{"id":12884,"date":"2018-12-03T18:31:22","date_gmt":"2018-12-03T11:31:22","guid":{"rendered":"https:\/\/anvilaw.com\/vi\/?p=12884"},"modified":"2022-03-13T15:57:41","modified_gmt":"2022-03-13T08:57:41","slug":"2-433-vi-pham-tren-thi-truong-chung-khoan-can-lam-moi-phuong-cach-xu-ly","status":"publish","type":"post","link":"https:\/\/anvilaw.com\/vi\/2-433-vi-pham-tren-thi-truong-chung-khoan-can-lam-moi-phuong-cach-xu-ly\/","title":{"rendered":"2.433. Vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n: C\u1ea7n “l\u00e0m m\u1edbi\u201d ph\u01b0\u01a1ng c\u00e1ch x\u1eed l\u00fd."},"content":{"rendered":"(\u0110TCK) – \u0110\u1ec3 ch\u1ea5n ch\u1ec9nh vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK), \u00fd ki\u1ebfn t\u1eeb nhi\u1ec1u ph\u00eda cho r\u1eb1ng, c\u1ea7n ph\u1ea3i th\u1ef1c hi\u1ec7n hi\u1ec7u qu\u1ea3 c\u1ea3 2 ph\u01b0\u01a1ng th\u1ee9c \u201cph\u00f2ng\u201d v\u00e0 \u201cch\u1ed1ng\u201d.<\/strong><\/p>\n\n\n\n\n
\"\"<\/td>\n<\/tr>\n
Ngo\u00e0i 3 l\u1edbp gi\u00e1m s\u00e1t hi\u1ec7n t\u1ea1i, c\u1ea7n m\u1ed9t l\u1edbp gi\u00e1m s\u00e1t cao h\u01a1n, ch\u1eb3ng h\u1ea1n \u1ee6y ban Gi\u00e1m s\u00e1t\u00a0t\u00e0i ch\u00ednh<\/a>\u00a0Qu\u1ed1c gia, \u0111\u1ec3 tr\u00e1nh l\u1ea1m quy\u1ec1n, xung \u0111\u1ed9t l\u1ee3i \u00edch<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

M\u1edf r\u1ed9ng ph\u1ea1m vi ng\u01b0\u1eddi c\u00f3 li\u00ean quan<\/strong><\/p>\n

L\u00e3nh \u0111\u1ea1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (\u1ee6y ban Ch\u1ee9ng kho\u00e1n) nhi\u1ec1u l\u1ea7n kh\u1eb3ng \u0111\u1ecbnh, vi\u1ec7c \u0111\u01b0a ra b\u1ea5t k\u1ef3 ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t m\u1edbi n\u00e0o \u0111\u1ec1u h\u01b0\u1edbng \u0111\u1ebfn m\u1ee5c ti\u00eau \u0111\u1ea7u ti\u00ean l\u00e0 ph\u00f2ng ng\u1eeba vi ph\u1ea1m, \u0111\u01b0\u1eddng c\u00f9ng m\u1edbi ph\u1ea3i \u00e1p d\u1ee5ng ch\u1ebf t\u00e0i \u0111\u1ec3 x\u1eed ph\u1ea1t.<\/p>\n

\u0110\u1ec3 \u0111\u1ea1t m\u1ee5c ti\u00eau ph\u00f2ng ng\u1eeba vi ph\u1ea1m, theo 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), \u0111i\u1ec1u quan tr\u1ecdng l\u00e0 ph\u1ea3i c\u00f3 h\u1ec7 th\u1ed1ng quy \u0111\u1ecbnh ph\u00e1p l\u00fd \u0111\u1ed3ng b\u1ed9, kh\u1ea3 thi \u0111\u1ec3 li\u00ean t\u1ee5c n\u00e2ng cao ch\u1ea5t l\u01b0\u1ee3ng minh b\u1ea1ch th\u00f4ng tin c\u1ee7a c\u00e1c\u00a0doanh nghi\u1ec7p<\/a>, c\u0169ng nh\u01b0 c\u00e1c b\u00ean tham gia th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. \u0110\u00e2y l\u00e0 m\u1ed9t qu\u00e1 tr\u00ecnh v\u00e0 ph\u1ea3i \u0111\u01b0\u1ee3c c\u1ee5 th\u1ec3 h\u00f3a b\u1eb1ng c\u00e1c quy \u0111\u1ecbnh nh\u1eb1m n\u00e2ng cao ch\u1ea5t l\u01b0\u1ee3ng minh b\u1ea1ch th\u00f4ng tin v\u1ec1 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh, b\u1ea3n c\u00e1o b\u1ea1ch khi ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n…<\/p>\n

