.<\/span><\/p>\n

2. TTLKCK ch\u1ec9 th\u1ef1c hi\u1ec7n h\u1ea1ch to\u00e1n tr\u00ean t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n khi c\u00e1c ch\u1ee9ng t\u1eeb h\u1ea1ch to\u00e1n \u0111\u1ea7y \u0111\u1ee7, h\u1ee3p l\u1ec7 v\u00e0 l\u00e0 ch\u1ee9ng t\u1eeb g\u1ed1c.<\/span><\/p>\n

3. 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 TTLKCK.<\/span><\/p>\n

4. Khi c\u00f3 b\u1ea5t c\u1ee9 s\u1ef1 thay \u0111\u1ed5i hay sai s\u00f3t n\u00e0o v\u1ec1 th\u00f4ng tin trong t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean c\u00f3 ngh\u0129a v\u1ee5 th\u00f4ng b\u00e1o ngay cho TTLKCK.<\/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, TTLKCK 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.<\/span><\/p>\n

\u0110i\u1ec1u 25. T\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd<\/b><\/span><\/p>\n

1. 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 bao g\u1ed3m:<\/span><\/p>\n

a. T\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch.<\/span><\/p>\n

b. T\u00e0i kho\u1ea3n t\u1ea1m ng\u1eebng giao d\u1ecbch.<\/span><\/p>\n

c. T\u00e0i kho\u1ea3n c\u1ea7m c\u1ed1.<\/span><\/p>\n

d. T\u00e0i kho\u1ea3n t\u1ea1m gi\u1eef.<\/span><\/p>\n

e. T\u00e0i kho\u1ea3n ch\u1edd thanh to\u00e1n.<\/span><\/p>\n

f. T\u00e0i kho\u1ea3n phong to\u1ea3 ch\u1edd r\u00fat.<\/span><\/p>\n

g. T\u00e0i kho\u1ea3n ch\u1edd giao d\u1ecbch.<\/span><\/p>\n

h. T\u00e0i kho\u1ea3n s\u1eeda l\u1ed7i giao d\u1ecbch.<\/span><\/p>\n

i. C\u00e1c t\u00e0i kho\u1ea3n kh\u00e1c theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

2. 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 bao g\u1ed3m c\u00e1c n\u1ed9i dung sau:<\/span><\/p>\n

a. S\u1ed1 t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

b. T\u00ean v\u00e0 \u0111\u1ecba ch\u1ec9 c\u1ee7a ch\u1ee7 t\u00e0i kho\u1ea3n.<\/span><\/p>\n

c. S\u1ed1 ch\u1ee9ng minh nh\u00e2n d\u00e2n v\u1edbi kh\u00e1ch h\u00e0ng c\u00e1 nh\u00e2n l\u00e0 ng\u01b0\u1eddi Vi\u1ec7t Nam v\u00e0 s\u1ed1 h\u1ed9 chi\u1ebfu v\u1edbi kh\u00e1ch h\u00e0ng c\u00e1 nh\u00e2n l\u00e0 ng\u01b0\u1eddi n\u01b0\u1edbc ngo\u00e0i; s\u1ed1 Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1eb7c gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp \u0111\u1ed1i v\u1edbi kh\u00e1ch h\u00e0ng l\u00e0 t\u1ed5 ch\u1ee9c.<\/span><\/p>\n

d. S\u1ed1 l\u01b0\u1ee3ng, lo\u1ea1i v\u00e0 m\u00e3 ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd.<\/span><\/p>\n

e. S\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd t\u0103ng, gi\u1ea3m v\u00e0 l\u00fd do c\u1ee7a vi\u1ec7c t\u0103ng gi\u1ea3m.<\/span><\/p>\n

g. C\u00e1c th\u00f4ng tin c\u1ea7n thi\u1ebft kh\u00e1c.<\/span><\/p>\n

\u0110i\u1ec1u 26. Qu\u1ea3n l\u00fd t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd<\/b><\/span><\/p>\n

1. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i qu\u1ea3n l\u00fd c\u00e1c t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng theo nguy\u00ean t\u1eafc sau \u0111\u00e2y:<\/span><\/p>\n

a. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n chi ti\u1ebft cho t\u1eebng kh\u00e1ch h\u00e0ng v\u00e0 qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t t\u00e0i s\u1ea3n cho t\u1eebng kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

b. Ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd c\u1ee7a kh\u00e1ch h\u00e0ng t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd l\u00e0 t\u00e0i s\u1ea3n thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0 \u0111\u01b0\u1ee3c qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t v\u1edbi t\u00e0i s\u1ea3n c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

c. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd kh\u00f4ng \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng ch\u1ee9ng kho\u00e1n trong t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u00ec l\u1ee3i \u00edch c\u1ee7a b\u00ean th\u1ee9 ba ho\u1eb7c v\u00ec l\u1ee3i \u00edch c\u1ee7a ch\u00ednh th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

d. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 tr\u00e1ch nhi\u1ec7m th\u00f4ng b\u00e1o k\u1ecbp th\u1eddi v\u00e0 \u0111\u1ea7y \u0111\u1ee7 c\u00e1c quy\u1ec1n l\u1ee3i ph\u00e1t sinh li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd cho kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

e. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 tr\u00e1ch nhi\u1ec7m h\u00f2an t\u1ea5t ngh\u0129a v\u1ee5 \u0111\u1ed1i v\u1edbi kh\u00e1ch h\u00e0ng c\u1ee7a m\u00ecnh trong tr\u01b0\u1eddng h\u1ee3p kh\u00e1ch h\u00e0ng \u0111\u00e3 t\u1ea5t to\u00e1n t\u00e0i kho\u1ea3n chuy\u1ec3n sang th\u00e0nh vi\u00ean m\u1edbi nh\u01b0ng quy\u1ec1n \u0111\u01b0\u1ee3c nh\u1eadn ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n v\u1eabn ph\u00e2n b\u1ed5 v\u1ec1 t\u00e0i kho\u1ea3n c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

2. Theo y\u00eau c\u1ea7u c\u1ee7a kh\u00e1ch h\u00e0ng, th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i g\u1eedi cho t\u1eebng kh\u00e1ch h\u00e0ng b\u1ea3n Sao k\u00ea t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n sau m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb ng\u00e0y c\u00f3 y\u00eau c\u1ea7u.<\/span><\/p>\n

3. Kh\u00e1ch h\u00e0ng c\u00f3 ngh\u0129a v\u1ee5 th\u00f4ng b\u00e1o ngay cho th\u00e0nh vi\u00ean l\u01b0u k\u00fd khi c\u00f3 b\u1ea5t c\u1ee9 s\u1ef1 thay \u0111\u1ed5i hay sai s\u00f3t n\u00e0o v\u1ec1 nh\u1eefng th\u00f4ng tin trong t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

\u0110i\u1ec1u 27. Hi\u1ec7u l\u1ef1c l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. Vi\u1ec7c l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK c\u00f3 hi\u1ec7u l\u1ef1c k\u1ec3 t\u1eeb th\u1eddi \u0111i\u1ec3m TTLKCK th\u1ef1c hi\u1ec7n h\u1ea1ch to\u00e1n tr\u00ean t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n li\u00ean quan c\u1ee7a th\u00e0nh vi\u00ean m\u1edf t\u1ea1i TTLKCK.<\/span><\/p>\n

2. Vi\u1ec7c h\u1ea1ch to\u00e1n, chuy\u1ec3n kho\u1ea3n ch\u1ee9ng kho\u00e1n b\u1eb1ng b\u00fat to\u00e1n ghi s\u1ed5 gi\u1eefa c\u00e1c t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean ho\u1eb7c kh\u00e1ch h\u00e0ng l\u01b0u k\u00fd t\u1ea1i TTLKCK c\u00f3 hi\u1ec7u l\u1ef1c ph\u00e1p l\u00fd nh\u01b0 \u0111\u1ed1i v\u1edbi chuy\u1ec3n giao ch\u1ee9ng kho\u00e1n v\u1eadt ch\u1ea5t v\u00e0 \u0111\u01b0\u1ee3c ph\u00e1p lu\u1eadt th\u1eeba nh\u1eadn.<\/span><\/p>\n

3. Ch\u1ee9ng kho\u00e1n ch\u01b0a \u0111\u01b0\u1ee3c giao d\u1ecbch b\u00e1n khi ch\u01b0a \u0111\u01b0\u1ee3c TTLKCK h\u1ea1ch to\u00e1n v\u00e0o t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch c\u1ee7a th\u00e0nh vi\u00ean.<\/span><\/p>\n

