{"id":31247,"date":"2023-12-07T10:27:53","date_gmt":"2023-12-07T10:27:53","guid":{"rendered":"https:\/\/masterskills.org\/blog\/ngan-hang-giam-sat-supervisory-banks-la-gi-nghia-vu-cua-ngan-hang-giam-sat.html"},"modified":"2023-12-23T08:01:00","modified_gmt":"2023-12-23T01:01:00","slug":"ngan-hang-giam-sat-supervisory-banks-la-gi-nghia-vu-cua-ngan-hang-giam-sat","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/ngan-hang-giam-sat-supervisory-banks-la-gi-nghia-vu-cua-ngan-hang-giam-sat.html","title":{"rendered":"Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t (Supervisory banks) l\u00e0 g\u00ec? Ngh\u0129a v\u1ee5 c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: \u0110\u1ea1i \u0110o\u00e0n K\u1ebft)<\/p>\n<\/div>\n<\/div>\n

Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t (Supervisory banks)<\/b><\/font><\/p>\n

Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/b> – danh t\u1eeb, trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c g\u1ecdi l\u00e0 Supervisory banks<\/b>.<\/p>\n

Lu\u1eadt ch\u1ee9ng kho\u00e1n hi\u1ec7n h\u00e0nh <\/i>qui \u0111\u1ecbnh: “Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/i> l\u00e0 ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i c\u00f3 Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00ed<\/span> ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n c\u00f3 ch\u1ee9c n\u0103ng th\u1ef1c hi\u1ec7n c\u00e1c d\u1ecbch v\u1ee5 l\u01b0u k\u00ed<\/span> v\u00e0 gi\u00e1m s\u00e1t vi\u1ec7c qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> \u0111\u1ea1i ch\u00fang, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n.”<\/p>\n

Qui \u0111\u1ecbnh chung v\u1ec1 ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t\u00a0<\/font><\/h3>\n

1. Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/i> ph\u1ea3i ho\u00e0n to\u00e0n \u0111\u1ed9c l\u1eadp v\u00e0 t\u00e1ch bi\u1ec7t v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> m\u00e0 ng\u00e2n h\u00e0ng cung c\u1ea5p d\u1ecbch v\u1ee5 gi\u00e1m s\u00e1t.<\/p>\n

2. Th\u00e0nh vi\u00ean h\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, th\u00e0nh vi\u00ean ban \u0111i\u1ec1u h\u00e0nh v\u00e0 nh\u00e2n vi\u00ean c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t <\/i>tr\u1ef1c ti\u1ebfp l\u00e0m nhi\u1ec7m v\u1ee5 b\u1ea3o qu\u1ea3n t\u00e0i s\u1ea3n qu\u0129 <\/span> v\u00e0 gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng qu\u1ea3n l\u00ed<\/span> t\u00e0i s\u1ea3n c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> kh\u00f4ng \u0111\u01b0\u1ee3c l\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan ho\u1eb7c tham gia \u0111i\u1ec1u h\u00e0nh, qu\u1ea3n tr\u1ecb c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> ho\u1eb7c c\u00f3 quan h\u1ec7 s\u1edf h\u1eefu, tham gia g\u00f3p v\u1ed1n, n\u1eafm gi\u1eef c\u1ed5 ph\u1ea7n, vay ho\u1eb7c cho vay v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> m\u00e0 ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/i> cung c\u1ea5p d\u1ecbch v\u1ee5 gi\u00e1m s\u00e1t v\u00e0 ng\u01b0\u1ee3c l\u1ea1i.<\/p>\n

3. Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/i>, th\u00e0nh vi\u00ean h\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, th\u00e0nh vi\u00ean ban \u0111i\u1ec1u h\u00e0nh v\u00e0 nh\u00e2n vi\u00ean nghi\u1ec7p v\u1ee5 kh\u00f4ng \u0111\u01b0\u1ee3c l\u00e0 c\u00e1c \u0111\u1ed1i t\u00e1c mua, b\u00e1n trong giao d\u1ecbch mua, b\u00e1n t\u00e0i s\u1ea3n c\u1ee7a qu\u0129<\/span>, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p c\u00e1c giao d\u1ecbch ngo\u1ea1i h\u1ed1i ph\u00f9 h\u1ee3p v\u1edbi qui \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt li\u00ean quan, ho\u1eb7c c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n th\u00f4ng qua h\u1ec7 th\u1ed1ng giao d\u1ecbch c\u1ee7a S\u1edf Giao d\u1ecbch Ch\u1ee9ng kho\u00e1n.<\/p>\n

