{"id":33837,"date":"2023-12-08T02:46:15","date_gmt":"2023-12-08T02:46:15","guid":{"rendered":"https:\/\/masterskills.org\/blog\/phap-luat-chung-khoan-securities-law-la-gi-noi-dung-co-ban-cua-phap-luat-chung-khoan.html"},"modified":"2023-12-23T12:51:18","modified_gmt":"2023-12-23T05:51:18","slug":"phap-luat-chung-khoan-securities-law-la-gi-noi-dung-co-ban-cua-phap-luat-chung-khoan","status":"publish","type":"post","link":"https:\/\/masterskills.org\/blog\/phap-luat-chung-khoan-securities-law-la-gi-noi-dung-co-ban-cua-phap-luat-chung-khoan.html","title":{"rendered":"Ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n (Securities law) l\u00e0 g\u00ec? N\u1ed9i dung c\u01a1 b\u1ea3n c\u1ee7a ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"
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H\u00ecnh minh h\u1ecda (Ngu\u1ed3n: photo-2-baomoi.zadn.vn)<\/p>\n<\/div>\n<\/div>\n

Ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n (Securities law)<\/font><\/h2>\n

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

Ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n<\/b> trong ti\u1ebfng Anh l\u00e0 Securities law.<\/b><\/p>\n

Ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n (Securities law)<\/i> \u0111\u01b0\u1ee3c d\u00f9ng \u0111\u1ec3 ch\u1ec9 b\u1ed9 ph\u1eadn ph\u00e1p lu\u1eadt li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n v\u00e0 giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong m\u1ed9t m\u00f4i tr\u01b0\u1eddng c\u1ee5 th\u1ec3, t\u01b0\u01a1ng \u1ee9ng v\u1edbi m\u1ed9t tr\u1eadt t\u1ef1 kinh t\u1ebf x\u00e3 h\u1ed9i c\u1ee7a n\u1ec1n kinh t\u1ebf th\u1ecb tr\u01b0\u1eddng trong nh\u1eefng giai \u0111o\u1ea1n ph\u00e1t tri\u1ec3n nh\u1ea5t \u0111\u1ecbnh.<\/p>\n

N\u1ed9i dung c\u01a1 b\u1ea3n c\u1ee7a ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n<\/font><\/h2>\n

– Qui \u0111\u1ecbnh v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n<\/p>\n

Qui \u0111\u1ecbnh v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n, ph\u00e1p lu\u1eadt qui \u0111\u1ecbnh v\u1ec1 c\u00e1c lo\u1ea1i ch\u1ee9ng kho\u00e1n, quy\u1ec1n n\u0103ng ph\u00e1t h\u00e0nh, c\u00e1c ph\u01b0\u01a1ng th\u1ee9c ph\u00e1t h\u00e0nh, \u0111i\u1ec1u ki\u1ec7n, tr\u00ecnh t\u1ef1 ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n. Trong \u0111\u00f3 c\u00f3 qui \u0111\u1ecbnh v\u1ec1 ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang, ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n ri\u00eang l\u1ebb.<\/p>\n

– Qui \u0111\u1ecbnh v\u1ec1 ch\u1ee7 th\u1ec3 tham gia th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/p>\n

Qui \u0111\u1ecbnh v\u1ec1 ch\u1ee7 th\u1ec3 tham gia th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, ph\u00e1p lu\u1eadt qui \u0111\u1ecbnh v\u1ec1: c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft; t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n.<\/p>\n

– Qui \u0111\u1ecbnh v\u1ec1 m\u00f4 h\u00ecnh t\u1ed5 ch\u1ee9c, s\u1edf h\u1eefu, ho\u1ea1t \u0111\u1ed9ng c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n\/Trung t\u00e2m giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

Trong \u0111\u00f3 c\u00f3 c\u00e1c qui \u0111\u1ecbnh v\u1ec1 h\u00ecnh th\u1ee9c t\u1ed3n t\u1ea1i th\u1ecb tr\u01b0\u1eddng; qui \u0111\u1ecbnh v\u1ec1 \u0111i\u1ec1u ki\u1ec7n th\u00e0nh vi\u00ean v\u00e0 tr\u00e1ch nhi\u1ec7m ph\u00e1p l\u00ed, l\u1ee3i \u00edch c\u1ee7a th\u00e0nh vi\u00ean; qui \u0111\u1ecbnh v\u1ec1 n\u1ed9i dung c\u01a1 b\u1ea3n c\u00e1c ho\u1ea1t \u0111\u1ed9ng tr\u00ean th\u1ecb tr\u01b0\u1eddng (ho\u1ea1t \u0111\u1ed9ng ni\u00eam y\u1ebft, giao d\u1ecbch v\u00e0 \u0111\u0103ng k\u00ed ch\u1ee9ng kho\u00e1n,…)<\/p>\n

