{"id":12766,"date":"2018-11-30T17:56:42","date_gmt":"2018-11-30T10:56:42","guid":{"rendered":"https:\/\/anvilaw.com\/vi\/?p=12766"},"modified":"2022-03-07T17:59:18","modified_gmt":"2022-03-07T10:59:18","slug":"2-426-chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon","status":"publish","type":"post","link":"https:\/\/anvilaw.com\/vi\/2-426-chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon\/","title":{"rendered":"2.426. Ch\u1ea5n ch\u1ec9nh vi ph\u1ea1m tr\u00ean TTCK: C\u1ea7n gi\u1ea3i ph\u00e1p m\u1ea1nh h\u01a1n."},"content":{"rendered":"<strong>(\u0110TCK) &#8211; Ghi nh\u1eadn D\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i c\u00f3 y\u1ebfu t\u1ed1 m\u1edbi trong vi\u1ec7c gia t\u0103ng c\u00e1c bi\u1ec7n ph\u00e1p x\u1eed l\u00fd h\u00e0nh vi vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK), nh\u01b0ng \u00fd ki\u1ebfn t\u1eeb c\u00e1c th\u00e0nh vi\u00ean th\u1ecb tr\u01b0\u1eddng, chuy\u00ean gia cho r\u1eb1ng, c\u1ea7n t\u01b0 duy m\u1edbi v\u1ec1 x\u1eed l\u00fd vi ph\u1ea1m \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o t\u00ednh r\u0103n \u0111e.<\/strong><\/p>\n<div id=\"attachment_12769\" class=\"wp-caption alignnone\" style=\"width: auto\"><img loading=\"lazy\" decoding=\"async\" class=\"img-fluid img-fluid wp-image-12769 size-full\" src=\"https:\/\/anvilaw.com\/wp-content\/uploads\/2022\/03\/Screen-Shot-2022-03-07-at-17.58.17.png\" alt=\"\" width=\"405\" height=\"269\" \/><p class=\"wp-caption-text\">Ngu\u1ed3n: Internet<\/p><\/div>\n<p><em>V\u1edbi l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n, \u0111i\u1ec1u quan tr\u1ecdng l\u00e0 ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t c\u1ea7n \u0111\u1ee7 n\u1eb7ng \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o t\u00ednh r\u0103n \u0111e v\u00e0 c\u00f3 t\u00e1c d\u1ee5ng ng\u0103n ch\u1eb7n ngay c\u00e1c vi ph\u1ea1m.<\/em><\/p>\n<p><strong>K\u1ef3 2: Th\u00eam ch\u1ebf t\u00e0i m\u1edbi, t\u01b0 duy kh\u00f4ng th\u1ec3 c\u0169<\/strong><\/p>\n<p><strong>X\u1eed ph\u1ea1t h\u00e0nh ch\u00ednh: C\u00f3 th\u1ec3 t\u0103ng l\u00ean 10 t\u1ef7 \u0111\u1ed3ng v\u00e0 h\u01a1n n\u1eefa<\/strong><\/p>\n<p>M\u1ed9t n\u1ed9i dung m\u1edbi t\u1ea1i D\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i l\u1ea7n n\u00e0y l\u00e0 Ban so\u1ea1n th\u1ea3o \u0111\u01b0a ra kh\u00e1 nhi\u1ec1u gi\u1ea3i ph\u00e1p nh\u1eb1m ch\u1ea5n ch\u1ec9nh c\u00e1c h\u00e0nh vi vi ph\u1ea1m tr\u00ean TTCK.<\/p>\n<p>N\u1ed7 l\u1ef1c n\u00e0y \u0111\u01b0\u1ee3c B\u1ed9 T\u00e0i ch\u00ednh, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCK) \u0111\u01b0a ra trong b\u1ed1i c\u1ea3nh, theo Ph\u00f3 Ch\u1ee7 t\u1ecbch UBCK V\u0169 Th\u1ecb Ch\u00e2n Ph\u01b0\u01a1ng, c\u00e1c h\u00e0nh vi vi ph\u1ea1m ph\u00e1p lu\u1eadt tr\u00ean TTCK ng\u00e0y c\u00e0ng tinh vi, ph\u1ee9c t\u1ea1p, trong khi vi\u1ec7c ki\u1ec3m tra, thanh tra, x\u1eed l\u00fd c\u00e1c h\u00e0nh vi giao d\u1ecbch nghi v\u1ea5n g\u1eb7p nhi\u1ec1u kh\u00f3 kh\u0103n.