{"id":14805,"date":"2010-07-12T13:11:56","date_gmt":"2010-07-12T06:11:56","guid":{"rendered":"https:\/\/anvilaw.com\/vi\/?p=14805"},"modified":"2022-03-21T13:17:05","modified_gmt":"2022-03-21T06:17:05","slug":"035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan","status":"publish","type":"post","link":"https:\/\/anvilaw.com\/vi\/035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/","title":{"rendered":"035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"(TBTC)<strong> &#8211; <\/strong>Trong th\u1eddi gian qua, m\u1eb7c d\u00f9 \u1ee7y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCK) v\u00e0 c\u00e1c c\u01a1 quan h\u1eefu quan \u0111\u00e3 \u0111\u01b0a ra nhi\u1ec1u bi\u1ec7n ph\u00e1p nh\u1eb1m ng\u0103n ch\u1eb7n nh\u1eefng t\u00ecnh tr\u1ea1ng vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK) v\u1eabn li\u00ean ti\u1ebfp x\u1ea3y ra. V\u00ec v\u1eady, v\u1ea5n \u0111\u1ec1 ho\u00e0n thi\u1ec7n khung ph\u00e1p l\u00fd cho th\u1ecb tr\u01b0\u1eddng \u0111\u00e3 v\u00e0 \u0111ang \u0111\u01b0\u1ee3c c\u00e1c c\u01a1 quan qu\u1ea3n l\u00fd \u0111\u1eb7c bi\u1ec7t quan t\u00e2m, ch\u1eb3ng h\u1ea1n nh\u01b0: S\u1eeda \u0111\u1ed5i b\u1ed5 sung Lu\u1eadt Ch\u1ee9ng kho\u00e1n, Ngh\u1ecb \u0111\u1ecbnh thay th\u1ebf Ngh\u1ecb \u0111\u1ecbnh 36 v\u1ec1 x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 TTCK&#8230; \u0110\u1ec3 c\u00f3 c\u00e1i nh\u00ecn d\u01b0\u1edbi m\u1ed9t g\u00f3c \u0111\u1ed9 kh\u00e1c v\u1ec1 ho\u00e0n thi\u1ec7n khung ph\u00e1p l\u00fd cho vi\u1ec7c x\u1eed ph\u1ea1t c\u00e1c vi ph\u1ea1m tr\u00ean TTCK, ph\u00f3ng vi\u00ean TBTCVN \u0111\u00e3 c\u00f3 cu\u1ed9c trao \u0111\u1ed5i v\u1edbi Lu\u1eadt s\u01b0 Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c \u2013 <em>Gi\u00e1m<\/em> <em>\u0111\u1ed1c C\u00f4ng ty Lu\u1eadt ANVI<\/em><em>.<\/em><\/p>\n<p><strong>* C\u00f3 \u00fd ki\u1ebfn cho r\u1eb1ng, vi\u1ec7c x\u1eed l\u00fd vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam c\u00f2n ch\u01b0a c\u00f3 t\u00e1c d\u1ee5ng ng\u0103n ng\u1eeba cao, m\u1ee9c x\u1eed ph\u1ea1t c\u00f2n nh\u1eb9 n\u00ean ch\u01b0a \u0111\u1ee7 s\u1ee9c r\u0103n \u0111e.\u00a0 Theo \u00f4ng, l\u00e0m th\u1ebf n\u00e0o \u0111\u1ec3 vi\u1ec7c x\u1eed ph\u1ea1t \u0111\u1ea1t hi\u1ec7u qu\u1ea3 h\u01a1n?<\/strong><\/p>\n<p>&#8211; \u0110\u00fang v\u1eady! T\u00f4i cho r\u1eb1ng, vi\u1ec7c x\u1eed l\u00fd vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam c\u00f2n qu\u00e1 nh\u1eb9, v\u00ec v\u1eady ch\u01b0a \u0111\u1ee7 s\u1ee9c r\u0103n \u0111e. M\u1ee9c x\u1eed ph\u1ea1t nh\u1eb9 c\u0169ng d\u1eabn \u0111\u1ebfn vi\u1ec7c ch\u01b0a ph\u00e1t huy \u0111\u01b0\u1ee3c t\u00e1c d\u1ee5ng ng\u0103n ng\u1eeba vi ph\u1ea1m, n\u00ean hi\u1ec7n t\u01b0\u1ee3ng ph\u1ea1m lu\u1eadt x\u1ea3y ra c\u00f2n kh\u00e1 nhi\u1ec1u. Vi\u1ec7c x\u1eed ph\u1ea1t trong th\u1eddi gian qua ch\u1ee7 y\u1ebfu g\u1ed3m hai h\u00ecnh th\u1ee9c l\u00e0 c\u1ea3nh c\u00e1o v\u00e0 ph\u1ea1t ti\u1ec1n, m\u00e0 ch\u01b0a