{"id":31270,"date":"2023-12-07T10:29:14","date_gmt":"2023-12-07T10:29:14","guid":{"rendered":"https:\/\/masterskills.org\/blog\/niem-yet-chung-khoan-listing-of-securities-la-gi-cac-hinh-thuc-niem-yet.html"},"modified":"2023-12-23T08:01:01","modified_gmt":"2023-12-23T01:01:01","slug":"niem-yet-chung-khoan-listing-of-securities-la-gi-cac-hinh-thuc-niem-yet","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/niem-yet-chung-khoan-listing-of-securities-la-gi-cac-hinh-thuc-niem-yet.html","title":{"rendered":"Ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n (Listing of Securities) l\u00e0 g\u00ec? C\u00e1c h\u00ecnh th\u1ee9c ni\u00eam y\u1ebft"},"content":{"rendered":"
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H\u00ecnh minh ho\u1ea1 (Ngu\u1ed3n: accountlearning)<\/p>\n<\/div>\n<\/div>\n

Ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n<\/font><\/b><\/h2>\n

Kh\u00e1i ni\u1ec7m<\/b><\/p>\n

Ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n<\/b> trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c g\u1ecdi l\u00e0 Listing of Securities.<\/b><\/p>\n

Ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n<\/b> l\u00e0 qu\u00e1 tr\u00ecnh \u0111\u1ecbnh danh c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u00e1p \u1ee9ng \u0111\u1ee7 ti\u00eau chu\u1ea9n \u0111\u01b0\u1ee3c giao d\u1ecbch tr\u00ean S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.\u00a0<\/p>\n

C\u1ee5 th\u1ec3, \u0111\u00e2y l\u00e0 qu\u00e1 tr\u00ecnh S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n ch\u1ea5p thu\u1eadn cho c\u00f4ng ty ph\u00e1t h\u00e0nh c\u00f3 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e9p ni\u00eam y\u1ebft v\u00e0 giao d\u1ecbch tr\u00ean S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n n\u1ebfu c\u00f4ng ty \u0111\u00f3 \u0111\u00e1p \u1ee9ng \u0111\u1ea7y \u0111\u1ee7 c\u00e1c ti\u00eau chu\u1ea9n v\u1ec1 \u0111\u1ecbnh l\u01b0\u1ee3ng c\u0169ng nh\u01b0 \u0111\u1ecbnh t\u00ednh m\u00e0 S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec1 ra.<\/p>\n

Ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n th\u01b0\u1eddng bao h\u00e0m vi\u1ec7c ni\u00eam y\u1ebft t\u00ean t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh v\u00e0 gi\u00e1 ch\u1ee9ng kho\u00e1n.<\/p>\n

M\u1ee5c ti\u00eau c\u1ee7a vi\u1ec7c ni\u00eam y\u1ebft<\/font>\u00a0<\/b><\/h3>\n

– Thi\u1ebft l\u1eadp quan h\u1ec7 h\u1ee3p \u0111\u1ed3ng gi\u1eefa S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh c\u00f3 ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft, t\u1eeb \u0111\u00f3 qui \u0111\u1ecbnh tr\u00e1ch nhi\u1ec7m v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a t\u1ed5 ch\u1ee9c\u00a0\u00a0ph\u00e1t h\u00e0nh trong vi\u1ec7c c\u00f4ng b\u1ed1 th\u00f4ng tin, \u0111\u1ea3m b\u1ea3o t\u00ednh trung th\u1ef1c, c\u00f4ng khai v\u00e0 c\u00f4ng b\u1eb1ng.<\/p>\n

– Nh\u1eb1m m\u1ee5c \u0111\u00edch h\u1ed7 tr\u1ee3 th\u1ecb tr\u01b0\u1eddng ho\u1ea1t \u0111\u1ed9ng \u1ed5n \u0111\u1ecbnh, x\u00e2y d\u1ef1ng l\u00f2ng tin c\u1ee7a c\u00f4ng ch\u00fang \u0111\u1ed1i v\u1edbi th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n b\u1eb1ng c\u00e1ch l\u1ef1a ch\u1ecdn c\u00e1c ch\u1ee9ng kho\u00e1n c\u00f3 ch\u1ea5t l\u01b0\u1ee3ng cao \u0111\u1ec3 giao d\u1ecbch.<\/p>\n

– Cung c\u1ea5p cho c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 nh\u1eefng th\u00f4ng tin v\u1ec1 c\u00e1c t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh.<\/p>\n

– Gi\u00fap cho vi\u1ec7c x\u00e1c \u0111\u1ecbnh gi\u00e1 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c c\u00f4ng b\u1eb1ng tr\u00ean th\u1ecb tr\u01b0\u1eddng \u0111\u1ea5u gi\u00e1 v\u00ec th\u00f4ng qua vi\u1ec7c ni\u00eam y\u1ebft c\u00f4ng khai, gi\u00e1 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c\u00a0h\u00ecnh th\u00e0nh d\u1ef1a tr\u00ean s\u1ef1 ti\u1ebfp x\u00fac hi\u1ec7u qu\u1ea3 gi\u1eefa cung v\u00e0 c\u1ea7u ch\u1ee9ng kho\u00e1n.<\/p>\n