<\/p>\n<p>Theo \u0111\u00f3, D\u1ef1 th\u1ea3o \u0111\u1ec1 xu\u1ea5t n\u00e2ng m\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh l\u00ean 3 t\u1ef7 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c v\u00e0 1,5 t\u1ef7 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n, thay v\u00ec l\u1ea7n l\u01b0\u1ee3t theo quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh l\u00e0 2 t\u1ef7 \u0111\u1ed3ng v\u00e0 1 t\u1ef7 \u0111\u1ed3ng.<\/p>\n<p><em>D\u01b0\u1edbi g\u00f3c nh\u00ecn c\u1ee7a m\u1ed9t chuy\u00ean gia ph\u00e1p l\u00fd c\u00f3 nhi\u1ec1u kinh nghi\u1ec7m trong l\u0129nh v\u1ef1c t\u00e0i ch\u00ednh, ch\u1ee9ng kho\u00e1n, lu\u1eadt s\u01b0 Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c cho r\u1eb1ng, Ban so\u1ea1n th\u1ea3o c\u1ea7n xem x\u00e9t hai v\u1ea5n \u0111\u1ec1 \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o t\u00ednh kh\u1ea3 thi v\u00e0 r\u0103n \u0111e cho quy \u0111\u1ecbnh tr\u00ean.<\/em><\/p>\n<p><em>\u0110\u1ea7u ti\u00ean, theo quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh c\u1ee7a Lu\u1eadt X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh, m\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c l\u00e0 2 t\u1ef7 \u0111\u1ed3ng, c\u00e1 nh\u00e2n l\u00e0 1 t\u1ef7 \u0111\u1ed3ng. Do \u0111\u00f3, D\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n \u0111\u1ec1 xu\u1ea5t m\u1ee9c ph\u1ea1t ti\u1ec1n v\u01b0\u1ee3t tr\u1ea7n c\u1ee7a Lu\u1eadt X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh l\u00e0 kh\u00f4ng \u0111\u1ea3m b\u1ea3o t\u00ednh \u0111\u1ed3ng b\u1ed9 v\u1edbi c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt li\u00ean quan.<\/em><\/p>\n<p><em>\u0110\u1ec3 \u0111\u1ea3m b\u1ea3o t\u00ednh ch\u1eb7t ch\u1ebd, kh\u1ea3 thi, Ban so\u1ea1n th\u1ea3o c\u1ea7n r\u00e0 so\u00e1t k\u1ef9 l\u1ea1i n\u1ed9i dung nh\u01b0 D\u1ef1 th\u1ea3o. Trong tr\u01b0\u1eddng h\u1ee3p x\u00e9t th\u1ea5y c\u1ea7n n\u00e2ng m\u1ee9c tr\u1ea7n ph\u1ea1t ti\u1ec1n, th\u00ec c\u00f3 th\u1ec3 \u0111\u1ec1 xu\u1ea5t s\u1eeda \u0111\u1ed5i Lu\u1eadt X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u1ec3 thay \u0111\u1ed5i khung ti\u1ec1n ph\u1ea1t cho ph\u00f9 h\u1ee3p v\u1edbi Lu\u1eadt Ch\u1ee9ng kho\u00e1n.