{"id":31241,"date":"2023-12-07T10:27:34","date_gmt":"2023-12-07T10:27:34","guid":{"rendered":"https:\/\/masterskills.org\/blog\/cong-ty-dau-tu-chung-khoan-securities-investment-companies-la-gi.html"},"modified":"2023-12-23T07:29:02","modified_gmt":"2023-12-23T00:29:02","slug":"cong-ty-dau-tu-chung-khoan-securities-investment-companies-la-gi","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/cong-ty-dau-tu-chung-khoan-securities-investment-companies-la-gi.html","title":{"rendered":"C\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (Securities investment companies) l\u00e0 g\u00ec?"},"content":{"rendered":"<div class=\"vnbcbc-body vceditor-content wi-active\" data-role=\"content\">\n<div class=\"VCSortableInPreviewMode\" type=\"Photo\" style=\"\">\n<div><\/div>\n<div class=\"PhotoCMS_Caption\">\n<p>H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: Reuters)<\/p>\n<\/div>\n<\/div>\n<p><font style=\"line-height: 22px; font-size: 22px;\" color=\"#3d85c6\"><b>C\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (Securities investment companies)<\/b><\/font><\/p>\n<p><b>C\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/b> &#8211; danh t\u1eeb, trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c d\u00f9ng b\u1edfi c\u1ee5m t\u1eeb <b>Securities invesment companies<\/b>.<\/p>\n<p><i>Lu\u1eadt ch\u1ee9ng kho\u00e1n hi\u1ec7n h\u00e0nh <\/i>qui \u0111\u1ecbnh nh\u01b0 sau:<\/p>\n<p><i>C\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> l\u00e0 c\u00f4ng ty \u0111\u01b0\u1ee3c t\u1ed5 ch\u1ee9c d\u01b0\u1edbi h\u00ecnh th\u1ee9c c\u00f4ng ty c\u1ed5 ph\u1ea7n theo <span>qui \u0111\u1ecbnh<\/span> c\u1ee7a Lu\u1eadt doanh nghi\u1ec7p \u0111\u1ec3 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n. U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u1ea5p Gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a <i>c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>. Gi\u1ea5y ph\u00e9p n\u00e0y \u0111\u1ed3ng th\u1eddi l\u00e0 Gi\u1ea5y ch\u1ee9ng nh\u1eadn <span>\u0111\u0103ng k\u00ed<\/span> kinh doanh.<\/p>\n<h3><font style=\"line-height: 22px; font-size: 22px;\" color=\"#3d85c6\">\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 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/font><\/h3>\n<p><b>\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 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n \u0111\u1ea1i ch\u00fang<\/b><\/p>\n<p>\u0110i\u1ec1u ki\u1ec7n c\u1ea5p gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a <i>c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n <\/i>\u0111\u1ea1i ch\u00fang bao g\u1ed3m:<\/p>\n<p>a) C\u00f3 v\u1ed1n th\u1ef1c g\u00f3p t\u1ed1i thi\u1ec3u l\u00e0 50 <span>t\u1ec9<\/span> \u0111\u1ed3ng Vi\u1ec7t Nam;<\/p>\n<p>b) C\u00f3 t\u1ed1i thi\u1ec3u 100 c\u1ed5 \u0111\u00f4ng, kh\u00f4ng k\u1ec3 c\u1ed5 \u0111\u00f4ng l\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n chuy\u00ean nghi\u1ec7p;<\/p>\n<p>c) Do m\u1ed9t c\u00f4ng ty <span>qu\u1ea3n l\u00ed<\/span> <span>qu\u0129<\/span> <span>qu\u1ea3n l\u00ed<\/span>;<\/p>\n<p>d) T\u00e0i s\u1ea3n \u0111\u01b0\u1ee3c l\u01b0u k\u00ed t\u1ea1i ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t;<\/p>\n<p>\u0111) T\u1ed1i thi\u1ec3u 2\/3 s\u1ed1 th\u00e0nh vi\u00ean h\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb ph\u1ea3i \u0111\u1ed9c l\u1eadp v\u1edbi c\u00f4ng ty <span>qu\u1ea3n l\u00ed<\/span> <span>qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t theo <span>qui \u0111\u1ecbnh<\/span>.<\/p>\n<p><b>\u0110i\u1ec1u ki\u1ec7n c\u1ea5p gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n ri\u00eang l\u1ebb<\/b><\/p>\n<p>1. \u0110i\u1ec1u ki\u1ec7n c\u1ea5p gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng <i>c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> ri\u00eang l\u1ebb \u1ee7y th\u00e1c <span>qu\u1ea3n l\u00ed<\/span> v\u1ed1n bao g\u1ed3m:<\/p>\n<p>a) C\u00f3 v\u1ed1n th\u1ef1c g\u00f3p t\u1ed1i thi\u1ec3u l\u00e0 50 <span>t\u1ec9<\/span> \u0111\u1ed3ng Vi\u1ec7t Nam;<\/p>\n<p>b) C\u00f3 t\u1ed1i thi\u1ec3u 100 c\u1ed5 \u0111\u00f4ng, kh\u00f4ng k\u1ec3 c\u1ed5 \u0111\u00f4ng l\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n chuy\u00ean nghi\u1ec7p;<\/p>\n<p>c) Do m\u1ed9t c\u00f4ng ty <span>qu\u1ea3n l\u00ed<\/span> <span>qu\u0129<\/span> <span>qu\u1ea3n l\u00ed<\/span>;<\/p>\n<p>d) T\u00e0i s\u1ea3n \u0111\u01b0\u1ee3c l\u01b0u k\u00ed t\u1ea1i ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t;<\/p>\n<p>\u0111) T\u1ed1i thi\u1ec3u 2\/3 s\u1ed1 th\u00e0nh vi\u00ean h\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb ph\u1ea3i \u0111\u1ed9c l\u1eadp v\u1edbi c\u00f4ng ty <span>qu\u1ea3n l\u00ed<\/span> <span>qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t theo <span>qui \u0111\u1ecbnh<\/span>.