{"id":544,"date":"2018-04-01T10:33:26","date_gmt":"2018-04-01T10:33:26","guid":{"rendered":"http:\/\/bizlawyer.com.vn\/nha-nuoc-tang-cuong-giam-sat-giao-dich-tren-thi-truong-chung-khoan"},"modified":"2018-04-01T10:33:26","modified_gmt":"2018-04-01T10:33:26","slug":"nha-nuoc-tang-cuong-giam-sat-giao-dich-tren-thi-truong-chung-khoan","status":"publish","type":"post","link":"https:\/\/bizlawyer.vn\/vi\/nha-nuoc-tang-cuong-giam-sat-giao-dich-tren-thi-truong-chung-khoan","title":{"rendered":"Nh\u00e0 n\u01b0\u1edbc t\u0103ng c\u01b0\u1eddng gi\u00e1m s\u00e1t giao d\u1ecbch tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"

Ng\u00e0y 25\/10\/2017, B\u1ed9 T\u00e0i ch\u00ednh \u0111\u00e3 ban h\u00e0nh Th\u00f4ng t\u01b0 115\/2017\/TT-BTC h\u01b0\u1edbng d\u1eabn ho\u1ea1t \u0111\u1ed9ng gi\u00e1m s\u00e1t giao d\u1ecbch tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. <\/span><\/span><\/p>\n

Theo \u0111\u00f3, b\u00ean c\u1ea1nh vi\u1ec7c ti\u1ebfp t\u1ee5c ghi nh\u1eadn v\u00e0 quy \u0111\u1ecbnh chi ti\u1ebft h\u01a1n c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 N\u01b0\u1edbc v\u00e0 S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u0169ng nh\u01b0 ghi nh\u1eadn ngh\u0129a v\u1ee5 c\u1ee7a c\u00e1c \u0111\u1ed1i t\u01b0\u1ee3ng gi\u00e1m s\u00e1t, th\u00ec Th\u00f4ng t\u01b0 115\/2017\/TT-BTC c\u00f3 m\u1ed9t s\u1ed1 \u0111i\u1ec3m m\u1edbi n\u1ed5i b\u1eadt nh\u01b0 sau:<\/span><\/span><\/p>\n

 Th\u1ee9 nh\u1ea5t, b\u1ed5 sung Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam (\u201cTTLKCK\u201d) l\u00e0 ch\u1ee7 th\u1ec3 gi\u00e1m s\u00e1t m\u1edbi, b\u00ean c\u1ea1nh \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (\u201cUBCKNN\u201d) v\u00e0 S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n (\u201cSGDCK\u201d). Theo \u0111\u00f3, TTLKCK s\u1ebd th\u1ef1c hi\u1ec7n nhi\u1ec7m v\u1ee5 gi\u00e1m s\u00e1t \u0111\u1ed1i v\u1edbi Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u1ee7a TTLKCK, C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i, chi nh\u00e1nh ng\u00e2n h\u00e0ng n\u01b0\u1edbc ngo\u00e0i \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u00e1i sinh (\u201cTVBT\u201d) trong vi\u1ec7c tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (\u201cTTCK\u201d) trong tri\u1ec3n khai c\u00e1c ho\u1ea1t \u0111\u1ed9ng nghi\u1ec7p v\u1ee5 li\u00ean quan \u0111\u1ebfn \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n. \u0110\u1ed3ng th\u1eddi TTLKCK c\u0169ng c\u00f3 nhi\u1ec7m v\u1ee5 gi\u00e1m s\u00e1t t\u1ef7 l\u1ec7 s\u1eed d\u1ee5ng t\u00e0i s\u1ea3n k\u00fd qu\u1ef9 theo t\u1eebng t\u00e0i kho\u1ea3n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0, TVBT c\u0169ng nh\u01b0 gi\u00e1m s\u00e1t v\u1ec1 gi\u1edbi h\u1ea1n v\u1ecb th\u1ebf c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 khi tham gia giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u00e1i sinh.<\/span><\/span><\/p>\n

\u0110\u1ec3 th\u1ef1c nhi\u1ec7n nhi\u1ec7m v\u1ee5 c\u1ee7a m\u00ecnh, TTLKCK s\u1ebd th\u1ef1c hi\u1ec7n ph\u01b0\u01a1ng th\u1ee9c gi\u00e1m s\u00e1t c\u00e1c tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m t\u1ef7 l\u1ec7 s\u1eed d\u1ee5ng t\u00e0i s\u1ea3n k\u00fd qu\u1ef9 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0, gi\u1edbi h\u1ea1n v\u1ecb th\u1ebf d\u1ef1a tr\u00ean m\u1ed9t ho\u1eb7c c\u00e1c ngu\u1ed3n d\u1eef li\u1ec7u \u0111\u01b0\u1ee3c ph\u00e9p. TTLKCK c\u00f2n \u0111\u01b0\u1ee3c ph\u00e9p y\u00eau c\u1ea7u c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n thu\u1ed9c \u0111\u1ed1i t\u01b0\u1ee3ng gi\u00e1m s\u00e1t c\u1ee7a m\u00ecnh cung c\u1ea5p th\u00f4ng tin v\u00e0 gi\u1ea3i tr\u00ecnh \u0111\u1ec3 l\u00e0m r\u00f5. Ngo\u00e0i ra, vi\u1ec7c ph\u1ed1i h\u1ee3p v\u1edbi UBCKNN ki\u1ec3m tra \u0111\u1ecbnh k\u1ef3 ho\u1eb7c b\u1ea5t th\u01b0\u1eddng c\u0169ng l\u00e0 m\u1ed9t k\u00eanh gi\u00e1m s\u00e1t h\u1eefu hi\u1ec7u \u0111\u1ed1i v\u1edbi TTLKCK.<\/span><\/span><\/p>\n