<\/em><\/p>\n<p><em>Ti\u1ebfp \u0111\u1ebfn, m\u1ee9c tr\u1ea7n x\u1eed ph\u1ea1t nh\u01b0 D\u1ef1 th\u1ea3o tuy t\u0103ng nh\u01b0ng v\u1eabn kh\u00f3 \u0111\u1ea3m b\u1ea3o t\u00ednh r\u0103n \u0111e. Do \u0111\u00f3, c\u1ea7n xem x\u00e9t t\u0103ng m\u1ee9c x\u1eed ph\u1ea1t th\u1eadm ch\u00ed l\u00ean t\u1edbi h\u00e0ng ch\u1ee5c t\u1ef7 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00e1c h\u00e0nh vi vi ph\u1ea1m nghi\u00eam tr\u1ecdng&#8230;<\/em><\/p>\n<p><em>\u00d4ng \u0110\u1ee9c cho r\u1eb1ng, s\u1edf d\u0129 c\u1ea7n t\u0103ng m\u1ee9c tr\u1ea7n ph\u1ea1t ti\u1ec1n l\u00ean h\u00e0ng ch\u1ee5c t\u1ef7 \u0111\u1ed3ng, b\u1edfi nh\u01b0 th\u1ebf m\u1edbi \u0111\u1ea3m b\u1ea3o t\u00ednh r\u0103n \u0111e, ng\u0103n ch\u1eb7n k\u1ecbp th\u1eddi c\u00e1c h\u00e0nh vi vi ph\u1ea1m, tr\u00e1nh t\u00e1c \u0111\u1ed9ng ti\u00eau c\u1ef1c lan truy\u1ec1n ra th\u1ecb tr\u01b0\u1eddng. \u0110i\u1ec1u n\u00e0y \u0111\u00f2i h\u1ecfi t\u01b0 duy m\u1edbi v\u1ec1 c\u00e1ch thi\u1ebft k\u1ebf c\u00e1c ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t vi ph\u1ea1m ch\u00ednh tr\u00ean TTCK.<\/em><\/p>\n<p><em>Theo \u0111\u00f3, c\u1ea7n t\u0103ng n\u1eb7ng ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t h\u00e0nh ch\u00ednh thay cho ch\u1ebf t\u00e0i h\u00ecnh s\u1ef1, b\u1edfi x\u1eed l\u00fd h\u00ecnh s\u1ef1 t\u1ed1n nhi\u1ec1u th\u1eddi gian, n\u00ean kh\u00f3 \u0111\u1ea3m b\u1ea3o t\u00ednh k\u1ecbp th\u1eddi trong tr\u1eebng ph\u1ea1t ngay c\u00e1c vi ph\u1ea1m v\u00e0 ng\u0103n ch\u1eb7n c\u00e1c t\u00e1c \u0111\u1ed9ng ti\u00eau c\u1ef1c lan truy\u1ec1n.<\/em><\/p>\n<p><em>\u201cH\u01a1n n\u1eefa, x\u00e9t cho c\u00f9ng, x\u1eed l\u00fd h\u00ecnh s\u1ef1 v\u1eabn bu\u1ed9c \u0111\u1ed1i t\u01b0\u1ee3ng vi ph\u1ea1m b\u1ed3i th\u01b0\u1eddng thi\u1ec7t h\u1ea1i v\u1ec1 v\u1eadt ch\u1ea5t, n\u00ean \u0111\u1ec3 t\u0103ng t\u00ednh r\u0103n \u0111e c\u1ea7n t\u0103ng n\u1eb7ng c\u00e1c ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t v\u1ec1 h\u00e0nh ch\u00ednh\u201d, \u00f4ng \u0110\u1ee9c n\u00f3i.<\/em><\/p>\n<p>\u1ee6ng h\u1ed9 h\u01b0\u1edbng \u0111\u01b0a ra c\u00e1c ch\u1ebf t\u00e0i t\u0103ng n\u1eb7ng, lu\u1eadt s\u01b0 Tr\u1ea7n H\u1eefu Hu\u1ef3nh, Ch\u1ee7 t\u1ecbch Trung t\u00e2m Tr\u1ecdng t\u00e0i qu\u1ed1c t\u1ebf Vi\u1ec7t Nam (VIAC) cho r\u1eb1ng, v\u1edbi t\u00ednh ch\u1ea5t nh\u1ea1y c\u1ea3m, ph\u1ea3n \u1ee9ng d\u00e2y chuy\u1ec1n tr\u00ean TTCK, c\u00e1c h\u00e0nh vi vi ph\u1ea1m r\u1ea5t c\u1ea7n \u0111\u01b0\u1ee3c tr\u1eebng ph\u1ea1t ngay, \u0111\u1ec3 tr\u00e1nh nh\u1eefng t\u00e1c \u0111\u1ed9ng ti\u00eau c\u1ef1c lan truy\u1ec1n. Do \u0111\u00f3, Ban so\u1ea1n th\u1ea3o c\u1ea7n xem x\u00e9t \u0111\u01b0a ra c\u00e1c nguy\u00ean t\u1eafc c\u1ee5 th\u1ec3 v\u1ec1 h\u1ec7 th\u1ed1ng ch\u1ebf t\u00e0i theo h\u01b0\u1edbng nghi\u00eam kh\u1eafc h\u01a1n.<\/p>\n<p>Li\u00ean quan \u0111\u1ebfn h\u01b0\u1edbng \u0111\u1ed5i m\u1edbi t\u01b0 duy trong thi\u1ebft k\u1ebf v\u00e0 \u00e1p d\u1ee5ng ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n, lu\u1eadt s\u01b0 L\u00ea Thanh S\u01a1n, V\u0103n ph\u00f2ng lu\u1eadt s\u01b0 AIC nh\u00ecn nh\u1eadn, l\u00e2u nay Vi\u1ec7t Nam ch\u01b0a \u0111\u1ec3 \u00fd \u0111\u00fang m\u1ee9c \u0111\u1ebfn \u00e1p d\u1ee5ng c\u00e1c h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung ngo\u00e0i h\u00ecnh th\u1ee9c ph\u1ea1t ti\u1ec1n.