4. N\u1ebfu ph\u00e1t sinh c\u00e1c tr\u01b0\u1eddng h\u1ee3p khi\u1ebfn cho ng\u00e2n h\u00e0ng kh\u00f4ng c\u00f2n \u0111\u00e1p \u1ee9ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n qui \u0111\u1ecbnh, trong th\u1eddi h\u1ea1n 24 gi\u1edd k\u1ec3 t\u1eeb th\u1eddi \u0111i\u1ec3m ph\u00e1t sinh, ng\u00e2n h\u00e0ng ph\u1ea3i th\u00f4ng b\u00e1o cho c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> v\u00e0 U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc.<\/p>\n

5. \u0110\u1ec3 gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/i> ph\u1ea3i c\u00f3 t\u1ed1i thi\u1ec3u 02 nh\u00e2n vi\u00ean c\u00f3 c\u00e1c ch\u1ee9ng ch\u1ec9 sau:<\/p>\n

a) Ch\u1ee9ng ch\u1ec9 v\u1ec1 ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n;<\/p>\n

b) Ch\u1ee9ng chi\u0309 c\u01a1 b\u1ea3n v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n; ho\u1eb7c \u0111\u00e3 c\u00f3 ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 kinh doanh ch\u1ee9ng kho\u00e1n ho\u1eb7c \u0111\u00e3 thi \u0111\u1ea1t ch\u1ee9ng ch\u1ec9 qu\u1ed1c t\u1ebf v\u1ec1 ph\u00e2n t\u00edch \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n CFA t\u1eeb b\u1eadc 1 tr\u1edf l\u00ean (Chartered Financial Analyst level 1), CIIA (Certified International Investment Analyst) t\u1eeb b\u1eadc 1 tr\u1edf l\u00ean; ho\u1eb7c ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 kinh doanh ch\u1ee9ng kho\u00e1n c\u1ea5p t\u1ea1i c\u00e1c qu\u1ed1c gia l\u00e0 th\u00e0nh vi\u00ean c\u1ee7a T\u1ed5 ch\u1ee9c h\u1ee3p t\u00e1c v\u00e0 ph\u00e1t tri\u1ec3n kinh t\u1ebf (OECD);<\/p>\n

c) Ch\u1ee9ng ch\u1ec9 k\u1ebf to\u00e1n, ho\u1eb7c ch\u1ee9ng ch\u1ec9 k\u1ebf to\u00e1n tr\u01b0\u1edfng, ho\u1eb7c ki\u1ec3m to\u00e1n, ho\u1eb7c \u0111\u00e3 c\u00f3 c\u00e1c ch\u1ee9ng ch\u1ec9 qu\u1ed1c t\u1ebf trong l\u0129nh v\u1ef1c k\u1ebf to\u00e1n, ki\u1ec3m to\u00e1n ACCA (Association of Chartered Certified Accountants),CPA (Certified Public Accountants), CA (Chartered Accountants), ACA (Associate Chartered Accountants). (Theo Th\u00f4ng t\u01b0 s\u1ed1\u00a0224\/2012\/TT-BTC\u00a0h\u01b0\u1edbng d\u1eabn th\u00e0nh l\u1eadp v\u00e0 qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> \u0111\u00f3ng, qu\u0129 <\/span> th\u00e0nh vi\u00ean<\/i>)<\/p>\n

Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t c\u00f3 c\u00e1c ngh\u0129a v\u1ee5 sau \u0111\u00e2y<\/font><\/h3>\n

1. Th\u1ef1c hi\u1ec7n c\u00e1c ngh\u0129a v\u1ee5 nh\u01b0 trung t\u00e2m l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n;<\/p>\n