<\/p>\n<p>e) C\u00f3 t\u1ed1i \u0111a l\u00e0 99 c\u1ed5 \u0111\u00f4ng, kh\u00f4ng t\u00ednh nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n chuy\u00ean nghi\u1ec7p. Trong \u0111\u00f3, m\u1ed7i c\u1ed5 \u0111\u00f4ng l\u00e0 t\u1ed5 ch\u1ee9c ph\u1ea3i g\u00f3p t\u1ed1i thi\u1ec3u l\u00e0 03 <span>t\u1ec9<\/span> \u0111\u1ed3ng Vi\u1ec7t Nam v\u00e0 c\u1ed5 \u0111\u00f4ng c\u00e1 nh\u00e2n ph\u1ea3i g\u00f3p t\u1ed1i thi\u1ec3u 01 <span>t\u1ec9<\/span> \u0111\u1ed3ng Vi\u1ec7t Nam.<\/p>\n<p>2. \u0110i\u1ec1u ki\u1ec7n c\u1ea5p gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng <i>c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n <\/i>ri\u00eang l\u1ebb t\u1ef1 <span>qu\u1ea3n l\u00ed<\/span> v\u1ed1n bao g\u1ed3m:<\/p>\n<p>a) C\u00f3 v\u1ed1n th\u1ef1c g\u00f3p t\u1ed1i thi\u1ec3u l\u00e0 50 <span>t\u1ec9<\/span> \u0111\u1ed3ng Vi\u1ec7t Nam;<\/p>\n<p>b) C\u00f3 t\u1ed1i \u0111a l\u00e0 99 c\u1ed5 \u0111\u00f4ng, kh\u00f4ng t\u00ednh nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n chuy\u00ean nghi\u1ec7p. Trong \u0111\u00f3, m\u1ed7i c\u1ed5 \u0111\u00f4ng l\u00e0 t\u1ed5 ch\u1ee9c ph\u1ea3i g\u00f3p t\u1ed1i thi\u1ec3u l\u00e0 03 <span>t\u1ec9<\/span> \u0111\u1ed3ng Vi\u1ec7t Nam v\u00e0 c\u1ed5 \u0111\u00f4ng c\u00e1 nh\u00e2n ph\u1ea3i g\u00f3p t\u1ed1i thi\u1ec3u 01 <span>t\u1ec9<\/span> \u0111\u1ed3ng Vi\u1ec7t Nam.<\/p>\n<p>c) T\u00e0i s\u1ea3n ph\u1ea3i \u0111\u01b0\u1ee3c l\u01b0u k\u00ed t\u1ea1i ng\u00e2n h\u00e0ng l\u01b0u k\u00ed;<\/p>\n<p>d) C\u1ed5 \u0111\u00f4ng trong n\u01b0\u1edbc c\u1ee7a <b>c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/b> ri\u00eang l\u1ebb ph\u1ea3i l\u00e0 t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng ho\u1eb7c t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n ho\u1eb7c doanh nghi\u1ec7p b\u1ea3o hi\u1ec3m ho\u1eb7c th\u00e0nh vi\u00ean h\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, Gi\u00e1m \u0111\u1ed1c (T\u1ed5ng Gi\u00e1m \u0111\u1ed1c), Ph\u00f3 Gi\u00e1m \u0111\u1ed1c (Ph\u00f3 T\u1ed5ng Gi\u00e1m \u0111\u1ed1c) c\u1ee7a c\u00f4ng ty d\u1ef1 ki\u1ebfn th\u00e0nh l\u1eadp;<\/p>\n<p>\u0111) Gi\u00e1m \u0111\u1ed1c (T\u1ed5ng Gi\u00e1m \u0111\u1ed1c), Ph\u00f3 Gi\u00e1m \u0111\u1ed1c (Ph\u00f3 T\u1ed5ng Gi\u00e1m \u0111\u1ed1c), nh\u00e2n vi\u00ean nghi\u1ec7p v\u1ee5 ph\u1ea3i c\u00f3 t\u1ed1i thi\u1ec3u 05 n\u0103m kinh nghi\u1ec7m trong ho\u1ea1t \u0111\u1ed9ng <span>qu\u1ea3n l\u00ed<\/span> t\u00e0i s\u1ea3n v\u00e0 ph\u00e2n t\u00edch \u0111\u1ea7u t\u01b0, c\u00f3 ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 <span>qu\u1ea3n l\u00ed<\/span> <span>qu\u0129<\/span> ho\u1eb7c c\u00e1c ch\u1ee9ng ch\u1ec9 qu\u1ed1c t\u1ebf theo <span>qui \u0111\u1ecbnh<\/span> c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh.\u00a0 (Theo\u00a0<i>Ngh\u1ecb \u0111\u1ecbnh 58\/2012\/N\u0110-CP<\/i>)<\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"<div class=\"vnbcbc-sapo\" data-role=\"sapo\">\n                            C\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (ti\u1ebfng Anh: Securities investment companies) l\u00e0 c\u00f4ng ty \u0111\u01b0\u1ee3c t\u1ed5 ch\u1ee9c d\u01b0\u1edbi h\u00ecnh th\u1ee9c c\u00f4ng ty c\u1ed5 ph\u1ea7n theo qui \u0111\u1ecbnh c\u1ee7a Lu\u1eadt doanh nghi\u1ec7p \u0111\u1ec3 \u0111\u1ea7u t\u01b0 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\/31241"}],"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=31241"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31241\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31241"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31241"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31241"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}