<\/p>\n<p>Ngay c\u1ea3 h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung hi\u1ec7n t\u1ea1i l\u00e0 thu h\u1ed3i kho\u1ea3n thu l\u1ee3i b\u1ea5t ch\u00ednh do h\u00e0nh vi vi ph\u1ea1m m\u00e0 c\u00f2n, th\u00ec v\u1eabn li\u00ean quan \u0111\u1ebfn x\u1eed ph\u1ea1t v\u1ec1 ti\u1ec1n. V\u00ec v\u1eady, trong l\u1ea7n s\u1eeda \u0111\u1ed5i Lu\u1eadt Ch\u1ee9ng kho\u00e1n n\u00e0y, Ban so\u1ea1n th\u1ea3o c\u1ea7n th\u1ec3 hi\u1ec7n t\u01b0 duy m\u1edbi trong thi\u1ebft k\u1ebf h\u1ec7 th\u1ed1ng ch\u1ebf t\u00e0i theo chu\u1ea9n m\u1ef1c v\u00e0 th\u00f4ng l\u1ec7 qu\u1ed1c t\u1ebf, \u0111\u1ed3ng th\u1eddi ph\u00f9 h\u1ee3p v\u1edbi th\u1ef1c ti\u1ec5n TTCK Vi\u1ec7t Nam, tr\u00e1nh t\u00ecnh tr\u1ea1ng m\u1ee9c ph\u1ea1t nh\u01b0 hi\u1ec7n nay qu\u00e1 nh\u1eb9, kh\u00f4ng \u0111\u1ea3m b\u1ea3o t\u00ednh r\u0103n \u0111e.<\/p>\n<p>Mu\u1ed1n v\u1eady, t\u01b0 duy m\u1edbi c\u1ee7a Ban so\u1ea1n th\u1ea3o c\u1ea7n th\u1ec3 hi\u1ec7n qua vi\u1ec7c t\u0103ng c\u01b0\u1eddng c\u00e1c h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung m\u00e0 th\u1ecb tr\u01b0\u1eddng qu\u1ed1c t\u1ebf, trong \u0111\u00f3 c\u00f3 c\u00e1c th\u1ecb tr\u01b0\u1eddng l\u00e2n c\u1eadn Vi\u1ec7t Nam \u0111\u00e3 \u00e1p d\u1ee5ng hi\u1ec7u qu\u1ea3, c\u00f3 t\u00e1c d\u1ee5ng t\u1ed1t trong x\u1eed l\u00fd v\u00e0 ph\u00f2ng ng\u1eeba vi ph\u1ea1m.<\/p>\n<p>Ch\u1eb3ng h\u1ea1n treo giao d\u1ecbch c\u1ed5 phi\u1ebfu c\u1ee7a c\u00e1c doanh nghi\u1ec7p c\u00f4ng b\u1ed1 th\u00f4ng tin gian d\u1ed1i, ban l\u00e3nh \u0111\u1ea1o c\u00f4ng ty giao d\u1ecbch n\u1ed9i gi\u00e1n; nh\u00e0 \u0111\u1ea7u t\u01b0 thao t\u00fang c\u1ed5 phi\u1ebfu b\u1ecb c\u1ea5m giao d\u1ecbch trong m\u1ed9t th\u1eddi gian nh\u1ea5t \u0111\u1ecbnh; r\u00fat gi\u1ea5y ph\u00e9p h\u00e0nh ngh\u1ec1 c\u1ee7a c\u00e1c ch\u1ee9c danh ngh\u1ec1 nghi\u1ec7p tr\u00ean TTCK khi b\u1ecb k\u1ebft lu\u1eadn l\u00e0 c\u00f3 h\u00e0nh vi thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n, giao d\u1ecbch n\u1ed9i gi\u00e1n, c\u00f4ng b\u1ed1 th\u00f4ng tin sai s\u1ef1 th\u1eadt\u2026<\/p>\n<p>&nbsp;<\/p>\n<p><strong>T\u0103ng quy\u1ec1n,\u00a0nh\u01b0ng tr\u00e1nh l\u1ea1m quy\u1ec1n<\/strong><\/p>\n<p>Ngo\u00e0i t\u0103ng ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t c\u00e1c h\u00e0nh vi vi ph\u1ea1m, m\u1ed9t n\u1ed9i dung m\u1edbi \u0111\u00e1ng ch\u00fa \u00fd t\u1ea1i D\u1ef1 th\u1ea3o thu h\u00fat s\u1ef1 quan t\u00e2m c\u1ee7a chuy\u00ean gia ph\u00e1p l\u00fd l\u00e0 t\u0103ng th\u1ea9m quy\u1ec1n cho UBCK.