Vai tr\u00f2 c\u1ee7a vi\u1ec7c ni\u00eam y\u1ebft \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh<\/font><\/b><\/h3>\n

– Thu\u1eadn l\u1ee3i<\/b><\/p>\n

+ D\u1ec5 d\u00e0ng huy \u0111\u1ed9ng v\u1ed1n<\/p>\n

+ T\u00e1c \u0111\u1ed9ng \u0111\u1ebfn c\u00f4ng ch\u00fang<\/p>\n

+ N\u00e2ng cao t\u00ednh thanh kho\u1ea3n cho c\u00e1c ch\u1ee9ng kho\u00e1n<\/p>\n

+ \u01afu \u0111\u00e3i v\u1ec1 thu\u1ebf<\/p>\n

– H\u1ea1n ch\u1ebf<\/b><\/p>\n

+ Ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o nh\u01b0 l\u00e0 m\u1ed9t c\u00f4ng ty \u0111\u1ea1i ch\u00fang\u00a0<\/p>\n

+ C\u1ea3n tr\u1edf trong vi\u1ec7c th\u00e2u t\u00f3m v\u00e0 s\u00e1p nh\u1eadp<\/p>\n

Ph\u00e2n lo\u1ea1i ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n<\/font><\/b><\/h3>\n

–\u00a0Ni\u00eam y\u1ebft l\u1ea7n \u0111\u1ea7u (Initial Listing):<\/b>\u00a0Ni\u00eam y\u1ebft l\u1ea7n \u0111\u1ea7u l\u00e0 vi\u1ec7c cho ph\u00e9p ch\u1ee9ng kho\u00e1n c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh \u0111\u01b0\u1ee3c \u0111\u0103ng k\u00ed ni\u00eam y\u1ebft giao d\u1ecbch ch\u1ee9ng kho\u00e1n l\u1ea7n \u0111\u1ea7u ti\u00ean sau khi ph\u00e1t h\u00e0nh ra c\u00f4ng ch\u00fang (IPO) khi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh \u0111\u00f3 \u0111\u00e1p \u1ee9ng \u0111\u01b0\u1ee3c c\u00e1c ti\u00eau chu\u1ea9n v\u1ec1 ni\u00eam y\u1ebft.<\/p>\n

–\u00a0Ni\u00eam y\u1ebft b\u1ed5 sung (Additional Listing):<\/b>\u00a0Ni\u00eam y\u1ebft b\u1ed5 sung l\u00e0 qu\u00e1 tr\u00ecnh ch\u1ea5p thu\u1eadn c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n cho m\u1ed9t c\u00f4ng ty ni\u00eam y\u1ebft \u0111\u01b0\u1ee3c ni\u00eam y\u1ebft c\u00e1c c\u1ed5 phi\u1ebfu m\u1edbi ph\u00e1t h\u00e0nh v\u1edbi m\u1ee5c \u0111\u00edch t\u0103ng v\u1ed1n hay v\u00ec c\u00e1c m\u1ee5c \u0111\u00edch kh\u00e1c nh\u01b0 s\u00e1p nh\u1eadp, chi tr\u1ea3 c\u1ed5 t\u1ee9c, th\u1ef1c hi\u1ec7n c\u00e1c tr\u00e1i quy\u1ec1n ho\u1eb7c th\u1ef1c hi\u1ec7n c\u00e1c tr\u00e1i phi\u1ebfu chuy\u1ec3n \u0111\u1ed5i th\u00e0nh c\u1ed5 phi\u1ebfu\u2026<\/p>\n

–\u00a0Thay \u0111\u1ed5i ni\u00eam y\u1ebft (Change Listing):\u00a0<\/b>Thay \u0111\u1ed5i ni\u00eam y\u1ebft ph\u00e1t sinh khi c\u00f4ng ty ni\u00eam y\u1ebft thay \u0111\u1ed5i t\u00ean ch\u1ee9ng kho\u00e1n giao d\u1ecbch, kh\u1ed1i l\u01b0\u1ee3ng, m\u1ec7nh gi\u00e1 ho\u1eb7c t\u1ed5ng gi\u00e1 tr\u1ecb ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c\u00a0ni\u00eam y\u1ebft c\u1ee7a m\u00ecnh.<\/p>\n