\u0110i\u1ec1u 28. K\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. Vi\u1ec7c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0o TTLKCK \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc sau:<\/span><\/p>\n

a. Kh\u00e1ch h\u00e0ng k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n v\u00e0o TTLKCK th\u00f4ng qua th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u01a1i m\u00ecnh m\u1edf t\u00e0i kho\u1ea3n.<\/span><\/p>\n

b. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 tr\u00e1ch nhi\u1ec7m l\u00e0m th\u1ee7 t\u1ee5c nh\u1eadn ch\u1ee9ng kho\u00e1n k\u00fd g\u1eedi c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0 t\u00e1i k\u00fd g\u1eedi v\u00e0o TTLKCK trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 g\u1eedi ch\u1ee9ng kho\u00e1n h\u1ee3p l\u1ec7 c\u1ee7a kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

c. TTLKCK c\u00f3 tr\u00e1ch nhi\u1ec7m x\u1eed l\u00fd h\u1ed3 s\u01a1 ch\u1ee9ng kho\u00e1n k\u00fd g\u1eedi trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb khi nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 h\u1ee3p l\u1ec7 c\u1ee7a th\u00e0nh vi\u00ean.<\/span><\/p>\n

d. TTLKCK quy \u0111\u1ecbnh h\u1ed3 s\u01a1, th\u1ee7 t\u1ee5c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean t\u1ea1i TTLKCK.<\/span><\/p>\n

2. Th\u00e0nh vi\u00ean, kh\u00e1ch h\u00e0ng k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n kh\u00f4ng h\u1ee3p l\u1ec7, ch\u1ee9ng kho\u00e1n gi\u1ea3 m\u1ea1o, b\u1ecb th\u00f4ng b\u00e1o m\u1ea5t c\u1eafp ho\u1eb7c kh\u00f4ng c\u00f3 \u0111\u1ee7 th\u00f4ng tin theo y\u00eau c\u1ea7u ph\u1ea3i h\u00f2an to\u00e0n ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 vi\u1ec7c k\u00fd g\u1eedi s\u1ed1 ch\u1ee9ng kho\u00e1n n\u00e0y v\u00e0 ph\u1ea3i b\u1ed3i th\u01b0\u1eddng cho c\u00e1c b\u00ean li\u00ean quan thi\u1ec7t h\u1ea1i do vi\u1ec7c l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n \u0111\u00f3 g\u00e2y ra.<\/span><\/p>\n

\u0110i\u1ec1u 29. R\u00fat ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. Kh\u00e1ch h\u00e0ng ch\u1ec9 \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u r\u00fat ch\u1ee9ng kho\u00e1n trong ph\u1ea1m vi s\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n s\u1edf h\u1eefu tr\u00ean c\u00e1c t\u00e0i kho\u1ea3n l\u01b0u k\u00fd, tr\u1eeb c\u00e1c ch\u1ee9ng kho\u00e1n \u0111ang b\u1ecb t\u1ea1m gi\u1eef, c\u1ea7m c\u1ed1.<\/span><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i chuy\u1ec3n cho TTLKCK h\u1ed3 s\u01a1 r\u00fat ch\u1ee9ng kho\u00e1n trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 h\u1ee3p l\u1ec7 c\u1ee7a kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

3. TTLKCK c\u00f3 tr\u00e1ch nhi\u1ec7m x\u1eed l\u00fd h\u1ed3 s\u01a1 r\u00fat ch\u1ee9ng kho\u00e1n trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb khi nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 h\u1ee3p l\u1ec7 c\u1ee7a th\u00e0nh vi\u00ean.<\/span><\/p>\n

4. Trong th\u1eddi gian ch\u1edd r\u00fat, kh\u00e1ch h\u00e0ng \u0111\u01b0\u1ee3c quy\u1ec1n hu\u1ef7 y\u00eau c\u1ea7u r\u00fat ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

5. Ch\u1ee9ng kho\u00e1n r\u00fat ra kh\u1ecfi TTLKCK theo h\u00ecnh th\u1ee9c ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh \u0111\u0103ng k\u00fd t\u1ea1i TTLKCK.<\/span><\/p>\n

6. TTLKCK quy \u0111\u1ecbnh th\u1ee7 t\u1ee5c r\u00fat ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 30. Chuy\u1ec3n kho\u1ea3n ch\u1ee9ng kho\u00e1n<\/b><\/span><\/p>\n

1. TTLKCK \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n chuy\u1ec3n kho\u1ea3n ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd kh\u00f4ng qua h\u1ec7 th\u1ed1ng giao d\u1ecbch t\u1eadp trung c\u1ee7a SGDCK, TTGDCK trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

a. 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><\/p>\n

b. T\u1ea5t to\u00e1n t\u00e0i kho\u1ea3n t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u00e0y sang l\u01b0u k\u00fd t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd kh\u00e1c.<\/span><\/p>\n

c. Chuy\u1ec3n kho\u1ea3n ph\u1ee5c v\u1ee5 giao d\u1ecbch gi\u1ea5y t\u1edd c\u00f3 gi\u00e1 tr\u00ean th\u1ecb tr\u01b0\u1eddng ti\u1ec1n t\u1ec7.<\/span><\/p>\n

d. Chuy\u1ec3n kho\u1ea3n \u0111\u1ec3 h\u1ed7 tr\u1ee3 v\u00e0 cho vay ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

e. Chuy\u1ec3n kho\u1ea3n x\u1eed l\u00fd ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1 theo h\u1ee3p \u0111\u1ed3ng c\u1ea7m c\u1ed1.<\/span><\/p>\n

f. 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><\/span><\/p>\n

g. Chia t\u00e1ch, s\u00e1p nh\u1eadp, h\u1ee3p nh\u1ea5t, g\u00f3p v\u1ed1n b\u1eb1ng ch\u1ee9ng kho\u00e1n 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 t\u1ea1i Lu\u1eadt d\u00e2n s\u1ef1 v\u00e0 Lu\u1eadt doanh nghi\u1ec7p.<\/span><\/span><\/p>\n

h. T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh mua l\u1ea1i c\u1ed5 phi\u1ebfu \u01b0u \u0111\u00e3i c\u00e1n b\u1ed9, c\u00f4ng nh\u00e2n vi\u00ean khi ch\u1ea5m d\u1ee9t h\u1ee3p \u0111\u1ed3ng lao \u0111\u1ed9ng.<\/span><\/span><\/p>\n

i. Khi th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u01a1i kh\u00e1ch h\u00e0ng \u0111ang m\u1edf t\u00e0i kho\u1ea3n b\u1ecb hu\u1ef7 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 ho\u1eb7c b\u1ecb TTLKCK hu\u1ef7 t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean l\u01b0u k\u00fd;<\/span><\/span><\/p>\n

k. C\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu kh\u00e1c do Gi\u00e1m \u0111\u1ed1c TTLKCK quy\u1ebft \u0111\u1ecbnh sau khi c\u00f3 \u00fd ki\u1ebfn ch\u1ea5p thu\u1eadn c\u1ee7a UBCKNN.<\/span><\/span><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i chuy\u1ec3n cho TTLKCK h\u1ed3 s\u01a1 chuy\u1ec3n kho\u1ea3n ch\u1ee9ng kho\u00e1n trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u chuy\u1ec3n kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

3. TTLKCK c\u00f3 tr\u00e1ch nhi\u1ec7m x\u1eed l\u00fd h\u1ed3 s\u01a1 chuy\u1ec3n kho\u1ea3n ch\u1ee9ng kho\u00e1n trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c \u0111\u1ed1i v\u1edbi c\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n kho\u1ea3n quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a, b, c, d, e v\u00e0 t\u1ed1i \u0111a n\u0103m (05) ng\u00e0y l\u00e0m vi\u1ec7c \u0111\u1ed1i v\u1edbi c\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n kho\u1ea3n quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m f, g, h, i, k Kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y k\u1ec3 t\u1eeb khi nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 chuy\u1ec3n kho\u1ea3n h\u1ee3p l\u1ec7 c\u1ee7a th\u00e0nh vi\u00ean.<\/span><\/p>\n

4. TTLKCK quy \u0111\u1ecbnh h\u1ed3 s\u01a1, th\u1ee7 t\u1ee5c chuy\u1ec3n kho\u1ea3n ch\u1ee9ng kho\u00e1n t\u1ea1i TTLKCK.<\/span><\/p>\n

5. \u0110\u1ed1i v\u1edbi c\u00e1c giao d\u1ecbch mua, b\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n th\u00f4ng qua h\u1ec7 th\u1ed1ng giao d\u1ecbch c\u1ee7a SGDCK, TTGDCK, vi\u1ec7c chuy\u1ec3n kho\u1ea3n \u0111\u1ec3 thanh to\u00e1n giao d\u1ecbch \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh v\u1ec1 b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n t\u1ea1i Ch\u01b0\u01a1ng VI Quy ch\u1ebf n\u00e0y.<\/span><\/p>\n

\u0110i\u1ec1u 31. C\u1ea7m c\u1ed1 v\u00e0 gi\u1ea3i to\u1ea3 c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1. Vi\u1ec7c c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd t\u1eadp trung t\u1ea1i TTLKCK th\u1ef1c hi\u1ec7n c\u0103n c\u1ee9 v\u00e0o h\u1ee3p \u0111\u1ed3ng c\u1ea7m c\u1ed1 v\u00e0 ph\u1ea3i \u0111\u01b0\u1ee3c \u0111\u0103ng k\u00fd giao d\u1ecbch t\u1ea1i TTLKCK theo c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh v\u1ec1 \u0111\u0103ng k\u00fd giao d\u1ecbch b\u1ea3o \u0111\u1ea3m.<\/span><\/p>\n

