{"id":31576,"date":"2023-12-07T10:50:52","date_gmt":"2023-12-07T10:50:52","guid":{"rendered":"https:\/\/masterskills.org\/blog\/co-quan-quan-li-thi-truong-chung-khoan-la-gi-cac-co-quan.html"},"modified":"2023-12-23T08:24:04","modified_gmt":"2023-12-23T01:24:04","slug":"co-quan-quan-li-thi-truong-chung-khoan-la-gi-cac-co-quan","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/co-quan-quan-li-thi-truong-chung-khoan-la-gi-cac-co-quan.html","title":{"rendered":"C\u01a1 quan qu\u1ea3n l\u00ed th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n l\u00e0 g\u00ec? C\u00e1c c\u01a1 quan"},"content":{"rendered":"
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H\u00ecnh minh ho\u1ea1 (Ngu\u1ed3n: customsnews)<\/p>\n<\/div>\n<\/div>\n

C\u01a1 quan qu\u1ea3n l\u00ed th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/font><\/b>
<\/h2>\n

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

Co\u031b quan qu\u1ea3n l\u00ed\u00a0thi\u0323 tru\u031b\u01a1\u0300ng ch\u1ee9ng kho\u00e1n<\/b> la\u0300 ca\u0301c co\u031b quan th\u01b0\u0323c hi\u1eb9\u0302n ch\u01b0\u0301c na\u0306ng qu\u1ea3n l\u00ed Nha\u0300 nu\u031b\u01a1\u0301c \u0111\u00f4\u0301i v\u01a1\u0301i hoa\u0323t \u0111\u1ecd\u0302ng cu\u0309a thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n.\u00a0<\/p>\n

C\u00e1c c\u01a1 quan<\/font><\/h3>\n

Co\u031b quan qu\u1ea3n l\u00ed va\u0300 gia\u0301m sa\u0301t thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n \u0111u\u031b\u01a1\u0323c hi\u0300nh tha\u0300nh du\u031b\u01a1\u0301i nhi\u00ea\u0300u mo\u0302 hi\u0300nh t\u00f4\u0309 ch\u01b0\u0301c hoa\u0323t \u0111\u1ecd\u0302ng kha\u0301c nhau: do ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c t\u01b0\u0323 qua\u0309n tha\u0300nh l\u1ea1\u0302p, tr\u01b0\u0323c thu\u1ecd\u0302c Chi\u0301nh phu\u0309 ho\u1ea1\u0306c co\u0301 s\u01b0\u0323 k\u00ea\u0301t h\u01a1\u0323p qu\u1ea3n l\u00ed gi\u01b0\u0303a ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c t\u01b0\u0323 qua\u0309n va\u0300 Nha\u0300 nu\u031b\u01a1\u0301c.\u00a0<\/p>\n

Nhu\u031bng nhi\u0300n chung, thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n chi\u0323u s\u01b0\u0323 qu\u1ea3n l\u00ed va\u0300 gia\u0301m sa\u0301t cu\u0309a hai nho\u0301m chi\u0301nh:<\/p>\n

– Co\u031b quan qu\u1ea3n l\u00ed<\/span> Nha\u0300 nu\u031b\u01a1\u0301c v\u00ea\u0300 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/span><\/b><\/p>\n

Ca\u0301c co\u031b quan na\u0300y th\u01b0\u0323c hi\u1eb9\u0302n ch\u01b0\u0301c na\u0306ng qu\u1ea3n l\u00ed tho\u0302ng qua vi\u1eb9\u0302c ban ha\u0300nh ho\u1ea1\u0306c \u0111\u00ea\u0300 nghi\u0323 ca\u0301c co\u031b quan c\u00e2\u0301p tre\u0302n nhu\u031b Chi\u0301nh phu\u0309, Qu\u00f4\u0301c h\u1ecd\u0302i ban ha\u0300nh ca\u0301c va\u0306n ba\u0309n pha\u0301p lu\u1ea1\u0302t \u0111i\u0323nh hu\u031b\u01a1\u0301ng va\u0300 \u0111i\u00ea\u0300u ti\u00ea\u0301t hoa\u0323t \u0111\u1ecd\u0302ng cu\u0309a thi\u0323 tru\u031b\u01a1\u0300ng.\u00a0<\/p>\n

Ngoa\u0300i ra, ca\u0301c co\u031b quan na\u0300y co\u0301 th\u00ea\u0309 s\u01b0\u0309 du\u0323ng nh\u01b0\u0303ng hi\u0300nh th\u01b0\u0301c kha\u0301c \u0111\u00ea\u0309 can thi\u1eb9\u0302p va\u0300o thi\u0323 tru\u031b\u01a1\u0300ng trong ca\u0301c tru\u031b\u01a1\u0300ng h\u01a1\u0323p c\u00e2\u0300n thi\u00ea\u0301t, kh\u00e2\u0309n c\u00e2\u0301p.\u00a0<\/p>\n

