{"id":31661,"date":"2023-12-07T10:54:54","date_gmt":"2023-12-07T10:54:54","guid":{"rendered":"https:\/\/masterskills.org\/blog\/ki-gui-chung-khoan-la-gi-qui-trinh-ki-gui-chung-khoan.html"},"modified":"2023-12-23T09:39:07","modified_gmt":"2023-12-23T02:39:07","slug":"ki-gui-chung-khoan-la-gi-qui-trinh-ki-gui-chung-khoan","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/ki-gui-chung-khoan-la-gi-qui-trinh-ki-gui-chung-khoan.html","title":{"rendered":"K\u00ed g\u1eedi ch\u1ee9ng kho\u00e1n l\u00e0 g\u00ec? Qui tr\u00ecnh k\u00ed g\u1eedi ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"
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H\u00ecnh minh ho\u1ea1 (Ngu\u1ed3n: zeebiz)<\/p>\n<\/div>\n<\/div>\n

K\u00ed g\u1eedi ch\u1ee9ng kho\u00e1n<\/font><\/b><\/h2>\n

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

K\u00ed g\u1eedi ch\u1ee9ng kho\u00e1n<\/b> l\u00e0 b\u01b0\u1edbc trong \u0111\u00f3 kh\u00e1ch h\u00e0ng g\u1eedi ch\u1ee9ng kho\u00e1n thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a h\u1ecd v\u00e0o th\u00e0nh vi\u00ean l\u01b0u k\u00ed n\u01a1i h\u1ecd\u00a0m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n. Sau \u0111\u00f3, th\u00e0nh vi\u00ean l\u01b0u k\u00ed s\u1ebd t\u00e1i k\u00ed g\u1eedi ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0o trung t\u00e2m giao d\u1ecbch ch\u1ee9ng kho\u00e1n (qu\u00e1 tr\u00ecnh l\u01b0u k\u00ed 2 c\u1ea5p) \u00a0<\/p>\n

Qui tr\u00ecnh k\u00ed g\u1eedi<\/font><\/b><\/h3>\n

Qui tr\u00ecnh k\u00ed g\u1eedi ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ti\u1ebfn h\u00e0nh nh\u01b0 sau:<\/p>\n

– K\u00ed g\u1eedi<\/span> ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> \u00a0<\/b><\/p>\n

Kh\u00e1ch h\u00e0ng n\u1ed9p ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span>, n\u01a1i kh\u00e1ch h\u00e0ng m\u1edf t\u1ea3i kho\u1ea3n l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n.\u00a0<\/p>\n

\u0110\u1ec3 x\u00e1c \u0111\u1ecbnh ch\u00ednh x\u00e1c ch\u1ee7 s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n, \u0111\u1ed1i v\u1edbi c\u00e1c ch\u1ee9ng ch\u1ec9 c\u1ed5 phi\u1ebfu, tr\u00e1i phi\u1ebfu ghi danh khi k\u00ed g\u1eedi<\/span> ph\u1ea3i c\u00f3 k\u00ed h\u1eadu<\/span> c\u1ee7a kh\u00e1ch h\u00e0ng tr\u00ean t\u1edd ch\u1ee9ng ch\u1ec9. Trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p kh\u00e1c, c\u1ea7n ph\u1ea3i c\u00f3 c\u00e1c c\u0103n c\u1ee9 x\u00e1c minh quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a ng\u01b0\u1eddi s\u1edf h\u1eefu \u00a0ch\u1ee9ng kho\u00e1n do t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh l\u1eadp.<\/p>\n

– Th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> ti\u1ebfp nh\u1eadn v\u00e0 h\u1ea1ch to\u00e1n ch\u1ee9ng kho\u00e1n k\u00ed g\u1eedi<\/span><\/b><\/p>\n

Sau khi nh\u1eadn \u0111\u01b0\u1ee3c \u0111\u1ea7y \u0111\u1ee7 h\u1ed3 s\u01a1 l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n do kh\u00e1ch h\u00e0ng n\u1ed9p, th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> h\u1ea1ch to\u00e1n s\u1ed1 c\u1ed5 phi\u1ebfu, tr\u00e1i phi\u1ebfu cho kh\u00e1ch h\u00e0ng g\u1eedi v\u00e0o t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0 g\u1eedi cho kh\u00e1ch h\u00e0ng b\u1ea3n x\u00e1c nh\u1eadn k\u00ed g\u1eedi<\/span> ch\u1ee9ng kho\u00e1n. Th\u00e0nh vi\u00ean l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n v\u00e0o trung t\u00e2m giao d\u1ecbch ch\u1ee9ng kho\u00e1n.\u00a0<\/p>\n