\u0110\u1ec3 ph\u00f2ng ng\u1eeba c\u00e1c h\u00e0nh vi vi ph\u1ea1m v\u1ec1 giao d\u1ecbch n\u1ed9i gi\u00e1n, t\u1eeb th\u1ef1c t\u1ebf vi ph\u1ea1m th\u1eddi gian qua cho th\u1ea5y, vi\u1ec7c minh b\u1ea1ch m\u1ed1i quan h\u1ec7 gi\u1eefa ban l\u00e3nh \u0111\u1ea1o doanh nghi\u1ec7p v\u1edbi nh\u1eefng ng\u01b0\u1eddi c\u00f3 li\u00ean quan l\u00e0 r\u1ea5t quan tr\u1ecdng. Tuy nhi\u00ean, quy \u0111\u1ecbnh nh\u01b0 d\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i v\u1eabn c\u00f2n nh\u1eefng \u0111i\u1ec3m ch\u01b0a h\u1ee3p l\u00fd.<\/p>\n

D\u1ef1 th\u1ea3o Lu\u1eadt c\u1ea7n t\u00ednh to\u00e1n b\u1ed5 sung nh\u1eefng h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t theo th\u00f4ng l\u1ec7 nhi\u1ec1u th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111ang \u00e1p d\u1ee5ng nh\u01b0 c\u1ea3nh c\u00e1o to\u00e0n th\u1ecb tr\u01b0\u1eddng, \u0111\u01b0a c\u1ed5 phi\u1ebfu v\u00e0o di\u1ec7n ki\u1ec3m so\u00e1t \u0111\u1eb7c bi\u1ec7t\u2026<\/strong><\/p>\n

G\u00f3p \u00fd cho v\u1ea5n \u0111\u1ec1 tr\u00ean, trong c\u00f4ng v\u0103n v\u1eeba g\u1eedi \u1ee6y ban Ch\u1ee9ng kho\u00e1n, tr\u00ean c\u01a1 s\u1edf t\u1eadp h\u1ee3p \u00fd ki\u1ebfn c\u1ee7a c\u00e1c doanh nghi\u1ec7p, Ph\u00f2ng Th\u01b0\u01a1ng m\u1ea1i v\u00e0 c\u00f4ng nghi\u1ec7p Vi\u1ec7t Nam (VCCI) cho r\u1eb1ng, d\u1ef1 th\u1ea3o \u0111\u00e3 m\u1edf r\u1ed9ng kh\u00e1i ni\u1ec7m ng\u01b0\u1eddi c\u00f3 li\u00ean quan l\u00e0 \u201ccon d\u00e2u, con r\u1ec3, anh r\u1ec3, em r\u1ec3, ch\u1ecb d\u00e2u, em d\u00e2u\u201d.<\/p>\n

