{"id":31249,"date":"2023-12-07T10:28:00","date_gmt":"2023-12-07T10:28:00","guid":{"rendered":"https:\/\/masterskills.org\/blog\/thanh-tra-chung-khoan-securities-inspectorate-la-gi-doi-tuong-pham-vi-thanh-tra-chung-khoan.html"},"modified":"2023-12-23T07:28:48","modified_gmt":"2023-12-23T00:28:48","slug":"thanh-tra-chung-khoan-securities-inspectorate-la-gi-doi-tuong-pham-vi-thanh-tra-chung-khoan","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/thanh-tra-chung-khoan-securities-inspectorate-la-gi-doi-tuong-pham-vi-thanh-tra-chung-khoan.html","title":{"rendered":"Thanh tra ch\u1ee9ng kho\u00e1n (Securities inspectorate) l\u00e0 g\u00ec? \u0110\u1ed1i t\u01b0\u1ee3ng, ph\u1ea1m vi thanh tra ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: B\u00e1o M\u1edbi)<\/p>\n<\/div>\n<\/div>\n

Thanh tra ch\u1ee9ng kho\u00e1n (Securities inspectorate)<\/b><\/font><\/p>\n

Thanh tra ch\u1ee9ng kho\u00e1n<\/b> – danh t\u1eeb, trong ti\u1ebfng Anh g\u1ecdi l\u00e0 Securities inspectiorate<\/b>.<\/p>\n

Lu\u1eadt ch\u1ee9ng kho\u00e1n n\u0103m 2006 <\/i>qui \u0111\u1ecbnh nh\u01b0 sau:<\/p>\n

Thanh tra ch\u1ee9ng kho\u00e1n<\/i> l\u00e0 thanh tra chuy\u00ean ng\u00e0nh v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n bao g\u1ed3m Ch\u00e1nh thanh tra, Ph\u00f3 Ch\u00e1nh thanh tra v\u00e0 c\u00e1c Thanh tra vi\u00ean. C\u00e1c Thanh tra ch\u1ee9ng kho\u00e1n ch\u1ecbu s\u1ef1 ch\u1ec9 \u0111\u1ea1o v\u1ec1 nghi\u1ec7p v\u1ee5 c\u1ee7a Thanh tra B\u1ed9 T\u00e0i ch\u00ednh theo qui \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u1ec1 thanh tra.<\/p>\n

M\u1ed9t s\u1ed1 qui \u0111\u1ecbnh chung v\u1ec1 thanh tra ch\u1ee9ng kho\u00e1n<\/b><\/font><\/p>\n

H\u00ecnh th\u1ee9c thanh tra
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1. Thanh tra theo ch\u01b0\u01a1ng tr\u00ecnh, k\u1ebf ho\u1ea1ch \u0111\u00e3 \u0111\u01b0\u1ee3c Ch\u1ee7 t\u1ecbch U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ph\u00ea duy\u1ec7t.<\/p>\n

2. Thanh tra \u0111\u1ed9t xu\u1ea5t \u0111\u01b0\u1ee3c ti\u1ebfn h\u00e0nh khi ph\u00e1t hi\u1ec7n t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n tham gia \u0111\u1ea7u t\u01b0 v\u00e0 ho\u1ea1t \u0111\u1ed9ng tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n c\u00f3 d\u1ea5u hi\u1ec7u vi ph\u1ea1m ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n; theo y\u00eau c\u1ea7u c\u1ee7a vi\u1ec7c gi\u1ea3i quy\u1ebft khi\u1ebfu n\u1ea1i, t\u1ed1 c\u00e1o ho\u1eb7c do Ch\u1ee7 t\u1ecbch U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc giao.<\/p>\n

Th\u1ea9m quy\u1ec1n, c\u0103n c\u1ee9 ra quy\u1ebft \u0111\u1ecbnh thanh tra
<\/b><\/p>\n

1. Ho\u1ea1t \u0111\u1ed9ng thanh tra ch\u1ee9ng kho\u00e1n<\/i> ch\u1ec9 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n khi c\u00f3 quy\u1ebft \u0111\u1ecbnh thanh tra c\u1ee7a ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n theo qui \u0111\u1ecbnh.<\/p>\n