Sau khi th\u00e0nh vi\u00ean t\u00e1i l\u01b0u k\u00ed s\u1ed1 ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0o Trung \u00a0t\u00e2m l\u01b0u k\u00ed thu\u1ed9c S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 nh\u1eadn \u0111\u01b0\u1ee3c gi\u1ea5y b\u00e1o C\u00f3 c\u1ee7a Trung t\u00e2m th\u00ec th\u1eddi \u0111i\u1ec3m \u0111\u00f3 kh\u00e1ch h\u00e0ng m\u1edbi \u0111\u01b0\u1ee3c ph\u00e9p \u0111\u1eb7t l\u1ec7nh giao d\u1ecbch hay ti\u1ebfn h\u00e0nh nghi\u1ec7p v\u1ee5 kh\u00e1c \u0111\u1ed1i v\u1edbi s\u1ed1 ch\u1ee9ng kho\u00e1n k\u00ed g\u1eedi.<\/p>\n

– Th\u00e0nh vi\u00ean t\u00e1i l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n v\u00e0o Trung t\u00e2m l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n \u00a0<\/b><\/p>\n

Ch\u1ee9ng kho\u00e1n k\u00ed g\u1eedi<\/span> c\u1ee7a kh\u00e1ch h\u00e0ng \u0111\u01b0\u1ee3c th\u00e0nh vi\u00ean t\u00e1i l\u01b0u k\u00ed<\/span> v\u00e0o trung t\u00e2m giao d\u1ecbch trong th\u1eddi gian s\u1edbm nh\u1ea5t. Qui tr\u00ecnh<\/span> t\u00e1i l\u01b0u k\u00ed<\/span> c\u1ee7a kh\u00e1ch h\u00e0ng do th\u00e0nh vi\u00ean th\u1ef1c hi\u1ec7n ph\u1ee5 thu\u1ed9c v\u00e0o h\u00ecnh th\u1ee9c ch\u1ee9ng kho\u00e1n k\u00ed g\u1eedi<\/span> l\u00e0 c\u00e1c ch\u1ee9ng kho\u00e1n chi\u1ebft kh\u1ea5u hay ch\u1ee9ng kho\u00e1n ghi s\u1ed5.<\/p>\n

\u0110\u1ed1i v\u1edbi c\u00e1c ch\u1ee9ng ch\u1ec9 ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> tr\u1ef1c ti\u1ebfp mang s\u1ed1 ch\u1ee9ng kho\u00e1n n\u00e0y \u0111\u1ebfn trung t\u00e2m l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n \u0111\u1ec3 l\u00e0m th\u1ee7 t\u1ee5c l\u01b0u k\u00ed<\/span>.<\/p>\n

Trong tr\u01b0\u1eddng h\u1ee3p ch\u1ee9ng kho\u00e1n l\u00e0 ch\u1ee9ng kho\u00e1n ghi s\u1ed5, \u0111\u01b0\u1ee3c th\u1ec3 hi\u1ec7n d\u01b0\u1edbi h\u00ecnh th\u1ee9c gi\u1ea5y ch\u1ee9ng nh\u1eadn quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n do t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh c\u1ea5p, th\u00ec qui tr\u00ecnh<\/span> l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n hi\u1ec7n nay qui \u0111\u1ecbnh nh\u01b0 sau:<\/span><\/p>\n

C\u00e1c th\u00e0nh vi\u00ean l\u1eadp v\u00e0 g\u1eedi cho c\u00e1c t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh l\u1eadp danh s\u00e1ch c\u1ed5 \u0111\u00f4ng s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n, c\u00f3 k\u00e8m gi\u1ea5y ch\u1ee9ng nh\u1eadn s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u1ec3 t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh ki\u1ec3m tra danh s\u00e1ch c\u1ed5 \u0111\u00f4ng s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty.\u00a0<\/p>\n

Danh s\u00e1ch c\u1ed5 \u0111\u00f4ng s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n l\u01b0u k\u00ed<\/span> c\u1ee7a c\u00f4ng ty sau \u0111\u00f3 \u0111\u01b0\u1ee3c t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh g\u1eedi cho trung t\u00e2m l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n.<\/p>\n

– Trung t\u00e2m l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n ti\u1ebfp nh\u1eadn v\u00e0 h\u1ea1ch to\u00e1n ch\u1ee9ng kho\u00e1n l\u01b0u k\u00ed<\/span><\/b><\/p>\n

C\u0103n c\u1ee9 v\u00e0o s\u1ed1 ch\u1ee9ng kho\u00e1n do th\u00e0nh vi\u00ean t\u00e1i l\u01b0u k\u00ed<\/span>, trung t\u00e2m l\u01b0u k\u00ed<\/span>\u00a0ch\u1ee9ng kho\u00e1n h\u1ea1ch to\u00e1n v\u00e0o t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng c\u1ee7a th\u00e0nh vi\u00ean ho\u1eb7c c\u1ee7a ch\u00ednh th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span>.\u00a0<\/p>\n

