{"id":24851,"date":"2019-03-01T10:10:32","date_gmt":"2019-03-01T03:10:32","guid":{"rendered":"https:\/\/anvilaw.com\/vi\/?p=24851"},"modified":"2022-06-06T10:12:32","modified_gmt":"2022-06-06T03:12:32","slug":"2-188-thao-tung-va-vi-pham-ve-chung-khoan-phat-nhieu-van-nhon","status":"publish","type":"post","link":"https:\/\/anvilaw.com\/vi\/2-188-thao-tung-va-vi-pham-ve-chung-khoan-phat-nhieu-van-nhon\/","title":{"rendered":"2.188. Thao t\u00fang v\u00e0 vi ph\u1ea1m v\u1ec1 ch\u1ee9ng kho\u00e1n, ph\u1ea1t nhi\u1ec1u v\u1eabn\u2026 nh\u1eddn"},"content":{"rendered":"<strong>(TP) &#8211; T\u1eeb ng\u00e0y 19\/2\/2019, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCKNN) li\u00ean ti\u1ebfp ban h\u00e0nh 3 quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi hai c\u00e1 nh\u00e2n, m\u1ed9t t\u1ed5 ch\u1ee9c v\u1edbi s\u1ed1 ti\u1ec1n ph\u1ea1t h\u01a1n 546 tri\u1ec7u \u0111\u1ed3ng. Li\u00ean ti\u1ebfp sau \u0111\u00f3, h\u01a1n 10 quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t ti\u1ebfp t\u1ee5c \u0111\u01b0\u1ee3c c\u00f4ng b\u1ed1.<\/strong><\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone size-full wp-image-24852 img-fluid img-fluid\" src=\"https:\/\/anvilaw.com\/wp-content\/uploads\/2022\/06\/37-1.jpg\" alt=\"\" width=\"236\" height=\"133\" \/><\/p>\n<p>Nhi\u1ec1u sai ph\u1ea1m tr\u00ean TTCK c\u1ea7n t\u0103ng m\u1ee9c x\u1eed ph\u1ea1t n\u1eb7ng h\u01a1n<\/p>\n<p><strong>Li\u00ean ti\u1ebfp x\u1eed ph\u1ea1t vi ph\u1ea1m<\/strong><\/p>\n<p>Ng\u00e0y 19\/2\/2019, UBCKNN ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t b\u00e0 L\u00ea Thanh \u0110\u1ecbnh, ng\u01b0\u1eddi li\u00ean quan v\u1edbi \u00f4ng Nguy\u1ec5n Ti\u1ebfn C\u01b0\u1eddng, Gi\u00e1m \u0111\u1ed1c k\u1ef9 thu\u1eadt C\u00f4ng ty C\u1ed5 ph\u1ea7n (CTCP) Th\u00e0nh Th\u00e0nh C\u00f4ng &#8211; Bi\u00ean H\u00f2a (m\u00e3 ch\u1ee9ng kho\u00e1n SBT) 65 tri\u1ec7u \u0111\u1ed3ng. Nguy\u00ean nh\u00e2n, b\u00e0 L\u00ea Thanh \u0110\u1ecbnh b\u00e1n 705.650 c\u1ed5 phi\u1ebfu SBT t\u1eeb ng\u00e0y 12\/9\/2017 \u0111\u1ebfn ng\u00e0y 14\/9\/2017 v\u00e0 mua 788.890 c\u1ed5 phi\u1ebfu SBT ng\u00e0y 26\/09\/2017 nh\u01b0ng kh\u00f4ng b\u00e1o c\u00e1o UBCKNN v\u00e0 S\u1edf Giao d\u1ecbch Ch\u1ee9ng kho\u00e1n th\u00e0nh ph\u1ed1 H\u1ed3 Ch\u00ed Minh v\u1ec1 vi\u1ec7c d\u1ef1 ki\u1ebfn giao d\u1ecbch.<\/p>\n<p>C\u0169ng trong ng\u00e0y 19\/2\/2019, UBCKNN x\u1eed ph\u1ea1t \u00f4ng Nguy\u1ec5n Duy Ph\u01b0\u01a1ng, m\u1ed9t nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00e1 nh\u00e2n 31,5 tri\u1ec7u \u0111\u1ed3ng. \u00d4ng Duy c\u00f3 h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh khi b\u00e1o c\u00e1o kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n khi s\u1edf h\u1eefu t\u1eeb 5% tr\u1edf l\u00ean s\u1ed1 c\u1ed5 phi\u1ebfu \u0111ang l\u01b0u h\u00e0nh c\u00f3 quy\u1ec1n bi\u1ec3u quy\u1ebft c\u1ee7a m\u1ed9t c\u00f4ng ty \u0111\u1ea1i ch\u00fang.