2. Vi\u1ec7c u\u1ef7 quy\u1ec1n c\u1ee7a b\u00ean c\u1ea7m c\u1ed1 v\u00e0 b\u00ean nh\u1eadn c\u1ea7m c\u1ed1 cho th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u1edbi t\u01b0 c\u00e1ch l\u00e0 b\u00ean th\u1ee9 ba qu\u1ea3n l\u00fd ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh trong h\u1ee3p \u0111\u1ed3ng c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n gi\u1eefa c\u00e1c b\u00ean. C\u00e1c b\u00ean c\u00f3 th\u1ec3 \u0111\u1ec1 ngh\u1ecb gi\u1ea3i t\u1ecfa to\u00e0n b\u1ed9 hay m\u1ed9t ph\u1ea7n ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1.<\/span><\/p>\n

3. Vi\u1ec7c c\u1ea7m c\u1ed1, gi\u1ea3i to\u1ea3 c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n t\u1ea1i c\u00e1c th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u01a1i m\u00ecnh m\u1edf t\u00e0i kho\u1ea3n. TTLKCK th\u1ef1c hi\u1ec7n c\u1ea7m c\u1ed1 v\u00e0 gi\u1ea3i t\u1ecfa ch\u1ee9ng kho\u00e1n tr\u00ean c\u01a1 s\u1edf b\u1ea3ng k\u00ea ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1 v\u00e0 gi\u1ea3i to\u1ea3 c\u00f3 x\u00e1c nh\u1eadn c\u1ee7a b\u00ean nh\u1eadn c\u1ea7m c\u1ed1.<\/span><\/p>\n

4. Vi\u1ec7c c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n ch\u1ec9 c\u00f3 hi\u1ec7u l\u1ef1c sau khi TTLKCK th\u1ef1c hi\u1ec7n b\u00fat to\u00e1n ghi s\u1ed5 chuy\u1ec3n ch\u1ee9ng kho\u00e1n t\u1eeb t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch c\u1ee7a th\u00e0nh vi\u00ean b\u00ean c\u1ea7m c\u1ed1 sang t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1 c\u1ee7a th\u00e0nh vi\u00ean b\u00ean c\u1ea7m c\u1ed1.<\/span><\/p>\n

5. Vi\u1ec7c gi\u1ea3i to\u1ea3 ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1 c\u00f3 hi\u1ec7u l\u1ef1c khi TTLKCK th\u1ef1c hi\u1ec7n b\u00fat to\u00e1n ghi s\u1ed5 chuy\u1ec3n ch\u1ee9ng kho\u00e1n t\u1eeb t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1 sang t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch c\u1ee7a th\u00e0nh vi\u00ean b\u00ean c\u1ea7m c\u1ed1.<\/span><\/p>\n

6. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i chuy\u1ec3n cho TTLKCK h\u1ed3 s\u01a1 c\u1ea7m c\u1ed1\/gi\u1ea3i to\u1ea3 c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u c\u1ea7m c\u1ed1\/gi\u1ea3i to\u1ea3 c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n h\u1ee3p l\u1ec7 c\u1ee7a kh\u00e1ch h\u00e0ng. TTLKCK c\u00f3 tr\u00e1ch nhi\u1ec7m x\u1eed l\u00fd h\u1ed3 c\u1ea7m c\u1ed1\/gi\u1ea3i to\u1ea3 c\u1ea7m c\u1ed1 ch\u1ee9ng kho\u00e1n trong v\u00f2ng m\u1ed9t ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb khi nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 h\u1ee3p l\u1ec7 c\u1ee7a th\u00e0nh vi\u00ean.<\/span><\/p>\n

7. TTLKCK quy \u0111\u1ecbnh th\u1ee7 t\u1ee5c c\u1ea7m c\u1ed1, gi\u1ea3i to\u1ea3 c\u1ea7m c\u1ed1 v\u00e0 \u0111\u0103ng k\u00fd giao d\u1ecbch b\u1ea3o \u0111\u1ea3m.<\/span><\/p>\n

Ch\u01b0\u01a1ng 6:<\/span><\/b><\/span><\/p>\n

B\u00d9 TR\u1eea V\u00c0 THANH TO\u00c1N CH\u1ee8NG KHO\u00c1N<\/span><\/b><\/span><\/p>\n

\u0110i\u1ec1u 32. B\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1. TTLKCK thanh to\u00e1n theo k\u1ebft qu\u1ea3 b\u00f9 tr\u1eeb \u0111a ph\u01b0\u01a1ng, song ph\u01b0\u01a1ng v\u00e0 thanh to\u00e1n theo t\u1eebng giao d\u1ecbch cho giao d\u1ecbch c\u1ee7a c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u00e3 ni\u00eam y\u1ebft v\u00e0 giao d\u1ecbch c\u1ee7a c\u00e1c ch\u1ee9ng kho\u00e1n ch\u01b0a ni\u00eam y\u1ebft c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang.<\/span><\/p>\n

2. Vi\u1ec7c b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c TTLKCK th\u1ef1c hi\u1ec7n theo t\u1eebng ch\u1ee9ng kho\u00e1n v\u00e0 t\u00e1ch bi\u1ec7t theo lo\u1ea1i t\u00e0i kho\u1ea3n m\u00f4i gi\u1edbi cho kh\u00e1ch h\u00e0ng trong n\u01b0\u1edbc, t\u00e0i kho\u1ea3n m\u00f4i gi\u1edbi cho kh\u00e1ch h\u00e0ng n\u01b0\u1edbc ngo\u00e0i v\u00e0 t\u00e0i kho\u1ea3n t\u1ef1 doanh c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

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

4. \u0110\u1ed1i v\u1edbi giao d\u1ecbch mua, b\u00e1n ch\u1ee9ng kho\u00e1n ch\u01b0a ni\u00eam y\u1ebft c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang, TTLKCK thanh to\u00e1n giao d\u1ecbch c\u0103n c\u1ee9 v\u00e0o k\u1ebft qu\u1ea3 giao d\u1ecbch c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n t\u1ea1i c\u00e1c c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 chuy\u1ec3n v\u00e0o TTLKCK th\u00f4ng qua TTGDCK.<\/span><\/span><\/p>\n

5. Gi\u00e1m \u0111\u1ed1c TTLKCK quy\u1ebft \u0111\u1ecbnh \u00e1p d\u1ee5ng c\u00e1c ph\u01b0\u01a1ng th\u1ee9c thanh to\u00e1n t\u1ea1i TTLKCK sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/p>\n

6. TTLKCK quy \u0111\u1ecbnh tr\u00ecnh t\u1ef1 v\u00e0 th\u1ee7 t\u1ee5c thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i SGDCK, TTGDCK.<\/span><\/p>\n

\u0110i\u1ec1u 33. Thanh to\u00e1n giao d\u1ecbch c\u1ee7a th\u00e0nh vi\u00ean<\/span><\/b><\/span><\/p>\n

1. C\u00e1c th\u00e0nh vi\u00ean c\u1ee7a TTLKCK ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n thanh to\u00e1n b\u00f9 tr\u1eeb t\u1ea1i Ng\u00e2n h\u00e0ng thanh to\u00e1n \u0111\u1ec3 thanh to\u00e1n ti\u1ec1n cho c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo nguy\u00ean t\u1eafc giao d\u1ecbch ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft t\u00e1ch bi\u1ec7t v\u1edbi giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang ch\u01b0a ni\u00eam y\u1ebft.<\/span><\/p>\n

2. Tr\u01b0\u1eddng h\u1ee3p kh\u00e1ch h\u00e0ng m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00fd l\u00e0 ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i v\u00e0 \u0111\u1eb7t l\u1ec7nh giao d\u1ecbch qua c\u00f4ng ty ch\u1ee9ng kho\u00e1n, vi\u1ec7c thanh to\u00e1n giao d\u1ecbch s\u1ebd do ng\u00e2n h\u00e0ng l\u01b0u k\u00fd th\u1ef1c hi\u1ec7n.<\/span><\/p>\n

3. Tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean l\u01b0u k\u00fd kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u00fang c\u00e1c nguy\u00ean t\u1eafc v\u1ec1 qu\u1ea3n l\u00fd v\u00e0 thanh to\u00e1n giao d\u1ecbch theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt d\u1eabn \u0111\u1ebfn vi\u1ec7c thi\u1ebfu ti\u1ec1n ho\u1eb7c ch\u1ee9ng kho\u00e1n \u0111\u1ec3 thanh to\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 ngh\u0129a v\u1ee5 th\u1ef1c hi\u1ec7n thanh to\u00e1n giao d\u1ecbch \u0111\u00f3 thay cho kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

\u0110i\u1ec1u 34. \u0110\u1ed1i chi\u1ebfu v\u00e0 x\u00e1c nh\u1eadn giao d\u1ecbch<\/span><\/b><\/span><\/p>\n