Sau \u0111\u00f3 trung t\u00e2m l\u01b0u k\u00ed<\/span>\u00a0ch\u1ee9ng kho\u00e1n g\u1eedi gi\u1ea5y b\u00e1o C\u00f3 x\u00e1c nh\u1eadn vi\u1ec7c g\u1eedi ch\u1ee9ng kho\u00e1n cho th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span>. Ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng \u0111\u01b0\u1ee3c b\u1ea3o qu\u1ea3n v\u00e0 l\u01b0u k\u00ed<\/span> t\u1eadp trung t\u1ea1i kho l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n c\u1ee7a trung t\u00e2m.<\/p>\n

S\u01a1 \u0111\u1ed3 ti\u1ebfp nh\u1eadn v\u00e0 h\u1ea1ch to\u00e1n ch\u1ee9ng kho\u00e1n l\u01b0u k\u00ed\u00a0<\/font><\/b><\/h3>\n
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S\u01a1 \u0111\u1ed3 ti\u1ebfp nh\u1eadn v\u00e0 h\u1ea1ch to\u00e1n ch\u1ee9ng kho\u00e1n l\u01b0u k\u00ed \u1edf Trung t\u00e2m ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam<\/p>\n<\/div>\n<\/div>\n

Ch\u00fa th\u00edch n\u1ed9i dung c\u00e1c b\u01b0\u1edbc:<\/p>\n

(1): T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh l\u00e0m th\u1ee7 t\u1ee5c \u0111\u0103ng k\u00ed<\/span>, l\u01b0u k\u00ed<\/span><\/p>\n

(2): Kh\u00e1ch h\u00e0ng k\u00ed g\u1eedi<\/span> ch\u1ee9ng ch\u1ec9 ch\u1ee9ng kho\u00e1n ho\u1eb7c n\u1ed9p gi\u1ea5y ch\u1ee9ng \u00a0nh\u1eadn quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n<\/p>\n

(3): Th\u00e0nh vi\u00ean h\u1ea1ch to\u00e1n v\u00e0o t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span> kh\u00e1ch h\u00e0ng v\u00e0 th\u00f4ng b\u00e1o cho kh\u00e1ch h\u00e0ng<\/p>\n

(4a): Th\u00e0nh vi\u00ean k\u00ed g\u1eedi<\/span> ch\u1ee9ng ch\u1ec9 ch\u1ee9ng kho\u00e1n<\/p>\n

(4b): Th\u00e0nh vi\u00ean l\u1eadp danh s\u00e1ch kh\u00e1ch h\u00e0ng l\u01b0u k\u00ed<\/span> ch\u1ee9ng kho\u00e1n ghi s\u1ed5; g\u1eedi danh s\u00e1ch n\u00e0y cho t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh<\/p>\n

(5a): T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh \u0111\u1ed1i chi\u1ebfu danh s\u00e1ch kh\u00e1ch h\u00e0ng v\u1edbi danh s\u00e1ch c\u1ed5 \u0111\u00f4ng, g\u1eedi cho th\u00e0nh vi\u00ean k\u1ebft qu\u1ea3 x\u00e1c nh\u1eadn<\/p>\n

(5b): Trung t\u00e2m h\u1ea1ch to\u00e1n v\u00e0o t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span> c\u1ee7a th\u00e0nh vi\u00ean v\u00e0 x\u00e1c nh\u1eadn v\u1edbi th\u00e0nh vi\u00ean<\/p>\n

(6): T\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh n\u1ed9p danh s\u00e1ch c\u1ed5 \u0111\u00f4ng k\u00e8m theo th\u00f4ng b\u00e1o v\u1ec1 th\u00e0nh vi\u00ean l\u01b0u k\u00ed<\/span> m\u00e0 kh\u00e1ch h\u00e0ng \u0111\u00e3 k\u00ed g\u1eedi<\/span> ch\u1ee9ng kho\u00e1n<\/p>\n

(7): Trung t\u00e2m giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n b\u00fat to\u00e1n ghi t\u01b0\u01a1ng \u1ee9ng tr\u00ean c\u00e1c t\u00e0i kho\u1ea3n l\u01b0u k\u00ed<\/span><\/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 K\u00ed g\u1eedi ch\u1ee9ng kho\u00e1n l\u00e0 b\u01b0\u1edbc trong \u0111\u00f3 kh\u00e1ch h\u00e0ng g\u1eedi ch\u1ee9ng kho\u00e1n thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a h\u1ecd v\u00e0o th\u00e0nh vi\u00ean l\u01b0u k\u00ed n\u01a1i h\u1ecd m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00ed 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\/31661"}],"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=31661"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31661\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31661"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31661"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31661"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}