Tho\u0302ng thu\u031b\u01a1\u0300ng, ca\u0301c co\u031b quan qu\u1ea3n l\u00ed nha\u0300 nu\u031b\u01a1\u0301c v\u00ea\u0300 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n g\u00f4\u0300m co\u0301: U\u0309y ban ch\u01b0\u0301ng khoa\u0301n va\u0300 ca\u0301c b\u1ecd\u0302 nga\u0300nh co\u0301 lie\u0302n quan nhu\u031b B\u1ecd\u0302 Ta\u0300i chi\u0301nh, Nga\u0302n ha\u0300ng Trung u\u031bo\u031bng, B\u1ecd\u0302 Tu\u031b pha\u0301p…\u00a0<\/p>\n

Trong \u0111o\u0301 U\u0309y ban ch\u01b0\u0301ng khoa\u0301n la\u0300 co\u031b quan qu\u1ea3n l\u00ed chuye\u0302n nga\u0300nh \u0111\u00e2\u0300y \u0111u\u0309 cu\u0309a nha\u0300 nu\u031b\u01a1\u0301c trong li\u0303nh v\u01b0\u0323c na\u0300y. \u0110a\u0302y la\u0300 co\u031b quan \u0111o\u0301ng vai tro\u0300 chu\u0309 tri\u0300, ph\u00f4\u0301i h\u01a1\u0323p v\u01a1\u0301i ca\u0301c B\u1ecd\u0302 nga\u0300nh lie\u0302n quan \u0111\u00ea\u0309 \u0111i\u00ea\u0300u ha\u0300nh th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n hoa\u0323t \u0111\u1ecd\u0302ng co\u0301 hi\u1eb9\u0302u qua\u0309.<\/p>\n

– Ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c t\u01b0\u0323 qua\u0309n<\/b><\/p>\n

La\u0300 ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c hoa\u0323t \u0111\u1ecd\u0302ng tre\u0302n thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n va\u0300 \u0111u\u031b\u01a1\u0323c co\u031b quan qu\u1ea3n l\u00ed<\/span> Nha\u0300 nu\u031b\u01a1\u0301c v\u00ea\u0300 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/span> pha\u0302n c\u00e2\u0301p qu\u1ea3n l\u00ed<\/span> m\u1ecd\u0302t s\u00f4\u0301 li\u0303nh v\u01b0\u0323c tre\u0302n th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/span>, tre\u0302n co\u031b s\u01a1\u0309 tua\u0302n thu\u0309 ca\u0301c qui \u0111\u1ecbnh<\/span> cu\u0309a co\u031b quan qu\u1ea3n l\u00ed<\/span> nha\u0300 nu\u031b\u01a1\u0301c.\u00a0<\/p>\n

Ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c na\u0300y co\u0301 hai \u0111\u1ea1\u0306c \u0111i\u00ea\u0309m co\u031b ba\u0309n la\u0300 pha\u0309i t\u01b0\u0323 ca\u0302n \u0111\u00f4\u0301i thu chi d\u01b0\u0323a va\u0300o ngu\u00f4\u0300n thu t\u01b0\u0300 ca\u0301c hoa\u0323t \u0111\u1ecd\u0302ng tre\u0302n thi\u0323 tru\u031b\u01a1\u0300ng va\u0300 hoa\u0323t \u0111\u1ecd\u0302ng nh\u0103\u0300m phu\u0323c vu\u0323 l\u01a1\u0323i i\u0301ch chung cu\u0309a toa\u0300n thi\u0323 tru\u031b\u01a1\u0300ng.\u00a0<\/p>\n

Tho\u0302ng thu\u031b\u01a1\u0300ng tre\u0302n thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n co\u0301 hai hi\u0300nh th\u01b0\u0301c t\u00f4\u0309 ch\u01b0\u0301c t\u01b0\u0323 qua\u0309n:<\/p>\n

+ S\u01a1\u0309 giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n<\/b><\/p>\n

S\u01a1\u0309 giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n la\u0300 m\u1ecd\u0302t pha\u0301p nha\u0302n \u0111u\u031b\u01a1\u0323c tha\u0300nh l\u1ea1\u0302p theo qui \u0111\u1ecbnh<\/span> pha\u0301p lu\u1ea1\u0302t. Co\u031b quan na\u0300y chi\u0323u tra\u0301ch nhi\u1eb9\u0302m th\u01b0\u0323c hi\u1eb9\u0302n t\u00f4\u0309 ch\u01b0\u0301c giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n \u0111\u00f4\u0301i v\u01a1\u0301i ch\u01b0\u0301ng khoa\u0301n cu\u0309a ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c pha\u0301t ha\u0300nh \u0111u\u0309 \u0111i\u00ea\u0300u ki\u1eb9\u0302n nie\u0302m y\u00ea\u0301t.\u00a0<\/p>\n

