{"id":31237,"date":"2023-12-07T10:27:23","date_gmt":"2023-12-07T10:27:23","guid":{"rendered":"https:\/\/masterskills.org\/blog\/cong-ty-quan-li-qui-fund-management-companies-la-gi.html"},"modified":"2023-12-23T08:00:59","modified_gmt":"2023-12-23T01:00:59","slug":"cong-ty-quan-li-qui-fund-management-companies-la-gi","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/cong-ty-quan-li-qui-fund-management-companies-la-gi.html","title":{"rendered":"C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 (Fund management companies) l\u00e0 g\u00ec?"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: Goldstreet Business)<\/p>\n<\/div>\n<\/div>\n

C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 (Fund management companies)<\/font><\/h2>\n

C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 <\/b>– danh t\u1eeb, trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c d\u00f9ng b\u1edfi c\u1ee5m t\u1eeb Fund management companies<\/b>.<\/p>\n

Lu\u1eadt ch\u1ee9ng kho\u00e1n hi\u1ec7n h\u00e0nh <\/i>qui \u0111\u1ecbnh: “C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/i> bao g\u1ed3m <\/span> c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span><\/i> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c t\u1ed5 ch\u1ee9c d\u01b0\u1edbi h\u00ecnh th\u1ee9c c\u00f4ng ty tr\u00e1ch nhi\u1ec7m h\u1eefu h\u1ea1n ho\u1eb7c c\u00f4ng ty c\u1ed5 ph\u1ea7n theo qui \u0111\u1ecbnh<\/span> c\u1ee7a\u00a0Lu\u1eadt doanh nghi\u1ec7p.”<\/p>\n

Qui \u0111\u1ecbnh chung v\u1ec1 c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/font><\/h3>\n

Nghi\u1ec7p v\u1ee5 kinh doanh c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span>\u00a0
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1. C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span> <\/i>\u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n c\u00e1c nghi\u1ec7p v\u1ee5 kinh doanh sau \u0111\u00e2y:<\/p>\n

a) Qu\u1ea3n l\u00ed qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/p>\n

b) Qu\u1ea3n l\u00ed danh m\u1ee5c \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n.<\/p>\n

2. C\u00e1c nghi\u1ec7p v\u1ee5 kinh doanh qui \u0111\u1ecbnh<\/span> trong m\u1ed9t Gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span><\/i>.<\/p>\n

3. Ngo\u00e0i c\u00e1c nghi\u1ec7p v\u1ee5 kinh doanh qui \u0111\u1ecbnh<\/span>, c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span> <\/i>\u0111\u01b0\u1ee3c huy \u0111\u1ed9ng v\u00e0 qu\u1ea3n l\u00ed c\u00e1c qu\u0129 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i c\u00f3 m\u1ee5c ti\u00eau \u0111\u1ea7u t\u01b0 v\u00e0o Vi\u1ec7t Nam.<\/p>\n

\u0110i\u1ec1u ki\u1ec7n c\u1ea5p Gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span><\/b><\/p>\n

1. \u0110i\u1ec1u ki\u1ec7n c\u1ea5p Gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a <\/span> c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span><\/i> bao g\u1ed3m:<\/p>\n

a) C\u00f3 tr\u1ee5 s\u1edf; c\u00f3 trang b\u1ecb, thi\u1ebft b\u1ecb ph\u1ee5c v\u1ee5 ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n, \u0111\u1ed1i v\u1edbi nghi\u1ec7p v\u1ee5 b\u1ea3o l\u00e3nh ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n v\u00e0 t\u01b0 v\u1ea5n \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n th\u00ec kh\u00f4ng ph\u1ea3i \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n v\u1ec1 trang b\u1ecb, thi\u1ebft b\u1ecb;<\/p>\n

b) C\u00f3 \u0111\u1ee7 v\u1ed1n ph\u00e1p \u0111\u1ecbnh theo qui \u0111\u1ecbnh<\/span> c\u1ee7a Ch\u00ednh ph\u1ee7;<\/p>\n

c) Gi\u00e1m \u0111\u1ed1c ho\u1eb7c T\u1ed5ng gi\u00e1m \u0111\u1ed1c v\u00e0 c\u00e1c nh\u00e2n vi\u00ean th\u1ef1c hi\u1ec7n nghi\u1ec7p v\u1ee5 kinh doanh ch\u1ee9ng kho\u00e1n ph\u1ea3i c\u00f3 Ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n.<\/p>\n