2. Th\u1ef1c hi\u1ec7n l\u01b0u k\u00ed<\/span> t\u00e0i s\u1ea3n c\u1ee7a qu\u0129 <\/span> \u0111\u1ea1i ch\u00fang, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n; qu\u1ea3n l\u00ed<\/span> t\u00e1ch bi\u1ec7t t\u00e0i s\u1ea3n c\u1ee7a qu\u0129 <\/span> \u0111\u1ea1i ch\u00fang, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u00e0i s\u1ea3n kh\u00e1c c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/b>;<\/p>\n

3. Gi\u00e1m s\u00e1t \u0111\u1ec3 b\u1ea3o \u0111\u1ea3m c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> \u0111\u1ea1i ch\u00fang, Gi\u00e1m \u0111\u1ed1c ho\u1eb7c T\u1ed5ng gi\u00e1m \u0111\u1ed1c c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n qu\u1ea3n l\u00ed<\/span> t\u00e0i s\u1ea3n c\u1ee7a c\u00f4ng ty tu\u00e2n th\u1ee7 qui \u0111\u1ecbnh<\/span> ph\u00e1p lu\u1eadt v\u00e0 \u0110i\u1ec1u l\u1ec7 qu\u0129 <\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, \u0110i\u1ec1u l\u1ec7 c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/p>\n

4. Th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng thu, chi, thanh to\u00e1n v\u00e0 chuy\u1ec3n giao ti\u1ec1n, ch\u1ee9ng kho\u00e1n li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u0129 <\/span> \u0111\u1ea1i ch\u00fang, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n theo y\u00eau c\u1ea7u h\u1ee3p ph\u00e1p c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129 <\/span> ho\u1eb7c Gi\u00e1m \u0111\u1ed1c ho\u1eb7c T\u1ed5ng gi\u00e1m \u0111\u1ed1c c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/p>\n

5. X\u00e1c nh\u1eadn b\u00e1o c\u00e1o do c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n l\u1eadp c\u00f3 li\u00ean quan \u0111\u1ebfn qu\u0129 <\/span> \u0111\u1ea1i ch\u00fang, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/p>\n

6. Gi\u00e1m s\u00e1t vi\u1ec7c tu\u00e2n th\u1ee7 ch\u1ebf \u0111\u1ed9 b\u00e1o c\u00e1o v\u00e0 c\u00f4ng b\u1ed1 th\u00f4ng tin c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt;<\/p>\n

7. B\u00e1o c\u00e1o U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc khi ph\u00e1t hi\u1ec7n c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n v\u00e0 t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n c\u00f3 li\u00ean quan vi ph\u1ea1m ph\u00e1p lu\u1eadt ho\u1eb7c \u0110i\u1ec1u l\u1ec7 qu\u0129 <\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, \u0110i\u1ec1u l\u1ec7 c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/p>\n

8. \u0110\u1ecbnh k\u00ec<\/span> c\u00f9ng c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n \u0111\u1ed1i chi\u1ebfu s\u1ed5 k\u1ebf to\u00e1n, b\u00e1o c\u00e1o t\u00e0i ch\u00ednh v\u00e0 ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch c\u1ee7a qu\u0129 <\/span> \u0111\u1ea1i ch\u00fang, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/p>\n

9. C\u00e1c ngh\u0129a v\u1ee5 theo \u0110i\u1ec1u l\u1ec7 qu\u0129 <\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, \u0110i\u1ec1u l\u1ec7 c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n. (Theo Lu\u1eadt ch\u1ee9ng kho\u00e1n n\u0103m 2006<\/i>)<\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t (ti\u1ebfng Anh: Supervisory banks) \u0111\u01b0\u1ee3c hi\u1ec3u l\u00e0 t\u1ed5 ch\u1ee9c ngo\u00e0i c\u00e1c ch\u1ee9c n\u0103ng nh\u01b0 m\u1ed9t ng\u00e2n h\u00e0ng, n\u00f3 c\u00f2n th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng gi\u00e1m s\u00e1t vi\u1ec7c qu\u1ea3n l\u00ed qu\u0129 \u0111\u1ea1i ch\u00fang v\u00e0 th\u1ef1c hi\u1ec7n c\u00e1c d\u1ecbch v\u1ee5 l\u01b0u k\u00ed.\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\/31247"}],"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=31247"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31247\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31247"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31247"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31247"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}