{"id":545,"date":"2018-04-01T10:33:27","date_gmt":"2018-04-01T10:33:27","guid":{"rendered":"http:\/\/bizlawyer.com.vn\/tu-ngay-08122017-cong-tac-giam-sat-tuan-thu-cua-uy-ban-chung-khoan-nha-nuoc-se-thuc-hien-theo-thong-tu-moi"},"modified":"2018-04-01T10:33:27","modified_gmt":"2018-04-01T10:33:27","slug":"tu-ngay-08122017-cong-tac-giam-sat-tuan-thu-cua-uy-ban-chung-khoan-nha-nuoc-se-thuc-hien-theo-thong-tu-moi","status":"publish","type":"post","link":"https:\/\/bizlawyer.vn\/vi\/tu-ngay-08122017-cong-tac-giam-sat-tuan-thu-cua-uy-ban-chung-khoan-nha-nuoc-se-thuc-hien-theo-thong-tu-moi","title":{"rendered":"T\u1eeb ng\u00e0y 08\/12\/2017, c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 c\u1ee7a U\u1ef7 ban ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc s\u1ebd th\u1ef1c hi\u1ec7n theo Th\u00f4ng t\u01b0 m\u1edbi"},"content":{"rendered":"

Ng\u00e0y 25\/10\/2017, B\u1ed9 t\u00e0i ch\u00ednh ban h\u00e0nh Th\u00f4ng t\u01b0 116\/2017\/TT -BTC h\u01b0\u1edbng d\u1eabn c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 c\u1ee7a U\u1ef7 ban ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi ho\u1ea1t \u0111\u1ed9ng trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n c\u1ee7a S\u1edf Giao d\u1ecbch ch\u1ee9ng kho\u00e1n, trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n. <\/span><\/span><\/p>\n

Theo \u0111\u00f3, UBCKNN th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 tr\u00ean c\u01a1 s\u1edf b\u00e1o c\u00e1o c\u1ee7a SGDCK, TTLKCK theo quy \u0111\u1ecbnh t\u1ea1i Ch\u01b0\u01a1ng IV Th\u00f4ng t\u01b0 n\u00e0y; ph\u1ea3n \u00e1nh c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n ho\u1ea1t \u0111\u1ed9ng tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c ngu\u1ed3n tin tr\u00ean ph\u01b0\u01a1ng ti\u1ec7n th\u00f4ng tin \u0111\u1ea1i ch\u00fang li\u00ean quan \u0111\u1ebfn t\u1ed5 ch\u1ee9c v\u00e0 th\u1ef1c hi\u1ec7n c\u00e1c ho\u1ea1t \u0111\u1ed9ng nghi\u1ec7p v\u1ee5 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n c\u1ee7a SGDCK, TTLKCK v\u00e0 qua c\u00e1c ho\u1ea1t \u0111\u1ed9ng ph\u1ed1i h\u1ee3p nghi\u1ec7p v\u1ee5 gi\u1eefa UBCKNN v\u00e0 SGDCK, TTLKCK. Tr\u00ean c\u01a1 s\u1edf k\u1ebf ho\u1ea1ch gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 h\u00e0ng n\u0103m, UBCK s\u1ebd th\u1ef1c hi\u1ec7n ki\u1ec3m tra \u0111\u1ecbnh k\u1ef3 S\u1edf GDCK, VSD v\u00e0 t\u1ed5 ch\u1ee9c ki\u1ec3m tra \u0111\u1ed9t xu\u1ea5t khi c\u1ea7n thi\u1ebft.<\/span><\/span><\/p>\n

S\u1edf GDCK v\u00e0 VSD c\u00f3 tr\u00e1ch nhi\u1ec7m ban h\u00e0nh c\u00e1c quy ch\u1ebf, quy tr\u00ecnh v\u00e0 c\u00e1c v\u0103n b\u1ea3n nghi\u1ec7p v\u1ee5 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 TTCK; cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7, ch\u00ednh x\u00e1c, k\u1ecbp th\u1eddi c\u00e1c th\u00f4ng tin, t\u00e0i li\u1ec7u, d\u1eef li\u1ec7u theo y\u00eau c\u1ea7u c\u1ee7a UBCK \u0111\u1ec3 ph\u1ee5c v\u1ee5 c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7.<\/span><\/span><\/p>\n

S\u1edf GDCK th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t vi\u1ec7c tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 TTCK, quy ch\u1ebf c\u1ee7a S\u1edf GDCK \u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean giao d\u1ecbch, th\u00e0nh vi\u00ean giao d\u1ecbch \u0111\u1eb7c bi\u1ec7t, t\u1ed5 ch\u1ee9c c\u00f3 ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch, t\u1ed5 ch\u1ee9c v\u00e0 c\u00e1c c\u00e1 nh\u00e2n tham gia giao d\u1ecbch tr\u00ean TTCK.<\/span><\/span><\/p>\n

VSD th\u1ef1c hi\u1ec7n vi\u1ec7c gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 TTCK v\u00e0 quy ch\u1ebf c\u1ee7a VSD \u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean l\u01b0u k\u00fd, th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb. Trong tr\u01b0\u1eddng h\u1ee3p ph\u00e1t hi\u1ec7n vi ph\u1ea1m, S\u1edf GDCK, VSD c\u00f3 tr\u00e1ch nhi\u1ec7m x\u1eed l\u00fd \u0111\u1ed1i v\u1edbi c\u00e1c h\u00e0nh vi vi ph\u1ea1m quy ch\u1ebf c\u1ee7a S\u1edf GDCK, VSD. Tr\u01b0\u1eddng h\u1ee3p v\u01b0\u1ee3t qu\u00e1 th\u1ea9m quy\u1ec1n, S\u1edf GDCK, VSD c\u00f3 tr\u00e1ch nhi\u1ec7m b\u00e1o c\u00e1o UBCK x\u1eed l\u00fd theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/span><\/span><\/p>\n

Th\u00f4ng t\u01b0 116\/2017\/TT -BTC c\u00f3 hi\u1ec7u l\u1ef1c k\u1ec3 t\u1eeb ng\u00e0y 08\/12\/2017. <\/span><\/span><\/p>\n","protected":false},"excerpt":{"rendered":"

Ng\u00e0y 25\/10\/2017, B\u1ed9 t\u00e0i ch\u00ednh ban h\u00e0nh Th\u00f4ng t\u01b0 116\/2017\/TT -BTC h\u01b0\u1edbng d\u1eabn c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 c\u1ee7a U\u1ef7 ban ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi ho\u1ea1t \u0111\u1ed9ng trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n c\u1ee7a S\u1edf Giao d\u1ecbch ch\u1ee9ng kho\u00e1n, trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n. Theo \u0111\u00f3, UBCKNN th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t tu\u00e2n […]<\/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-545","post","type-post","status-publish","format-standard","hentry","category-bai-viet"],"_links":{"self":[{"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/posts\/545","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=545"}],"version-history":[{"count":0,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/posts\/545\/revisions"}],"wp:attachment":[{"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/media?parent=545"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/categories?post=545"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bizlawyer.vn\/vi\/wp-json\/wp\/v2\/tags?post=545"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}