<\/p>\n<p>C\u00f9ng ng\u00e0y n\u00e0y, Thanh tra UBCKNN ban h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u1ed1i v\u1edbi T\u1ed5ng C\u00f4ng ty x\u00e2y d\u1ef1ng C\u00f4ng tr\u00ecnh giao th\u00f4ng 1: Ph\u1ea1t 350 tri\u1ec7u \u0111\u1ed3ng v\u00ec kh\u00f4ng \u0111\u0103ng k\u00fd giao d\u1ecbch ch\u1ee9ng kho\u00e1n; Ph\u1ea1t 100 tri\u1ec7u \u0111\u1ed3ng v\u00ec kh\u00f4ng b\u00e1o c\u00e1o theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt \u0111\u1ed1i v\u1edbi c\u00e1c t\u00e0i li\u1ec7u: B\u00e1o c\u00e1o t\u00e0i ch\u00ednh c\u00f4ng ty m\u1eb9 v\u00e0 h\u1ee3p nh\u1ea5t qua c\u00e1c n\u0103m&#8230;<\/p>\n<p>Li\u00ean t\u1ee5c trong m\u1ed9t tu\u1ea7n qua t\u1eeb 20 \u0111\u1ebfn 26\/2\/2019, h\u01a1n 10 quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m \u0111\u00e3 \u0111\u01b0\u1ee3c c\u01a1 quan thanh tra ch\u1ee9ng kho\u00e1n ti\u1ebfp t\u1ee5c c\u00f4ng b\u1ed1. \u0110\u1eb7c bi\u1ec7t, ng\u00e0y 22\/2\/2019, UBCKNN ban h\u00e0nh Quy\u1ebft \u0111\u1ecbnh s\u1ed1 137\u00a0 x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u1ed1i v\u1edbi \u00f4ng \u0110inh Xu\u00e2n C\u01b0\u1eddng v\u1edbi m\u1ee9c x\u1eed ph\u1ea1t l\u00ean t\u1edbi 550 tri\u1ec7u \u0111\u1ed3ng (\u0110\u1ecba ch\u1ec9: S\u1ed1 10, ng\u00f5 10, H\u00e0 Tr\u00ec 1, H\u00e0 C\u1ea7u, H\u00e0 \u0110\u00f4ng, H\u00e0 N\u1ed9i) do \u00f4ng n\u00e0y c\u00f3 \u00a0h\u00e0nh vi \u0111\u00e3 s\u1eed d\u1ee5ng 12 t\u00e0i kho\u1ea3n \u0111\u1ec3 li\u00ean t\u1ee5c mua, b\u00e1n, t\u1ea1o cung, c\u1ea7u gi\u1ea3 t\u1ea1o, thao t\u00fang gi\u00e1 c\u1ed5 phi\u1ebfu c\u1ee7a C\u00f4ng ty C\u1ed5 ph\u1ea7n ANI (M\u00e3 ch\u1ee9ng kho\u00e1n: SIC).<\/p>\n<p><strong>S\u1ebd t\u0103ng m\u1ee9c ph\u1ea1t<\/strong><strong>\u00a0<\/strong><\/p>\n<p>Theo s\u1ed1 li\u1ec7u c\u1ee7a UBCKNN, trong n\u0103m 2019, c\u00f3 9 c\u00e1 nh\u00e2n b\u1ecb ph\u1ea1t h\u00e0nh ch\u00ednh v\u1ec1 h\u00e0nh vi vi ph\u1ea1m thao t\u00fang gi\u00e1 c\u1ed5 phi\u1ebfu v\u1edbi m\u1ee9c ph\u1ea1t l\u00ean t\u1edbi 5,1 t\u1ef7 \u0111\u1ed3ng. T\u1ed5ng s\u1ed1 ti\u1ec1n ph\u1ea1t v\u1ec1 t\u1ed9i thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n chi\u1ebfm h\u01a1n 25% trong t\u1ed5ng s\u1ed1 ti\u1ec1n ph\u1ea1t c\u1ee7a c\u1ea3 n\u0103m. V\u1edbi k\u1ebft qu\u1ea3 n\u00e0y, 2018 \u0111\u01b0\u1ee3c xem l\u00e0 n\u0103m \u201ck\u1ef7 l\u1ee5c\u201d v\u1ec1 x\u1eed ph\u1ea1t thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n.<\/p>\n<p>Nh\u1eadn x\u00e9t v\u1ec1 t\u1ea7n su\u1ea5t vi ph\u1ea1m v\u1eabn li\u00ean t\u1ee5c t\u0103ng, l\u00e3nh \u0111\u1ea1o c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n cho r\u1eb1ng, m\u1ee9c ph\u1ea1t 500- 600 tri\u1ec7u \u0111\u1ed3ng\/l\u1ea7n vi ph\u1ea1m \u0111\u1ed1i v\u1edbi c\u00e1c \u0111\u1ed1i t\u01b0\u1ee3ng c\u00f3 h\u00e0nh vi thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n l\u00e0 r\u1ea5t nh\u1eb9 so v\u1edbi m\u1ee9c \u0111\u1ed9 c\u00e1c vi ph\u1ea1m trong b\u1ed1i c\u1ea3nh hi\u1ec7n nay. \u00a0M\u1ee9c ph\u1ea1t n\u00e0y ch\u1ec9 ph\u00f9 h\u1ee3p v\u1edbi c\u00e1ch \u0111\u00e2y 10 n\u0103m.