c\u00f3 tr\u01b0\u1eddng h\u1ee3p n\u00e0o b\u1ecb x\u1eed ph\u1ea1t h\u00ecnh s\u1ef1 v\u1ec1 c\u00e1c vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n. Theo t\u00f4i, mu\u1ed1n x\u1eed ph\u1ea1t c\u00f3 hi\u1ec7u qu\u1ea3, th\u00ec c\u1ea7n thay \u0111\u1ed5i ba v\u1ea5n \u0111\u1ec1 sau: Th\u1ee9 nh\u1ea5t l\u00e0 c\u1ea7n t\u0103ng m\u1ea1nh m\u1ee9c ph\u1ea1t, n\u00e2ng m\u1ee9c ph\u1ea1t ti\u1ec1n \u0111\u1ed1i v\u1edbi m\u1ed9t h\u00e0nh vi vi ph\u1ea1m cao h\u01a1n h\u1eb3n m\u1ee9c cao nh\u1ea5t 70 tri\u1ec7u \u0111\u1ed3ng hi\u1ec7n nay; Th\u1ee9 hai, ph\u1ea3i t\u1ecbch thu to\u00e0n b\u1ed9 c\u00e1c kho\u1ea3n l\u1ee3i thu \u0111\u01b0\u1ee3c t\u1eeb vi\u1ec7c th\u1ef1c hi\u1ec7n c\u00e1c h\u00e0nh vi vi ph\u1ea1m;\u00a0Th\u1ee9 ba l\u00e0 x\u1eed l\u00fd ph\u1ea1t t\u00f9 \u0111\u1ed1i v\u1edbi c\u00e1c t\u1ed9i ph\u1ea1m v\u1ec1 ch\u1ee9ng kho\u00e1n theo \u0111\u00fang quy \u0111\u1ecbnh c\u1ee7a B\u1ed9 lu\u1eadt H\u00ecnh s\u1ef1.<\/p>\n<p><strong>* Hi\u1ec7n nay, tr\u00ean TTCK c\u00f3 nh\u1eefng h\u00e0nh vi mang d\u1ea5u hi\u1ec7u tr\u1ee5c l\u1ee3i m\u1ed9t c\u00e1ch c\u00f4ng khai nh\u01b0 hi\u1ec7n t\u01b0\u1ee3ng t\u1eadp trung mua b\u00e1n v\u00e0o m\u1ed9t v\u00e0i m\u00e3 \u0111\u1ec3 \u0111\u1ea9y gi\u00e1 c\u1ed5 phi\u1ebfu ho\u1eb7c, c\u00e1c qu\u1ef9 \u0111\u1ea7u t\u01b0 c\u0169ng tham gia l\u01b0\u1edbt s\u00f3ng&#8230; V\u1edbi t\u01b0 c\u00e1ch l\u00e0 m\u1ed9t chuy\u00ean gia v\u1ec1 lu\u1eadt, \u00f4ng nh\u00ecn nh\u1eadn nh\u01b0 th\u1ebf n\u00e0o v\u1ec1 vai tr\u00f2 qu\u1ea3n l\u00fd \u0111i\u1ec1u h\u00e0nh th\u1ecb tr\u01b0\u1eddng?<\/strong><\/p>\n<p>&#8211; Vi\u1ec7c t\u1eadp trung mua b\u00e1n m\u1ed9t v\u00e0i m\u00e3 ch\u1ee9ng kho\u00e1n th\u1eadt kh\u00f3 c\u00f3 th\u1ec3 ph\u00e2n bi\u1ec7t \u0111\u01b0\u1ee3c khi n\u00e0o thu\u1ed9c tr\u01b0\u1eddng h\u1ee3p \u0111\u1ec3 \u0111\u1ea7u t\u01b0 ch\u00ednh \u0111\u00e1ng, khi n\u00e0o thu\u1ed9c tr\u01b0\u1eddng h\u1ee3p &#8220;\u0111\u1ea9y gi\u00e1&#8221;. T\u01b0\u01a1ng t\u1ef1, vi\u1ec7c l\u01b0\u1edbt s\u00f3ng, mua v\u00e0o b\u00e1n ra li\u00ean t\u1ee5c khi n\u00e0o l\u00e0 nh\u00e2n t\u1ed1 th\u00fac \u0111\u1ea9y s\u1ef1 s\u00f4i \u0111\u1ed9ng c\u1ee7a th\u1ecb tr\u01b0\u1eddng, khi n\u00e0o l\u00e0m \u1ea3nh h\u01b0\u1edfng x\u1ea5u \u0111\u1ebfn th\u1ecb tr\u01b0\u1eddng. Vai tr\u00f2 c\u1ee7a c\u01a1 quan qu\u1ea3n l\u00fd, \u0111i\u1ec1u h\u00e0nh th\u1ecb tr\u01b0\u1eddng l\u00e0 ph\u1ea3i x\u00e2y d\u1ef1ng v\u00e0 th\u1ef1c thi \u0111\u01b0\u1ee3c c\u00e1c quy \u0111\u1ecbnh ph\u00e1p l\u00fd nh\u1eb1m khuy\u1ebfn kh\u00edch y\u1ebfu t\u1ed1 t\u1ed1t, h\u1ea1n ch\u1ebf y\u1ebfu t\u1ed1 x\u1ea5u, b\u1eaft l\u1ed7i ch\u00ednh x\u00e1c v\u00e0 b\u00e0i b\u1ea3n. Ph\u1ea3i c\u00f3 ti\u00eau ch\u00ed ph\u00e2n bi\u1ec7t r\u00f5 gi\u1eefa h\u00e0nh vi ph\u1ea1m lu\u1eadt v\u00e0 h\u00e0nh vi mua b\u00e1n h\u1ee3p ph\u00e1p, t\u1ee9c l\u00e0 gi\u1eefa vi\u1ec7c tr\u1ee5c l\u1ee3i sai tr\u00e1i v\u00e0 vi\u1ec7c ki\u1ebfm