S\u01a1\u0309 giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n th\u01b0\u0323c hi\u1eb9\u0302n v\u1ea1\u0302n ha\u0300nh th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/span> tho\u0302ng qua b\u1ecd\u0302 ma\u0301y t\u00f4\u0309 ch\u01b0\u0301c va\u0300 h\u1eb9\u0302 th\u00f4\u0301ng ca\u0301c qui \u0111\u1ecbnh<\/span>, va\u0306n ba\u0309n pha\u0301p lu\u1ea1\u0302t v\u00ea\u0300 giao di\u0323ch ch\u01b0\u0301ng khoa\u0301n tre\u0302n co\u031b s\u01a1\u0309 phu\u0300 h\u01a1\u0323p v\u01a1\u0301i ca\u0301c qui \u0111\u1ecbnh<\/span> cu\u0309a lu\u1ea1\u0302t pha\u0301p va\u0300 U\u0309y ban ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

+ Hi\u1eb9\u0302p h\u1ecd\u0302i ca\u0301c nha\u0300 kinh doanh ch\u01b0\u0301ng khoa\u0301n<\/b><\/p>\n

Hi\u1eb9\u0302p h\u1ecd\u0302i ca\u0301c nha\u0300 kinh doanh ch\u01b0\u0301ng khoa\u0301n la\u0300 t\u00f4\u0309 ch\u01b0\u0301c t\u01b0\u0323 qua\u0309n cu\u0309a ca\u0301c co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n va\u0300 m\u1ecd\u0302t s\u00f4\u0301 tha\u0300nh vie\u0302n kha\u0301c hoa\u0323t \u0111\u1ecd\u0302ng trong nga\u0300nh ch\u01b0\u0301ng khoa\u0301n, \u0111u\u031b\u01a1\u0323c tha\u0300nh l\u1ea1\u0302p v\u01a1\u0301i mu\u0323c \u0111i\u0301ch ba\u0309o v\u1eb9\u0302 l\u01a1\u0323i i\u0301ch cho ca\u0301c tha\u0300nh vie\u0302n va\u0300 ca\u0301c nha\u0300 \u0111\u00e2\u0300u tu\u031b tre\u0302n thi\u0323 tru\u031b\u01a1\u0300ng.\u00a0<\/p>\n

Hi\u1eb9\u0302p h\u1ecd\u0302i kinh doanh ch\u01b0\u0301ng khoa\u0301n thu\u031b\u01a1\u0300ng la\u0300 t\u00f4\u0309 ch\u01b0\u0301c t\u01b0\u0323 qua\u0309n va\u0300 co\u0301 vai tro\u0300 quan tro\u0323ng \u0111\u00f4\u0301i v\u01a1\u0301i s\u01b0\u0323 pha\u0301t tri\u00ea\u0309n cu\u0309a thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n.\u00a0<\/p>\n

Ch\u01b0\u0301c na\u0306ng co\u031b ba\u0309n cu\u0309a Hi\u1eb9\u0302p h\u1ecd\u0302i nhu\u031b:\u00a0<\/p>\n

T\u1ea1\u0302p h\u01a1\u0323p ca\u0301c co\u0302ng ty ch\u01b0\u0301ng khoa\u0301n \u0111\u00ea\u0309 co\u0301 ti\u00ea\u0301ng no\u0301i th\u00f4\u0301ng nh\u00e2\u0301t \u0111o\u0301ng go\u0301p y\u0301 ki\u00ea\u0301n cho ca\u0301c co\u031b quan qu\u1ea3n l\u00ed<\/span> nha\u0300 nu\u031b\u01a1\u0301c v\u00ea\u0300 thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n<\/p>\n

\u0110\u00ea\u0300 xu\u00e2\u0301t y\u0301 ki\u00ea\u0301n, nguy\u1eb9\u0302n vo\u0323ng cu\u0309a ca\u0301c tha\u0300nh vie\u0302n \u0111\u00f4\u0301i v\u01a1\u0301i ca\u0301c chi\u0301nh sa\u0301ch cu\u0309a Chi\u0301nh phu\u0309 \u0111\u00ea\u0309 t\u01b0\u0300 \u0111o\u0301 co\u0301 th\u00ea\u0309 b\u00f4\u0309 sung, s\u01b0\u0309a \u0111\u00f4\u0309i ca\u0301c chi\u0301nh sa\u0301ch \u0111o\u0301 nh\u0103\u0300m thu\u0301c \u0111\u00e2\u0309y s\u01b0\u0323 pha\u0301t tri\u00ea\u0309n cu\u0309a thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n.<\/p>\n

