{"id":31257,"date":"2023-12-07T10:28:29","date_gmt":"2023-12-07T10:28:29","guid":{"rendered":"https:\/\/masterskills.org\/blog\/qui-mo-open-end-funds-la-gi-phap-luat-qui-dinh-nhu-the-nao-ve-qui-mo.html"},"modified":"2023-12-23T08:01:00","modified_gmt":"2023-12-23T01:01:00","slug":"qui-mo-open-end-funds-la-gi-phap-luat-qui-dinh-nhu-the-nao-ve-qui-mo","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/qui-mo-open-end-funds-la-gi-phap-luat-qui-dinh-nhu-the-nao-ve-qui-mo.html","title":{"rendered":"Qu\u0129 m\u1edf (Open-end funds) l\u00e0 g\u00ec? Ph\u00e1p lu\u1eadt qui \u0111\u1ecbnh nh\u01b0 th\u1ebf n\u00e0o v\u1ec1 qu\u0129 m\u1edf?"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: EZ Tech Class)<\/p>\n<\/div>\n<\/div>\n

Qu\u0129 m\u1edf (Open-end funds)<\/font><\/h2>\n

Qu\u0129 m\u1edf <\/b>– danh t\u1eeb, trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c g\u1ecdi l\u00e0 Open-end funds<\/b>.<\/p>\n

Qu\u0129 m\u1edf<\/i>\u00a0l\u00e0 qu\u0129<\/span> \u0111\u1ea1i ch\u00fang m\u00e0 ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> \u0111\u00e3 ch\u00e0o b\u00e1n ra c\u00f4ng ch\u00fang ph\u1ea3i \u0111\u01b0\u1ee3c mua l\u1ea1i theo y\u00eau c\u1ea7u c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0. (Theo V\u0103n b\u1ea3n h\u1ee3p nh\u1ea5t s\u1ed1\u00a027\/VBHN-VPQH<\/i>)<\/p>\n

Qu\u0129 m\u1edf<\/i> \u0111\u01b0\u1ee3c chia \u0111\u1ec1u l\u00e0m nhi\u1ec1u\u00a0c\u1ed5 ph\u1ea7n m\u00e0 gi\u00e1 c\u1ee7a n\u00f3 c\u00f3 th\u1ec3 thay \u0111\u1ed5i v\u1edbi m\u1ed9t t\u1ec9 l\u1ec7 c\u1ed1 \u0111\u1ecbnh theo gi\u00e1 tr\u1ecb thu\u1ea7n c\u1ee7a qu\u0129.\u00a0<\/p>\n

M\u1ed7i khi m\u1ed9t s\u1ed1 l\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu nh\u1ea5t \u0111\u1ecbnh \u0111\u01b0\u1ee3c qu\u0129 mua l\u1ea1i th\u00ec m\u1ed9t l\u01b0\u1ee3ng t\u00e0i s\u1ea3n t\u01b0\u01a1ng \u1ee9ng \u0111\u01b0\u1ee3c b\u00e1n ra. Ng\u01b0\u1ee3c l\u1ea1i, m\u1ed7i khi c\u00f3 th\u00eam ti\u1ec1n \u0111\u01b0\u1ee3c \u0111\u1ea7u t\u01b0 v\u00e0o qu\u0129, l\u1ea1i c\u00f3 m\u1ed9t l\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu t\u01b0\u01a1ng \u1ee9ng \u0111\u01b0\u1ee3c t\u1ea1o ra ph\u00f9 h\u1ee3p v\u1edbi gi\u00e1 c\u1ed5 phi\u1ebfu hi\u1ec7n h\u00e0nh.\u00a0<\/p>\n

Qu\u0129 m\u1edf trong c\u00e1c qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt<\/font><\/h3>\n

C\u00e1c qui \u0111\u1ecbnh<\/span> chung\u00a0<\/b><\/p>\n

1. Vi\u1ec7c c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t thay m\u1eb7t qu\u0129<\/span> m\u1edf<\/i> mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf <\/i>t\u1eeb nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 b\u00e1n l\u1ea1i ho\u1eb7c ph\u00e1t h\u00e0nh th\u00eam ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i> trong ph\u1ea1m vi v\u1ed1n g\u00f3p t\u1ed1i \u0111a c\u1ee7a qu\u0129<\/span> kh\u00f4ng c\u1ea7n c\u00f3 quy\u1ebft \u0111\u1ecbnh c\u1ee7a \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0.<\/p>\n

2. T\u1ea7n su\u1ea5t v\u00e0 th\u1eddi gian c\u1ee5 th\u1ec3 mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i> \u0111\u01b0\u1ee3c qui \u0111\u1ecbnh<\/span> c\u1ee5 th\u1ec3 trong \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span>.<\/p>\n