Vi\u1ec7c b\u1ed5 sung \u201ccon d\u00e2u\u201d, nh\u01b0ng l\u1ea1i kh\u00f4ng b\u1ed5 sung \u201cb\u1ed1 ch\u1ed3ng, m\u1eb9 ch\u1ed3ng\u201d s\u1ebd d\u1eabn \u0111\u1ebfn con d\u00e2u l\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan c\u1ee7a b\u1ed1 ch\u1ed3ng, nh\u01b0ng b\u1ed1 ch\u1ed3ng l\u1ea1i kh\u00f4ng ph\u1ea3i l\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan c\u1ee7a con d\u00e2u. T\u01b0\u01a1ng t\u1ef1 v\u1edbi quan h\u1ec7 con r\u1ec3 – b\u1ed1 v\u1ee3, m\u1eb9 v\u1ee3; anh r\u1ec3 – em v\u1ee3; em r\u1ec3 – anh v\u1ee3, ch\u1ecb v\u1ee3; ch\u1ecb d\u00e2u – em ch\u1ed3ng; em d\u00e2u – anh ch\u1ed3ng, ch\u1ecb ch\u1ed3ng.<\/p>\n

M\u1eb7t kh\u00e1c, d\u1ef1 th\u1ea3o m\u1edf r\u1ed9ng \u0111\u1ebfn c\u00e1c quan h\u1ec7 d\u00e2u, r\u1ec3, nh\u01b0ng l\u1ea1i kh\u00f4ng quy \u0111\u1ecbnh v\u1ec1 c\u00e1c quan h\u1ec7 \u00f4ng, b\u00e0 – ch\u00e1u ru\u1ed9t; c\u00f4, d\u00ec, ch\u00fa, b\u00e1c – ch\u00e1u ru\u1ed9t. \u0110\u00e2y \u0111\u01b0\u1ee3c coi l\u00e0 nh\u1eefng m\u1ed1i quan h\u1ec7 huy\u1ebft th\u1ed1ng, v\u1ed1n \u0111\u01b0\u1ee3c coi l\u00e0 th\u00e2n thi\u1ebft h\u01a1n so v\u1edbi c\u00e1c quan h\u1ec7 d\u00e2u, r\u1ec3.<\/p>\n

Vi\u1ec7c m\u1edf r\u1ed9ng ph\u1ea1m vi ng\u01b0\u1eddi c\u00f3 li\u00ean quan \u0111\u01b0\u1ee3c cho l\u00e0 \u0111\u1ec3 ph\u00f9 h\u1ee3p v\u1edbi th\u1ef1c ti\u1ec5n x\u00e3 h\u1ed9i Vi\u1ec7t Nam, n\u01a1i m\u00e0 c\u00e1c m\u1ed1i quan h\u1ec7 gia \u0111\u00ecnh, h\u1ecd h\u00e0ng c\u00f3 \u1ea3nh h\u01b0\u1edfng l\u1edbn \u0111\u1ebfn c\u00e1c h\u00e0nh vi\u00a0kinh t\u1ebf<\/a>\u00a0c\u1ee7a c\u00e1 nh\u00e2n tr\u00ean th\u1ecb tr\u01b0\u1eddng. Tuy nhi\u00ean, vi\u1ec7c m\u1edf r\u1ed9ng n\u00e0y c\u1ea7n t\u00ednh \u0111\u1ebfn g\u00e1nh n\u1eb7ng chi ph\u00ed tu\u00e2n th\u1ee7 c\u1ee7a c\u00e1c c\u00e1 nh\u00e2n tham gia th\u1ecb tr\u01b0\u1eddng. Do \u0111\u00f3, c\u01a1 quan so\u1ea1n th\u1ea3o c\u1ea7n c\u00e2n nh\u1eafc \u0111i\u1ec1u n\u00e0y\u2026<\/p>\n

C\u1ea7n 4 l\u1edbp gi\u00e1m s\u00e1t, thay v\u00ec 3 l\u1edbp nh\u01b0 hi\u1ec7n t\u1ea1i<\/strong><\/p>\n

