{"id":31316,"date":"2023-12-07T10:31:50","date_gmt":"2023-12-07T10:31:50","guid":{"rendered":"https:\/\/masterskills.org\/blog\/nguoi-hanh-nghe-chung-khoan-securities-practitioners-la-ai.html"},"modified":"2023-12-23T08:01:20","modified_gmt":"2023-12-23T01:01:20","slug":"nguoi-hanh-nghe-chung-khoan-securities-practitioners-la-ai","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/nguoi-hanh-nghe-chung-khoan-securities-practitioners-la-ai.html","title":{"rendered":"Ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n (Securities Practitioners) l\u00e0 ai?"},"content":{"rendered":"
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H\u00ecnh minh ho\u1ea1 (Ngu\u1ed3n: twitter)<\/p>\n<\/div>\n<\/div>\n

Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n<\/font><\/h2>\n

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

Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n<\/b> trong ti\u1ebfng Anh \u0111\u01b0\u1ee3c g\u1ecdi l\u00e0\u00a0Securities Practitioners.<\/b><\/p>\n

Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n<\/b> la\u0300 ngu\u031b\u01a1\u0300i \u0111u\u031b\u01a1\u0323c U\u0309y ban Ch\u01b0\u0301ng khoa\u0301n Nha\u0300 nu\u031b\u01a1\u0301c c\u00e2\u0301p ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n va\u0300 \u0111ang la\u0300m vi\u1eb9\u0302c ta\u0323i co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n, co\u0302ng ty qua\u0309n l\u00ed<\/span> qu\u0129<\/span>, co\u0302ng ty \u0111\u00e2\u0300u tu\u031b ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

Nguye\u0302n t\u0103\u0301c ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n<\/font><\/h3>\n

1. Ngu\u031b\u01a1\u0300i co\u0301 Ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 Mo\u0302i gi\u01a1\u0301i ch\u01b0\u0301ng khoa\u0301n \u0111u\u031b\u01a1\u0323c th\u01b0\u0323c hi\u1eb9\u0302n nghi\u1eb9\u0302p vu\u0323 mo\u0302i gi\u01a1\u0301i ch\u01b0\u0301ng khoa\u0301n, tu\u031b v\u00e2\u0301n \u0111\u00e2\u0300u tu\u031b ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

2. Ngu\u031b\u01a1\u0300i co\u0301 Ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 Pha\u0302n ti\u0301ch ta\u0300i chi\u0301nh \u0111u\u031b\u01a1\u0323c th\u01b0\u0323c hi\u1eb9\u0302n nghi\u1eb9\u0302p vu\u0323 mo\u0302i gi\u01a1\u0301i ch\u01b0\u0301ng khoa\u0301n, tu\u031b v\u00e2\u0301n \u0111\u00e2\u0300u tu\u031b ch\u01b0\u0301ng khoa\u0301n, t\u01b0\u0323 doanh ch\u01b0\u0301ng khoa\u0301n, ba\u0309o la\u0303nh pha\u0301t ha\u0300nh ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

3. Ngu\u031b\u01a1\u0300i co\u0301 Ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 Qua\u0309n l\u00ed<\/span> qu\u0129<\/span> \u0111u\u031b\u01a1\u0323c th\u01b0\u0323c hi\u1eb9\u0302n nghi\u1eb9\u0302p vu\u0323 mo\u0302i gi\u01a1\u0301i ch\u01b0\u0301ng khoa\u0301n, tu\u031b v\u00e2\u0301n \u0111\u00e2\u0300u tu\u031b ch\u01b0\u0301ng khoa\u0301n, t\u01b0\u0323 doanh ch\u01b0\u0301ng khoa\u0301n, ba\u0309o la\u0303nh pha\u0301t ha\u0300nh ch\u01b0\u0301ng khoa\u0301n, qua\u0309n l\u00ed<\/span> danh mu\u0323c \u0111\u00e2\u0300u tu\u031b ch\u01b0\u0301ng khoa\u0301n, qua\u0309n l\u00ed<\/span> qu\u0129<\/span> \u0111\u00e2\u0300u tu\u031b ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