3. C\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> kh\u00f4ng ph\u1ea3i thay m\u1eb7t qu\u0129<\/span> m\u1edf<\/i> th\u1ef1c hi\u1ec7n vi\u1ec7c mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i> khi x\u1ea3y ra m\u1ed9t trong c\u00e1c s\u1ef1 ki\u1ec7n sau \u0111\u00e2y:<\/p>\n

a) C\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> kh\u00f4ng th\u1ec3 th\u1ef1c hi\u1ec7n vi\u1ec7c mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i> theo y\u00eau c\u1ea7u do nguy\u00ean nh\u00e2n b\u1ea5t kh\u1ea3 kh\u00e1ng;<\/p>\n

b) C\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> kh\u00f4ng th\u1ec3 x\u00e1c \u0111\u1ecbnh gi\u00e1 tr\u1ecb t\u00e0i s\u1ea3n r\u00f2ng c\u1ee7a qu\u0129<\/span> m\u1edf <\/i>v\u00e0o ng\u00e0y \u0111\u1ecbnh gi\u00e1 mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i> do S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n ho\u1eb7c Trung t\u00e2m giao d\u1ecbch ch\u1ee9ng kho\u00e1n quy\u1ebft \u0111\u1ecbnh \u0111\u00ecnh ch\u1ec9 giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong danh m\u1ee5c \u0111\u1ea7u t\u01b0 c\u1ee7a qu\u0129<\/span>;<\/p>\n

c) C\u00e1c s\u1ef1 ki\u1ec7n kh\u00e1c do \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span> qui \u0111\u1ecbnh<\/span>.<\/p>\n

4. C\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc trong th\u1eddi h\u1ea1n hai m\u01b0\u01a1i b\u1ed1n gi\u1edd v\u00e0 ph\u1ea3i ti\u1ebfp t\u1ee5c th\u1ef1c hi\u1ec7n vi\u1ec7c mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i> sau khi c\u00e1c s\u1ef1 ki\u1ec7n n\u00e0y ch\u1ea5m d\u1ee9t.<\/p>\n

5. B\u1ed9 T\u00e0i ch\u00ednh qui \u0111\u1ecbnh<\/span> c\u1ee5 th\u1ec3 vi\u1ec7c ph\u00e1t h\u00e0nh v\u00e0 mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i>.<\/p>\n

V\u1ec1 ho\u1ea1t \u0111\u1ed9ng ch\u00e0o b\u00e1n ch\u1ee9ng ch\u1ec9 qu\u0129\u00a0<\/b><\/p>\n

1. Vi\u1ec7c ch\u00e0o b\u00e1n ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> l\u1ea7n \u0111\u1ea7u ra c\u00f4ng ch\u00fang ch\u1ec9 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n:<\/p>\n

a) Sau khi \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u1ea5p gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00ed<\/span> ch\u00e0o b\u00e1n ch\u1ee9ng ch\u1ec9 qu\u0129<\/span>; v\u00e0<\/p>\n

b) C\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> b\u1ea3o \u0111\u1ea3m ng\u01b0\u1eddi mua ti\u1ebfp c\u1eadn b\u1ea3n c\u00e1o b\u1ea1ch, b\u1ea3n c\u00e1o b\u1ea1ch t\u00f3m t\u1eaft trong h\u1ed3 s\u01a1 \u0111\u0103ng k\u00ed<\/span> ch\u00e0o b\u00e1n ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> t\u1ea1i c\u00e1c \u0111\u1ea1i l\u00ed ph\u00e2n ph\u1ed1i ghi trong b\u1ea3n th\u00f4ng b\u00e1o ph\u00e1t h\u00e0nh.<\/p>\n

2. T\u1ed1i thi\u1ec3u 15 ng\u00e0y, tr\u01b0\u1edbc ng\u00e0y ch\u00e0o b\u00e1n l\u1ea7n \u0111\u1ea7u ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf<\/i>, c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> ph\u1ea3i g\u1eedi \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc v\u00e0 c\u00f4ng b\u1ed1 b\u1ea3n th\u00f4ng b\u00e1o ph\u00e1t h\u00e0nh v\u1edbi n\u1ed9i dung theo qui \u0111\u1ecbnh<\/span> c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh v\u1ec1 h\u1ed3 s\u01a1 \u0111\u0103ng k\u00ed<\/span> ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang th\u00f4ng qua c\u00e1c ph\u01b0\u01a1ng ti\u1ec7n \u0111\u1ea1i ch\u00fang.<\/p>\n

3. Vi\u1ec7c c\u00f4ng b\u1ed1 th\u00f4ng tin th\u1ef1c hi\u1ec7n th\u00f4ng qua m\u1ed9t trong c\u00e1c ph\u01b0\u01a1ng ti\u1ec7n th\u00f4ng tin \u0111\u1ea1i ch\u00fang d\u01b0\u1edbi \u0111\u00e2y:<\/p>\n

a) Tr\u00ean c\u00e1c \u1ea5n ph\u1ea9m, trang th\u00f4ng tin \u0111i\u1ec7n t\u1eed c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, \u0111\u1ea1i l\u00ed<\/span> ph\u00e2n ph\u1ed1i, \u0111\u1ea1i l\u00ed<\/span> k\u00ed<\/span> danh;\u00a0<\/p>\n

b) C\u00e1c ph\u01b0\u01a1ng ti\u1ec7n th\u00f4ng tin \u0111\u1ea1i ch\u00fang kh\u00e1c ph\u00f9 h\u1ee3p v\u1edbi qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt.<\/p>\n