l\u1eddi ch\u00ednh \u0111\u00e1ng. N\u1ebfu nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 ti\u1ec1n th\u00ec h\u1ecd \u0111\u01b0\u1ee3c ph\u00e9p mua v\u00e0o ho\u1eb7c b\u00e1n ra th\u1eadt nhi\u1ec1u, kh\u00f4ng lo\u1ea1i tr\u1eeb mua, b\u00e1n to\u00e0n b\u1ed9 s\u1ed1 l\u01b0\u1ee3ng giao d\u1ecbch trong m\u1ed9t s\u1ed1 phi\u00ean. N\u00f3 ch\u1ec9 l\u00e0 b\u1ea5t h\u1ee3p ph\u00e1p khi \u0111i k\u00e8m theo nh\u1eefng th\u1ee7 \u0111o\u1ea1n k\u00edch gi\u00e1, h\u1ea1 gi\u00e1 tr\u00e1i ph\u00e9p nh\u01b0 tung tin gi\u1ea3, mua b\u00e1n gi\u1ea3, kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u00fang th\u1ee7 t\u1ee5c ch\u00e0o mua, ch\u00e0o b\u00e1n c\u00f4ng khai,&#8230; M\u1ed9t trong nh\u1eefng bi\u1ec7n ph\u00e1p t\u1ed1t nh\u1ea5t \u0111\u1ec3 h\u00f3a gi\u1ea3i th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n &#8211; th\u1ecb tr\u01b0\u1eddng mua b\u00e1n th\u00f4ng tin &#8211; l\u00e0 ph\u1ea3i t\u1ee9c th\u1eddi c\u00f4ng khai to\u00e0n b\u1ed9 nh\u1eefng th\u00f4ng tin c\u1ea7n thi\u1ebft, c\u00f3 \u00fd ngh\u0129a. V\u00ed d\u1ee5 kh\u00f4ng ch\u1ec9 c\u00f4ng b\u1ed1 th\u00f4ng tin c\u1ee7a m\u1ed9t nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 giao d\u1ecbch l\u1edbn, m\u00e0 c\u1ea7n ph\u1ea3i c\u00f4ng b\u1ed1 10 nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 giao d\u1ecbch l\u1edbn nh\u1ea5t \u0111\u1ed1i v\u1edbi m\u1ed9t m\u00e3 ch\u1ee9ng kho\u00e1n, trong tr\u01b0\u1eddng h\u1ee3p s\u1ed1 l\u01b0\u1ee3ng giao d\u1ecbch v\u01b0\u1ee3t qu\u00e1 10% s\u1ed1 c\u1ed5 phi\u1ebfu&#8230;<\/p>\n<p><strong>* Hi\u1ec7n nay c\u01a1 quan qu\u1ea3n l\u00fd Nh\u00e0 n\u01b0\u1edbc \u0111ang ho\u00e0n thi\u1ec7n h\u00e0nh lang ph\u00e1p l\u00fd v\u1ec1 TTCK. \u00d4ng c\u00f3 \u00fd ki\u1ebfn \u0111\u00f3ng g\u00f3p g\u00ec \u0111\u1ec3 h\u00e0nh lang ph\u00e1p l\u00fd v\u1ec1 TTCK \u0111\u01b0\u1ee3c ho\u00e0n thi\u1ec7n h\u01a1n?<\/strong><\/p>\n<p>&#8211; V\u1ec1 h\u00e0nh lang ph\u00e1p l\u00fd \u0111\u1ed1i v\u1edbi TTCK n\u00f3i chung, hi\u1ec7n nay c\u00f2n m\u1ed9t s\u1ed1 b\u1ea5t c\u1eadp v\u00e0 ch\u01b0a b\u1ea3o \u0111\u1ea3m c\u01a1 s\u1edf ph\u00e1p l\u00fd c\u1ea7n thi\u1ebft cho m\u1ed9t l\u0129nh v\u1ef1c chuy\u00ean ng\u00e0nh c\u00f3 r\u1ea5t nhi\u1ec1u \u0111\u1eb7c th\u00f9. V\u00ed d\u1ee5, nh\u1eefng quy \u0111\u1ecbnh v\u1ec1 qu\u1ea3n tr\u1ecb c\u00f4ng ty \u0111\u1ea1i ch\u00fang v\u00e0 c\u00f4ng ty ni\u00eam y\u1ebft hi\u1ec7n nay l\u00e0 tr\u00e1i v\u1edbi quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt Doanh nghi\u1ec7p nh\u01b0ng l\u1ea1i kh\u00f4ng h\u1ec1 \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh trong Lu\u1eadt Ch\u1ee9ng kho\u00e1n, m\u00e0 ch\u1ec9 \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh trong Th\u00f4ng t\u01b0. Do v\u1eady, Lu\u1eadt Ch\u1ee9ng kho\u00e1n c\u1ea7n \u0111\u01b0\u1ee3c s\u1eeda \u0111\u1ed5i to\u00e0n di\u1ec7n, tri\u1ec7t \u0111\u1ec3 h\u01a1n. \u0110\u1ed1i v\u1edbi c\u00e1c v\u0103n