{"id":31235,"date":"2023-12-07T10:27:15","date_gmt":"2023-12-07T10:27:15","guid":{"rendered":"https:\/\/masterskills.org\/blog\/luu-ki-chung-khoan-dong-la-gi-dac-diem-va-nguyen-tac-chung.html"},"modified":"2023-12-23T08:00:59","modified_gmt":"2023-12-23T01:00:59","slug":"luu-ki-chung-khoan-dong-la-gi-dac-diem-va-nguyen-tac-chung","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/luu-ki-chung-khoan-dong-la-gi-dac-diem-va-nguyen-tac-chung.html","title":{"rendered":"L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n \u0111\u00f3ng l\u00e0 g\u00ec? \u0110\u1eb7c \u0111i\u1ec3m v\u00e0 nguy\u00ean t\u1eafc chung"},"content":{"rendered":"
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H\u00ecnh minh ho\u1ea1 (Ngu\u1ed3n: abbl)<\/p>\n<\/div>\n<\/div>\n

L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n \u0111\u00f3ng<\/font><\/b><\/h2>\n

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

L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n<\/b>\u00a0trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c g\u1ecdi l\u00e0 Securities depository.<\/b><\/p>\n

L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n \u0111\u00f3ng<\/b> l\u00e0 h\u00ecnh th\u1ee9c l\u01b0u gi\u1eef trong \u0111\u00f3 kh\u00e1ch h\u00e0ng thu\u00ea k\u00e9t an to\u00e0n c\u1ee7a ng\u00e2n h\u00e0ng \u0111\u1ec3 l\u01b0u gi\u1eef v\u00e0 b\u1ea3o qu\u1ea3n ch\u1ee9ng kho\u00e1n c\u1ee7a m\u00ecnh.<\/p>\n

\u0110\u1eb7c \u0111i\u1ec3m<\/font><\/b><\/h3>\n

Th\u00f4ng th\u01b0\u1eddng, m\u1ed7i ng\u0103n k\u00e9t \u0111\u01b0\u1ee3c k\u00ed hi\u1ec7u theo s\u1ed1 ri\u00eang v\u00e0 c\u00f3 hai \u1ed5 kho\u00e1. M\u1ed9t \u1ed5 kho\u00e1 ngo\u00e0i do ng\u00e2n h\u00e0ng qu\u1ea3n l\u00ed<\/span> (ng\u00e0y nay \u1ed5 kho\u00e1 ngo\u00e0i \u0111\u01b0\u1ee3c\u00a0\u0111i\u1ec1u h\u00e0nh t\u1ef1 \u0111\u1ed9ng t\u1eeb trung t\u00e2m), \u1ed5 kho\u00e1 trong do kh\u00e1ch h\u00e0ng qu\u1ea3n l\u00ed v\u00e0 ch\u1ec9<\/span>\u00a0c\u00f3 m\u1ed9t ch\u00eca duy nh\u1ea5t do kh\u00e1ch h\u00e0ng n\u1eafm gi\u1eef.\u00a0<\/p>\n

Sau khi k\u00ed<\/span> k\u1ebft h\u1ee3p \u0111\u1ed3ng thu\u00ea k\u00e9t, kh\u00e1ch h\u00e0ng t\u1ef1 \u0111\u1ed9ng \u0111\u01b0a ch\u1ee9ng kho\u00e1n c\u1ee7a m\u00ecnh v\u00e0o l\u01b0u gi\u1eef trong k\u00e9t m\u00e0 kh\u00f4ng c\u1ea7n s\u1ef1 hi\u1ec7n di\u1ec7n c\u1ee7a ng\u01b0\u1eddi th\u1ee9 hai, k\u1ec3 c\u1ea3 \u0111\u1ea1i di\u1ec7n c\u1ee7a ng\u00e2n h\u00e0ng.<\/p>\n