Th\u1ee9 hai, b\u1ed5 sung th\u00eam 02 \u0111\u1ed1i t\u00fd\u1ee3ng gi\u00e1m s\u00e1t l\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n tham gia v\u00e0o qu\u00e1 tr\u00ecnh giao d\u1ecbch, cung c\u1ea5p c\u00e1c d\u1ecbch v\u1ee5 li\u00ean quan \u00f0\u1ebfn giao d\u1ecbch ch\u1ee9ng kho\u00e1n, bao g\u1ed3m:<\/span><\/span><\/p>\n

–  Th\u00e0nh vi\u00ean giao d\u1ecbch v\u00e0 th\u00e0nh vi\u00ean giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u00e1i sinh (\u0111\u01b0\u1ee3c hi\u1ec3u l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n \u0111\u0103ng k\u00fd l\u00e0m th\u00e0nh vi\u00ean giao d\u1ecbch tr\u00ean S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n). <\/span><\/span><\/p>\n

–  C\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u00e1i sinh.<\/span><\/span><\/p>\n

Hai ch\u1ee7 th\u1ec3 n\u00e0y c\u00f3 ngh\u0129a v\u1ee5 ph\u1ed1i h\u1ee3p tri\u1ec3n khai c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t c\u1ee7a TVGD, TVBT trong c\u00e1c nhi\u1ec7m v\u1ee5 nh\u01b0: Ph\u1ed1i h\u1ee3p v\u1edbi UBCKNN, SGDCK, TTLKCK trong vi\u1ec7c th\u1ef1c hi\u1ec7n c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n khi \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u; Ph\u1ed1i h\u1ee3p v\u1edbi UBCKNN trong vi\u1ec7c m\u1eddi Nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u1ebfn l\u00e0m vi\u1ec7c v\u1edbi c\u00e1c \u0111o\u00e0n ki\u1ec3m tra c\u1ee7a UBCKNN li\u00ean quan \u0111\u1ebfn c\u00e1c giao d\u1ecbch c\u00f3 d\u1ea5u hi\u1ec7u b\u1ea5t th\u01b0\u1eddng; Tr\u01b0\u1eddng h\u1ee3p ph\u00e1t hi\u1ec7n giao d\u1ecbch vi ph\u1ea1m c\u00e1c quy \u0111\u1ecbnh v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 TTCK c\u00f3 tr\u00e1ch nhi\u1ec7m b\u00e1o c\u00e1o UBCKNN.<\/span><\/span><\/p>\n

Th\u00f4ng t\u01b0 115\/2017\/TT-BTC thay th\u1ebf cho Th\u00f4ng t\u01b0 13\/2013\/TT-BTC v\u00e0 s\u1ebd c\u00f3 hi\u1ec7u l\u1ef1c t\u1eeb ng\u00e0y 08\/12\/2017.<\/span><\/span><\/p>\n

Nh\u1eefng quy \u0111\u1ecbnh m\u1edbi trong Th\u00f4ng t\u01b0 115\/2017\/TT-BTC \u0111\u01b0\u1ee3c k\u1ef3 v\u1ecdng s\u1ebd \u0111\u1ea3m b\u1ea3o h\u01a1n quy\u1ec1n l\u1ee3i h\u1ee3p ph\u00e1p c\u1ee7a c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0, c\u0169ng nh\u01b0 \u0111\u1ea3m b\u1ea3o t\u00ednh hi\u1ec7u qu\u1ea3, c\u00f4ng b\u1eb1ng v\u00e0 minh b\u1ea1ch trong c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n nh\u1eb1m h\u01b0\u1edbng t\u1edbi nh\u1eefng chu\u1ea9n m\u1ef1c c\u1ee7a th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n qu\u1ed1c t\u1ebf.<\/span><\/span><\/p>\n","protected":false},"excerpt":{"rendered":"

Ng\u00e0y 25\/10\/2017, B\u1ed9 T\u00e0i ch\u00ednh \u0111\u00e3 ban h\u00e0nh Th\u00f4ng t\u01b0 115\/2017\/TT-BTC h\u01b0\u1edbng d\u1eabn ho\u1ea1t \u0111\u1ed9ng gi\u00e1m s\u00e1t giao d\u1ecbch tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. Theo \u0111\u00f3, b\u00ean c\u1ea1nh vi\u1ec7c ti\u1ebfp t\u1ee5c ghi nh\u1eadn v\u00e0 quy \u0111\u1ecbnh chi ti\u1ebft h\u01a1n c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 N\u01b0\u1edbc v\u00e0 […]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1],"tags":[],"class_list":["post-544","post","type-post","status-publish","format-standard","hentry","category-bai-viet"],"_links":{"self":[{"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/posts\/544","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/comments?post=544"}],"version-history":[{"count":0,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/posts\/544\/revisions"}],"wp:attachment":[{"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/media?parent=544"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/categories?post=544"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/tags?post=544"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}