Be\u0302n ca\u0323nh \u0111o\u0301, Hi\u1eb9\u0302p h\u1ecd\u0302i cu\u0303ng la\u0300 \u0111\u00e2\u0300u m\u00f4\u0301i th\u01b0\u0323c hi\u1eb9\u0302n co\u0302ng ta\u0301c \u0111a\u0300o ta\u0323o nghi\u1eb9\u0302p vu\u0323 cho ca\u0301c tha\u0300nh vie\u0302n; \u0111a\u0323i di\u1eb9\u0302n cho ca\u0301c tha\u0300nh vie\u0302n trong vi\u1eb9\u0302c lie\u0302n k\u00ea\u0301t, tranh thu\u0309 s\u01b0\u0323 ta\u0300i tr\u01a1\u0323 cu\u0309a ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c qu\u00f4\u0301c t\u00ea\u0301 v\u00ea\u0300 kinh phi\u0301, chu\u031bo\u031bng tri\u0300nh \u0111a\u0300o ta\u0323o.\u00a0<\/p>\n

Ngoa\u0300i ra, Hi\u1eb9\u0302p h\u1ecd\u0302i co\u0301 th\u00ea\u0309 la\u0300 t\u00f4\u0309 ch\u01b0\u0301c ban xa\u0302y d\u01b0\u0323ng, ban ha\u0300nh, \u0111\u00ea\u0300 ra ca\u0301c nguye\u0302n t\u0103\u0301c, qui t\u0103\u0301c, qui chu\u00e2\u0309n \u0111a\u0323o \u0111\u01b0\u0301c ngh\u00ea\u0300 nghi\u1eb9\u0302p, gia\u0301m sa\u0301t n\u1ecd\u0302i b\u1ecd\u0302, tra\u0301nh ca\u0323nh tranh thi\u00ea\u0301u la\u0300nh ma\u0323nh…<\/p>\n

Nhi\u0300n chung, co\u031b quan qu\u1ea3n l\u00ed<\/span> Nha\u0300 nu\u031b\u01a1\u0301c va\u0300 ca\u0301c t\u00f4\u0309 ch\u01b0\u0301c t\u01b0\u0323 qua\u0309n tre\u0302n thi\u0323 tru\u031b\u01a1\u0300ng ch\u01b0\u0301ng khoa\u0301n, m\u1ea1\u0306c du\u0300 co\u0301 nhi\u1eb9\u0302m vu\u0323, co\u031b ch\u00ea\u0301 qu\u1ea3n l\u00ed<\/span>, t\u00f4\u0309 ch\u01b0\u0301c kha\u0301c nhau nhu\u031bng \u0111\u00ea\u0300u co\u0301 mu\u0323c tie\u0302u chi\u0301nh la\u0300 \u0111a\u0309m ba\u0309o ti\u0301nh \u00f4\u0309n \u0111i\u0323nh va\u0300 s\u01b0\u0323 pha\u0301t tri\u00ea\u0309n cu\u0309a thi\u0323 tru\u031b\u01a1\u0300ng.\u00a0<\/p>\n

Do \u0111o\u0301, trong qua\u0301 tri\u0300nh qu\u1ea3n l\u00ed<\/span>, \u0111i\u00ea\u0300u ha\u0300nh, c\u00e2\u0300n thi\u00ea\u0301t pha\u0309i co\u0301 s\u01b0\u0323 ph\u00f4\u0301i k\u00ea\u0301t h\u01a1\u0323p ch\u1ea1\u0306t che\u0303, nhi\u0323p nha\u0300ng gi\u01b0\u0303a hai t\u00f4\u0309 ch\u01b0\u0301c na\u0300y.<\/p>\n

(T\u00e0i li\u1ec7u tham kh\u1ea3o: T\u1ed5ng quan v\u1ec1 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, \u0110H Kinh t\u1ebf Qu\u1ed1c d\u00e2n)<\/i><\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n C\u01a1 quan qu\u1ea3n l\u00ed th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n l\u00e0 c\u00e1c c\u01a1 quan th\u1ef1c hi\u1ec7n ch\u1ee9c n\u0103ng qu\u1ea3n l\u00ed Nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi ho\u1ea1t \u0111\u1ed9ng c\u1ee7a 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\/31576"}],"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=31576"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31576\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31576"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31576"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31576"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}