2. Tr\u01b0\u1eddng h\u1ee3p c\u1ed5 \u0111\u00f4ng s\u00e1ng l\u1eadp ho\u1eb7c th\u00e0nh vi\u00ean s\u00e1ng l\u1eadp l\u00e0 c\u00e1 nh\u00e2n ph\u1ea3i c\u00f3 n\u0103ng l\u1ef1c h\u00e0nh vi d\u00e2n s\u1ef1 \u0111\u1ea7y \u0111\u1ee7, kh\u00f4ng thu\u1ed9c tr\u01b0\u1eddng h\u1ee3p \u0111ang ph\u1ea3i ch\u1ea5p h\u00e0nh h\u00ecnh ph\u1ea1t t\u00f9 ho\u1eb7c \u0111ang b\u1ecb To\u00e0 \u00e1n c\u1ea5m h\u00e0nh ngh\u1ec1 kinh doanh; tr\u01b0\u1eddng h\u1ee3p l\u00e0 ph\u00e1p nh\u00e2n ph\u1ea3i \u0111ang ho\u1ea1t \u0111\u1ed9ng h\u1ee3p ph\u00e1p v\u00e0 c\u00f3 \u0111\u1ee7 n\u0103ng l\u1ef1c t\u00e0i ch\u00ednh \u0111\u1ec3 tham gia g\u00f3p v\u1ed1n.\u00a0<\/p>\n

C\u00e1c c\u1ed5 \u0111\u00f4ng s\u00e1ng l\u1eadp ho\u1eb7c th\u00e0nh vi\u00ean s\u00e1ng l\u1eadp ph\u1ea3i s\u1eed d\u1ee5ng ngu\u1ed3n v\u1ed1n c\u1ee7a ch\u00ednh m\u00ecnh \u0111\u1ec3 g\u00f3p v\u1ed1n th\u00e0nh l\u1eadp <\/span> c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/span><\/i>.<\/p>\n

Ngh\u0129a v\u1ee5 c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129<\/font><\/b><\/h3>\n

1. Thi\u1ebft l\u1eadp h\u1ec7 th\u1ed1ng ki\u1ec3m so\u00e1t n\u1ed9i b\u1ed9, qu\u1ea3n tr\u1ecb r\u1ee7i ro v\u00e0 gi\u00e1m s\u00e1t, ng\u0103n ng\u1eeba nh\u1eefng xung \u0111\u1ed9t l\u1ee3i \u00edch trong n\u1ed9i b\u1ed9 c\u00f4ng ty v\u00e0 trong giao d\u1ecbch v\u1edbi ng\u01b0\u1eddi c\u00f3 li\u00ean quan.<\/p>\n

2. K\u00ed h\u1ee3p \u0111\u1ed3ng b\u1eb1ng v\u0103n b\u1ea3n v\u1edbi kh\u00e1ch h\u00e0ng khi cung c\u1ea5p d\u1ecbch v\u1ee5 cho kh\u00e1ch h\u00e0ng; cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7, trung th\u1ef1c th\u00f4ng tin cho kh\u00e1ch h\u00e0ng.<\/p>\n

3. \u01afu ti\u00ean th\u1ef1c hi\u1ec7n l\u1ec7nh c\u1ee7a kh\u00e1ch h\u00e0ng tr\u01b0\u1edbc l\u1ec7nh c\u1ee7a c\u00f4ng ty.<\/p>\n

4. Thu th\u1eadp, t\u00ecm hi\u1ec3u th\u00f4ng tin v\u1ec1 t\u00ecnh h\u00ecnh t\u00e0i ch\u00ednh, m\u1ee5c ti\u00eau \u0111\u1ea7u t\u01b0, kh\u1ea3 n\u0103ng ch\u1ea5p nh\u1eadn r\u1ee7i ro c\u1ee7a kh\u00e1ch h\u00e0ng; b\u1ea3o \u0111\u1ea3m c\u00e1c khuy\u1ebfn ngh\u1ecb, t\u01b0 v\u1ea5n \u0111\u1ea7u t\u01b0 c\u1ee7a c\u00f4ng ty cho kh\u00e1ch h\u00e0ng ph\u1ea3i ph\u00f9 h\u1ee3p v\u1edbi kh\u00e1ch h\u00e0ng \u0111\u00f3.<\/p>\n

