{"id":31282,"date":"2023-12-07T10:29:49","date_gmt":"2023-12-07T10:29:49","guid":{"rendered":"https:\/\/masterskills.org\/blog\/qui-dau-tu-chung-khoan-securities-investment-funds-la-gi.html"},"modified":"2023-12-23T08:01:02","modified_gmt":"2023-12-23T01:01:02","slug":"qui-dau-tu-chung-khoan-securities-investment-funds-la-gi","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/qui-dau-tu-chung-khoan-securities-investment-funds-la-gi.html","title":{"rendered":"Qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (Securities investment funds) l\u00e0 g\u00ec?"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda. Ngu\u1ed3n: thukyluat<\/p>\n<\/div>\n<\/div>\n

Qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (Securities investment funds)<\/font><\/h2>\n

Qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/b> – danh t\u1eeb, trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c g\u1ecdi l\u00e0 Securities invesment funds<\/b>.<\/p>\n

Qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> l\u00e0 qu\u0129 h\u00ecnh th\u00e0nh t\u1eeb v\u1ed1n g\u00f3p c\u1ee7a ng\u01b0\u1eddi \u0111\u1ea7u t\u01b0 \u0111\u1ec3 \u0111\u1ea7u t\u01b0 v\u00e0o ch\u1ee9ng kho\u00e1n. C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> huy \u0111\u1ed9ng v\u1ed1n b\u1eb1ng c\u00e1ch l\u1ea5y t\u1ed5ng l\u01b0\u1ee3ng v\u1ed1n d\u1ef1 ki\u1ebfn huy \u0111\u1ed9ng chia th\u00e0nh c\u00e1c ph\u1ea7n nh\u1ecf b\u1eb1ng nhau, m\u1ed7i ph\u1ea7n t\u01b0\u01a1ng \u1ee9ng v\u1edbi m\u1ed9t ch\u1ee9ng ch\u1ec9 qu\u0129 v\u00e0 c\u00f4ng ty s\u1ebd b\u00e1n c\u00e1c ch\u1ee9ng ch\u1ec9 ra c\u00f4ng ch\u00fang nh\u01b0 l\u00e0 nh\u1eefng \u0111\u01a1n v\u1ecb \u0111\u1ea7u t\u01b0.<\/p>\n

C\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 s\u1ebd \u0111\u1ea3m nh\u1eadn c\u1ea3 kh\u00e2u huy \u0111\u1ed9ng v\u1ed1n v\u00e0 \u0111\u1ea7u t\u01b0 v\u1ed1n v\u00e0o c\u00e1c ch\u1ee9ng kho\u00e1n. (Theo Gi\u00e1o tr\u00ecnh Th\u1ecb tr\u01b0\u1eddng Ch\u1ee9ng kho\u00e1n, NXB T\u00e0i ch\u00ednh<\/i>)<\/p>\n

Qui \u0111\u1ecbnh chung v\u1ec1 qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/font><\/h3>\n

C\u00e1c lo\u1ea1i h\u00ecnh qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/b><\/p>\n

1. Qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> bao g\u1ed3m qu\u0129<\/span> \u0111\u1ea1i ch\u00fang v\u00e0 qu\u0129<\/span> th\u00e0nh vi\u00ean.<\/p>\n

2. Qu\u0129<\/span> \u0111\u1ea1i ch\u00fang bao g\u1ed3m qu\u0129<\/span> m\u1edf v\u00e0 qu\u0129<\/span> \u0111\u00f3ng.<\/p>\n

Quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 tham gia v\u00e0o qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n
<\/b><\/p>\n

1. V\u1ec1 quy\u1ec1n:<\/b><\/p>\n

a) H\u01b0\u1edfng l\u1ee3i t\u1eeb ho\u1ea1t \u0111\u1ed9ng \u0111\u1ea7u t\u01b0 c\u1ee7a qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> t\u01b0\u01a1ng \u1ee9ng v\u1edbi t\u1ec9 l\u1ec7 v\u1ed1n g\u00f3p;<\/p>\n

b) H\u01b0\u1edfng c\u00e1c l\u1ee3i \u00edch v\u00e0 t\u00e0i s\u1ea3n \u0111\u01b0\u1ee3c chia h\u1ee3p ph\u00e1p t\u1eeb vi\u1ec7c thanh l\u00fd t\u00e0i s\u1ea3n qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

c) Y\u00eau c\u1ea7u c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> ho\u1eb7c ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t mua l\u1ea1i ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> m\u1edf;<\/p>\n

d) Kh\u1edfi ki\u1ec7n c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t ho\u1eb7c t\u1ed5 ch\u1ee9c li\u00ean quan n\u1ebfu t\u1ed5 ch\u1ee9c n\u00e0y vi ph\u1ea1m quy\u1ec1n v\u00e0 l\u1ee3i \u00edch h\u1ee3p ph\u00e1p c\u1ee7a m\u00ecnh;<\/p>\n

\u0111) Th\u1ef1c hi\u1ec7n quy\u1ec1n c\u1ee7a m\u00ecnh th\u00f4ng qua \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0;<\/p>\n

e) Chuy\u1ec3n nh\u01b0\u1ee3ng ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> theo qui \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

g) C\u00e1c quy\u1ec1n kh\u00e1c qui \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>.<\/p>\n

2. V\u1ec1 ngh\u0129a v\u1ee5:<\/b><\/p>\n

a) Ch\u1ea5p h\u00e0nh quy\u1ebft \u0111\u1ecbnh c\u1ee7a \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0;<\/p>\n

b) Thanh to\u00e1n \u0111\u1ee7 ti\u1ec1n mua ch\u1ee9ng ch\u1ec9 qu\u0129<\/span>;<\/p>\n

c) C\u00e1c ngh\u0129a v\u1ee5 kh\u00e1c qui \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>.<\/p>\n