<\/p>\n<p>N\u1ed9i dung m\u1edbi n\u00e0y t\u1ea1i D\u1ef1 th\u1ea3o, theo b\u00e0 V\u0169 Th\u1ecb Ch\u00e2n Ph\u01b0\u01a1ng \u0111\u01b0\u1ee3c \u0111\u01b0a ra trong b\u1ed1i c\u1ea3nh c\u00e1c h\u00e0nh vi vi ph\u1ea1m ph\u00e1p lu\u1eadt tr\u00ean th\u1ecb tr\u01b0\u1eddng ng\u00e0y c\u00e0ng tinh vi, ph\u1ee9c t\u1ea1p, trong khi UBCK ch\u01b0a c\u00f3 \u0111\u1ee7 th\u1ea9m quy\u1ec1n \u0111\u1ec3 t\u1ed5 ch\u1ee9c v\u00e0 th\u1ef1c thi t\u1ed1t c\u00e1c ch\u1ee9c n\u0103ng thanh tra v\u00e0 c\u01b0\u1ee1ng ch\u1ebf th\u1ef1c thi nh\u01b0: Ch\u01b0a c\u00f3 th\u1ea9m quy\u1ec1n trong ki\u1ec3m so\u00e1t t\u00e0i kho\u1ea3n, d\u00f2ng ti\u1ec1n; y\u00eau c\u1ea7u t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n cung c\u1ea5p th\u00f4ng tin li\u00ean quan \u0111\u1ebfn n\u1ed9i dung thanh tra&#8230;<\/p>\n<p>Ngay nh\u1eefng th\u1ecb tr\u01b0\u1eddng l\u00e2n c\u1eadn Vi\u1ec7t Nam c\u0169ng c\u00f3 nh\u1eefng quy \u0111\u1ecbnh v\u1ec1 c\u00e1c n\u1ed9i dung tr\u00ean. Ch\u1eb3ng h\u1ea1n, Lu\u1eadt Ch\u1ee9ng kho\u00e1n Trung Qu\u1ed1c quy \u0111\u1ecbnh, UBCK Trung Qu\u1ed1c c\u00f3 th\u1ea9m quy\u1ec1n th\u1ef1c hi\u1ec7n c\u00e1c bi\u1ec7n ph\u00e1p: Tri\u1ec7u t\u1eadp c\u00e1c b\u00ean li\u00ean quan, c\u00e1c \u0111\u01a1n v\u1ecb v\u00e0 c\u00e1 nh\u00e2n li\u00ean quan \u0111\u1ebfn s\u1ef1 vi\u1ec7c v\u00e0 y\u00eau c\u1ea7u h\u1ecd gi\u1ea3i tr\u00ecnh; xem x\u00e9t v\u00e0 sao ch\u1ee5p sao k\u00ea giao d\u1ecbch ch\u1ee9ng kho\u00e1n, t\u00e0i li\u1ec7u \u0111\u0103ng k\u00fd v\u00e0 chuy\u1ec3n nh\u01b0\u1ee3ng, t\u00e0i li\u1ec7u t\u00e0i ch\u00ednh k\u1ebf to\u00e1n c\u1ee7a \u0111\u01a1n v\u1ecb, c\u00e1 nh\u00e2n li\u00ean quan \u0111\u1ebfn s\u1ef1 vi\u1ec7c; th\u1ea9m tra t\u00e0i kho\u1ea3n ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n, t\u00e0i kho\u1ea3n ng\u00e2n h\u00e0ng c\u1ee7a c\u00e1c b\u00ean li\u00ean quan v\u00e0 c\u1ee7a \u0111\u01a1n v\u1ecb, c\u00e1 nh\u00e2n li\u00ean quan \u0111\u1ebfn s\u1ef1 vi\u1ec7c&#8230;<\/p>\n<p>Hay C\u01a1 quan Thanh tra gi\u00e1m s\u00e1t TTCK c\u1ee7a Nh\u1eadt B\u1ea3n &#8211; SESC c\u00f3 quy\u1ec1n: Th\u1ea9m v\u1ea5n c\u00e1 nh\u00e2n li\u00ean quan \u0111\u1ebfn v\u1ee5 vi\u1ec7c; y\u00eau c\u1ea7u c\u00e1 nh\u00e2n n\u1ed9p t\u00e0i li\u1ec7u, th\u00f4ng tin, d\u1eef li\u1ec7u (tr\u00ean m\u00e1y t\u00ednh, \u0111i\u1ec7n tho\u1ea1i&#8230;) l\u00e0 v\u1eadt ch\u1ee9ng; kh\u00e1m x\u00e9t \u0111\u1ecba \u0111i\u1ec3m kinh doanh c\u1ee7a \u0111\u1ed1i t\u01b0\u1ee3ng t\u00ecnh nghi v\u00e0 thu gi\u1eef c\u00e1c v\u1eadt ch\u1ee9ng li\u00ean quan; y\u00eau c\u1ea7u c\u00e1c c\u01a1 quan c\u00f4ng quy\u1ec1n ho\u1eb7c t\u1ed5 ch\u1ee9c t\u01b0 nh\u00e2n ph\u1ed1i h\u1ee3p cung c\u1ea5p th\u00f4ng tin, b\u00e1o c\u00e1o v\u1ec1 c\u00e1c v\u1ea5n \u0111\u1ec1 li\u00ean