b\u1ea3n d\u01b0\u1edbi lu\u1eadt, c\u1ea7n nhanh ch\u00f3ng s\u1eeda \u0111\u1ed5i, b\u1ed5 sung \u0111\u1ec3 \u0111\u00e1p \u1ee9ng v\u1edbi y\u00eau c\u1ea7u th\u1ef1c ti\u1ec5n. V\u00ed d\u1ee5, Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh c\u1ea7n cho ph\u00e9p x\u1eed ph\u1ea1t v\u1ec1 ch\u1ee9ng kho\u00e1n l\u00ean m\u1ee9c t\u1ed1i \u0111a 500 tri\u1ec7u \u0111\u1ed3ng. Hay c\u1ea7n s\u1eeda \u0111\u1ed5i c\u00e1c th\u00f4ng t\u01b0 h\u01b0\u1edbng d\u1eabn c\u1ee5 th\u1ec3, r\u00f5 r\u00e0ng h\u01a1n v\u1ec1 c\u00e1c h\u00e0nh vi vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n, trong \u0111\u00f3 c\u00f3 h\u01b0\u1edbng d\u1eabn v\u1ec1 x\u1eed l\u00fd h\u00ecnh s\u1ef1 (Th\u00f4ng t\u01b0 li\u00ean t\u1ecbch s\u1ed1 46\/2009\/TTLT-BTC-BCA ng\u00e0y 11\/3\/2009 c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh v\u00e0 B\u1ed9 C\u00f4ng an &#8220;H\u01b0\u1edbng d\u1eabn ph\u1ed1i h\u1ee3p x\u1eed l\u00fd vi ph\u1ea1m ph\u00e1p lu\u1eadt trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n&#8221;, ra \u0111\u1eddi tr\u01b0\u1edbc khi c\u00f3 3 \u0111i\u1ec1u quy \u0111\u1ecbnh v\u1ec1 t\u1ed9i ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n m\u1edbi \u0111\u01b0\u1ee3c b\u1ed5 sung v\u00e0o B\u1ed9 lu\u1eadt H\u00ecnh s\u1ef1).<\/p>\n<p>* Xin c\u00e1m \u01a1n \u00f4ng!<\/p>\n<p>Duy Th\u00e1i &#8211; \u00c1nh Ph\u01b0\u1ee3ng<\/p>\n<p>&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;-<\/p>\n<p><strong><em>Th\u1eddi b\u00e1o T\u00e0i ch\u00ednh Vi\u1ec7t Nam s\u1ed1 83 ng\u00e0y 12-7-2010:<\/em><\/strong><\/p>\n<p><em>(1.073\/1.073)<\/em>","protected":false},"excerpt":{"rendered":"<p>(TBTC) &#8211; Trong th\u1eddi gian qua, m\u1eb7c d\u00f9 \u1ee7y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCK) v\u00e0 c\u00e1c c\u01a1 quan h\u1eefu quan \u0111\u00e3 \u0111\u01b0a ra nhi\u1ec1u bi\u1ec7n ph\u00e1p nh\u1eb1m ng\u0103n ch\u1eb7n nh\u1eefng t\u00ecnh tr\u1ea1ng vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK) v\u1eabn li\u00ean ti\u1ebfp x\u1ea3y ra. V\u00ec v\u1eady, v\u1ea5n \u0111\u1ec1 ho\u00e0n thi\u1ec7n khung ph\u00e1p l\u00fd [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":14807,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[27,26],"tags":[],"class_list":["post-14805","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 v27.3 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n - 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-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/\" \/>\n<meta property=\"og:locale\" content=\"vi_VN\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"[:vi]035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n[:] - ANVI Law Firm\" \/>\n<meta property=\"og:description\" content=\"(TBTC) &#8211; Trong th\u1eddi gian qua, m\u1eb7c d\u00f9 \u1ee7y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCK) v\u00e0 c\u00e1c c\u01a1 quan h\u1eefu quan \u0111\u00e3 \u0111\u01b0a ra nhi\u1ec1u bi\u1ec7n ph\u00e1p nh\u1eb1m