\u0110\u1ec3 ph\u00f2ng ng\u1eeba, ph\u00e1t hi\u1ec7n s\u1edbm c\u00e1c giao d\u1ecbch c\u00f3 d\u1ea5u hi\u1ec7u thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n, n\u1ed9i gi\u00e1n, c\u0169ng nh\u01b0 c\u00e1c h\u00e0nh vi l\u0169ng \u0111o\u1ea1n th\u1ecb tr\u01b0\u1eddng kh\u00e1c\u2026, \u00fd ki\u1ebfn t\u1eeb chuy\u00ean gia cho r\u1eb1ng, m\u1ed9t gi\u1ea3i ph\u00e1p quan tr\u1ecdng l\u00e0 c\u1ea7n xem x\u00e9t n\u00e2ng l\u00ean 4 l\u1edbp gi\u00e1m s\u00e1t, thay v\u00ec 3 l\u1edbp nh\u01b0 hi\u1ec7n t\u1ea1i. Ngay c\u1ea3 3 l\u1edbp n\u00e0y c\u0169ng c\u1ea7n kh\u1eafc ph\u1ee5c nhi\u1ec1u h\u1ea1n ch\u1ebf, khi\u1ebfm khuy\u1ebft \u0111ang b\u1ed9c l\u1ed9 \u0111\u1ec3 tr\u00e1nh xung \u0111\u1ed9t l\u1ee3i \u00edch, t\u1eeb \u0111\u00f3 n\u00e2ng cao t\u00ednh li\u00eam ch\u00ednh, minh b\u1ea1ch, hi\u1ec7u qu\u1ea3 trong qu\u00e1 tr\u00ecnh gi\u00e1m s\u00e1t.<\/p>\n

Th\u1ee9 nh\u1ea5t, \u0111\u1ec3 n\u00e2ng cao hi\u1ec7u qu\u1ea3 c\u1ee7a l\u1edbp gi\u00e1m s\u00e1t \u0111\u1ea7u ti\u00ean l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u1ea7n quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 ngh\u0129a v\u1ee5, tr\u00e1ch nhi\u1ec7m c\u1ee7a kh\u1ed1i n\u00e0y, thay v\u00ec n\u1ed9i dung c\u00f2n chung chung nh\u01b0 t\u1ea1i d\u1ef1 th\u1ea3o l\u00e0: C\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 ngh\u0129a v\u1ee5 th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00f4ng ty theo quy \u0111\u1ecbnh c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh\u2026<\/p>\n

L\u00e0 \u0111\u01a1n v\u1ecb cung c\u1ea5p d\u1ecbch v\u1ee5, t\u01b0\u01a1ng t\u00e1c v\u1edbi c\u00e1c giao d\u1ecbch c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 t\u1eebng ph\u00fat, t\u1eebng gi\u1edd, c\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 nhi\u1ec1u l\u1ee3i th\u1ebf trong n\u1eafm b\u1eaft s\u1edbm c\u00e1c t\u00edn hi\u1ec7u giao d\u1ecbch \u0111\u00e1ng ng\u1edd t\u1eeb ph\u00eda nh\u00e0\u00a0\u0111\u1ea7u t\u01b0<\/a>.<\/p>\n

M\u1eb7t kh\u00e1c, c\u0169ng b\u1edfi kh\u00e1ch h\u00e0ng l\u00e0 \u201cTh\u01b0\u1ee3ng \u0111\u1ebf”, n\u1ebfu quy \u0111\u1ecbnh ph\u00e1p l\u00fd kh\u00f4ng \u0111\u1ecbnh ra c\u00e1c r\u00e0ng bu\u1ed9c c\u1ee5 th\u1ec3 nh\u1eb1m ng\u0103n ng\u1eeba xung \u0111\u1ed9t l\u1ee3i \u00edch, th\u00ec c\u00f4ng ty ch\u1ee9ng kho\u00e1n d\u1ec5 \u201cl\u1edd \u0111i\u201d nh\u1eefng t\u00edn hi\u1ec7u giao d\u1ecbch n\u1ed9i gi\u00e1n, thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0.<\/p>\n

