{"id":31682,"date":"2023-12-07T10:55:41","date_gmt":"2023-12-07T10:55:41","guid":{"rendered":"https:\/\/masterskills.org\/blog\/hiep-hoi-kinh-doanh-chung-khoan-association-of-securities-business-la-gi.html"},"modified":"2023-12-23T09:39:09","modified_gmt":"2023-12-23T02:39:09","slug":"hiep-hoi-kinh-doanh-chung-khoan-association-of-securities-business-la-gi","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/hiep-hoi-kinh-doanh-chung-khoan-association-of-securities-business-la-gi.html","title":{"rendered":"Hi\u1ec7p h\u1ed9i kinh doanh ch\u1ee9ng kho\u00e1n (Association of Securities Business) l\u00e0 g\u00ec?"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: tbck).<\/p>\n<\/div>\n<\/div>\n

Hi\u1ec7p h\u1ed9i kinh doanh ch\u1ee9ng kho\u00e1n (Association of Securities Business)<\/font><\/h2>\n

Hi\u1ec7p h\u1ed9i kinh doanh ch\u1ee9ng kho\u00e1n<\/b> – danh t\u1eeb, trong ti\u1ebfng Anh c\u00f3 th\u1ec3 g\u1ecdi l\u00e0 Association of Securities Business<\/b>.<\/p>\n

Hi\u1ec7p h\u1ed9i kinh doanh ch\u1ee9ng kho\u00e1n<\/i> l\u00e0 t\u1ed5 ch\u1ee9c c\u1ee7a c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 m\u1ed9t s\u1ed1 th\u00e0nh vi\u00ean kh\u00e1c ho\u1ea1t \u0111\u1ed9ng trong ng\u00e0nh ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u00e0nh l\u1eadp v\u1edbi m\u1ee5c \u0111\u00edch b\u1ea3o v\u1ec7 l\u1ee3i \u00edch cho c\u00e1c c\u00f4ng ty th\u00e0nh vi\u00ean n\u00f3i ri\u00eang v\u00e0 cho to\u00e0n ng\u00e0nh ch\u1ee9ng kho\u00e1n n\u00f3i chung.<\/p>\n

M\u1ee5c ti\u00eau c\u1ee7a hi\u1ec7p h\u1ed9i<\/i> l\u00e0 ban h\u00e0nh, qu\u1ea3n l\u00ed v\u00e0 c\u1ee7ng c\u1ed1 c\u00e1c qui t\u1eafc, th\u1ef1c hi\u1ec7n \u0111\u00fang \u0111\u1eafn c\u00e1c giao d\u1ecbch tr\u00ean th\u1ecb tr\u01b0\u1eddng. Hi\u1ec7p h\u1ed9i<\/i> c\u00f3 quy\u1ec1n khi\u1ec3n tr\u00e1ch, t\u01b0\u1edbc b\u1ecf, ph\u1ea1t ti\u1ec1n ho\u1eb7c \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00e1c th\u00e0nh vi\u00ean – c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u1ebfu s\u1ef1 vi ph\u1ea1m c\u1ee7a th\u00e0nh vi\u00ean \u0111\u00f3 nghi\u00eam tr\u1ecdng. (Theo Gi\u00e1o tr\u00ecnh Th\u1ecb tr\u01b0\u1eddng Ch\u1ee9ng kho\u00e1n, NXB T\u00e0i ch\u00ednh<\/i>)<\/p>\n

Quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a Hi\u1ec7p h\u1ed9i kinh doanh ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam<\/font><\/h3>\n

Quy\u1ec1n c\u1ee7a Hi\u1ec7p h\u1ed9i<\/b><\/p>\n

1. Tuy\u00ean truy\u1ec1n m\u1ee5c \u0111\u00edch c\u1ee7a Hi\u1ec7p h\u1ed9i, k\u1ebft n\u1ea1p v\u00e0 khai tr\u1eeb h\u1ed9i vi\u00ean;<\/p>\n

2. B\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i h\u1ee3p ph\u00e1p c\u1ee7a Hi\u1ec7p h\u1ed9i <\/i>v\u00e0 h\u1ed9i vi\u00ean;<\/p>\n