– Qui \u0111\u1ecbnh v\u1ec1 kinh doanh tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/p>\n

Theo \u0110i\u1ec1u 6 Lu\u1eadt Ch\u1ee9ng kho\u00e1n qui \u0111\u1ecbnh “Kinh doanh ch\u1ee9ng kho\u00e1n l\u00e0 vi\u1ec7c th\u1ef1c hi\u1ec7n nghi\u1ec7p v\u1ee5 m\u00f4i gi\u1edbi ch\u1ee9ng kho\u00e1n, t\u1ef1 doanh ch\u1ee9ng kho\u00e1n, b\u1ea3o l\u00e3nh ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n, t\u01b0 v\u1ea5n \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, l\u01b0u k\u00ed ch\u1ee9ng kho\u00e1n, qu\u1ea3n l\u00ed qu\u0129 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, qu\u1ea3n l\u00ed danh m\u1ee5c \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n”.<\/p>\n

– Qui \u0111\u1ecbnh v\u1ec1 qu\u1ea3n l\u00ed nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/p>\n

Theo ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh, Ch\u00ednh ph\u1ee7, B\u1ed9 T\u00e0i ch\u00ednh, \u1ee6y ban ch\u1ee9ng kho\u00e1n nh\u00e0 n\u01b0\u1edbc \u0111\u1ec1u tham gia v\u00e0o ho\u1ea1t \u0111\u1ed9ng qu\u1ea3n l\u00ed nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, theo c\u1ea5p \u0111\u1ed9, l\u0129nh v\u1ef1c \u0111\u01b0\u1ee3c ph\u00e2n \u0111\u1ecbnh tr\u01b0\u1edbc.<\/p>\n

– Qui \u0111\u1ecbnh v\u1ec1 x\u1eed l\u00ed vi ph\u1ea1m ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n<\/p>\n

Lu\u1eadt ch\u1ee9ng kho\u00e1n 2010, Ngh\u1ecb \u0111\u1ecbnh 36\/2007\/N\u0110-CP 08\/03\/2007 c\u00e1c nh\u1eadn c\u00f3 c\u00e1c lo\u1ea1i vi ph\u1ea1m ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n c\u01a1 b\u1ea3n sau:\u00a0<\/p>\n

Vi ph\u1ea1m qui \u0111\u1ecbnh v\u1ec1 ho\u1ea1t \u0111\u1ed9ng ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang; vi ph\u1ea1m qui \u0111\u1ecbnh v\u1ec1 c\u00f4ng ty \u0111\u1ea1i ch\u00fang; vi ph\u1ea1m qui \u0111\u1ecbnh v\u1ec1 ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n; vi ph\u1ea1m qui \u0111\u1ecbnh v\u1ec1 t\u1ed5 ch\u1ee9c giao d\u1ecbch th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n; vi ph\u1ea1m qui \u0111\u1ecbnh v\u1ec1 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n; vi ph\u1ea1m qui \u0111\u1ecbnh v\u1ec1 \u0111\u0103ng k\u00ed, l\u01b0u k\u00ed, thanh to\u00e1n b\u00f9 tr\u1eeb, gi\u00e1m s\u00e1t c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t; vi ph\u1ea1m ch\u1ebf \u0111\u1ed9 c\u00f4ng b\u1ed1 th\u00f4ng tin.<\/p>\n

(T\u00e0i li\u1ec7u tham kh\u1ea3o: Gi\u00e1o tr\u00ecnh Ph\u00e1p lu\u1eadt kinh t\u1ebf, NXB T\u00e0i ch\u00ednh)<\/i><\/p>\n<\/p><\/div>\n","protected":false},"excerpt":{"rendered":"

\n Ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n (ti\u1ebfng Anh: Securities law) \u0111\u01b0\u1ee3c d\u00f9ng \u0111\u1ec3 ch\u1ec9 b\u1ed9 ph\u1eadn ph\u00e1p lu\u1eadt li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n v\u00e0 giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong m\u1ed9t m\u00f4i tr\u01b0\u1eddng c\u1ee5 th\u1ec3.\n <\/div>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[418],"tags":[],"_links":{"self":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/33837"}],"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=33837"}],"version-history":[{"count":1,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/33837\/revisions"}],"predecessor-version":[{"id":67744,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/posts\/33837\/revisions\/67744"}],"wp:attachment":[{"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/media?parent=33837"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/categories?post=33837"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/masterskills.org\/blog\/wp-json\/wp\/v2\/tags?post=33837"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}