B\u1edfi v\u1eady, ngay trong Lu\u1eadt ph\u1ea3i \u0111\u1ecbnh ra c\u00e1c nguy\u00ean t\u1eafc c\u1ee5 th\u1ec3 h\u01a1n v\u1ec1 tr\u00e1ch nhi\u1ec7m, ngh\u0129a v\u1ee5 gi\u00e1m s\u00e1t c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n. K\u00e8m theo \u0111\u00f3 l\u00e0 ch\u1ebf t\u00e0i x\u1eed l\u00fd n\u1eb7ng c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u1edbt l\u1edd giao d\u1ecbch sai tr\u00e1i c\u1ee7a kh\u00e1ch h\u00e0ng, th\u1eadm ch\u00ed ti\u1ebfp tay cho giao d\u1ecbch n\u1ed9i gi\u00e1n, thao t\u00fang\u2026<\/p>\n

Th\u1ee9 hai, c\u1ea7n ho\u00e0n thi\u1ec7n l\u1edbp gi\u00e1m s\u00e1t th\u1ee9 2 l\u00e0 c\u00e1c s\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n. Hi\u1ec7n c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng thao t\u00fang li\u00ean th\u1ecb tr\u01b0\u1eddng \u0111ang c\u00f3 nh\u1eefng k\u1ebd h\u1edf, khi m\u00e0 c\u00e1c khu v\u1ef1c th\u1ecb tr\u01b0\u1eddng do S\u1edf Giao d\u1ecbch ch\u1ee9ng kho\u00e1n H\u00e0 N\u1ed9i (HNX) v\u00e0 S\u1edf Giao d\u1ecbch ch\u1ee9ng kho\u00e1n TP. HCM (HOSE) qu\u1ea3n l\u00fd v\u00e0 v\u1eadn h\u00e0nh v\u1eabn thi\u1ebfu s\u1ef1 ph\u1ed1i h\u1ee3p.<\/p>\n

\u0110\u1ec3 kh\u1eafc ph\u1ee5c th\u1ef1c tr\u1ea1ng n\u00e0y, c\u1ea7n s\u1edbm th\u00fac \u0111\u1ea9y \u0111\u1ec3 ho\u00e0n t\u1ea5t vi\u1ec7c h\u1ee3p nh\u1ea5t HOSE v\u00e0 HNX, tr\u00ean c\u01a1 s\u1edf \u0111\u00f3 th\u00e0nh l\u1eadp S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam – v\u1ed1n qu\u00e1 ch\u1eadm so v\u1edbi k\u1ebf ho\u1ea1ch \u0111\u1ec1 ra. C\u00f9ng v\u1edbi \u0111\u00f3, B\u1ed9 T\u00e0i ch\u00ednh, \u1ee6y ban Ch\u1ee9ng kho\u00e1n c\u1ea7n kh\u1ea9n tr\u01b0\u01a1ng th\u1ed1ng nh\u1ea5t c\u01a1 ch\u1ebf ph\u1ed1i h\u1ee3p gi\u00e1m s\u00e1t li\u00ean th\u1ecb tr\u01b0\u1eddng, t\u1eeb \u0111\u00f3 gi\u00e1m s\u00e1t c\u00f3 hi\u1ec7u qu\u1ea3 d\u1eef li\u1ec7u giao d\u1ecbch c\u1ee7a c\u00e1c m\u00e3 c\u1ed5 phi\u1ebfu tr\u00ean c\u1ea3 2 S\u1edf\u2026<\/p>\n

Th\u1ee9 ba, v\u1edbi l\u1edbp gi\u00e1m s\u00e1t l\u00e0 \u1ee6y ban Ch\u1ee9ng kho\u00e1n, gi\u1edbi chuy\u00ean gia cho r\u1eb1ng, \u0111\u1ec3 tr\u00e1nh xung \u0111\u1ed9t l\u1ee3i \u00edch, d\u1ef1 th\u1ea3o Lu\u1eadt c\u1ea7n \u0111\u1eb7t ra c\u00e1c nguy\u00ean t\u1eafc y\u00eau c\u1ea7u c\u00e1c \u0111\u01a1n v\u1ecb, c\u00e1 nh\u00e2n c\u00f3 li\u00ean quan thu\u1ed9c \u1ee6y ban Ch\u1ee9ng kho\u00e1n minh b\u1ea1ch th\u00f4ng tin v\u1ec1 s\u1edf h\u1eefu c\u1ed5 ph\u1ea7n \u1edf c\u00e1c doanh nghi\u1ec7p, giao d\u1ecbch c\u1ed5 phi\u1ebfu…<\/p>\n