1. Sau khi nh\u1eadn k\u1ebft qu\u1ea3 giao d\u1ecbch t\u1eeb TTGDCK, SGDCK, TTLKCK c\u00f3 tr\u00e1ch nhi\u1ec7m th\u00f4ng b\u00e1o k\u1ebft qu\u1ea3 giao d\u1ecbch cho c\u00e1c th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 tr\u00e1ch nhi\u1ec7m \u0111\u1ed1i chi\u1ebfu chi ti\u1ebft giao d\u1ecbch gi\u1eefa l\u1ec7nh g\u1ed1c \u0111\u01b0\u1ee3c l\u01b0u gi\u1eef t\u1ea1i th\u00e0nh vi\u00ean v\u1edbi th\u00f4ng b\u00e1o k\u1ebft qu\u1ea3 giao d\u1ecbch c\u1ee7a TTLKCK v\u00e0 x\u00e1c nh\u1eadn l\u1ea1i v\u1edbi TTLKCK.\u00a0<\/span><\/p>\n

\u0110i\u1ec1u 35. S\u1eeda l\u1ed7i sau giao d\u1ecbch \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft<\/span><\/b><\/span><\/p>\n

1. TTLKCK th\u1ef1c hi\u1ec7n s\u1eeda l\u1ed7i sau giao d\u1ecbch trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p sau:<\/span><\/p>\n

a. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u1eb7t nh\u1ea7m, sai l\u1ec7nh c\u1ee7a kh\u00e1ch h\u00e0ng nh\u01b0: sai s\u1ed1 t\u00e0i kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng, sai ch\u1ee9ng kho\u00e1n, sai m\u1ee9c gi\u00e1, th\u1eeba l\u1ec7nh, nh\u1ea7m l\u1ec7nh mua th\u00e0nh l\u1ec7nh b\u00e1n v\u00e0 ng\u01b0\u1ee3c l\u1ea1i, sai s\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n, sai ng\u00e0y thanh to\u00e1n v\u00e0 ph\u01b0\u01a1ng th\u1ee9c thanh to\u00e1n.<\/span><\/p>\n

b. Th\u00e0nh vi\u00ean c\u1ee7a TTLKCK kh\u00f4ng ki\u1ec3m so\u00e1t \u0111\u01b0\u1ee3c t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 theo quy \u0111\u1ecbnh d\u1eabn \u0111\u1ebfn thi\u1ebfu ch\u1ee9ng kho\u00e1n ho\u1eb7c ti\u1ec1n \u0111\u1ec3 thanh to\u00e1n giao d\u1ecbch.<\/span><\/p>\n

2. Vi\u1ec7c s\u1eeda l\u1ed7i sau giao d\u1ecbch \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc:<\/span><\/p>\n

a. Tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean l\u01b0u k\u00fd s\u1eeda l\u1ed7i c\u00f3 t\u00e0i kho\u1ea3n t\u1ef1 doanh: l\u1ec7nh giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng s\u1ebd \u0111\u01b0\u1ee3c TTLKCK \u0111i\u1ec1u ch\u1ec9nh th\u00e0nh l\u1ec7nh giao d\u1ecbch t\u1ef1 doanh c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

b. Tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean l\u01b0u k\u00fd s\u1eeda l\u1ed7i kh\u00f4ng c\u00f3 t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch t\u1ef1 doanh, TTLKCK s\u1ebd m\u1edf t\u00e0i kho\u1ea3n h\u1ed7 tr\u1ee3 s\u1eeda l\u1ed7i cho th\u00e0nh vi\u00ean l\u01b0u k\u00fd \u0111\u1ec3 h\u1ea1ch to\u00e1n t\u1ea1m th\u1eddi s\u1ed1 ch\u1ee9ng kho\u00e1n m\u00e0 th\u00e0nh vi\u00ean l\u01b0u k\u00fd \u0111\u01b0\u1ee3c nh\u1eadn ho\u1eb7c ph\u1ea3i tr\u1ea3 do ph\u1ea3i th\u1ef1c hi\u1ec7n s\u1eeda l\u1ed7i. C\u01a1 ch\u1ebf th\u1ef1c hi\u1ec7n nh\u01b0 sau:<\/span><\/p>\n

– Khi \u0111\u01b0\u1ee3c nh\u1eadn ch\u1ee9ng kho\u00e1n t\u1eeb vi\u1ec7c s\u1eeda l\u1ed7i, th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u00e0y ph\u1ea3i c\u00f3 ngh\u0129a v\u1ee5 b\u00e1n ngay s\u1ed1 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c nh\u1eadn v\u1ec1 tr\u00ean t\u00e0i kho\u1ea3n h\u1ed7 tr\u1ee3 s\u1eeda l\u1ed7i v\u00e0o phi\u00ean giao d\u1ecbch g\u1ea7n nh\u1ea5t \u0111\u1ec3 TTLKCK t\u1ea5t to\u00e1n t\u00e0i kho\u1ea3n.<\/span><\/p>\n

– Khi ph\u1ea3i h\u00f2an tr\u1ea3 ch\u1ee9ng kho\u00e1n vay\/nh\u1eadn h\u1ed7 tr\u1ee3 t\u1eeb b\u00ean cho vay\/h\u1ed7 tr\u1ee3, th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u00e0y \u0111\u01b0\u1ee3c ph\u00e9p duy tr\u00ec t\u00e0i kho\u1ea3n h\u1ed7 tr\u1ee3 s\u1eeda l\u1ed7i cho \u0111\u1ebfn khi h\u00f2an t\u1ea5t ngh\u0129a v\u1ee5 \u0111\u1ed1i v\u1edbi b\u00ean cho vay\/h\u1ed7 tr\u1ee3 ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

3. \u0110\u1ed1i v\u1edbi c\u00e1c l\u1ed7i kh\u00f4ng thu\u1ed9c c\u00e1c tr\u01b0\u1eddng h\u1ee3p n\u00eau t\u1ea1i Kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y, Gi\u00e1m \u0111\u1ed1c TTLKCK c\u00f3 th\u1ea9m quy\u1ec1n xem x\u00e9t, x\u1eed l\u00fd sau khi c\u00f3 \u00fd ki\u1ebfn ch\u1ea5p thu\u1eadn c\u1ee7a UBCKNN.<\/span><\/p>\n

4. TTLKCK quy \u0111\u1ecbnh h\u1ed3 s\u01a1, tr\u00ecnh t\u1ef1, th\u1ee7 t\u1ee5c s\u1eeda l\u1ed7i sau giao d\u1ecbch ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft.<\/span><\/p>\n

\u0110i\u1ec1u 36. Tr\u00e1ch nhi\u1ec7m c\u1ee7a c\u00e1c b\u00ean li\u00ean quan trong vi\u1ec7c s\u1eeda l\u1ed7i sau giao d\u1ecbch<\/span><\/b><\/span><\/p>\n

1. C\u00e1c b\u00ean tham gia giao d\u1ecbch ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m \u0111\u1ed1i v\u1edbi l\u1ed7i do m\u00ecnh g\u00e2y ra trong ph\u1ea1m vi quy\u1ec1n h\u1ea1n v\u00e0 tr\u00e1ch nhi\u1ec7m c\u1ee7a m\u00ecnh. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ch\u1ecbu tr\u00e1ch nhi\u1ec7m trong ph\u1ea1m vi quy\u1ec1n h\u1ea1n v\u00e0 tr\u00e1ch nhi\u1ec7m c\u1ee7a m\u00ecnh \u0111\u1ed1i v\u1edbi l\u1ed7i sau giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

2. Tr\u01b0\u1eddng h\u1ee3p l\u1ed7i c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n d\u1eabn \u0111\u1ebfn vi\u1ec7c kh\u00e1ch h\u00e0ng c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd l\u00e0 ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i thi\u1ebfu ch\u1ee9ng kho\u00e1n \u0111\u1ec3 thanh to\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i \u0111\u01b0\u1ee3c ph\u00e9p t\u1eeb ch\u1ed1i thanh to\u00e1n giao d\u1ecbch. Tr\u01b0\u1eddng h\u1ee3p n\u00e0y th\u00e0nh vi\u00ean l\u01b0u k\u00fd l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m thanh to\u00e1n giao d\u1ecbch l\u1ed7i.<\/span><\/p>\n

3. Tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng c\u00f3 \u0111\u1ee7 ch\u1ee9ng kho\u00e1n trong t\u00e0i kho\u1ea3n \u0111\u1ec3 thanh to\u00e1n giao d\u1ecbch, th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 th\u1ec3 vay\/nh\u1eadn h\u1ed7 tr\u1ee3 ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 1 \u0110i\u1ec1u\u00a0 39 c\u1ee7a Quy ch\u1ebf n\u00e0y.<\/span><\/p>\n

4. Vi\u1ec7c h\u00f2an tr\u1ea3 ch\u1ee9ng kho\u00e1n vay\/nh\u1eadn h\u1ed7 tr\u1ee3 c\u00f3 th\u1ec3 th\u1ef1c hi\u1ec7n b\u1eb1ng ch\u1ee9ng kho\u00e1n ho\u1eb7c ti\u1ec1n theo tho\u1ea3 thu\u1eadn gi\u1eefa th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u1edbi b\u00ean cho vay\/h\u1ed7 tr\u1ee3 ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