<\/p>\n<p>C\u0169ng xu\u1ea5t ph\u00e1t t\u1eeb th\u1ef1c t\u1ebf n\u00e0y, \u0111\u1ec3 t\u0103ng t\u00ednh r\u0103n \u0111e v\u1edbi c\u00e1c h\u00e0nh vi vi ph\u1ea1m, trong qu\u00e1 tr\u00ecnh s\u1eeda Lu\u1eadt Ch\u1ee9ng kho\u00e1n v\u00e0 Lu\u1eadt X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh, \u1ee6y ban Ch\u1ee9ng kho\u00e1n \u0111\u00e3 ki\u1ebfn ngh\u1ecb b\u1ed5 sung v\u00e0o c\u00e1c lu\u1eadt n\u00e0y c\u00e1c ch\u1ebf t\u00e0i m\u1edbi theo h\u01b0\u1edbng t\u0103ng n\u1eb7ng. C\u1ee5 th\u1ec3: D\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n (s\u1eeda \u0111\u1ed5i) quy \u0111\u1ecbnh m\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh l\u00e0 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. M\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a trong tr\u01b0\u1eddng h\u1ee3p t\u00e1i ph\u1ea1m g\u1ea5p 2 l\u1ea7n m\u1ee9c ph\u1ea1t vi ph\u1ea1m l\u1ea7n \u0111\u1ea7u.<\/p>\n<p><em>Lu\u1eadt s\u01b0 Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c, Gi\u00e1m \u0111\u1ed1c C\u00f4ng ty Lu\u1eadt ANVI cho r\u1eb1ng, vi\u1ec7c Ban so\u1ea1n th\u1ea3o D\u1ef1 th\u1ea3o Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i \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. \u201cN\u00ean t\u00ednh to\u00e1n n\u00e2ng l\u00ean 10 t\u1ef7 \u0111\u1ed3ng, th\u1eadm ch\u00ed khi quy m\u00f4 TTCK 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 t\u1edbi 100 t\u1ef7 \u0111\u1ed3ng\u201d, Lu\u1eadt s\u01b0 \u0110\u1ee9c nh\u1ea5n m\u1ea1nh.<\/em><\/p>\n<p><em>\u00a0\u201cN\u00ean t\u00ednh to\u00e1n n\u00e2ng l\u00ean 10 t\u1ef7 \u0111\u1ed3ng, th\u1eadm ch\u00ed khi quy m\u00f4 TTCK 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 t\u1edbi 100 t\u1ef7 \u0111\u1ed3ng\u201d.<\/em><\/p>\n<p><strong><em>Lu\u1eadt s\u01b0 Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c<\/em><\/strong><em>\u00a0<\/em><\/p>\n<p><strong>KH\u00c1NH HUY\u1ec0N<\/strong><\/p>\n<p>&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8212;&#8211;<\/p>\n<p><strong><em>Ti\u1ec1n phong (Kinh t\u1ebf) 01-3-2019:<\/em><\/strong><\/p>\n<p><a href=\"https:\/\/www.tienphong.vn\/kinh-te\/thao-tung-va-vi-pham-ve-chung-khoan-phat-nhieu-van-nhon-1383173.tpo\"><em>https:\/\/www.tienphong.vn\/kinh-te\/thao-tung-va-vi-pham-ve-chung-khoan-phat-nhieu-van-nhon-1383173.tpo<\/em><\/a><\/p>\n<p><em>(158\/854)<\/em>","protected":false},"excerpt":{"rendered":"<p>(TP) &#8211; T\u1eeb ng\u00e0y 19\/2\/2019, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCKNN) li\u00ean ti\u1ebfp ban h\u00e0nh 3 quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi hai c\u00e1 nh\u00e2n, m\u1ed9t t\u1ed5 ch\u1ee9c v\u1edbi s\u1ed1 ti\u1ec1n ph\u1ea1t h\u01a1n 546 tri\u1ec7u \u0111\u1ed3ng. Li\u00ean ti\u1ebfp sau \u0111\u00f3, [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":24852,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[17,26],"tags":[],"class_list":["post-24851","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-binh-luan-gop-y","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>2.188. Thao t\u00fang v\u00e0 vi ph\u1ea1m v\u1ec1 ch\u1ee9ng kho\u00e1n, ph\u1ea1t nhi\u1ec1u v\u1eabn\u2026 nh\u1eddn - 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\/2-188-thao-tung-va-vi-pham-ve-chung-khoan-phat-nhieu-van-nhon\/\" \/>\n<meta property=\"og:locale\" content=\"vi_VN\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"[:vi]2.188. 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