{"id":31226,"date":"2023-12-07T10:26:45","date_gmt":"2023-12-07T10:26:45","guid":{"rendered":"https:\/\/masterskills.org\/blog\/dang-ki-chung-khoan-la-gi-nguyen-tac-hoat-dong.html"},"modified":"2023-12-23T07:29:01","modified_gmt":"2023-12-23T00:29:01","slug":"dang-ki-chung-khoan-la-gi-nguyen-tac-hoat-dong","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/dang-ki-chung-khoan-la-gi-nguyen-tac-hoat-dong.html","title":{"rendered":"\u0110\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n l\u00e0 g\u00ec? Nguy\u00ean t\u1eafc ho\u1ea1t \u0111\u1ed9ng"},"content":{"rendered":"
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H\u00ecnh minh ho\u1ea1 (Ngu\u1ed3n: smartblocklaw)<\/p>\n<\/div>\n<\/div>\n

\u0110\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n<\/font><\/b><\/h2>\n

Kh\u00e1i ni\u1ec7m<\/b><\/p>\n

\u0110\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n<\/b> t\u1ea1m d\u1ecbch sang ti\u1ebfng Anh l\u00e0 securities registration.<\/b><\/p>\n

\u0110\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n l\u00e0 ho\u1ea1t \u0111\u1ed9ng ghi nh\u1eadn v\u00e0 theo d\u00f5i nh\u1eefng th\u00f4ng tin v\u1ec1 ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n, bao g\u1ed3m c\u00e1c th\u00f4ng tin v\u1ec1: lo\u1ea1i ch\u1ee9ng kho\u00e1n, s\u1ed5 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n theo t\u1eebng lo\u1ea1i c\u1ee7a t\u1eebng ng\u01b0\u1eddi s\u1edf h\u1eefu.<\/p>\n

\u1ede Vi\u1ec7t Nam, theo quy\u1ebft \u0111\u1ecbnh s\u1ed1 05\/1999\/Q\u0110-UBCK3, \u0111\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n l\u00e0 vi\u1ec7c ghi nh\u1eadn quy\u1ec1n s\u1edf h\u1eefu, c\u00e1c quy\u1ec1n kh\u00e1c v\u00e0 ngh\u0129a v\u1ee5 li\u00ean quan c\u1ee7a ng\u01b0\u1eddi n\u1eafm gi\u1eef ch\u1ee9ng kho\u00e1n b\u1eb1ng m\u1ed9t h\u1ec7 th\u1ed1ng th\u00f4ng tin l\u01b0u gi\u1eef trong c\u00e1c t\u00e0i kho\u1ea3n l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n.<\/p>\n

\u0110\u1ec3 th\u1ef1c hi\u1ec7n c\u00e1c quy\u1ec1n c\u1ee7a m\u00ecnh \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n \u0111ang n\u1eafm gi\u1eef, nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i th\u1ef1c hi\u1ec7n \u0111\u0103ng k\u00ed t\u00ean m\u00ecnh trong danh s\u00e1ch ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh v\u00e0 \u0111\u1ec3 ph\u00e2n bi\u1ec7t c\u00e1c lo\u1ea1i ch\u1ee9ng kho\u00e1n, c\u00e1c ch\u1ee9ng kho\u00e1n c\u1ea7n \u0111\u01b0\u1ee3c \u0111\u0103ng k\u00ed v\u1edbi nh\u1eefng th\u00f4ng tin c\u01a1 b\u1ea3n sau: t\u00ean, lo\u1ea1i ch\u1ee9ng kho\u00e1n, m\u1ec7nh gi\u00e1, t\u1ed5ng s\u1ed1 ch\u1ee9ng kho\u00e1n ph\u00e1t h\u00e0nh.<\/p>\n

Ngo\u00e0i ra, trong ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u0169ng ph\u1ea3i cung c\u1ea5p th\u00f4ng tin nh\u01b0: t\u00ean, qu\u1ed1c t\u1ecbch, \u0111\u1ecba ch\u1ec9, s\u1ed1 ch\u1ee9ng kho\u00e1n n\u1eafm gi\u1eef…<\/p>\n

Nguy\u00ean t\u1eafc c\u1ee7a ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n<\/font><\/h3>\n

Ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00ed<\/span> ch\u1ee9ng kho\u00e1n ph\u1ea3i \u0111\u01b0\u1ee3c ti\u1ebfn h\u00e0nh theo c\u00e1c nguy\u00ean t\u1eafc sau \u0111\u00e2y:<\/p>\n

– T\u1ea5t c\u1ea3 c\u00e1c lo\u1ea1i ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft ph\u1ea3i \u0111\u01b0\u1ee3c \u0111\u0103ng k\u00ed<\/span> t\u1eadp trung t\u1ea1i S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/p>\n