2. Ch\u00e1nh Thanh tra ch\u1ee9ng kho\u00e1n<\/i> ra quy\u1ebft \u0111\u1ecbnh thanh tra v\u00e0 th\u00e0nh l\u1eadp \u0110o\u00e0n thanh tra. Khi x\u00e9t th\u1ea5y c\u1ea7n thi\u1ebft, Ch\u1ee7 t\u1ecbch U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ra quy\u1ebft \u0111\u1ecbnh thanh tra v\u00e0 th\u00e0nh l\u1eadp \u0110o\u00e0n thanh tra.<\/p>\n

\u0110o\u00e0n thanh tra c\u00f3 Tr\u01b0\u1edfng \u0110o\u00e0n thanh tra v\u00e0 c\u00e1c th\u00e0nh vi\u00ean \u0110o\u00e0n thanh tra.<\/p>\n

3. Vi\u1ec7c ra quy\u1ebft \u0111\u1ecbnh thanh tra ph\u1ea3i c\u00f3 m\u1ed9t trong c\u00e1c c\u0103n c\u1ee9 sau \u0111\u00e2y:<\/p>\n

a) Ch\u01b0\u01a1ng tr\u00ecnh, k\u1ebf ho\u1ea1ch thanh tra \u0111\u00e3 \u0111\u01b0\u1ee3c Ch\u1ee7 t\u1ecbch U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ph\u00ea duy\u1ec7t;<\/p>\n

b) Y\u00eau c\u1ea7u c\u1ee7a Ch\u1ee7 t\u1ecbch U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/p>\n

c) Khi ph\u00e1t hi\u1ec7n c\u00f3 d\u1ea5u hi\u1ec7u vi ph\u1ea1m ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/p>\n

\u0110\u1ed1i t\u01b0\u1ee3ng v\u00e0 ph\u1ea1m vi thanh tra ch\u1ee9ng kho\u00e1n\u00a0<\/span><\/b><\/font><\/h3>\n

\u0110\u1ed1i t\u01b0\u1ee3ng thanh tra<\/b><\/p>\n

1. T\u1ed5 ch\u1ee9c ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang;<\/p>\n

2. C\u00f4ng ty \u0111\u1ea1i ch\u00fang;<\/p>\n

3. T\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n;<\/p>\n

4. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m giao d\u1ecbch ch\u1ee9ng kho\u00e1n;<\/p>\n

5. Trung t\u00e2m l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00ed;<\/p>\n

6. C\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t; chi nh\u00e1nh v\u00e0 v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 n\u01b0\u1edbc ngo\u00e0i t\u1ea1i Vi\u1ec7t Nam;<\/p>\n

7. Ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n;<\/p>\n

8. T\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n tham gia \u0111\u1ea7u t\u01b0 v\u00e0 ho\u1ea1t \u0111\u1ed9ng tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n;<\/p>\n

9. T\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/p>\n

Ph\u1ea1m vi thanh tra<\/b><\/p>\n

1. Ho\u1ea1t \u0111\u1ed9ng ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang;<\/p>\n

2. Ho\u1ea1t \u0111\u1ed9ng ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n;<\/p>\n

3. Ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n;<\/p>\n

4. Ho\u1ea1t \u0111\u1ed9ng kinh doanh, \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, d\u1ecbch v\u1ee5 v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n;<\/p>\n

5. Ho\u1ea1t \u0111\u1ed9ng c\u00f4ng b\u1ed1 th\u00f4ng tin;<\/p>\n

6. C\u00e1c ho\u1ea1t \u0111\u1ed9ng kh\u00e1c c\u00f3 li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng 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 Thanh tra ch\u1ee9ng kho\u00e1n (ti\u1ebfng Anh: Securities inspectorate) l\u00e0 nh\u1eefng ng\u01b0\u1eddi th\u1ef1c hi\u1ec7n vi\u1ec7c thanh tra c\u00e1c ho\u1ea1t \u0111\u1ed9ng ch\u1ee9ng kho\u00e1n, bao g\u1ed3m c\u00e1c giao d\u1ecbch v\u00e0 c\u00e1c ho\u1ea1t \u0111\u1ed9ng \u0111\u1ea7u t\u01b0. H\u1ecd l\u00e0 nh\u1eefng ng\u01b0\u1eddi g\u00f3p ph\u1ea7n l\u00e0m l\u00e0nh m\u1ea1nh th\u1ecb tr\u01b0\u1eddng 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\/31249"}],"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=31249"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31249\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31249"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31249"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31249"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}