3. T\u1ed5 ch\u1ee9c di\u1ec5n \u0111\u00e0n ph\u1ed5 c\u1eadp ph\u00e1p lu\u1eadt c\u1ee7a Nh\u00e0 n\u01b0\u1edbc, ch\u00ednh s\u00e1ch c\u1ee7a Ch\u00ednh ph\u1ee7 v\u00e0 c\u1ee7a \u1ee6y ban ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc t\u1edbi c\u00e1c h\u1ed9i vi\u00ean \u0111\u1ec3 c\u00e1c h\u1ed9i vi\u00ean qu\u00e1n tri\u1ec7t v\u00e0 th\u1ef1c hi\u1ec7n;<\/p>\n

4. T\u1ed5ng h\u1ee3p \u00fd ki\u1ebfn c\u1ee7a h\u1ed9i vi\u00ean v\u1ec1 nh\u1eefng v\u1ea5n \u0111\u1ec1 li\u00ean quan \u0111\u1ebfn ph\u00e1p lu\u1eadt, ch\u1ee7 tr\u01b0\u01a1ng, ch\u00ednh s\u00e1ch trong l\u0129nh v\u1ef1c ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n v\u00e0 \u0111\u1ea1i di\u1ec7n cho h\u1ed9i vi\u00ean ph\u00e1t bi\u1ec3u \u00fd ki\u1ebfn v\u1edbi c\u00e1c c\u01a1 quan nh\u00e0 n\u01b0\u1edbc v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c c\u00f3 li\u00ean quan;<\/p>\n

5. T\u1ed5 ch\u1ee9c nghi\u00ean c\u1ee9u c\u00e1c \u0111\u1ec1 \u00e1n theo y\u00eau c\u1ea7u c\u1ee7a ng\u00e0nh v\u00e0 c\u1ee7a c\u00e1c h\u1ed9i vi\u00ean \u0111\u1ec3 ph\u00e1t tri\u1ec3n nghi\u1ec7p v\u1ee5 kinh doanh, \u0111a d\u1ea1ng ho\u00e1 c\u00e1c d\u1ecbch v\u1ee5 kinh doanh v\u00e0 g\u00f3p ph\u1ea7n th\u00fac \u0111\u1ea9y ti\u1ebfn tr\u00ecnh hi\u1ec7n \u0111\u1ea1i ho\u00e1 c\u00e1c ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n, t\u1eebng b\u01b0\u1edbc \u0111\u01b0a ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00e1c h\u1ed9i vi\u00ean ti\u1ebfp c\u1eadn v\u1edbi th\u00f4ng l\u1ec7 qu\u1ed1c t\u1ebf;<\/p>\n

6. X\u00e2y d\u1ef1ng c\u00e1c ti\u00eau chu\u1ea9n \u0111\u1ea1o \u0111\u1ee9c ngh\u1ec1 nghi\u1ec7p, gi\u00e1m s\u00e1t vi\u1ec7c thi h\u00e0nh c\u00e1c ti\u00eau chu\u1ea9n \u0111\u00f3 c\u1ee7a c\u00e1c h\u1ed9i vi\u00ean v\u00e0 x\u1eed l\u00fd k\u1ecbp th\u1eddi khi h\u1ed9i vi\u00ean vi ph\u1ea1m.<\/p>\n

7. Ph\u1ed1i h\u1ee3p v\u1edbi c\u00e1c tr\u01b0\u1eddng \u0110\u1ea1i h\u1ecdc, c\u00e1c \u0111\u01a1n v\u1ecb nghi\u00ean c\u1ee9u khoa h\u1ecdc, c\u00e1c t\u1ed5 ch\u1ee9c v\u00e0 c\u00e1 nh\u00e2n trong v\u00e0 ngo\u00e0i n\u01b0\u1edbc \u0111\u1ec3 t\u1ed5 ch\u1ee9c \u0111\u00e0o t\u1ea1o cho c\u00e1c h\u1ed9i vi\u00ean. T\u1ed5 ch\u1ee9c c\u00e1c cu\u1ed9c h\u1ed9i th\u1ea3o, t\u1eadp hu\u1ea5n \u0111\u1ec3 ph\u1ed5 bi\u1ebfn kinh nghi\u1ec7m trong v\u00e0 ngo\u00e0i n\u01b0\u1edbc nh\u1eb1m n\u00e2ng cao tr\u00ecnh \u0111\u1ed9 cho c\u00e1c h\u1ed9i vi\u00ean;<\/p>\n