quan \u0111\u1ebfn v\u1ee5 vi\u1ec7c&#8230;<\/p>\n<p>\u201cTham kh\u1ea3o kinh nghi\u1ec7m qu\u1ed1c t\u1ebf, x\u00e9t b\u1ed1i c\u1ea3nh th\u1ef1c ti\u1ec5n c\u1ee7a TTCK Vi\u1ec7t Nam, \u0111\u1ed3ng th\u1eddi qua tham v\u1ea5n \u00fd ki\u1ebfn c\u1ee7a chuy\u00ean gia Ng\u00e2n h\u00e0ng Th\u1ebf gi\u1edbi (WB), Ban so\u1ea1n th\u1ea3o \u0111\u1ec1 xu\u1ea5t UBCK c\u00f3 quy\u1ec1n: Y\u00eau c\u1ea7u c\u01a1 quan, t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n c\u00f3 th\u00f4ng tin li\u00ean quan \u0111\u1ebfn n\u1ed9i dung thanh tra, ki\u1ec3m tra cung c\u1ea5p th\u00f4ng tin, t\u00e0i li\u1ec7u \u0111\u00f3 ho\u1eb7c y\u00eau c\u1ea7u t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n gi\u1ea3i tr\u00ecnh, \u0111\u1ed1i ch\u1ea5t li\u00ean quan \u0111\u1ebfn n\u1ed9i dung thanh tra, ki\u1ec3m tra;<\/p>\n<p>Y\u00eau c\u1ea7u t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng cung c\u1ea5p th\u00f4ng tin li\u00ean quan \u0111\u1ebfn giao d\u1ecbch tr\u00ean t\u00e0i kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng \u0111\u1ed1i v\u1edbi c\u00e1c tr\u01b0\u1eddng h\u1ee3p c\u00f3 d\u1ea5u hi\u1ec7u nghi v\u1ea5n sau khi \u0111\u01b0\u1ee3c Ch\u1ee7 t\u1ecbch UBCK Nh\u00e0 n\u01b0\u1edbc ph\u00ea duy\u1ec7t; y\u00eau c\u1ea7u doanh nghi\u1ec7p vi\u1ec5n th\u00f4ng cung c\u1ea5p t\u00ean, \u0111\u1ecba ch\u1ec9, s\u1ed1 m\u00e1y g\u1ecdi, s\u1ed1 m\u00e1y \u0111\u01b0\u1ee3c g\u1ecdi, th\u1eddi gian g\u1ecdi \u0111\u1ec3 x\u00e1c minh, x\u1eed l\u00fd c\u00e1c h\u00e0nh vi b\u1ecb c\u1ea5m theo quy \u0111\u1ecbnh&#8230;\u201d, b\u00e0 Ph\u01b0\u01a1ng cho hay.<\/p>\n<p><em>\u1ee6ng h\u1ed9 D\u1ef1 th\u1ea3o Lu\u1eadt trao th\u00eam quy\u1ec1n cho UBCK theo h\u01b0\u1edbng tr\u00ean, lu\u1eadt s\u01b0 Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c nh\u00ecn nh\u1eadn, \u0111\u00e2y l\u00e0 vi\u1ec7c l\u00e0m c\u1ea7n thi\u1ebft v\u00ec ph\u00f9 h\u1ee3p v\u1edbi \u0111\u1ecbnh h\u01b0\u1edbng c\u1ea7n gia t\u0103ng ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh theo h\u01b0\u1edbng t\u0103ng n\u1eb7ng \u0111\u1ed1i v\u1edbi c\u00e1c h\u00e0nh vi vi ph\u1ea1m v\u1ec1 kinh t\u1ebf, tr\u00e1nh h\u00ecnh s\u1ef1 h\u00f3a.<\/em><\/p>\n<p><em>\u0110\u1eb7c bi\u1ec7t, v\u1edbi l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n, \u0111i\u1ec1u quan tr\u1ecdng l\u00e0 ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t c\u1ea7n \u0111\u1ee7 n\u1eb7ng \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o t\u00ednh r\u0103n \u0111e v\u00e0 c\u00f3 t\u00e1c d\u1ee5ng ng\u0103n ch\u1eb7n ngay c\u00e1c vi ph\u1ea1m, m\u00e0 \u0111i\u1ec1u n\u00e0y th\u00ec ch\u1ebf t\u00e0i h\u00e0nh ch\u00ednh ph\u00e1t huy t\u00e1c d\u1ee5ng t\u1ed1t h\u01a1n ch\u1ebf t\u00e0i h\u00ecnh s\u1ef1.