Th\u1ee9 t\u01b0, c\u1ea7n thi\u1ebft l\u1eadp c\u01a1 ch\u1ebf gi\u00e1m s\u00e1t ch\u1eb7t ch\u1ebd, mang t\u00ednh t\u01b0\u01a1ng t\u00e1c th\u01b0\u1eddng xuy\u00ean c\u1ee7a c\u01a1 quan c\u00f3 t\u1ea7m gi\u00e1m s\u00e1t cao h\u01a1n \u1ee6y ban Ch\u1ee9ng kho\u00e1n \u0111\u1ec3 gi\u00e1m s\u00e1t c\u01a1 quan qu\u1ea3n l\u00fd th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, ch\u1eb3ng h\u1ea1n \u1ee6y ban Gi\u00e1m s\u00e1t t\u00e0i ch\u00ednh Qu\u1ed1c gia, \u0111\u1ec3 tr\u00e1nh l\u1ea1m quy\u1ec1n, xung \u0111\u1ed9t l\u1ee3i \u00edch. \u0110\u00e2y l\u00e0 h\u01b0\u1edbng \u0111i c\u1ea7n thi\u1ebft, nh\u1ea5t l\u00e0 trong b\u1ed1i c\u1ea3nh d\u1ef1 th\u1ea3o Lu\u1eadt \u0111ang \u0111\u1ec1 xu\u1ea5t trao th\u00eam m\u1ed9t s\u1ed1 quy\u1ec1n cho \u1ee6y ban Ch\u1ee9ng kho\u00e1n, trong \u0111\u00f3 c\u00f3 quy\u1ec1n 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…<\/p>\n

\u201cPh\u00f2ng\u201d c\u1ea7n \u0111i \u0111\u00f4i v\u1edbi \u201cch\u1ed1ng\u201d<\/strong><\/p>\n

C\u00f9ng v\u1edbi t\u0103ng c\u01b0\u1eddng c\u00e1c gi\u1ea3i ph\u00e1p ph\u00f2ng ng\u1eeba vi ph\u1ea1m, \u00fd ki\u1ebfn t\u1eeb ph\u00eda chuy\u00ean gia c\u00f2n cho r\u1eb1ng, vi\u1ec7c t\u0103ng c\u01b0\u1eddng c\u00e1c ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t theo h\u01b0\u1edbng t\u0103ng n\u1eb7ng \u0111\u00f3ng vai tr\u00f2 quan tr\u1ecdng trong \u0111\u1ea3m b\u1ea3o ng\u0103n ng\u1eb7n c\u00e1c h\u00e0nh vi vi ph\u1ea1m, qua \u0111\u00f3 \u0111\u1ea3m b\u1ea3o cho th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ph\u00e1t tri\u1ec3n l\u00e0nh m\u1ea1nh, c\u00f4ng b\u1eb1ng.<\/p>\n

Theo \u0111\u00f3, vi\u1ec7c t\u0103ng c\u01b0\u1eddng c\u00e1c ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t c\u1ea7n \u0111\u01b0\u1ee3c tri\u1ec3n khai tr\u00ean 2 h\u01b0\u1edbng: T\u0103ng m\u1ee9c ph\u1ea1t ti\u1ec1n, gia t\u0103ng c\u00e1c h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung mang t\u00ednh r\u0103n \u0111e cao \u0111\u1ec3 tr\u00e1nh vi\u1ec7c “c\u1ee9 n\u1ed9p ti\u1ec1n ph\u1ea1t l\u00e0 xong”, t\u1eeb \u0111\u00f3 gia t\u0103ng t\u00ednh r\u0103n \u0111e.<\/p>\n