Ng\u00e2n h\u00e0ng kh\u00f4ng c\u00f3 quy\u1ec1n bi\u1ebft nh\u1eefng g\u00ec li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c l\u01b0u gi\u1eef trong k\u00e9t. V\u00ec v\u1eady, ng\u00e2n h\u00e0ng kh\u00f4ng th\u1ec3 th\u1ef1c hi\u1ec7n \u0111\u01b0\u1ee3c c\u00e1c\u00a0nghi\u1ec7p v\u1ee5 li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n nh\u01b0 thu h\u1ed9 l\u1ee3i t\u1ee9c, th\u1ef1c thi c\u00e1c quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 ph\u00e1t sinh t\u1eeb ch\u1ee9ng kho\u00e1n.\u00a0<\/p>\n

Ng\u00e2n h\u00e0ng ch\u1ec9 c\u00f3 quy\u1ec1n thu\u00ea m\u1edf kho\u00e1 k\u00e9t v\u00e0 t\u1ea1m gi\u1eef ch\u1ee9ng kho\u00e1n trong tr\u01b0\u1eddng h\u1ee3p kh\u00e1ch h\u00e0ng kh\u00f4ng thanh to\u00e1n ph\u00ed thu\u00ea k\u00e9t sau m\u1ed9t th\u1eddi h\u1ea1n qui \u0111\u1ecbnh<\/span> trong h\u1ee3p \u0111\u1ed3ng.<\/p>\n

H\u00ecnh th\u1ee9c l\u01b0u k\u00ed<\/span> n\u00e0y v\u1ec1 b\u1ea3n ch\u1ea5t ch\u1ec9 l\u00e0 s\u1ef1 l\u01b0u gi\u1eef, b\u1ea3o qu\u1ea3n ch\u1ee9ng kho\u00e1n cho kh\u00e1ch h\u00e0ng. Trong h\u00ecnh th\u1ee9c n\u00e0y, t\u1ed5 ch\u1ee9c l\u01b0u gi\u1eef ch\u1ec9 ch\u1ecbu tr\u00e1ch\u00a0nhi\u1ec7m b\u1ea3o hi\u1ec3m t\u00e0i s\u1ea3n k\u00ed<\/span> g\u1eedi theo m\u1ed9t h\u1ea1n m\u1ee9c nh\u1ea5t \u0111\u1ecbnh.\u00a0<\/p>\n

M\u1ed9t khi gi\u00e1 tr\u1ecb ch\u1ee9ng kho\u00e1n k\u00ed<\/span> g\u1eedi c\u1ee7a kh\u00e1ch h\u00e0ng tr\u00ean h\u1ea1n m\u1ee9c n\u00e0y v\u1eabn c\u00f2n t\u1ed3n t\u1ea1i th\u00ec\u00a0\u00a0kh\u00e1ch h\u00e0ng ph\u1ea3i th\u00f4ng b\u00e1o cho t\u1ed5 ch\u1ee9c l\u01b0u k\u00ed<\/span> v\u00e0 t\u1ed5 ch\u1ee9c n\u00e0y s\u1ebd th\u1ef1c hi\u1ec7n ch\u1ee9c n\u0103ng “\u0111\u1ea1i l\u00ed h\u1ee3p \u0111\u1ed3ng b\u1ea3o hi\u1ec3m ch\u1ee9ng kho\u00e1n” ph\u1ee5c v\u1ee5 kh\u00e1ch h\u00e0ng l\u01b0u k\u00ed.<\/p>\n

C\u00e1c nguy\u00ean t\u1eafc chung c\u1ee7a ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n<\/font><\/h3>\n

– M\u1ed7i kh\u00e1ch h\u00e0ng ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span> t\u1ea1i m\u1ed9t th\u00e0nh vi\u00ean l\u01b0u\u00a0k\u00ed<\/span>. Kh\u00e1ch h\u00e0ng s\u1ebd \u0111\u1eb7t l\u1ec7nh, giao d\u1ecbch th\u00f4ng qua ch\u00ednh th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span>.<\/p>\n