5. Tu\u00e2n th\u1ee7 c\u00e1c qui \u0111\u1ecbnh<\/span> b\u1ea3o \u0111\u1ea3m v\u1ed1n kh\u1ea3 d\u1ee5ng theo qui \u0111\u1ecbnh<\/span> c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh.<\/p>\n

6. Mua b\u1ea3o hi\u1ec3m tr\u00e1ch nhi\u1ec7m ngh\u1ec1 nghi\u1ec7p cho nghi\u1ec7p v\u1ee5 kinh doanh ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00f4ng ty ho\u1eb7c tr\u00edch l\u1eadp qu\u0129 b\u1ea3o v\u1ec7 nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u1ec3 b\u1ed3i th\u01b0\u1eddng thi\u1ec7t h\u1ea1i cho nh\u00e0 \u0111\u1ea7u t\u01b0 do s\u1ef1 c\u1ed1 k\u0129 thu\u1eadt v\u00e0 s\u01a1 su\u1ea5t c\u1ee7a nh\u00e2n vi\u00ean trong c\u00f4ng ty.<\/p>\n

7. Th\u1ef1c hi\u1ec7n vi\u1ec7c b\u00e1n ho\u1eb7c cho kh\u00e1ch h\u00e0ng b\u00e1n ch\u1ee9ng kho\u00e1n khi kh\u00f4ng s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n v\u00e0 cho kh\u00e1ch h\u00e0ng vay ch\u1ee9ng kho\u00e1n \u0111\u1ec3 b\u00e1n theo qui \u0111\u1ecbnh<\/span> c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh.<\/p>\n

8. Tu\u00e2n th\u1ee7 c\u00e1c qui \u0111\u1ecbnh<\/span> c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh v\u1ec1 nghi\u1ec7p v\u1ee5 kinh doanh ch\u1ee9ng kho\u00e1n.<\/p>\n

9. Th\u1ef1c hi\u1ec7n ch\u1ebf \u0111\u1ed9 k\u1ebf to\u00e1n, ki\u1ec3m to\u00e1n, th\u1ed1ng k\u00ea, ngh\u0129a v\u1ee5 t\u00e0i ch\u00ednh theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt.<\/p>\n

10. Th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin theo qui \u0111\u1ecbnh<\/span> ph\u00e1p lu\u1eadt v\u00e0 ch\u1ebf \u0111\u1ed9 b\u00e1o c\u00e1o theo qui \u0111\u1ecbnh<\/span> c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh.<\/p>\n

11. Th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng qu\u1ea3n l\u00ed qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, qu\u1ea3n l\u00ed danh m\u1ee5c \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n theo qui \u0111\u1ecbnh<\/span>, \u0110i\u1ec1u l\u1ec7 qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, h\u1ee3p \u0111\u1ed3ng k\u00ed v\u1edbi kh\u00e1ch h\u00e0ng u\u1ef7 th\u00e1c \u0111\u1ea7u t\u01b0 v\u00e0 h\u1ee3p \u0111\u1ed3ng k\u00ed v\u1edbi ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t. (Theo Lu\u1eadt ch\u1ee9ng kho\u00e1n n\u0103m 2006<\/i>)<\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 (ti\u1ebfng Anh: Fund management companies) l\u00e0 c\u00f4ng ty th\u1ef1c hi\u1ec7n ch\u1ee9c n\u0103ng v\u1ec1 qu\u1ea3n l\u00ed v\u1ed1n t\u00e0i s\u1ea3n th\u00f4ng qua vi\u1ec7c \u0111\u1ea7u t\u01b0 theo danh m\u1ee5c \u0111\u1ea7u t\u01b0 hi\u1ec7u qu\u1ea3 nh\u1ea5t nh\u1eb1m gia t\u0103ng gi\u00e1 tr\u1ecb c\u1ee7a qu\u0129 \u0111\u1ea7u t\u01b0.\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\/31237"}],"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=31237"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31237\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31237"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31237"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31237"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}