5. TTLKCK quy \u0111\u1ecbnh vi\u1ec7c cho vay\/h\u1ed7 tr\u1ee3 v\u00e0 h\u00f2an tr\u1ea3 ch\u1ee9ng kho\u00e1n s\u1eeda l\u1ed7i gi\u1eefa c\u00e1c b\u00ean.<\/span><\/p>\n

\u0110i\u1ec1u 37. C\u00e1c bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c t\u00ecnh tr\u1ea1ng m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft<\/span><\/b><\/span><\/p>\n

1. Th\u00e0nh vi\u00ean c\u1ee7a TTLKCK ch\u1ecbu tr\u00e1ch nhi\u1ec7m kh\u1eafc ph\u1ee5c t\u00ecnh tr\u1ea1ng m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a m\u00ecnh.<\/span><\/p>\n

2. Tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean c\u1ee7a TTLKCK kh\u00f4ng t\u1ef1 kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c t\u00ecnh tr\u1ea1ng m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n, TTLKCK \u00e1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p sau \u0111\u00e2y:<\/span><\/p>\n

a. \u0110\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p thi\u1ebfu ti\u1ec1n: s\u1eed d\u1ee5ng Qu\u1ef9 H\u1ed7 tr\u1ee3 thanh to\u00e1n ho\u1eb7c \u0111\u1ec1 ngh\u1ecb Ng\u00e2n h\u00e0ng thanh to\u00e1n cho vay.<\/span><\/p>\n

b. \u0110\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p thi\u1ebfu ch\u1ee9ng kho\u00e1n: y\u00eau c\u1ea7u th\u00e0nh vi\u00ean thi\u1ebfu h\u1ee5t vay ch\u1ee9ng kho\u00e1n ho\u1eb7c \u0111\u1ec1 ngh\u1ecb th\u00e0nh vi\u00ean kh\u00e1c cho vay.<\/span><\/p>\n

3. TTLKCK quy \u0111\u1ecbnh tr\u00ecnh t\u1ef1, th\u1ee7 t\u1ee5c kh\u1eafc ph\u1ee5c t\u00ecnh tr\u1ea1ng m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

\u0110i\u1ec1u 38. Kh\u1eafc ph\u1ee5c m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n ti\u1ec1n<\/span><\/b><\/span><\/p>\n

1. Th\u00e0nh vi\u00ean c\u1ee7a TTLKCK m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n ti\u1ec1n \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng c\u01a1 ch\u1ebf Qu\u1ef9 h\u1ed7 tr\u1ee3 thanh to\u00e1n ho\u1eb7c nh\u1eadn ti\u1ec1n vay c\u1ee7a Ng\u00e2n h\u00e0ng thanh to\u00e1n theo nguy\u00ean t\u1eafc sau:<\/span><\/span><\/p>\n

a. \u0110\u1ed1i v\u1edbi th\u00e0nh vi\u00ean l\u01b0u k\u00fd: \u00e1p d\u1ee5ng \u0111\u1ed3ng th\u1eddi hai c\u01a1 ch\u1ebf h\u1ed7 tr\u1ee3 thanh to\u00e1n ti\u1ec1n l\u00e0 s\u1eed d\u1ee5ng Qu\u1ef9 h\u1ed7 tr\u1ee3 thanh to\u00e1n v\u00e0 nh\u1eadn h\u1ed7 tr\u1ee3 ti\u1ec1n vay c\u1ee7a Ng\u00e2n h\u00e0ng thanh to\u00e1n. Tu\u1ef3 theo gi\u00e1 tr\u1ecb th\u1ef1c t\u1ebf c\u1ee7a Qu\u1ef9 H\u1ed7 tr\u1ee3 thanh to\u00e1n, TTLKCK quy \u0111\u1ecbnh m\u1ee9c tr\u1ea7n s\u1eed d\u1ee5ng trong t\u1eebng tr\u01b0\u1eddng h\u1ee3p c\u1ea7n h\u1ed7 tr\u1ee3 trong thanh to\u00e1n.<\/span><\/span><\/p>\n

b. \u0110\u1ed1i v\u1edbi th\u00e0nh vi\u00ean m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp: \u00e1p d\u1ee5ng c\u01a1 ch\u1ebf nh\u1eadn h\u1ed7 tr\u1ee3 ti\u1ec1n vay t\u1eeb Ng\u00e2n h\u00e0ng thanh to\u00e1n.<\/span><\/p>\n

2. TTLKCK quy \u0111\u1ecbnh vi\u1ec7c l\u1eadp, qu\u1ea3n l\u00fd v\u00e0 s\u1eed d\u1ee5ng Qu\u1ef9 h\u1ed7 tr\u1ee3 thanh to\u00e1n sau khi \u0111\u01b0\u1ee3c UBCKNN ch\u1ea5p thu\u1eadn.<\/span><\/span><\/p>\n

3. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i k\u00fd tho\u1ea3 thu\u1eadn h\u1ed7 tr\u1ee3 ti\u1ec1n thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u1edbi Ng\u00e2n h\u00e0ng thanh to\u00e1n. Tho\u1ea3 thu\u1eadn h\u1ed7 tr\u1ee3 ti\u1ec1n thanh to\u00e1n giao d\u1ecbch g\u1ed3m c\u00e1c n\u1ed9i dung ch\u00ednh sau:<\/span><\/p>\n

a. L\u00e3i su\u1ea5t vay theo nguy\u00ean t\u1eafc kh\u00f4ng v\u01b0\u1ee3t qu\u00e1 l\u00e3i su\u1ea5t s\u1eed d\u1ee5ng Qu\u1ef9 h\u1ed7 tr\u1ee3 thanh to\u00e1n.<\/span><\/p>\n

b. Th\u1eddi h\u1ea1n vay.<\/span><\/p>\n

c. Ph\u01b0\u01a1ng th\u1ee9c \u0111\u1ea3m b\u1ea3o h\u00f2an tr\u1ea3 kho\u1ea3n vay ph\u00f9 h\u1ee3p v\u1edbi c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

4. Th\u00e0nh vi\u00ean m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n ti\u1ec1n ph\u1ea3i ch\u1ecbu m\u1ecdi chi ph\u00ed, t\u1ed5n th\u1ea5t ph\u00e1t sinh v\u00e0 ch\u1ecbu x\u1eed ph\u1ea1t theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt. \u00a0\u00a0\u00a0\u00a0<\/span><\/p>\n

\u0110i\u1ec1u 39. Kh\u1eafc ph\u1ee5c m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n ch\u1ee9ng kho\u00e1n<\/span><\/b><\/span><\/p>\n

1. Tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng \u0111\u1ee7 ch\u1ee9ng kho\u00e1n \u0111\u1ec3 thanh to\u00e1n giao d\u1ecbch, th\u00e0nh vi\u00ean c\u1ee7a TTLKCK c\u00f3 th\u1ec3 vay ho\u1eb7c nh\u1eadn h\u1ed7 tr\u1ee3 ch\u1ee9ng kho\u00e1n t\u1eeb c\u00e1c ngu\u1ed3n sau \u0111\u00e2y \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o th\u1eddi h\u1ea1n thanh to\u00e1n theo \u0111\u00fang quy \u0111\u1ecbnh:<\/span><\/p>\n

a. Th\u00e0nh vi\u00ean kh\u00e1c c\u1ee7a TTLKCK.<\/span><\/p>\n

b. Kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

c. C\u00e1c ngu\u1ed3n h\u1ee3p ph\u00e1p kh\u00e1c.<\/span><\/p>\n

2. TTLKCK quy \u0111\u1ecbnh tr\u00ecnh t\u1ef1, th\u1ee7 t\u1ee5c vay, nh\u1eadn h\u1ed7 tr\u1ee3 ch\u1ee9ng kho\u00e1n \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o ngh\u0129a v\u1ee5 thanh to\u00e1n giao d\u1ecbch.<\/span><\/p>\n

\u0110i\u1ec1u 40. Hu\u1ef7 thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft<\/span><\/b><\/span><\/p>\n

1. Tr\u01b0\u1eddng h\u1ee3p 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. TTLKCK c\u00f3 quy\u1ec1n hu\u1ef7 thanh to\u00e1n \u0111\u1ed1i v\u1edbi c\u00e1c giao d\u1ecbch \u0111\u00f3.<\/span><\/span><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 giao d\u1ecbch b\u1ecb hu\u1ef7 thanh to\u00e1n ph\u1ea3i ch\u1ecbu h\u00f2an to\u00e0n tr\u00e1ch nh\u1ec7m \u0111\u1ed1i v\u1edbi c\u00e1c t\u1ed5n th\u1ea5t ph\u00e1t sinh cho kh\u00e1ch h\u00e0ng v\u00e0 c\u00e1c th\u00e0nh vi\u00ean c\u00f3 li\u00ean quan do giao d\u1ecbch kh\u00f4ng \u0111\u01b0\u1ee3c thanh to\u00e1n.<\/span><\/span><\/p>\n