V\u1ec1 vi\u1ec7c t\u0103ng m\u1ee9c ph\u1ea1t ti\u1ec1n, Lu\u1eadt s\u01b0 Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c cho r\u1eb1ng, vi\u1ec7c Ban so\u1ea1n th\u1ea3o \u0111\u1ec1 xu\u1ea5t n\u00e2ng m\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a t\u1eeb 2 t\u1ef7 \u0111\u1ed3ng l\u00ean 3 t\u1ef7 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, t\u1eeb 1 t\u1ef7 \u0111\u1ed3ng l\u00ean 1,5 t\u1ef7 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n l\u00e0 c\u00f2n th\u1ea5p, m\u00e0 n\u00ean t\u00ednh to\u00e1n n\u00e2ng l\u00ean 10 t\u1ef7 \u0111\u1ed3ng, th\u1eadm ch\u00ed khi quy m\u00f4 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ph\u00e1t tri\u1ec3n, t\u00ednh ch\u1ea5t nguy hi\u1ec3m c\u1ee7a c\u00e1c vi ph\u1ea1m gia t\u0103ng, \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o t\u00ednh r\u0103n \u0111e c\u00f3 th\u1ec3 t\u0103ng m\u1ee9c ph\u1ea1t l\u00ean c\u1ea3 tr\u0103m t\u1ef7 \u0111\u1ed3ng.<\/em><\/p>\n

M\u1ed9t m\u1eb7t \u1ee7ng h\u1ed9 vi\u1ec7c gia t\u0103ng m\u1ee9c ti\u1ec1n ph\u1ea1t t\u1ed1i \u0111a \u0111\u1ed1i v\u1edbi c\u00e1c t\u1ed5 ch\u1ee9c v\u00e0 c\u00e1 nh\u00e2n vi ph\u1ea1m so v\u1edbi quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh, Lu\u1eadt s\u01b0 L\u00ea Thanh S\u01a1n, V\u0103n ph\u00f2ng Lu\u1eadt s\u01b0 AIC cho r\u1eb1ng, trong l\u1ea7n s\u1eeda \u0111\u1ed5i Lu\u1eadt Ch\u1ee9ng kho\u00e1n n\u00e0y, c\u1ea7n kh\u1eafc ph\u1ee5c t\u00ecnh tr\u1ea1ng thi\u1ebfu v\u1eafng c\u00e1c ch\u1ebf t\u00e0i x\u1eed ph\u1ea1t nghi\u00eam kh\u1eafc ngo\u00e0i ti\u1ec1n.<\/p>\n

Theo \u0111\u00f3, d\u1ef1 th\u1ea3o Lu\u1eadt c\u1ea7n t\u00ednh to\u00e1n b\u1ed5 sung nh\u1eefng h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t theo th\u00f4ng l\u1ec7 nhi\u1ec1u th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111ang \u00e1p d\u1ee5ng nh\u01b0 c\u1ea3nh c\u00e1o to\u00e0n th\u1ecb tr\u01b0\u1eddng, \u0111\u01b0a c\u1ed5 phi\u1ebfu v\u00e0o di\u1ec7n ki\u1ec3m so\u00e1t \u0111\u1eb7c bi\u1ec7t\u2026<\/p>\n