– Ch\u1ee9ng kho\u00e1n ph\u1ea3i \u0111\u01b0\u1ee3c \u0111\u0103ng k\u00ed<\/span> t\u00e1ch bi\u1ec7t cho t\u1eebng lo\u1ea1i theo c\u00e1c th\u00f4ng tin v\u1ec1: lo\u1ea1i ch\u1ee9ng kho\u00e1n, m\u1ec7nh gi\u00e1, t\u00ean, qu\u1ed1c t\u1ecbch c\u1ee7a ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n, s\u1ed1 c\u1ee7a ch\u1ee9ng ch\u1ec9, ch\u1ee9ng kho\u00e1n n\u1ebfu c\u00f3, s\u1ed1 ch\u1ee9ng kho\u00e1n m\u00e0 ng\u01b0\u1eddi \u0111\u00f3 n\u1eafm gi\u1eef\u2026<\/p>\n

– Khi c\u00f3 s\u1ef1 thay \u0111\u1ed5i v\u1ec1 quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n th\u00ec th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> ph\u1ea3i n\u1ed9p c\u00e1c t\u00e0i li\u1ec7u li\u00ean quan \u0111\u1ebfn s\u1ef1 thay \u0111\u1ed5i n\u00e0y theo qui \u0111\u1ecbnh<\/span> \u0111\u1ec3 ti\u1ebfn h\u00e0nh vi\u1ec7c \u0111\u0103ng k\u00ed<\/span> l\u1ea1i.<\/p>\n

Ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n<\/font><\/b><\/h3>\n

Vi\u1ec7c \u0111\u0103ng k\u00ed<\/span> ch\u1ee9ng kho\u00e1n bao g\u1ed3m c\u00e1c ho\u1ea1t \u0111\u1ed9ng:<\/p>\n

– \u0110\u0103ng k\u00ed<\/span> c\u00e1c ch\u1ee9ng kho\u00e1n m\u1edbi ph\u00e1t h\u00e0nh<\/p>\n

– Qu\u1ea3n l\u00ed<\/span> s\u1ed5 \u0111\u0103ng k\u00ed<\/span> ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n<\/p>\n

– Qu\u1ea3n l\u00ed<\/span> s\u1ed5 \u0111\u0103ng k\u00ed<\/span> ch\u1ee9ng kho\u00e1n m\u1edbi chuy\u1ec3n nh\u01b0\u1ee3ng, s\u1ed5 \u0111\u0103ng k\u00ed<\/span>\u00a0ch\u1ee9ng kho\u00e1n c\u1ea7m c\u1ed1<\/p>\n

– L\u1eadp danh s\u00e1ch ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u1ec3 chu\u1ea9n b\u1ecb \u0111\u1ea1i h\u1ed9i c\u1ed5\u00a0\u0111\u00f4ng h\u00e0ng n\u0103m<\/p>\n

– Th\u1ef1c hi\u1ec7n c\u00e1c c\u00f4ng vi\u1ec7c li\u00ean quan \u0111\u1ebfn thanh to\u00e1n c\u1ed5 t\u1ee9c<\/p>\n

– Th\u1ef1c hi\u1ec7n c\u00e1c nghi\u1ec7p v\u1ee5 \u0111\u0103ng k\u00ed<\/span> ch\u1ee9ng kho\u00e1n li\u00ean quan \u0111\u1ebfn t\u0103ng\u00a0v\u1ed1n c\u1ee7a c\u00f4ng ty ph\u00e1t h\u00e0nh<\/p>\n

– Gi\u00e1m s\u00e1t t\u1ec9 l\u1ec7 tham gia c\u1ee7a b\u00ean n\u01b0\u1edbc ngo\u00e0i<\/p>\n

– C\u00e1c c\u00f4ng vi\u1ec7c kh\u00e1c theo qui \u0111\u1ecbnh<\/span> c\u1ee7a U\u1ef7 ban.<\/p>\n

(T\u00e0i li\u1ec7u tham kh\u1ea3o: Gi\u00e1o tr\u00ecnh Th\u1ecb tr\u01b0\u1eddng Ch\u1ee9ng kho\u00e1n, Tr\u01b0\u1eddng \u0110H Kinh t\u1ebf Qu\u1ed1c d\u00e2n, , NXB T\u00e0i ch\u00ednh)<\/i><\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n \u0110\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n l\u00e0 vi\u1ec7c ghi nh\u1eadn th\u00f4ng tin v\u1ec1 t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, ch\u1ee9ng kho\u00e1n c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh v\u00e0 ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n. (Lu\u1eadt 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":[417],"tags":[],"_links":{"self":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31226"}],"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=31226"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31226\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31226"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31226"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31226"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}