3. TTLKCK c\u00f3 tr\u00e1ch nhi\u1ec7m th\u00f4ng b\u00e1o cho SGDCK, TTGDCK c\u00e1c giao d\u1ecbch b\u1ecb hu\u1ef7 thanh to\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin.<\/span><\/p>\n

\u0110i\u1ec1u 41. X\u1eed l\u00fd l\u1ed7i giao d\u1ecbch \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang ch\u01b0a ni\u00eam y\u1ebft<\/span><\/b><\/span><\/p>\n

1. Khi ph\u00e1t hi\u1ec7n l\u1ed7i sau giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang ch\u01b0a ni\u00eam y\u1ebft, TTLKCK \u0111\u01b0\u1ee3c quy\u1ec1n hu\u1ef7 thanh to\u00e1n c\u00e1c giao d\u1ecbch l\u1ed7i.<\/span><\/p>\n

2. \u0110\u1ed1i v\u1edbi c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n 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, ch\u1ee9ng kho\u00e1n \u0111\u1ec3 thanh to\u00e1n, TTLKCK 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 TTLKCK.<\/span><\/span><\/p>\n

3. Th\u00e0nh vi\u00ean\u00a0 b\u1ecb hu\u1ef7 b\u1ecf giao d\u1ecbch l\u1ed7i ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 c\u00e1c thi\u1ec7t h\u1ea1i c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0 th\u00e0nh vi\u00ean kh\u00e1c do vi\u1ec7c TTLKCK lo\u1ea1i b\u1ecf giao d\u1ecbch quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 1, 2 \u0110i\u1ec1u n\u00e0y.<\/span><\/p>\n

4. TTLKCK quy \u0111\u1ecbnh tr\u00ecnh t\u1ef1, th\u1ee7 t\u1ee5c x\u1eed l\u00fd l\u1ed7i sau giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u00f4ng ty \u0111\u1ea1i ch\u00fang ch\u01b0a ni\u00eam y\u1ebft.<\/span><\/p>\n

Ch\u01b0\u01a1ng 7:<\/span><\/b><\/span><\/p>\n

NG\u00c2N H\u00c0NG THANH TO\u00c1N<\/span><\/b><\/span><\/p>\n

\u0110i\u1ec1u 42. \u0110i\u1ec1u ki\u1ec7n \u0111\u1ed1i v\u1edbi Ng\u00e2n h\u00e0ng thanh to\u00e1n<\/span><\/b><\/span><\/p>\n

1. L\u00e0 ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i Vi\u1ec7t Nam.<\/span><\/p>\n

2. C\u00f3 v\u1ed1n \u0111i\u1ec1u l\u1ec7 th\u1ef1c g\u00f3p tr\u00ean 3.000 t\u1ef7 \u0111\u1ed3ng.<\/span><\/span><\/p>\n

3. C\u00f3 k\u1ebft qu\u1ea3 ho\u1ea1t \u0111\u1ed9ng kinh doanh c\u00f3 l\u00e3i trong v\u00f2ng 2 n\u0103m g\u1ea7n nh\u1ea5t.<\/span><\/p>\n

4. C\u00f3 h\u1ec7 s\u1ed1 r\u1ee7i ro t\u00edn d\u1ee5ng trong m\u1ee9c an to\u00e0n theo ti\u00eau chu\u1ea9n c\u1ee7a Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc.<\/span><\/p>\n

5. C\u00f3 h\u1ec7 th\u1ed1ng c\u01a1 s\u1edf v\u1eadt ch\u1ea5t k\u0129 thu\u1eadt \u0111\u1ea3m b\u1ea3o th\u1ef1c hi\u1ec7n thanh to\u00e1n giao d\u1ecbch v\u00e0 k\u1ebft n\u1ed1i \u0111\u01b0\u1ee3c v\u1edbi TTLKCK.<\/span><\/p>\n

6. C\u00f3 cam k\u1ebft v\u1edbi UBCKNN v\u1ec1 vi\u1ec7c cho vay thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n.<\/span><\/p>\n

\u0110i\u1ec1u 43. H\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd l\u00e0m Ng\u00e2n h\u00e0ng thanh to\u00e1n<\/span><\/b><\/span><\/p>\n

H\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd l\u00e0m Ng\u00e2n h\u00e0ng thanh to\u00e1n n\u1ed9p cho UBCKNN bao g\u1ed3m:<\/span><\/p>\n

1. Gi\u1ea5y \u0111\u0103ng k\u00fd l\u00e0m Ng\u00e2n h\u00e0ng thanh to\u00e1n.<\/span><\/p>\n

2. B\u1ea3n cung c\u1ea5p th\u00f4ng tin v\u1ec1 Ng\u00e2n h\u00e0ng, trong \u0111\u00f3 n\u00eau r\u00f5 kh\u1ea3 n\u0103ng \u0111\u00e1p \u1ee9ng c\u00e1c ti\u00eau ch\u00ed theo y\u00eau c\u1ea7u t\u1ea1i \u0110i\u1ec1u 42 c\u1ee7a Quy ch\u1ebf n\u00e0y.<\/span><\/p>\n

3. B\u1ea3n sao Quy\u1ebft \u0111\u1ecbnh th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a Ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i.<\/span><\/p>\n

4. B\u1ea3n cam k\u1ebft v\u1edbi UBCKNN v\u1ec1 vi\u1ec7c cho vay thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean l\u01b0u k\u00fd m\u1ea5t kh\u1ea3 n\u0103ng thanh to\u00e1n.<\/span><\/p>\n

5. C\u00e1c t\u00e0i li\u1ec7u kh\u00e1c li\u00ean quan.<\/span><\/p>\n

\u0110i\u1ec1u 44. Th\u1ee7 t\u1ee5c ch\u1ea5p thu\u1eadn Ng\u00e2n h\u00e0ng thanh to\u00e1n<\/span><\/b><\/span><\/p>\n

Trong v\u00f2ng m\u01b0\u1eddi l\u0103m (15) ng\u00e0y k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c b\u1ed9 h\u1ed3 s\u01a1 \u0111\u1ea7y \u0111\u1ee7 v\u00e0 h\u1ee3p l\u1ec7, UBCKNN quy\u1ebft \u0111\u1ecbnh ch\u1ea5p thu\u1eadn ho\u1eb7c t\u1eeb ch\u1ed1i \u0111\u0103ng k\u00fd l\u00e0m Ng\u00e2n h\u00e0ng thanh to\u00e1n. Tr\u01b0\u1eddng h\u1ee3p t\u1eeb ch\u1ed1i, UBCKNN ph\u1ea3i c\u00f3 v\u0103n b\u1ea3n n\u00eau r\u00f5 l\u00fd do.<\/span><\/p>\n

\u0110i\u1ec1u 45. Hu\u1ef7 b\u1ecf t\u01b0 c\u00e1ch Ng\u00e2n h\u00e0ng thanh to\u00e1n<\/span><\/b><\/span><\/p>\n

1. Tr\u01b0\u1eddng h\u1ee3p Ng\u00e2n h\u00e0ng thanh to\u00e1n kh\u00f4ng duy tr\u00ec \u0111\u01b0\u1ee3c c\u00e1c \u0111i\u1ec1u ki\u1ec7n\u00a0 t\u1ea1i \u0110i\u1ec1u 42 c\u1ee7a Quy ch\u1ebf n\u00e0y v\u1ec1 \u0111\u1ea3m b\u1ea3o thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n ho\u1eb7c trong tr\u01b0\u1eddng h\u1ee3p Ng\u00e2n h\u00e0ng thanh to\u00e1n kh\u00f4ng kh\u00f4i ph\u1ee5c \u0111\u01b0\u1ee3c c\u00e1c \u0111i\u1ec1u ki\u1ec7n \u0111\u1ed1i v\u1edbi Ng\u00e2n h\u00e0ng thanh to\u00e1n theo th\u1eddi h\u1ea1n do UBCKNN quy \u0111\u1ecbnh, UBCKNN c\u00f3 quy\u1ec1n hu\u1ef7 b\u1ecf t\u01b0 c\u00e1ch Ng\u00e2n h\u00e0ng thanh to\u00e1n v\u00e0 l\u1ef1a ch\u1ecdn ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i m\u1edbi \u0111\u00e1p \u1ee9ng \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n l\u00e0m Ng\u00e2n h\u00e0ng thanh to\u00e1n .<\/span><\/p>\n

2. Ng\u00e2n h\u00e0ng thanh to\u00e1n b\u1ecb hu\u1ef7 b\u1ecf t\u01b0 c\u00e1ch ph\u1ea3i h\u00f2an t\u1ea5t c\u00e1c ngh\u0129a v\u1ee5 li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng thanh to\u00e1n ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi kh\u00e1ch h\u00e0ng.<\/span><\/p>\n

\u0110i\u1ec1u 46. Quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a Ng\u00e2n h\u00e0ng thanh to\u00e1n<\/span><\/b><\/span><\/p>\n