8. T\u1ed5 ch\u1ee9c t\u01b0\u01a1ng h\u1ed7 ngh\u1ec1 nghi\u1ec7p gi\u1eefa c\u00e1c h\u1ed9i vi\u00ean, tham gia v\u00e0o c\u00e1c t\u1ed5 ch\u1ee9c ho\u1ea1t \u0111\u1ed9ng chung theo s\u00e1ng ki\u1ebfn c\u1ee7a c\u00e1c h\u1ed9i vi\u00ean;<\/p>\n

9. Ho\u00e0 gi\u1ea3i tranh ch\u1ea5p gi\u1eefa c\u00e1c h\u1ed9i vi\u00ean, h\u1ed7 tr\u1ee3 gi\u1ea3i quy\u1ebft tranh ch\u1ea5p gi\u1eefa h\u1ed9i vi\u00ean v\u1edbi c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c trong c\u00e1c v\u1ea5n \u0111\u1ec1 li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n;<\/p>\n

10. T\u1ed5 ch\u1ee9c \u0111\u00e0o t\u1ea1o, ph\u1ed5 bi\u1ebfn ki\u1ebfn th\u1ee9c, t\u01b0 v\u1ea5n c\u00e1c v\u1ea5n \u0111\u1ec1 v\u1ec1 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n theo nhu c\u1ea7u c\u1ee7a c\u00e1c c\u01a1 quan nh\u00e0 n\u01b0\u1edbc, c\u00e1c t\u1ed5 ch\u1ee9c kinh t\u1ebf, ch\u00ednh tr\u1ecb, x\u00e3 h\u1ed9i v\u00e0 c\u00f4ng d\u00e2n theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt;<\/p>\n

11. Ph\u1ed1i h\u1ee3p v\u1edbi c\u00e1c c\u01a1 quan nh\u00e0 n\u01b0\u1edbc, t\u1ed5 ch\u1ee9c c\u00f3 li\u00ean quan nh\u1eb1m th\u1ef1c hi\u1ec7n nhi\u1ec7m v\u1ee5 c\u1ee7a Hi\u1ec7p h\u1ed9i;<\/p>\n

12. Tham gia \u00fd ki\u1ebfn c\u00e1c v\u0103n b\u1ea3n ph\u00e1p lu\u1eadt c\u00f3 li\u00ean quan \u0111\u1ebfn n\u1ed9i dung ho\u1ea1t \u0111\u1ed9ng c\u1ee7a Hi\u1ec7p h\u1ed9i<\/i> theo qui \u0111\u1ecbnh<\/span>;<\/p>\n

13. \u0110\u01b0\u1ee3c g\u00e2y qu\u0129 t\u1eeb h\u1ed9i ph\u00ed c\u1ee7a c\u00e1c h\u1ed9i vi\u00ean v\u00e0 c\u00e1c ho\u1ea1t \u0111\u1ed9ng d\u1ecbch v\u1ee5 kh\u00e1c theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt \u0111\u1ec3 t\u1ef1 trang tr\u1ea3i kinh ph\u00ed ho\u1ea1t \u0111\u1ed9ng;<\/p>\n

14. \u0110\u01b0\u1ee3c mua s\u1eafm, chuy\u1ec3n nh\u01b0\u1ee3ng t\u00e0i s\u1ea3n (k\u1ec3 c\u1ea3 b\u1ea5t \u0111\u1ed9ng s\u1ea3n), \u0111\u01b0\u1ee3c nh\u1eadn c\u00e1c ngu\u1ed3n t\u00e0i tr\u1ee3 h\u1ee3p ph\u00e1p c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c v\u00e0 c\u00e1 nh\u00e2n trong n\u01b0\u1edbc; \u0111\u01b0\u1ee3c mua s\u1eafm b\u1ea5t \u0111\u1ed9ng s\u1ea3n c\u1ea7n thi\u1ebft ph\u1ee5c v\u1ee5 cho ho\u1ea1t \u0111\u1ed9ng c\u1ee7a Hi\u1ec7p h\u1ed9i<\/i> theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt;<\/p>\n