4. C\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, \u0111\u1ea1i l\u00ed<\/span> ph\u00e2n ph\u1ed1i, t\u1ed5 ch\u1ee9c b\u1ea3o l\u00e3nh ph\u00e1t h\u00e0nh ph\u1ea3i ph\u00e2n ph\u1ed1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1ed9t c\u00e1ch c\u00f4ng b\u1eb1ng, c\u00f4ng khai, b\u1ea3o \u0111\u1ea3m th\u1eddi h\u1ea1n \u0111\u0103ng k\u00ed<\/span> mua ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> cho nh\u00e0 \u0111\u1ea7u t\u01b0 t\u1ed1i thi\u1ec3u l\u00e0 20 ng\u00e0y; th\u1eddi h\u1ea1n n\u00e0y ph\u1ea3i \u0111\u01b0\u1ee3c ghi trong b\u1ea3n th\u00f4ng b\u00e1o ph\u00e1t h\u00e0nh.<\/p>\n

5. Ti\u1ec1n mua ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> trong \u0111\u1ee3t ph\u00e1t h\u00e0nh l\u1ea7n \u0111\u1ea7u ra c\u00f4ng ch\u00fang ph\u1ea3i \u0111\u01b0\u1ee3c chuy\u1ec3n v\u00e0o t\u00e0i kho\u1ea3n phong t\u1ecfa m\u1edf t\u1ea1i ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t cho \u0111\u1ebfn ng\u00e0y \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u1ea5p gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00ed<\/span> l\u1eadp qu\u0129<\/span>. Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t c\u00f3 tr\u00e1ch nhi\u1ec7m thanh to\u00e1n l\u00e3i su\u1ea5t t\u1ed1i thi\u1ec3u b\u1eb1ng l\u00e3i su\u1ea5t kh\u00f4ng k\u00ec h\u1ea1n trong th\u1eddi gian phong t\u1ecfa v\u1ed1n huy \u0111\u1ed9ng c\u1ee7a qu\u0129<\/span> t\u1ea1i ng\u00e2n h\u00e0ng.<\/p>\n

6. C\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> ph\u1ea3i ho\u00e0n th\u00e0nh vi\u1ec7c ph\u00e2n ph\u1ed1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> trong th\u1eddi h\u1ea1n 90 ng\u00e0y, k\u1ec3 t\u1eeb ng\u00e0y gi\u1ea5y ch\u1ee9ng nh\u1eadn ch\u00e0o b\u00e1n ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> ra c\u00f4ng ch\u00fang c\u00f3 hi\u1ec7u l\u1ef1c.<\/p>\n

Tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng th\u1ec3 ho\u00e0n th\u00e0nh vi\u1ec7c ph\u00e2n ph\u1ed1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> trong th\u1eddi h\u1ea1n n\u00e0y, c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> \u0111\u01b0\u1ee3c \u0111\u1ec1 ngh\u1ecb \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc xem x\u00e9t gia h\u1ea1n vi\u1ec7c ph\u00e2n ph\u1ed1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span>.<\/p>\n

Trong th\u1eddi h\u1ea1n 07 ng\u00e0y k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c \u0111\u1ec1 ngh\u1ecb c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc xem x\u00e9t gia h\u1ea1n th\u1eddi gian ph\u00e2n ph\u1ed1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span>, nh\u01b0ng kh\u00f4ng qu\u00e1 30 ng\u00e0y.\u00a0<\/p>\n

Tr\u01b0\u1eddng h\u1ee3p t\u1eeb ch\u1ed1i, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ph\u1ea3i tr\u1ea3 l\u1eddi b\u1eb1ng v\u0103n b\u1ea3n v\u00e0 n\u00eau r\u00f5 l\u00ed<\/span> do. (Theo V\u0103n b\u1ea3n h\u1ee3p nh\u1ea5t s\u1ed1 06\/VBHN-BTC h\u01b0\u1edbng d\u1eabn v\u1ec1 vi\u1ec7c th\u00e0nh l\u1eadp v\u00e0 qu\u1ea3n l\u00ed qu\u0129 m\u1edf<\/i>)
<\/b><\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n Qu\u0129 m\u1edf (ti\u1ebfng Anh: Open-end funds) kh\u00e1 ph\u1ed5 bi\u1ebfn \u1edf h\u1ea7u h\u1ebft c\u00e1c n\u01b0\u1edbc ph\u00e1t tri\u1ec3n, tuy nhi\u00ean qui t\u1eafc ho\u1ea1t \u0111\u1ed9ng c\u00f3 th\u1ec3 kh\u00e1c nhau. \u1ede Vi\u1ec7t Nam, qu\u0129 m\u1edf \u0111\u01b0\u1ee3c th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng d\u1ef1a tr\u00ean qui \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.\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\/31257"}],"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=31257"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31257\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31257"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31257"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31257"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}