– Kh\u00e1ch h\u00e0ng l\u00e0 c\u00e1 nh\u00e2n t\u1ed5 ch\u1ee9c trong n\u01b0\u1edbc ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n l\u01b0u\u00a0k\u00ed<\/span> t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> trong n\u01b0\u1edbc.<\/p>\n

Kh\u00e1ch h\u00e0ng l\u00e0 c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c n\u01b0\u1edbc ngo\u00e0i ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span>\u00a0t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> n\u01b0\u1edbc ngo\u00e0i.<\/p>\n

– C\u00e1c th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n cho kh\u00e1ch h\u00e0ng t\u00e1ch bi\u1ec7t v\u1edbi t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n c\u1ee7a ch\u00ednh c\u00e1c th\u00e0nh\u00a0vi\u00ean.<\/p>\n

– C\u00e1c ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft t\u1ea1i S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u1ea3i \u0111\u01b0\u1ee3c l\u01b0u k\u00ed<\/span> t\u1eadp trung t\u1ea1i S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

– S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n m\u1edf v\u00e0 qu\u1ea3n l\u00ed<\/span> t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span> cho c\u00e1c th\u00e0nh vi\u00ean \u0111\u1ec3 h\u1ea1ch\u00a0to\u00e1n v\u00e0 qu\u1ea3n l\u00ed<\/span> c\u00e1c ch\u1ee9ng kho\u00e1n k\u00ed<\/span> g\u1eedi cho th\u00e0nh vi\u00ean. Ph\u1ea7n ch\u1ee9ng kho\u00e1n thu\u1ed9c s\u1edf h\u1eefu kh\u00e1ch h\u00e0ng c\u1ee7a th\u00e0nh vi\u00ean s\u1ebd \u0111\u01b0\u1ee3c h\u1ea1ch to\u00e1n v\u00e0o t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng do S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n m\u1edf \u0111\u1ee9ng t\u00ean th\u00e0nh vi\u00ean.<\/p>\n

– Khi l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n t\u1eadp trung t\u1ea1i S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> ph\u1ea3i n\u1ed9p cho S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ea7y \u0111\u1ee7 c\u00e1c ch\u1ee9ng t\u1eeb theo qui \u0111\u1ecbnh<\/span>.<\/p>\n

– Ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c l\u01b0u k\u00ed<\/span> ph\u1ea3i h\u1ee3p l\u1ec7, kh\u00f4ng b\u1ecb h\u01b0 h\u1ecfng v\u00e0 kh\u00f4ng thu\u1ed9c lo\u1ea1i b\u1ecb c\u1ea5m trao \u0111\u1ed5i.<\/p>\n

– Th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n giao ch\u1ee9ng kho\u00e1n ph\u1ea3i \u0111\u1ea3m b\u1ea3o \u0111\u1ee7 ch\u1ee9ng kho\u00e1n tr\u00ean t\u00e0i kho\u1ea3n thanh to\u00e1n b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n, ph\u00f9 h\u1ee3p v\u1edbi c\u00e1c ch\u1ee9ng t\u1eeb thanh to\u00e1n ch\u1ee9ng kho\u00e1n.<\/p>\n

\u00a0<\/i>(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 L\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n \u0111\u00f3ng l\u00e0 m\u1ed9t h\u00ecnh th\u1ee9c l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n. H\u00ecnh th\u1ee9c l\u01b0u k\u00ed n\u00e0y mang nh\u1eefng \u0111\u1eb7c \u0111i\u1ec3m v\u00e0 l\u1ee3i \u00edch ri\u00eang bi\u1ec7t cho ng\u01b0\u1eddi s\u1eed d\u1ee5ng.\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\/31235"}],"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=31235"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31235\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31235"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31235"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31235"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}