ng\u0103n ch\u1eb7n nh\u1eefng t\u00ecnh tr\u1ea1ng vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK) v\u1eabn li\u00ean ti\u1ebfp x\u1ea3y ra. V\u00ec v\u1eady, v\u1ea5n \u0111\u1ec1 ho\u00e0n thi\u1ec7n khung ph\u00e1p l\u00fd [&hellip;]\" \/>\n<meta property=\"og:url\" content=\"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/\" \/>\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=\"2010-07-12T06:11:56+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2022-03-21T06:17:05+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/anvilaw.com\/wp-content\/uploads\/2010\/07\/Picture1.png\" \/>\n\t<meta property=\"og:image:width\" content=\"616\" \/>\n\t<meta property=\"og:image:height\" content=\"1081\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"author\" content=\"ductt\" \/>\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=\"ductt\" \/>\n\t<meta name=\"twitter:label2\" content=\"\u01af\u1edbc t\u00ednh th\u1eddi gian \u0111\u1ecdc\" \/>\n\t<meta name=\"twitter:data2\" content=\"8 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-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/\"},\"author\":{\"name\":\"ductt\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#\\\/schema\\\/person\\\/f250bfe7ec16ce4eba7ae37ffd717a9e\"},\"headline\":\"035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n\",\"datePublished\":\"2010-07-12T06:11:56+00:00\",\"dateModified\":\"2022-03-21T06:17:05+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/\"},\"wordCount\":1605,\"commentCount\":0,\"publisher\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#organization\"},\"image\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/anvilaw.com\\\/wp-content\\\/uploads\\\/2010\\\/07\\\/Picture1.png\",\"articleSection\":[\"Ph\u1ecfng v\u1ea5n\",\"T\u01b0 li\u1ec7u ANVI\"],\"inLanguage\":\"vi\",\"potentialAction\":[{\"@type\":\"CommentAction\",\"name\":\"Comment\",\"target\":[\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#respond\"]}]},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/\",\"url\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/\",\"name\":\"[:vi]035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n[:] - ANVI Law Firm\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#primaryimage\"},\"image\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/anvilaw.com\\\/wp-content\\\/uploads\\\/2010\\\/07\\\/Picture1.png\",\"datePublished\":\"2010-07-12T06:11:56+00:00\",\"dateModified\":\"2022-03-21T06:17:05+00:00\",\"breadcrumb\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#breadcrumb\"},\"inLanguage\":\"vi\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"vi\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#primaryimage\",\"url\":\"https:\\\/\\\/anvilaw.com\\\/wp-content\\\/uploads\\\/2010\\\/07\\\/Picture1.png\",\"contentUrl\":\"https:\\\/\\\/anvilaw.com\\\/wp-content\\\/uploads\\\/2010\\\/07\\\/Picture1.png\",\"width\":616,\"height\":1081},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/en\\\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\\\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"(Ti\u1ebfng