<\/em><\/p>\n<p>B\u00ean c\u1ea1nh quan \u0111i\u1ec3m \u1ee7ng h\u1ed9 t\u0103ng quy\u1ec1n cho UBCK, c\u00f3 \u00fd ki\u1ebfn \u0111\u1ec1 xu\u1ea5t D\u1ef1 th\u1ea3o lu\u1eadt c\u1ea7n quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 \u0111\u1ec3 tr\u00e1nh l\u1ea1m quy\u1ec1n. Theo \u0111\u00f3, D\u1ef1 th\u1ea3o lu\u1eadt n\u00ean gi\u1edbi h\u1ea1n r\u00f5 y\u00eau c\u1ea7u t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng cung c\u1ea5p th\u00f4ng tin li\u00ean quan \u0111\u1ebfn giao d\u1ecbch tr\u00ean t\u00e0i kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng, c\u0169ng nh\u01b0 nguy\u00ean t\u1eafc b\u1ea3o m\u1eadt th\u00f4ng tin, \u0111\u1ec3 tr\u00e1nh quy\u1ec1n n\u00e0y b\u1ecb l\u1ea1m d\u1ee5ng.<\/p>\n<p>N\u1ebfu th\u00f4ng tin t\u1eeb t\u00e0i kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng b\u1ecb l\u1ed9 d\u1eabn \u0111\u1ebfn nh\u1eefng thi\u1ec7t h\u1ea1i cho h\u1ecd sau khi c\u01a1 quan qu\u1ea3n l\u00fd TTCK ti\u1ebfp c\u1eadn, th\u00ec ai ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m? Trong qu\u00e1 tr\u00ecnh ti\u1ebfp c\u1eadn c\u00e1c th\u00f4ng tin v\u1ec1 t\u00e0i kho\u1ea3n t\u1ea1i ng\u00e2n h\u00e0ng c\u1ee7a kh\u00e1ch h\u00e0ng, c\u0169ng nh\u01b0 th\u1ef1c hi\u1ec7n m\u1ed9t s\u1ed1 quy\u1ec1n kh\u00e1c, ai l\u00e0 ng\u01b0\u1eddi gi\u00e1m s\u00e1t UBCK, c\u0169ng nh\u01b0 c\u00e1n b\u1ed9 th\u1ef1c thi nhi\u1ec7m v\u1ee5 tranh, ki\u1ec3m tra?<\/p>\n<p><strong>Nguy\u1ec5n H\u1eefu<\/strong><\/p>\n<hr \/>\n<p><strong><em>\u0110\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (Ch\u1ee9ng kho\u00e1n) 30-11-2018:<\/em><\/strong><\/p>\n<p><a href=\"https:\/\/tinnhanhchungkhoan.vn\/chung-khoan\/chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon-250250.html\"><em>https:\/\/tinnhanhchungkhoan.vn\/chung-khoan\/chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon-250250.html<\/em><\/a><\/p>\n<p><em>(504\/1.826)<\/em>","protected":false},"excerpt":{"rendered":"<p>(\u0110TCK) &#8211; Ghi nh\u1eadn D\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i c\u00f3 y\u1ebfu t\u1ed1 m\u1edbi trong vi\u1ec7c gia t\u0103ng c\u00e1c bi\u1ec7n ph\u00e1p x\u1eed l\u00fd h\u00e0nh vi vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK), nh\u01b0ng \u00fd ki\u1ebfn t\u1eeb c\u00e1c th\u00e0nh vi\u00ean th\u1ecb tr\u01b0\u1eddng, chuy\u00ean gia cho r\u1eb1ng, c\u1ea7n t\u01b0 duy m\u1edbi v\u1ec1 x\u1eed l\u00fd vi [&hellip;]<\/p>\n","protected":false},"author":7,"featured_media":12769,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[27,26],"tags":[],"class_list":["post-12766","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-interviews","category-legal-media"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.9 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>2.426. Ch\u1ea5n