{"id":27014,"date":"2023-12-07T03:16:58","date_gmt":"2023-12-07T03:16:58","guid":{"rendered":"https:\/\/masterskills.org\/blog\/luu-ki-chung-khoan-securities-depository-la-gi-qui-dinh-ve-ho-so-luu-ki-chung-khoan.html"},"modified":"2023-12-22T14:43:49","modified_gmt":"2023-12-22T07:43:49","slug":"luu-ki-chung-khoan-securities-depository-la-gi-qui-dinh-ve-ho-so-luu-ki-chung-khoan","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/luu-ki-chung-khoan-securities-depository-la-gi-qui-dinh-ve-ho-so-luu-ki-chung-khoan.html","title":{"rendered":"L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n (Securities depository) l\u00e0 g\u00ec? Qui \u0111\u1ecbnh v\u1ec1 h\u1ed3 s\u01a1 l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: Dautuchungkhoan.org)<\/p>\n<\/div>\n<\/div>\n

L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n (Securities depository)<\/font><\/h2>\n

L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n <\/b>– danh t\u1eeb, trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c d\u00f9ng b\u1edfi c\u1ee5m t\u1eeb\u00a0Securities depository<\/b>.<\/p>\n

Lu\u1eadt ch\u1ee9ng kho\u00e1n n\u0103m 2006 <\/i>qui \u0111\u1ecbnh: “L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n<\/i>\u00a0l\u00e0 vi\u1ec7c nh\u1eadn k\u00ed<\/span> g\u1eedi, b\u1ea3o qu\u1ea3n, chuy\u1ec3n giao ch\u1ee9ng kho\u00e1n cho kh\u00e1ch h\u00e0ng, gi\u00fap kh\u00e1ch h\u00e0ng th\u1ef1c hi\u1ec7n c\u00e1c quy\u1ec1n li\u00ean quan \u0111\u1ebfn s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n.”<\/p>\n

Qui \u0111\u1ecbnh<\/span> chung v\u1ec1 h\u1ed3 s\u01a1 l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n\u00a0<\/font><\/h3>\n

1. H\u1ed3 s\u01a1 l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n<\/i> (h\u1ed3 s\u01a1 k\u00ed<\/span> g\u1eedi, r\u00fat, chuy\u1ec3n kho\u1ea3n, phong t\u1ecfa v\u00e0 gi\u1ea3i to\u1ea3 ch\u1ee9ng kho\u00e1n, \u0111i\u1ec1u ch\u1ec9nh th\u00f4ng tin nh\u00e0 \u0111\u1ea7u t\u01b0) ph\u1ea3i c\u00f3 \u0111\u1ea7y \u0111\u1ee7 ch\u1ee9ng t\u1eeb theo qui \u0111\u1ecbnh<\/span>, \u0111\u00f3ng d\u1ea5u gi\u00e1p lai \u0111\u1ed1i v\u1edbi t\u00e0i li\u1ec7u \u0111\u00ednh k\u00e8m (n\u1ebfu c\u00f3), n\u1ed9i dung ch\u1ee9ng t\u1eeb ph\u1ea3i th\u1ec3 hi\u1ec7n \u0111\u1ea7y \u0111\u1ee7 th\u00f4ng tin, c\u00f9ng m\u00e0u m\u1ef1c, n\u00e9t ch\u1eef v\u00e0 ch\u1eef k\u00ed<\/span> g\u1ed1c c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 (n\u1ebfu c\u00f3).\u00a0<\/p>\n

Ph\u1ea7n x\u00e1c nh\u1eadn c\u1ee7a Th\u00e0nh vi\u00ean l\u01b0u k\u00ed (TVLK)<\/b>\/t\u1ed5 ch\u1ee9c m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp tr\u00ean ch\u1ee9ng t\u1eeb ph\u1ea3i c\u00f3 \u0111\u1ea7y \u0111\u1ee7 n\u1ed9i dung v\u1ec1 con d\u1ea5u, ch\u1eef k\u00ed<\/span> g\u1ed1c v\u00e0 h\u1ecd t\u00ean th\u00e0nh vi\u00ean Ban Gi\u00e1m \u0111\u1ed1c ph\u1ee5 tr\u00e1ch ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00ed<\/span> \u0111\u00e3 \u0111\u0103ng k\u00ed<\/span> v\u1edbi Trung t\u00e2m l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n (VSD)<\/b> ho\u1eb7c ng\u01b0\u1eddi \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n theo qui \u0111\u1ecbnh<\/span> t\u1ea1i Qui ch\u1ebf th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> c\u1ee7a VSD.\u00a0<\/p>\n

Tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 l\u00e0 t\u1ed5 ch\u1ee9c, gi\u1ea5y \u0111\u1ec1 ngh\u1ecb c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i c\u00f3 \u0111\u1ee7 ch\u1eef k\u00ed<\/span> c\u1ee7a ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n v\u00e0 con d\u1ea5u c\u1ee7a t\u1ed5 ch\u1ee9c \u0111\u00f3.\u00a0<\/p>\n

Tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 l\u00e0 t\u1ed5 ch\u1ee9c n\u01b0\u1edbc ngo\u00e0i kh\u00f4ng s\u1eed d\u1ee5ng con d\u1ea5u, tr\u00ean c\u01a1 s\u1edf th\u00f4ng tin nh\u1eadn bi\u1ebft kh\u00e1ch h\u00e0ng qu\u1ea3n l\u00ed t\u1ea1i TVLK, TVLK c\u00f3 v\u0103n b\u1ea3n g\u1eedi VSD n\u00eau r\u00f5 vi\u1ec7c t\u1ed5 ch\u1ee9c n\u01b0\u1edbc ngo\u00e0i kh\u00f4ng s\u1eed d\u1ee5ng con d\u1ea5u v\u00e0 x\u00e1c nh\u1eadn \u0111\u00e3 ki\u1ec3m tra ch\u1eef k\u00ed<\/span> tr\u00ean h\u1ed3 s\u01a1 l\u01b0u k\u00ed<\/span> l\u00e0 ch\u1eef k\u00ed<\/span> c\u1ee7a ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n c\u1ee7a t\u1ed5 ch\u1ee9c n\u01b0\u1edbc ngo\u00e0i \u0111\u00e3 \u0111\u0103ng k\u00ed<\/span> v\u1edbi TVLK.\u00a0<\/p>\n

2. Tr\u01b0\u1eddng h\u1ee3p ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n l\u00e0 t\u1ed5 ch\u1ee9c n\u01b0\u1edbc ngo\u00e0i c\u00f3 tr\u1ee5 s\u1edf t\u1ea1i n\u01b0\u1edbc ngo\u00e0i c\u00f3 th\u1ec3 s\u1eed d\u1ee5ng ch\u1ec9 th\u1ecb b\u1eb1ng \u0111i\u1ec7n SWIFT cho TVLK c\u1ee7a VSD \u0111\u1ec3 thay th\u1ebf cho c\u00e1c t\u00e0i li\u1ec7u y\u00eau c\u1ea7u nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i l\u1eadp trong c\u00e1c h\u1ed3 s\u01a1 li\u00ean quan (nh\u01b0 phi\u1ebfu g\u1eedi\/r\u00fat ch\u1ee9ng kho\u00e1n, gi\u1ea5y \u0111\u1ec1 ngh\u1ecb \u0111i\u1ec1u ch\u1ec9nh th\u00f4ng tin…) khi \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n sau:\u00a0<\/p>\n

– N\u1ed9i dung tr\u00ean \u0111i\u1ec7n SWIFT ph\u1ea3i bao g\u1ed3m \u0111\u1ea7y \u0111\u1ee7 c\u00e1c th\u00f4ng tin theo c\u00e1c m\u1eabu bi\u1ec3u qui \u0111\u1ecbnh<\/span> t\u1ea1i t\u1eebng ho\u1ea1t \u0111\u1ed9ng nghi\u1ec7p v\u1ee5 c\u1ee5 th\u1ec3 t\u1ea1i Qui ch\u1ebf<\/span><\/span> n\u00e0y;<\/p>\n

– TVLK ph\u1ea3i d\u1ecbch v\u00e0 x\u00e1c nh\u1eadn v\u1ec1 n\u1ed9i dung, t\u00ednh x\u00e1c th\u1ef1c c\u1ee7a \u0111i\u1ec7n SWIFT v\u00e0 g\u1eedi k\u00e8m c\u00e1c t\u00e0i li\u1ec7u kh\u00e1c (n\u1ebfu c\u00f3).\u00a0<\/p>\n