1. Quy\u1ec1n c\u1ee7a Ng\u00e2n h\u00e0ng thanh to\u00e1n:<\/span><\/p>\n

a. Ch\u1ec9 \u0111\u1ecbnh h\u1ed9i s\u1edf ch\u00ednh ho\u1eb7c chi nh\u00e1nh l\u00e0m \u0111\u1ea7u m\u1ed1i t\u1ed5 ch\u1ee9c thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

b. \u0110\u1ec1 ngh\u1ecb TTLKCK, c\u00e1c th\u00e0nh vi\u00ean c\u1ee7a TTLKCK tu\u00e2n th\u1ee7 c\u00e1c cam k\u1ebft v\u1ec1 thanh to\u00e1n gi\u1eefa c\u00e1c b\u00ean v\u00e0 cung c\u1ea5p c\u00e1c th\u00f4ng tin c\u1ea7n thi\u1ebft \u0111\u1ec3 th\u1ef1c hi\u1ec7n thanh to\u00e1n giao d\u1ecbch.<\/span><\/p>\n

c. \u0110\u01b0\u1ee3c thu ph\u00ed cung c\u1ea5p d\u1ecbch v\u1ee5 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/p>\n

2. Ngh\u0129a v\u1ee5 c\u1ee7a Ng\u00e2n h\u00e0ng thanh to\u00e1n:<\/span><\/p>\n

a. Thanh to\u00e1n \u0111\u1ea7y \u0111\u1ee7 v\u00e0 \u0111\u00fang h\u1ea1n cho c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u00e3 th\u1ef1c hi\u1ec7n tr\u00ean SGDCK, TTGDCK.<\/span><\/p>\n

b. H\u1ed7 tr\u1ee3 ti\u1ec1n cho c\u00e1c th\u00e0nh vi\u00ean c\u1ee7a TTLKCK khi thi\u1ebfu ti\u1ec1n thanh to\u00e1n giao d\u1ecbch theo quy \u0111\u1ecbnh.<\/span><\/p>\n

c. K\u00fd k\u1ebft h\u1ee3p \u0111\u1ed3ng theo nguy\u00ean t\u1eafc \u0111\u1ea3m b\u1ea3o cho th\u00e0nh vi\u00ean vay khi thi\u1ebfu ti\u1ec1n thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n. C\u00e1c \u0111i\u1ec1u kho\u1ea3n c\u1ee7a h\u1ee3p \u0111\u1ed3ng ph\u1ea3i theo nguy\u00ean t\u1eafc cho vay t\u00edn d\u1ee5ng, \u0111\u1ea3m b\u1ea3o t\u00ednh c\u00f4ng b\u1eb1ng gi\u1eefa c\u00e1c th\u00e0nh vi\u00ean.<\/span><\/p>\n

d. Tu\u00e2n th\u1ee7 ch\u1ebf \u0111\u1ed9 th\u00f4ng tin, b\u00e1o c\u00e1o v\u00e0 b\u1ea3o m\u1eadt th\u00f4ng tin theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh.<\/span><\/p>\n

e. \u0110\u1ea3m b\u1ea3o c\u01a1 s\u1edf v\u1eadt ch\u1ea5t k\u1ef9 thu\u1eadt v\u00e0 nh\u00e2n l\u1ef1c c\u1ea7n thi\u1ebft ph\u1ee5c v\u1ee5 vi\u1ec7c thanh to\u00e1n b\u1eb1ng ti\u1ec1n cho c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

Ch\u01b0\u01a1ng 8:<\/span><\/b><\/span><\/p>\n

QUY\u1ec0N V\u00c0 NGH\u0128A V\u1ee4 C\u1ee6A C\u00c1C B\u00caN LI\u00caN QUAN<\/span><\/b><\/span><\/p>\n

\u0110i\u1ec1u 47. Quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh<\/span><\/b><\/span><\/p>\n

1. Tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u00e0 c\u00e1c quy ch\u1ebf v\u1ec1 \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ef1c hi\u1ec7n quy\u1ec1n \u0111\u1ed1i v\u1edbi ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd c\u1ee7a TTLKCK.<\/span><\/p>\n

2. U\u1ef7 quy\u1ec1n cho TTLKCK th\u1ef1c hi\u1ec7n c\u00e1c c\u00f4ng vi\u1ec7c v\u1ec1 qu\u1ea3n l\u00fd th\u00f4ng tin ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ef1c hi\u1ec7n quy\u1ec1n \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd.<\/span><\/p>\n

3. Cung c\u1ea5p cho TTLKCK nh\u1eefng th\u00f4ng tin ho\u1eb7c c\u00e1c t\u00e0i li\u1ec7u c\u1ea7n thi\u1ebft k\u1ecbp th\u1eddi v\u00e0 ch\u00ednh x\u00e1c \u0111\u1ec3 th\u1ef1c hi\u1ec7n vi\u1ec7c \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ef1c hi\u1ec7n quy\u1ec1n theo quy \u0111\u1ecbnh ho\u1eb7c khi TTLKCK c\u00f3 y\u00eau c\u1ea7u b\u1eb1ng v\u0103n b\u1ea3n; ch\u1ecbu tr\u00e1ch nhi\u1ec7m h\u00f2an to\u00e0n v\u1ec1 c\u00e1c n\u1ed9i dung th\u00f4ng tin \u0111\u00e3 cung c\u1ea5p v\u1edbi TTLKCK.<\/span><\/p>\n

4. Ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 c\u00e1c thi\u1ec7t h\u1ea1i g\u00e2y ra cho TTLKCK v\u00e0 ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p b\u1ea5t kh\u1ea3 kh\u00e1ng.<\/span><\/p>\n

5. N\u1ed9p ph\u00ed s\u1eed d\u1ee5ng d\u1ecbch v\u1ee5\u00a0 do TTLKCK cung c\u1ea5p theo quy \u0111\u1ecbnh c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh.<\/span><\/p>\n

6. C\u00e1c quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 kh\u00e1c theo quy \u0111\u1ecbnh c\u1ee7a TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 48. Quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a th\u00e0nh vi\u00ean c\u1ee7a TTLKCK<\/span><\/b><\/span><\/p>\n

1. Tu\u00e2n th\u1ee7 c\u00e1c quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 2,3 \u0110i\u1ec1u 47 c\u1ee7a Lu\u1eadt ch\u1ee9ng kho\u00e1n;<\/span><\/p>\n

2. C\u00e1c quy\u1ec1n, ngh\u0129a v\u1ee5 kh\u00e1c theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u00e0 theo quy ch\u1ebf c\u1ee7a TTLKCK.<\/span><\/p>\n

\u0110i\u1ec1u 49. Quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a TTLKCK<\/span><\/b><\/span><\/p>\n

TTLKCK c\u00f3 c\u00e1c quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 theo quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 45 v\u00e0 46 c\u1ee7a Lu\u1eadt ch\u1ee9ng kho\u00e1n.<\/span><\/p>\n

Ch\u01b0\u01a1ng 9:<\/span><\/b><\/span><\/p>\n

CH\u1ebe \u0110\u1ed8 B\u00c1O C\u00c1O<\/span><\/b><\/span><\/p>\n

\u0110i\u1ec1u 50. B\u00e1o c\u00e1o \u0111\u1ecbnh k\u1ef3<\/span><\/b><\/span><\/p>\n

1. \u0110\u1ecbnh k\u1ef3 h\u00e0ng th\u00e1ng TTLKCK ph\u1ea3i g\u1eedi b\u00e1o c\u00e1o ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a TTLKCK, b\u00e1o c\u00e1o t\u00ecnh h\u00ecnh s\u1edf h\u1eefu c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i cho UBCKNN theo n\u1ed9i dung quy \u0111\u1ecbnh t\u1ea1i Ph\u1ee5 l\u1ee5c\u00a005, 06, 07, 08, 09,10,11,12\/LK\u00a0<\/i>k\u00e8m theo Quy ch\u1ebf n\u00e0y.<\/span><\/p>\n

2. \u0110\u1ecbnh k\u1ef3 h\u00e0ng th\u00e1ng c\u00e1c th\u00e0nh vi\u00ean c\u1ee7a TTLKCK ph\u1ea3i g\u1eedi b\u00e1o c\u00e1o ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n cho TTLKCK theo n\u1ed9i dung quy \u0111\u1ecbnh t\u1ea1i Quy ch\u1ebf h\u01b0\u1edbng d\u1eabn nghi\u1ec7p v\u1ee5 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n c\u1ee7a TTLKCK.<\/span><\/p>\n

3. \u0110\u1ecbnh k\u1ef3 h\u00e0ng th\u00e1ng, h\u00e0ng qu\u00fd, h\u00e0ng n\u0103m, Ng\u00e2n h\u00e0ng thanh to\u00e1n ph\u1ea3i b\u00e1o c\u00e1o\u00a0 UBCKNN v\u1ec1 ho\u1ea1t \u0111\u1ed9ng thanh to\u00e1n b\u00f9 tr\u1eeb c\u00e1c giao d\u1ecbch c\u1ee7a Ng\u00e2n h\u00e0ng thanh to\u00e1n theo n\u1ed9i dung quy \u0111\u1ecbnh t\u1ea1i\u00a0Ph\u1ee5 l\u1ee5c 13\/LK\u00a0<\/b><\/i>k\u00e8m theo Quy ch\u1ebf n\u00e0y.<\/span><\/p>\n