ch\u1ec9nh vi ph\u1ea1m tr\u00ean TTCK: C\u1ea7n gi\u1ea3i ph\u00e1p m\u1ea1nh h\u01a1n. - ANVI Law Firm<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/anvilaw.com\/en\/tieng-viet-2-426-chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon\/\" \/>\n<meta property=\"og:locale\" content=\"vi_VN\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"[:vi]2.426. Ch\u1ea5n ch\u1ec9nh vi ph\u1ea1m tr\u00ean TTCK: C\u1ea7n gi\u1ea3i ph\u00e1p m\u1ea1nh h\u01a1n.[:] - ANVI Law Firm\" \/>\n<meta property=\"og:description\" content=\"(\u0110TCK) &#8211; Ghi nh\u1eadn D\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i c\u00f3 y\u1ebfu t\u1ed1 m\u1edbi trong vi\u1ec7c gia t\u0103ng c\u00e1c bi\u1ec7n ph\u00e1p x\u1eed l\u00fd h\u00e0nh vi vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK), nh\u01b0ng \u00fd ki\u1ebfn t\u1eeb c\u00e1c th\u00e0nh vi\u00ean th\u1ecb tr\u01b0\u1eddng, chuy\u00ean gia cho r\u1eb1ng, c\u1ea7n t\u01b0 duy m\u1edbi v\u1ec1 x\u1eed l\u00fd vi [&hellip;]\" \/>\n<meta property=\"og:url\" content=\"https:\/\/anvilaw.com\/en\/tieng-viet-2-426-chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon\/\" \/>\n<meta property=\"og:site_name\" content=\"ANVI Law Firm\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/facebook.com\/anvilawfirm\" \/>\n<meta property=\"article:published_time\" content=\"2018-11-30T10:56:42+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2022-03-07T10:59:18+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/anvilaw.com\/wp-content\/uploads\/2022\/03\/Screen-Shot-2022-03-07-at-17.58.17.png\" \/>\n\t<meta property=\"og:image:width\" content=\"405\" \/>\n\t<meta property=\"og:image:height\" content=\"269\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"author\" content=\"Tr\u01b0\u01a1ng Thu H\u1eb1ng\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:creator\" content=\"@anvilawfirm\" \/>\n<meta name=\"twitter:site\" content=\"@anvilawfirm\" \/>\n<meta name=\"twitter:label1\" content=\"\u0110\u01b0\u1ee3c vi\u1ebft b\u1edfi\" \/>\n\t<meta name=\"twitter:data1\" content=\"Tr\u01b0\u01a1ng Thu H\u1eb1ng\" \/>\n\t<meta name=\"twitter:label2\" content=\"\u01af\u1edbc t\u00ednh th\u1eddi gian \u0111\u1ecdc\" \/>\n\t<meta name=\"twitter:data2\" content=\"14 ph\u00fat\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\/\/anvilaw.com\/en\/tieng-viet-2-426-chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon\/#article\",\"isPartOf\":{\"@id\":\"https:\/\/anvilaw.com\/en\/tieng-viet-2-426-chan-chinh-vi-pham-tren-ttck-can-giai-phap-manh-hon\/\"},\"author\":{\"name\":\"Tr\u01b0\u01a1ng Thu H\u1eb1ng\",\"@id\":\"https:\/\/anvilaw.com\/vi\/#\/schema\/person\/3ed6356b2b43ea929d46dfbdac9c841c\"},\"headline\":\"2.426. 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