15. \u0110\u01b0\u1ee3c nh\u1eadn t\u00e0i tr\u1ee3 c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c v\u00e0 c\u00e1 nh\u00e2n n\u01b0\u1edbc ngo\u00e0i theo qui \u0111\u1ecbnh<\/span> c\u1ee7a Nh\u00e0 n\u01b0\u1edbc; \u0111\u01b0\u1ee3c gia nh\u1eadp c\u00e1c H\u1ed9i qu\u1ed1c t\u1ebf v\u00e0 H\u1ed9i n\u01b0\u1edbc ngo\u00e0i theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt.<\/p>\n

Ngh\u0129a v\u1ee5 c\u1ee7a Hi\u1ec7p h\u1ed9i<\/b><\/p>\n

1. Ho\u1ea1t \u0111\u1ed9ng tu\u00e2n th\u1ee7 ph\u00e1p lu\u1eadt v\u00e0 \u0110i\u1ec1u l\u1ec7 c\u1ee7a Hi\u1ec7p h\u1ed9i.<\/p>\n

2. Xin ph\u00e9p khi \u0111\u1ed5i t\u00ean Hi\u1ec7p h\u1ed9i; khi th\u00e0nh l\u1eadp c\u00e1c ph\u00e1p nh\u00e2n thu\u1ed9c Hi\u1ec7p h\u1ed9i, Hi\u1ec7p h\u1ed9i<\/i> ph\u1ea3i th\u1ef1c hi\u1ec7n c\u00e1c th\u1ee7 t\u1ee5c theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt;<\/p>\n

3. B\u00e1o c\u00e1o v\u1edbi B\u1ed9 N\u1ed9i v\u1ee5, U\u1ef7 ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc khi Hi\u1ec7p h\u1ed9i<\/i> thay \u0111\u1ed5i Ban th\u01b0\u1eddng v\u1ee5, tr\u1ee5 s\u1edf Hi\u1ec7p h\u1ed9i, t\u1ed5 ch\u1ee9c \u0110\u1ea1i h\u1ed9i;<\/p>\n

4. H\u00e0ng n\u0103m, Hi\u1ec7p h\u1ed9i<\/i> ph\u1ea3i b\u00e1o c\u00e1o t\u00ecnh h\u00ecnh t\u1ed5 ch\u1ee9c v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a Hi\u1ec7p h\u1ed9i<\/b> cho B\u1ed9 N\u1ed9i v\u1ee5 v\u00e0 \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/p>\n

5. Ch\u1ea5p h\u00e0nh s\u1ef1 h\u01b0\u1edbng d\u1eabn, ki\u1ec3m tra c\u1ee7a c\u01a1 quan nh\u00e0 n\u01b0\u1edbc c\u00f3 th\u1ea9m quy\u1ec1n;<\/p>\n

6. Ngu\u1ed3n kinh ph\u00ed thu \u0111\u01b0\u1ee3c theo qui \u0111\u1ecbnh<\/span> v\u00e0 \u0110i\u1ec1u l\u1ec7 \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng cho ho\u1ea1t \u0111\u1ed9ng c\u1ee7a Hi\u1ec7p h\u1ed9i theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt;<\/p>\n

7. Ph\u1ea3i ch\u1ea5p h\u00e0nh \u0111\u00fang ph\u00e1p lu\u1eadt k\u1ebf to\u00e1n, th\u1ed1ng k\u00ea. H\u00e0ng n\u0103m, Hi\u1ec7p h\u1ed9i ph\u1ea3i l\u1eadp b\u00e1o c\u00e1o quy\u1ebft to\u00e1n thu chi theo qui \u0111\u1ecbnh<\/span> c\u1ee7a ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh. (Theo Lu\u1eadt ch\u1ee9ng kho\u00e1n n\u0103m 2006<\/i>)<\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n Hi\u1ec7p h\u1ed9i kinh doanh ch\u1ee9ng kho\u00e1n (ti\u1ebfng Anh: Association of Securities Business) l\u00e0 t\u1ed5 ch\u1ee9c c\u1ee7a c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 m\u1ed9t s\u1ed1 th\u00e0nh vi\u00ean kh\u00e1c ho\u1ea1t \u0111\u1ed9ng trong ng\u00e0nh 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\/31682"}],"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=31682"}],"version-history":[{"count":0,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/31682\/revisions"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=31682"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=31682"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=31682"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}