Vi\u1ec7t) 035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#website\",\"url\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/\",\"name\":\"ANVI Law Firm - C\u00f4ng ty Lu\u1eadt ANVI\",\"description\":\"C\u00f4ng ty Lu\u1eadt ANVI - ANVI Law Firm\",\"publisher\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#organization\"},\"alternateName\":\"anvilaw.com\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"vi\"},{\"@type\":\"Organization\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#organization\",\"name\":\"C\u00f4ng ty Lu\u1eadt ANVI | ANVI Law Firm\",\"alternateName\":\"ANVI\",\"url\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/\",\"logo\":{\"@type\":\"ImageObject\",\"inLanguage\":\"vi\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#\\\/schema\\\/logo\\\/image\\\/\",\"url\":\"https:\\\/\\\/anvilaw.com\\\/wp-content\\\/uploads\\\/2022\\\/01\\\/ANVI-Logo-ca-hinh-va-chu-khong-co-nen-174K-1.png\",\"contentUrl\":\"https:\\\/\\\/anvilaw.com\\\/wp-content\\\/uploads\\\/2022\\\/01\\\/ANVI-Logo-ca-hinh-va-chu-khong-co-nen-174K-1.png\",\"width\":3493,\"height\":1535,\"caption\":\"C\u00f4ng ty Lu\u1eadt ANVI | ANVI Law Firm\"},\"image\":{\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#\\\/schema\\\/logo\\\/image\\\/\"},\"sameAs\":[\"https:\\\/\\\/facebook.com\\\/anvilawfirm\",\"https:\\\/\\\/x.com\\\/anvilawfirm\",\"https:\\\/\\\/www.youtube.com\\\/@anvilawfirm\",\"https:\\\/\\\/www.youtube.com\\\/@lsduc_anvi\"]},{\"@type\":\"Person\",\"@id\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/#\\\/schema\\\/person\\\/f250bfe7ec16ce4eba7ae37ffd717a9e\",\"name\":\"ductt\",\"image\":{\"@type\":\"ImageObject\",\"inLanguage\":\"vi\",\"@id\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/939cd8149fd8babbde69424b0b9cd8c1d6d82a1eb91f15a25a976dcc104497f9?s=96&d=mm&r=g\",\"url\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/939cd8149fd8babbde69424b0b9cd8c1d6d82a1eb91f15a25a976dcc104497f9?s=96&d=mm&r=g\",\"contentUrl\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/939cd8149fd8babbde69424b0b9cd8c1d6d82a1eb91f15a25a976dcc104497f9?s=96&d=mm&r=g\",\"caption\":\"ductt\"},\"sameAs\":[\"https:\\\/\\\/anvilaw.com\"],\"url\":\"https:\\\/\\\/anvilaw.com\\\/vi\\\/author\\\/ductt\\\/\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"[:vi]035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n[:] - ANVI Law Firm","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/","og_locale":"vi_VN","og_type":"article","og_title":"[:vi]035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n[:] - ANVI Law Firm","og_description":"(TBTC) &#8211; Trong th\u1eddi gian qua, m\u1eb7c d\u00f9 \u1ee7y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCK) v\u00e0 c\u00e1c c\u01a1 quan h\u1eefu quan \u0111\u00e3 \u0111\u01b0a ra nhi\u1ec1u bi\u1ec7n ph\u00e1p