4. Th\u1eddi h\u1ea1n b\u00e1o c\u00e1o \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh nh\u01b0 sau:<\/span><\/p>\n

a. B\u00e1o c\u00e1o th\u00e1ng g\u1eedi UBCKNN trong v\u00f2ng m\u01b0\u1eddi (10) ng\u00e0y c\u1ee7a th\u00e1ng ti\u1ebfp theo.<\/span><\/p>\n

b. B\u00e1o c\u00e1o qu\u00fd g\u1eedi UBCKNN trong v\u00f2ng hai m\u01b0\u01a1i (20) ng\u00e0y c\u1ee7a th\u00e1ng \u0111\u1ea7u ti\u00ean trong qu\u00fd ti\u1ebfp theo.<\/span><\/p>\n

c. B\u00e1o c\u00e1o n\u0103m g\u1eedi UBCKNN trong v\u00f2ng ch\u00edn m\u01b0\u01a1i (90) ng\u00e0y \u0111\u1ea7u c\u1ee7a\u00a0 n\u0103m ti\u1ebfp theo.<\/span><\/p>\n

5. TTLKCK c\u00f3 ngh\u0129a v\u1ee5 b\u1ea3o m\u1eadt th\u00f4ng tin li\u00ean quan \u0111\u1ebfn t\u00e0i kho\u1ea3n c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

\u0110i\u1ec1u 51. B\u00e1o c\u00e1o b\u1ea5t th\u01b0\u1eddng<\/span><\/b><\/span><\/p>\n

1. TTLKCK ph\u1ea3i b\u00e1o c\u00e1o UBCKNN trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 24 gi\u1edd k\u1ec3 t\u1eeb khi x\u1ea3y ra c\u00e1c s\u1ef1 ki\u1ec7n sau \u0111\u00e2y:<\/span><\/p>\n

a. H\u1ed3 s\u01a1, t\u00e0i li\u1ec7u li\u00ean quan \u0111\u1ebfn 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 b\u1ecb th\u1ea5t l\u1ea1c.<\/span><\/p>\n

b. 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 b\u1ecb t\u00ea li\u1ec7t m\u1ed9t ph\u1ea7n hay to\u00e0n b\u1ed9.<\/span><\/p>\n

c. Ph\u00e1t hi\u1ec7n ch\u1ee9ng kho\u00e1n gi\u1ea3.<\/span><\/p>\n

2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd ph\u1ea3i b\u00e1o c\u00e1o UBCKNN trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 24 gi\u1edd k\u1ec3 t\u1eeb khi thay \u0111\u1ed5i th\u00e0nh vi\u00ean Ban Gi\u00e1m \u0111\u1ed1c ph\u1ee5 tr\u00e1ch ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/span><\/p>\n

3. Ng\u00e2n h\u00e0ng thanh to\u00e1n ph\u1ea3i b\u00e1o c\u00e1o UBCKNN v\u00e0 TTLKCK ngay l\u1eadp t\u1ee9c khi ho\u1ea1t \u0111\u1ed9ng thanh to\u00e1n ch\u1ee9ng kho\u00e1n b\u1ecb t\u00ea li\u1ec7t m\u1ed9t ph\u1ea7n hay to\u00e0n b\u1ed9.<\/span><\/p>\n

\u0110i\u1ec1u 52. B\u00e1o c\u00e1o theo y\u00eau c\u1ea7u<\/span><\/b><\/span><\/p>\n

1. Ngo\u00e0i c\u00e1c tr\u01b0\u1eddng h\u1ee3p b\u00e1o c\u00e1o \u0111\u1ecbnh k\u1ef3 v\u00e0 b\u1ea5t th\u01b0\u1eddng quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 50, 51 c\u1ee7a Quy ch\u1ebf n\u00e0y, trong nh\u1eefng tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft, nh\u1eb1m b\u1ea3o v\u1ec7 l\u1ee3i \u00edch chung v\u00e0 l\u1ee3i \u00edch c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0, UBCKNN c\u00f3 th\u1ec3 y\u00eau c\u1ea7u TTLKCK, c\u00e1c th\u00e0nh vi\u00ean l\u01b0u k\u00fd, Ng\u00e2n h\u00e0ng thanh to\u00e1n b\u00e1o c\u00e1o 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.<\/span><\/p>\n

2. TTLKCK, th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 Ng\u00e2n h\u00e0ng thanh to\u00e1n ph\u1ea3i b\u00e1o c\u00e1o UBCKNN trong th\u1eddi h\u1ea1n 48 gi\u1edd k\u1ec3 t\u1eeb khi nh\u1eadn \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u b\u00e1o c\u00e1o quy \u0111\u1ecbnh t\u1ea1i Kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y.<\/span><\/p>\n

Ch\u01b0\u01a1ng 10:<\/span><\/b><\/span><\/p>\n

THANH TRA GI\u00c1M S\u00c1T V\u00c0 X\u1eec L\u00dd VI PH\u1ea0M<\/span><\/b><\/span><\/p>\n

\u0110i\u1ec1u 53. Thanh tra, gi\u00e1m s\u00e1t<\/span><\/b><\/span><\/p>\n

1. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd, nh\u00e2n vi\u00ean li\u00ean quan c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 nh\u1eefng nh\u00e2n vi\u00ean li\u00ean quan ph\u1ea3i ch\u1ecbu s\u1ef1 gi\u00e1m s\u00e1t c\u1ee7a TTLKCK v\u00e0 ch\u1ecbu s\u1ef1 ki\u1ec3m tra, thanh tra c\u1ee7a UBCKNN ph\u00f9 h\u1ee3p v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh.<\/span><\/p>\n

2. TTLKCK, Ng\u00e2n h\u00e0ng thanh to\u00e1n ch\u1ecbu s\u1ef1 gi\u00e1m s\u00e1t, ki\u1ec3m tra, thanh tra c\u1ee7a\u00a0 UBCKNN ph\u00f9 h\u1ee3p v\u1edbi c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh.<\/span><\/p>\n

\u0110i\u1ec1u 54.\u00a0 X\u1eed l\u00fd vi ph\u1ea1m \u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean<\/span><\/b><\/span><\/p>\n

TTLKCK \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng c\u00e1c h\u00ecnh th\u1ee9c x\u1eed l\u00fd vi ph\u1ea1m sau \u0111\u00e2y \u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean t\u00f9y theo m\u1ee9c \u0111\u1ed9 vi ph\u1ea1m quy ch\u1ebf ho\u1ea1t \u0111\u1ed9ng nghi\u1ec7p v\u1ee5 c\u1ee7a TTLKCK:<\/span><\/p>\n

1. Nh\u1eafc nh\u1edf b\u1eb1ng v\u0103n b\u1ea3n<\/span><\/p>\n

2. C\u1ea3nh c\u00e1o v\u00e0 c\u00f4ng b\u1ed1 tr\u00ean trang th\u00f4ng tin \u0111i\u1ec7n t\u1eed c\u1ee7a TTLKCK<\/span><\/p>\n

3. T\u1ea1m th\u1eddi \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng<\/span><\/p>\n

3. Thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn th\u00e0nh vi\u00ean, Gi\u1ea5y ch\u1ee9ng nh\u1eadn chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd .<\/span><\/p>\n

\u0110i\u1ec1u 55. X\u1eed l\u00fd vi ph\u1ea1m<\/span><\/b><\/span><\/p>\n

C\u00e1c h\u00e0nh vi vi ph\u1ea1m c\u00e1c quy \u0111\u1ecbnh trong Quy ch\u1ebf n\u00e0y b\u1ecb x\u1eed ph\u1ea1t theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh.<\/span><\/p>\n

Ch\u01b0\u01a1ng 11:<\/span><\/b><\/span><\/p>\n

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

\u0110i\u1ec1u 56. \u0110i\u1ec1u kho\u1ea3n thi h\u00e0nh<\/span><\/b><\/span><\/p>\n

1. Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n qui \u0111\u1ecbnh c\u1ee5 th\u1ec3 quy tr\u00ecnh, th\u1ee7 t\u1ee5c v\u1ec1 \u0110\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n ph\u00f9 h\u1ee3p v\u1edbi qui \u0111\u1ecbnh c\u1ee7a Qui ch\u1ebf n\u00e0y.<\/span><\/p>\n

2. Vi\u1ec7c s\u1eeda \u0111\u1ed5i, b\u1ed5 sung Quy ch\u1ebf n\u00e0y do B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh quy\u1ebft \u0111\u1ecbnh.<\/span><\/p>\n

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

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

Tr\u1ea7n Xu\u00e2n H\u00e0<\/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

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<\/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":"

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