4. Ngu\u031b\u01a1\u0300i co\u0301 m\u1ecd\u0302t (01) trong ba (03) loa\u0323i ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n theo qui \u0111\u1ecbnh<\/span> ta\u0323i \u0110i\u00ea\u0300u 3 Tho\u0302ng tu\u031b na\u0300y va\u0300 co\u0301 ch\u01b0\u0301ng chi\u0309 chuye\u0302n mo\u0302n Ch\u01b0\u0301ng khoa\u0301n pha\u0301i sinh va\u0300 thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n pha\u0301i sinh \u0111u\u031b\u01a1\u0323c th\u01b0\u0323c hi\u1eb9\u0302n nghi\u1eb9\u0302p vu\u0323 lie\u0302n quan \u0111\u00ea\u0301n ch\u01b0\u0301ng khoa\u0301n pha\u0301i sinh ta\u0323i t\u00f4\u0309 ch\u01b0\u0301c kinh doanh ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

5. Ngu\u031b\u01a1\u0300i co\u0301 ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n chi\u0309 \u0111u\u031b\u01a1\u0323c la\u0300m vi\u1eb9\u0302c ta\u0323i m\u1ecd\u0302t (01) b\u1ecd\u0302 ph\u1ea1\u0302n nghi\u1eb9\u0302p vu\u0323 kinh doanh ch\u01b0\u0301ng khoa\u0301n trong m\u1ecd\u0302t (01) th\u01a1\u0300i \u0111i\u00ea\u0309m.<\/p>\n

Tra\u0301ch nhi\u1eb9\u0302m cu\u0309a ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n<\/font><\/h3>\n

1. Tr\u01b0\u0300 tru\u031b\u01a1\u0300ng h\u01a1\u0323p \u0111u\u031b\u01a1\u0323c c\u01b0\u0309 la\u0300 ngu\u031b\u01a1\u0300i \u0111a\u0323i di\u1eb9\u0302n ph\u00e2\u0300n v\u00f4\u0301n go\u0301p ho\u1ea1\u0306c la\u0300m tha\u0300nh vie\u0302n h\u1ecd\u0302i \u0111\u00f4\u0300ng qua\u0309n tri\u0323, h\u1ecd\u0302i \u0111\u00f4\u0300ng tha\u0300nh vie\u0302n, ban ki\u00ea\u0309m soa\u0301t cu\u0309a m\u1ecd\u0302t t\u00f4\u0309 ch\u01b0\u0301c ma\u0300 t\u00f4\u0309 ch\u01b0\u0301c \u0111o\u0301 s\u01a1\u0309 h\u01b0\u0303u t\u00f4\u0309 ch\u01b0\u0301c kinh doanh ch\u01b0\u0301ng khoa\u0301n ho\u1ea1\u0306c ti\u00ea\u0301p nh\u1ea1\u0302n v\u00f4\u0301n \u0111\u00e2\u0300u tu\u031b t\u01b0\u0300 t\u00f4\u0309 ch\u01b0\u0301c kinh doanh ch\u01b0\u0301ng khoa\u0301n, ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n kho\u0302ng \u0111u\u031b\u01a1\u0323c:<\/p>\n

a) \u0110\u00f4\u0300ng th\u01a1\u0300i la\u0300m vi\u1eb9\u0302c cho t\u00f4\u0309 ch\u01b0\u0301c kha\u0301c co\u0301 quan h\u1eb9\u0302 s\u01a1\u0309 h\u01b0\u0303u v\u01a1\u0301i co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n, co\u0302ng ty qua\u0309n l\u00ed<\/span> qu\u0129<\/span> no\u031bi mi\u0300nh \u0111ang la\u0300m vi\u1eb9\u0302c;<\/p>\n

b) \u0110\u00f4\u0300ng th\u01a1\u0300i la\u0300m vi\u1eb9\u0302c cho co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n, co\u0302ng ty qua\u0309n l\u00ed<\/span> qu\u0129<\/span> kha\u0301c;<\/p>\n

c) \u0110\u00f4\u0300ng th\u01a1\u0300i la\u0300m gia\u0301m \u0111\u00f4\u0301c (t\u00f4\u0309ng gia\u0301m \u0111\u00f4\u0301c) cu\u0309a m\u1ecd\u0302t t\u00f4\u0309 ch\u01b0\u0301c cha\u0300o ba\u0301n ch\u01b0\u0301ng khoa\u0301n ra co\u0302ng chu\u0301ng ho\u1ea1\u0306c t\u00f4\u0309 ch\u01b0\u0301c nie\u0302m y\u00ea\u0301t.<\/p>\n

2. Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n \u0111ang la\u0300m vi\u1eb9\u0302c cho co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n chi\u0309 \u0111u\u031b\u01a1\u0323c m\u01a1\u0309 ta\u0300i khoa\u0309n giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n cho mi\u0300nh ta\u0323i chi\u0301nh co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n no\u031bi mi\u0300nh la\u0300m vi\u1eb9\u0302c, tr\u01b0\u0300 tru\u031b\u01a1\u0300ng h\u01a1\u0323p co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n \u0111o\u0301 kho\u0302ng pha\u0309i la\u0300 tha\u0300nh vie\u0302n cu\u0309a S\u01a1\u0309 giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

3. Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n kho\u0302ng \u0111u\u031b\u01a1\u0323c s\u01b0\u0309 du\u0323ng ti\u00ea\u0300n, ch\u01b0\u0301ng khoa\u0301n tre\u0302n ta\u0300i khoa\u0309n cu\u0309a kha\u0301ch ha\u0300ng khi kho\u0302ng \u0111u\u031b\u01a1\u0323c co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n u\u0309y quy\u00ea\u0300n theo s\u01b0\u0323 u\u0309y tha\u0301c cu\u0309a kha\u0301ch ha\u0300ng cho co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n b\u0103\u0300ng va\u0306n ba\u0309n.<\/p>\n

4. Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n pha\u0309i tua\u0302n thu\u0309 ca\u0301c qui t\u0103\u0301c \u0111a\u0323o \u0111\u01b0\u0301c ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

5. Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n pha\u0309i tham gia ca\u0301c kho\u0301a t\u1ea1\u0302p hu\u00e2\u0301n v\u00ea\u0300 pha\u0301p lu\u1ea1\u0302t, h\u1eb9\u0302 th\u00f4\u0301ng giao di\u0323ch, loa\u0323i ch\u01b0\u0301ng khoa\u0301n m\u01a1\u0301i do U\u0309y ban Ch\u01b0\u0301ng khoa\u0301n Nha\u0300 nu\u031b\u01a1\u0301c, S\u01a1\u0309 giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n t\u00f4\u0309 ch\u01b0\u0301c.<\/p>\n

6. Ngu\u031b\u01a1\u0300i ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n pha\u0309i tho\u0302ng ba\u0301o v\u01a1\u0301i U\u0309y ban Ch\u01b0\u0301ng khoa\u0301n Nha\u0300 nu\u031b\u01a1\u0301c sau khi ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n bi\u0323 m\u00e2\u0301t, pha\u0301t hi\u1eb9\u0302n bi\u0323 m\u00e2\u0301t ho\u1ea1\u0306c thay \u0111\u00f4\u0309i ca\u0301c tho\u0302ng tin xa\u0301c nh\u1ea1\u0302n nha\u0302n tha\u0302n trong ch\u01b0\u0301ng chi\u0309 ha\u0300nh ngh\u00ea\u0300 ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

(T\u00e0i li\u1ec7u tham kh\u1ea3o: Th\u00f4ng t\u01b0 197\/2015\/TT-BTC Qui \u0111i\u0323nh v\u00ea\u0300\u00a0ha\u0300nh ngh\u00ea\u0300\u00a0ch\u01b0\u0301ng khoa\u0301n)<\/i><\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n Ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n (ti\u1ebfng Anh: Securities Practitioners) l\u00e0 ng\u01b0\u1eddi \u0111\u01b0\u1ee3c \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u1ea5p ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 \u0111ang l\u00e0m vi\u1ec7c t\u1ea1i 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.\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\/31316"}],"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=31316"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31316\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31316"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31316"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31316"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}