nh\u1eb1m ng\u0103n ch\u1eb7n nh\u1eefng t\u00ecnh tr\u1ea1ng vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n (TTCK) v\u1eabn li\u00ean ti\u1ebfp x\u1ea3y ra. V\u00ec v\u1eady, v\u1ea5n \u0111\u1ec1 ho\u00e0n thi\u1ec7n khung ph\u00e1p l\u00fd [&hellip;]","og_url":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/","og_site_name":"ANVI Law Firm","article_publisher":"https:\/\/facebook.com\/anvilawfirm","article_published_time":"2010-07-12T06:11:56+00:00","article_modified_time":"2022-03-21T06:17:05+00:00","og_image":[{"width":616,"height":1081,"url":"https:\/\/anvilaw.com\/wp-content\/uploads\/2010\/07\/Picture1.png","type":"image\/png"}],"author":"ductt","twitter_card":"summary_large_image","twitter_creator":"@anvilawfirm","twitter_site":"@anvilawfirm","twitter_misc":{"\u0110\u01b0\u1ee3c vi\u1ebft b\u1edfi":"ductt","\u01af\u1edbc t\u00ednh th\u1eddi gian \u0111\u1ecdc":"8 ph\u00fat"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#article","isPartOf":{"@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/"},"author":{"name":"ductt","@id":"https:\/\/anvilaw.com\/vi\/#\/schema\/person\/f250bfe7ec16ce4eba7ae37ffd717a9e"},"headline":"035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n","datePublished":"2010-07-12T06:11:56+00:00","dateModified":"2022-03-21T06:17:05+00:00","mainEntityOfPage":{"@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/"},"wordCount":1605,"commentCount":0,"publisher":{"@id":"https:\/\/anvilaw.com\/vi\/#organization"},"image":{"@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#primaryimage"},"thumbnailUrl":"https:\/\/anvilaw.com\/wp-content\/uploads\/2010\/07\/Picture1.png","articleSection":["Ph\u1ecfng v\u1ea5n","T\u01b0 li\u1ec7u ANVI"],"inLanguage":"vi","potentialAction":[{"@type":"CommentAction","name":"Comment","target":["https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#respond"]}]},{"@type":"WebPage","@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/","url":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/","name":"[:vi]035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n[:] - ANVI Law Firm","isPartOf":{"@id":"https:\/\/anvilaw.com\/vi\/#website"},"primaryImageOfPage":{"@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#primaryimage"},"image":{"@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#primaryimage"},"thumbnailUrl":"https:\/\/anvilaw.com\/wp-content\/uploads\/2010\/07\/Picture1.png","datePublished":"2010-07-12T06:11:56+00:00","dateModified":"2022-03-21T06:17:05+00:00","breadcrumb":{"@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#breadcrumb"},"inLanguage":"vi","potentialAction":[{"@type":"ReadAction","target":["https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/"]}]},{"@type":"ImageObject","inLanguage":"vi","@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#primaryimage","url":"https:\/\/anvilaw.com\/wp-content\/uploads\/2010\/07\/Picture1.png","contentUrl":"https:\/\/anvilaw.com\/wp-content\/uploads\/2010\/07\/Picture1.png","width":616,"height":1081},{"@type":"BreadcrumbList","@id":"https:\/\/anvilaw.com\/en\/tieng-viet-035-xu-ly-manh-hon-nhung-vi-pham-trong-linh-vuc-chung-khoan\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/anvilaw.com\/vi\/"},{"@type":"ListItem","position":2,"name":"(Ti\u1ebfng