\u201cV\u1edbi t\u01b0 duy m\u1edbi, vi\u1ec7c thi\u1ebft k\u1ebf h\u1ec7 th\u1ed1ng ch\u1ebf t\u00e0i x\u1eed l\u00fd c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n vi ph\u1ea1m c\u1ea7n thi\u1ebft k\u1ebf theo c\u00e1c c\u1ea5p \u0111\u1ed9: Ph\u1ea1t c\u1ea3nh c\u00e1o to\u00e0n th\u1ecb tr\u01b0\u1eddng; \u0111\u01b0a c\u1ed5 phi\u1ebfu v\u00e0o di\u1ec7n ki\u1ec3m so\u00e1t \u0111\u1eb7c bi\u1ec7t; kh\u00f4ng cho giao d\u1ecbch c\u1ed5 phi\u1ebfu trong kho\u1ea3ng th\u1eddi gian nh\u1ea5t \u0111\u1ecbnh t\u00f9y theo t\u00ednh ch\u1ea5t v\u00e0 m\u1ee9c \u0111\u1ed9 vi ph\u1ea1m; ph\u1ea1t ti\u1ec1n (v\u1edbi m\u1ee9c cao h\u01a1n so v\u1edbi hi\u1ec7n t\u1ea1i); kh\u1edfi t\u1ed1 h\u00ecnh s\u1ef1 \u0111\u1ec3 \u0111i\u1ec1u tra vi ph\u1ea1m\u2026\u201d, lu\u1eadt s\u01b0 S\u01a1n \u0111\u1ec1 xu\u1ea5t.<\/p>\n

Nguy\u1ec5n H\u1eefu<\/strong><\/p>\n

\n

\u0110\u1ea7u t\u01b0 Ch\u1ee9ng kho\u00e1n 03-12-2018:<\/em><\/strong><\/p>\n

https:\/\/baodautu.vn\/vi-pham-tren-thi-truong-chung-khoan-can-lam-moi-phuong-cach-xu-ly-d91897.html<\/em><\/a><\/p>\n

(109\/1.710)<\/em>","protected":false},"excerpt":{"rendered":"

(\u0110TCK) – \u0110\u1ec3 ch\u1ea5n ch\u1ec9nh vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK), \u00fd ki\u1ebfn t\u1eeb nhi\u1ec1u ph\u00eda cho r\u1eb1ng, c\u1ea7n ph\u1ea3i th\u1ef1c hi\u1ec7n hi\u1ec7u qu\u1ea3 c\u1ea3 2 ph\u01b0\u01a1ng th\u1ee9c \u201cph\u00f2ng\u201d v\u00e0 \u201cch\u1ed1ng\u201d. Ngo\u00e0i 3 l\u1edbp gi\u00e1m s\u00e1t hi\u1ec7n t\u1ea1i, c\u1ea7n m\u1ed9t l\u1edbp gi\u00e1m s\u00e1t cao h\u01a1n, ch\u1eb3ng h\u1ea1n \u1ee6y ban Gi\u00e1m s\u00e1t\u00a0t\u00e0i ch\u00ednh\u00a0Qu\u1ed1c gia, […]<\/p>\n","protected":false},"author":7,"featured_media":12886,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[27,26],"tags":[],"class_list":["post-12884","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-interviews","category-legal-media"],"acf":[],"yoast_head":"\n2.433. Vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n: C\u1ea7n "l\u00e0m m\u1edbi\u201d ph\u01b0\u01a1ng c\u00e1ch x\u1eed l\u00fd. - 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-2-433-vi-pham-tren-thi-truong-chung-khoan-can-lam-moi-phuong-cach-xu-ly\/\" \/>\n<meta property=\"og:locale\" content=\"vi_VN\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"[:vi]2.433. Vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n: C\u1ea7n "l\u00e0m m\u1edbi\u201d ph\u01b0\u01a1ng c\u00e1ch x\u1eed l\u00fd.[:] - ANVI Law Firm\" \/>\n<meta property=\"og:description\" content=\"(\u0110TCK) – \u0110\u1ec3 ch\u1ea5n ch\u1ec9nh vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK), \u00fd ki\u1ebfn t\u1eeb nhi\u1ec1u ph\u00eda cho r\u1eb1ng, c\u1ea7n ph\u1ea3i th\u1ef1c hi\u1ec7n hi\u1ec7u qu\u1ea3 c\u1ea3 2 ph\u01b0\u01a1ng th\u1ee9c \u201cph\u00f2ng\u201d v\u00e0 \u201cch\u1ed1ng\u201d. 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