3. Tr\u01b0\u1eddng h\u1ee3p \u1ee7y quy\u1ec1n l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n<\/i>, nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i c\u00f3 v\u0103n b\u1ea3n \u1ee7y quy\u1ec1n ghi r\u00f5 n\u1ed9i dung v\u00e0 ph\u1ea1m vi \u1ee7y quy\u1ec1n. N\u1ebfu v\u0103n b\u1ea3n \u1ee7y quy\u1ec1n b\u1eb1ng ti\u1ebfng n\u01b0\u1edbc ngo\u00e0i ph\u1ea3i c\u00f3 b\u1ea3n d\u1ecbch c\u00f4ng ch\u1ee9ng.\u00a0<\/p>\n

Tr\u01b0\u1eddng h\u1ee3p ng\u01b0\u1eddi nh\u1eadn \u1ee7y quy\u1ec1n l\u00e0 t\u1ed5 ch\u1ee9c, c\u00e1c ch\u1ee9ng t\u1eeb li\u00ean quan \u0111\u1ebfn vi\u1ec7c l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n<\/b> ph\u1ea3i c\u00f3 \u0111\u1ee7 ch\u1eef k\u00ed<\/span> c\u1ee7a ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n v\u00e0 con d\u1ea5u c\u1ee7a t\u1ed5 ch\u1ee9c \u0111\u00f3. TVLK ch\u1ecbu tr\u00e1ch nhi\u1ec7m ki\u1ec3m tra v\u1ec1 t\u00ednh h\u1ee3p l\u1ec7 c\u1ee7a vi\u1ec7c \u1ee7y quy\u1ec1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0.<\/p>\n

4. \u0110\u1ed1i v\u1edbi TVLK, VSD x\u1eed l\u00ed<\/span> h\u1ed3 s\u01a1 l\u01b0u k\u00ed<\/span> sau khi \u0111\u00e3 nh\u1eadn ch\u1ee9ng t\u1eeb \u0111\u1ea7y \u0111\u1ee7, h\u1ee3p l\u1ec7 c\u1ee7a TVLK theo qui \u0111\u1ecbnh<\/span> \u0111\u1ed1i v\u1edbi t\u1eebng nghi\u1ec7p v\u1ee5 t\u1ea1i Qui ch\u1ebf<\/span><\/span> n\u00e0y v\u00e0 c\u00e1c ch\u1ee9ng t\u1eeb \u0111i\u1ec7n t\u1eed do TVLK g\u1eedi cho VSD qua c\u1ed5ng giao ti\u1ebfp \u0111i\u1ec7n t\u1eed\/c\u1ed5ng giao ti\u1ebfp tr\u1ef1c tuy\u1ebfn.\u00a0<\/p>\n

5. \u0110\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp,VSD x\u1eed l\u00ed<\/span> h\u1ed3 s\u01a1 l\u01b0u k\u00ed<\/span> sau khi \u0111\u00e3 nh\u1eadn ch\u1ee9ng t\u1eeb \u0111\u1ea7y \u0111\u1ee7, h\u1ee3p l\u1ec7 c\u1ee7a t\u1ed5 ch\u1ee9c theo qui \u0111\u1ecbnh<\/span> \u0111\u1ed1i v\u1edbi t\u1eebng nghi\u1ec7p v\u1ee5 t\u1ea1i Qui ch\u1ebf<\/span> n\u00e0y. (Theo Quy\u1ebft \u0111\u1ecbnh 199\/Q\u0110-VSD c\u1ee7a Trung t\u00e2m l\u01b0u k\u00ed Vi\u1ec7t Nam<\/i>)<\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n (ti\u1ebfng Anh: Securities depository) l\u00e0 ho\u1ea1t \u0111\u1ed9ng nh\u1eadn k\u00ed g\u1eedi, b\u1ea3o qu\u1ea3n an to\u00e0n, chuy\u1ec3n giao v\u00e0 ghi nh\u1eadn s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1c h\u00e0ng tr\u00ean h\u1ec7 th\u1ed1ng t\u00e0i kho\u1ea3n l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n.\n <\/div>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[414],"tags":[],"_links":{"self":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/27014"}],"collection":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/comments?post=27014"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/27014\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=27014"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=27014"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=27014"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}