Vi\u1ec7t) 035. X\u1eed l\u00fd m\u1ea1nh h\u01a1n nh\u1eefng vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n"}]},{"@type":"WebSite","@id":"https:\/\/anvilaw.com\/vi\/#website","url":"https:\/\/anvilaw.com\/vi\/","name":"ANVI Law Firm - C\u00f4ng ty Lu\u1eadt ANVI","description":"C\u00f4ng ty Lu\u1eadt ANVI - ANVI Law Firm","publisher":{"@id":"https:\/\/anvilaw.com\/vi\/#organization"},"alternateName":"anvilaw.com","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/anvilaw.com\/vi\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"vi"},{"@type":"Organization","@id":"https:\/\/anvilaw.com\/vi\/#organization","name":"C\u00f4ng ty Lu\u1eadt ANVI | ANVI Law Firm","alternateName":"ANVI","url":"https:\/\/anvilaw.com\/vi\/","logo":{"@type":"ImageObject","inLanguage":"vi","@id":"https:\/\/anvilaw.com\/vi\/#\/schema\/logo\/image\/","url":"https:\/\/anvilaw.com\/wp-content\/uploads\/2022\/01\/ANVI-Logo-ca-hinh-va-chu-khong-co-nen-174K-1.png","contentUrl":"https:\/\/anvilaw.com\/wp-content\/uploads\/2022\/01\/ANVI-Logo-ca-hinh-va-chu-khong-co-nen-174K-1.png","width":3493,"height":1535,"caption":"C\u00f4ng ty Lu\u1eadt ANVI | ANVI Law Firm"},"image":{"@id":"https:\/\/anvilaw.com\/vi\/#\/schema\/logo\/image\/"},"sameAs":["https:\/\/facebook.com\/anvilawfirm","https:\/\/x.com\/anvilawfirm","https:\/\/www.youtube.com\/@anvilawfirm","https:\/\/www.youtube.com\/@lsduc_anvi"]},{"@type":"Person","@id":"https:\/\/anvilaw.com\/vi\/#\/schema\/person\/f250bfe7ec16ce4eba7ae37ffd717a9e","name":"ductt","image":{"@type":"ImageObject","inLanguage":"vi","@id":"https:\/\/secure.gravatar.com\/avatar\/939cd8149fd8babbde69424b0b9cd8c1d6d82a1eb91f15a25a976dcc104497f9?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/939cd8149fd8babbde69424b0b9cd8c1d6d82a1eb91f15a25a976dcc104497f9?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/939cd8149fd8babbde69424b0b9cd8c1d6d82a1eb91f15a25a976dcc104497f9?s=96&d=mm&r=g","caption":"ductt"},"sameAs":["https:\/\/anvilaw.com"],"url":"https:\/\/anvilaw.com\/vi\/author\/ductt\/"}]}},"_links":{"self":[{"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/posts\/14805","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/comments?post=14805"}],"version-history":[{"count":0,"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/posts\/14805\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/media\/14807"}],"wp:attachment":[{"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/media?parent=14805"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/categories?post=14805"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/anvilaw.com\/vi\/wp-json\/wp\/v2\/tags?post=14805"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}