\u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/b><\/p>\n

1. \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> g\u1ed3m t\u1ea5t c\u1ea3 c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0, l\u00e0 c\u01a1 quan quy\u1ebft \u0111\u1ecbnh cao nh\u1ea5t c\u1ee7a qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>.<\/p>\n

2. \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> c\u00f3 c\u00e1c quy\u1ec1n v\u00e0 nhi\u1ec7m v\u1ee5 sau:<\/p>\n

a) B\u1ea7u, mi\u1ec5n nhi\u1ec7m, b\u00e3i nhi\u1ec7m Ch\u1ee7 t\u1ecbch v\u00e0 th\u00e0nh vi\u00ean Ban \u0111\u1ea1i di\u1ec7n qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

b) Quy\u1ebft \u0111\u1ecbnh m\u1ee9c th\u00f9 lao v\u00e0 chi ph\u00ed ho\u1ea1t \u0111\u1ed9ng c\u1ee7a Ban \u0111\u1ea1i di\u1ec7n qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

c) Thay \u0111\u1ed5i m\u1ee9c ph\u00ed tr\u1ea3 cho c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span> v\u00e0 ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t;<\/p>\n

d) Xem x\u00e9t v\u00e0 x\u1eed l\u00ed vi ph\u1ea1m c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t v\u00e0 Ban \u0111\u1ea1i di\u1ec7n qu\u0129<\/span> g\u00e2y t\u1ed5n th\u1ea5t cho qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

\u0111) Quy\u1ebft \u0111\u1ecbnh s\u1eeda \u0111\u1ed5i, b\u1ed5 sung \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>, H\u1ee3p \u0111\u1ed3ng gi\u00e1m s\u00e1t; quy\u1ebft \u0111\u1ecbnh vi\u1ec7c ni\u00eam y\u1ebft ch\u1ee9ng ch\u1ec9 qu\u0129<\/span> \u0111\u00f3ng;<\/p>\n

e) Quy\u1ebft \u0111\u1ecbnh c\u00e1c thay \u0111\u1ed5i c\u01a1 b\u1ea3n trong ch\u00ednh s\u00e1ch \u0111\u1ea7u t\u01b0, ph\u01b0\u01a1ng \u00e1n ph\u00e2n ph\u1ed1i l\u1ee3i nhu\u1eadn, m\u1ee5c ti\u00eau \u0111\u1ea7u t\u01b0 c\u1ee7a qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> v\u00e0 gi\u1ea3i th\u1ec3 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

g) Quy\u1ebft \u0111\u1ecbnh thay \u0111\u1ed5i c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t;<\/p>\n

h) Y\u00eau c\u1ea7u c\u00f4ng ty qu\u1ea3n l\u00ed<\/span> qu\u0129<\/span>, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t tr\u00ecnh s\u1ed5 s\u00e1ch ho\u1eb7c gi\u1ea5y t\u1edd giao d\u1ecbch t\u1ea1i \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0;<\/p>\n

i) Th\u00f4ng qua c\u00e1c b\u00e1o c\u00e1o v\u1ec1 t\u00ecnh h\u00ecnh t\u00e0i ch\u00ednh, t\u00e0i s\u1ea3n v\u00e0 ho\u1ea1t \u0111\u1ed9ng h\u00e0ng n\u0103m c\u1ee7a qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

k) Th\u00f4ng qua vi\u1ec7c l\u1ef1a ch\u1ecdn t\u1ed5 ch\u1ee9c ki\u1ec3m to\u00e1n \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn \u0111\u1ec3 ki\u1ec3m to\u00e1n b\u00e1o c\u00e1o t\u00e0i ch\u00ednh h\u00e0ng n\u0103m c\u1ee7a qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>;<\/p>\n

l) C\u00e1c quy\u1ec1n v\u00e0 nhi\u1ec7m v\u1ee5 kh\u00e1c qui \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i>.<\/p>\n

3. \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/i> \u0111\u01b0\u1ee3c tri\u1ec7u t\u1eadp h\u00e0ng n\u0103m ho\u1eb7c b\u1ea5t th\u01b0\u1eddng nh\u1eb1m xem x\u00e9t v\u00e0 quy\u1ebft \u0111\u1ecbnh c\u00e1c n\u1ed9i dung thu\u1ed9c th\u1ea9m quy\u1ec1n c\u1ee7a \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0.\u00a0<\/p>\n

Vi\u1ec7c tri\u1ec7u t\u1eadp, th\u1ec3 th\u1ee9c ti\u1ebfn h\u00e0nh \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 th\u00f4ng qua quy\u1ebft \u0111\u1ecbnh c\u1ee7a \u0110\u1ea1i h\u1ed9i nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo qui \u0111\u1ecbnh c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh v\u00e0 \u0110i\u1ec1u l\u1ec7 qu\u0129<\/span> \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n<\/b>. (Theo Lu\u1eadt ch\u1ee9ng kho\u00e1n n\u0103m 2006<\/i>)<\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n Qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (Securities investment funds) l\u00e0 m\u00f4 h\u00ecnh \u0111\u1ea7u t\u01b0 m\u00e0 theo \u0111\u00f3, ngu\u1ed3n v\u1ed1n c\u1ee7a qu\u0129 \u0111\u01b0\u1ee3c \u0111\u1ea7u t\u01b0 ch\u1ee7 y\u1ebfu v\u00e0o ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c cho c\u00f4ng ty qu\u1ea3n l\u00ed qu\u0129 quy\u1ec1n tr\u1ef1c ti\u1ebfp \u0111i\u1ec1u h\u00e0nh qu\u0129.\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\/31282"}],"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=31282"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31282\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31282"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31282"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31282"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}