–\u00a0Ni\u00eam y\u1ebft l\u1ea1i (Relisting):\u00a0<\/b>L\u00e0 vi\u1ec7c cho ph\u00e9p m\u1ed9t c\u00f4ng ty ph\u00e1t h\u00e0nh \u0111\u01b0\u1ee3c ti\u1ebfp t\u1ee5c ni\u00eam y\u1ebft tr\u1edf l\u1ea1i c\u00e1c ch\u1ee9ng kho\u00e1n tr\u01b0\u1edbc \u0111\u00e2y \u0111\u00e3 b\u1ecb hu\u1ef7 b\u1ecf ni\u00eam y\u1ebft v\u00ec c\u00e1c l\u00ed do kh\u00f4ng \u0111\u00e1p \u1ee9ng\u00a0\u0111\u01b0\u1ee3c c\u00e1c ti\u00eau chu\u1ea9n duy tr\u00ec ni\u00eam y\u1ebft.<\/p>\n

–\u00a0Ni\u00eam y\u1ebft c\u1eeda sau (Back door Listing):<\/b>\u00a0L\u00e0 tr\u01b0\u1eddng h\u1ee3p m\u1ed9t t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft ch\u00ednh th\u1ee9c s\u00e1p nh\u1eadp, li\u00ean k\u1ebft ho\u1eb7c tham gia v\u00e0o hi\u1ec7p h\u1ed9i v\u1edbi m\u1ed9t t\u1ed5 ch\u1ee9c, nh\u00f3m kh\u00f4ng ni\u00eam y\u1ebft v\u00e0 k\u1ebft qu\u1ea3 l\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c kh\u00f4ng ni\u00eam y\u1ebft \u0111\u00f3 l\u1ea5y \u0111\u01b0\u1ee3c quy\u1ec1n ki\u1ec3m so\u00e1t t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft.<\/p>\n

–\u00a0Ni\u00eam y\u1ebft to\u00e0n ph\u1ea7n v\u00e0 ni\u00eam y\u1ebft t\u1eebng ph\u1ea7n (Dual Listing\u00a0& Partial listing)<\/b>: Ni\u00eam y\u1ebft to\u00e0n ph\u1ea7n l\u00e0 vi\u1ec7c ni\u00eam y\u1ebft t\u1ea5t c\u1ea3 c\u00e1c c\u1ed5 phi\u1ebfu sau khi \u0111\u00e3 ph\u00e1t\u00a0\u00a0h\u00e0nh ra c\u00f4ng ch\u00fang tr\u00ean m\u1ed9t S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong n\u01b0\u1edbc ho\u1eb7c n\u01b0\u1edbc ngo\u00e0i.\u00a0<\/p>\n

Ni\u00eam y\u1ebft t\u1eebng ph\u1ea7n l\u00e0 vi\u1ec7c ni\u00eam y\u1ebft m\u1ed9t ph\u1ea7n trong t\u1ed5ng s\u1ed1 ch\u1ee9ng\u00a0\u00a0kho\u00e1n \u0111\u00e3 ph\u00e1t h\u00e0nh ra c\u00f4ng ch\u00fang c\u1ee7a l\u1ea7n ph\u00e1t h\u00e0nh \u0111\u00f3, ph\u1ea7n c\u00f2n l\u1ea1i kh\u00f4ng ho\u1eb7c ch\u01b0a \u0111\u01b0\u1ee3c ni\u00eam y\u1ebft.\u00a0<\/p>\n

Ni\u00eam y\u1ebft t\u1eebng ph\u1ea7n th\u01b0\u1eddng di\u1ec5n ra \u1edf c\u00e1c c\u00f4ng ty l\u1edbn do Ch\u00ednh ph\u1ee7 ki\u1ec3m so\u00e1t, ph\u1ea7n ch\u1ee9ng kho\u00e1n ph\u00e1t h\u00e0nh ra th\u1ecb tr\u01b0\u1eddng do c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00e1 nh\u00e2n n\u1eafm gi\u1eef \u0111\u01b0\u1ee3c ni\u00eam y\u1ebft, c\u00f2n ph\u1ea7n n\u1eafm gi\u1eef c\u1ee7a Ch\u00ednh ph\u1ee7 ho\u1eb7c t\u1ed5 ch\u1ee9c \u0111\u1ea1i di\u1ec7n cho Ch\u00ednh ph\u1ee7 n\u1eafm gi\u1eef kh\u00f4ng \u0111\u01b0\u1ee3c ni\u00eam y\u1ebft.<\/p>\n

(T\u00e0i li\u1ec7u tham kh\u1ea3o: Gi\u00e1o tr\u00ecnh Th\u1ecb tr\u01b0\u1eddng Ch\u1ee9ng kho\u00e1n, Tr\u01b0\u1eddng \u0110H Kinh t\u1ebf Qu\u1ed1c d\u00e2n, , NXB T\u00e0i ch\u00ednh)<\/i><\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n Ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n (ti\u1ebfng Anh: Listing of Securities) l\u00e0 qu\u00e1 tr\u00ecnh \u0111\u1ecbnh danh c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u00e1p \u1ee9ng \u0111\u1ee7 ti\u00eau chu\u1ea9n \u0111\u01b0\u1ee3c giao d\u1ecbch tr\u00ean S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p><\/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\/31270"}],"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=31270"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31270\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31270"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31270"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31270"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}