{"id":27446,"date":"2018-06-13T09:19:28","date_gmt":"2018-06-13T02:19:28","guid":{"rendered":"https:\/\/anvilaw.com\/vi\/?p=27446"},"modified":"2022-06-19T14:42:18","modified_gmt":"2022-06-19T07:42:18","slug":"1-845-quoc-hoi-chot-sua-luat-chung-khoan-trong-nam-2019","status":"publish","type":"post","link":"https:\/\/anvilaw.com\/vi\/1-845-quoc-hoi-chot-sua-luat-chung-khoan-trong-nam-2019\/","title":{"rendered":"1.845. Qu\u1ed1c h\u1ed9i ch\u1ed1t s\u1eeda Lu\u1eadt Ch\u1ee9ng kho\u00e1n trong n\u0103m 2019"},"content":{"rendered":"<strong>(\u0110TCK) &#8211; Theo Ch\u01b0\u01a1ng tr\u00ecnh x\u00e2y d\u1ef1ng lu\u1eadt n\u0103m 2019 v\u1eeba \u0111\u01b0\u1ee3c Qu\u1ed1c h\u1ed9i th\u00f4ng qua v\u1edbi \u0111a s\u1ed1 phi\u1ebfu t\u00e1n th\u00e0nh,\u00a0Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i s\u1ebd \u0111\u01b0\u1ee3c tr\u00ecnh Qu\u1ed1c h\u1ed9i kh\u00f3a XIV cho \u00fd ki\u1ebfn t\u1ea1i k\u1ef3 h\u1ecdp th\u1ee9 7 (th\u00e1ng 5\/2019)\u00a0v\u00e0 th\u00f4ng qua t\u1ea1i k\u1ef3 h\u1ecdp th\u1ee9 8 (th\u00e1ng 10\/2019).<\/strong><\/p>\n<p><strong>S\u1eeda \u0111\u1ed5i 8 ch\u00ednh s\u00e1ch<\/strong><\/p>\n<p>\u0110\u1ec3 \u0111\u01b0\u1ee3c \u0111\u01b0a v\u00e0o ch\u01b0\u01a1ng tr\u00ecnh x\u00e2y d\u1ef1ng lu\u1eadt c\u1ee7a Qu\u1ed1c h\u1ed9i n\u0103m 2019, qu\u00e1 tr\u00ecnh chu\u1ea9n b\u1ecb h\u1ed3 s\u01a1 d\u1ef1 \u00e1n lu\u1eadt \u0111\u00e3 tr\u1ea3i qua kh\u00f4ng \u00edt thay \u0111\u1ed5i. N\u1ebfu nh\u01b0 \u0111\u1ea7u n\u0103m 2017, h\u1ed3 s\u01a1 d\u1ef1 \u00e1n s\u1eeda Lu\u1eadt Ch\u1ee9ng kho\u00e1n th\u1ec3 hi\u1ec7n 6 n\u1ed9i dung l\u1edbn \u0111\u01b0\u1ee3c s\u1eeda \u0111\u1ed5i, b\u1ed5 sung, th\u00ec m\u1ed9t th\u1eddi gian sau \u0111\u00f3 n\u1ed9i dung s\u1eeda \u0111\u1ed5i \u0111\u01b0\u1ee3c n\u00e2ng l\u00ean 7 ch\u00ednh s\u00e1ch.<\/p>\n<p>Tuy nhi\u00ean, khi d\u1ef1 \u00e1n lu\u1eadt \u0111\u01b0\u1ee3c tr\u00ecnh ra \u1ee6y ban Th\u01b0\u1eddng v\u1ee5 Qu\u1ed1c h\u1ed9i v\u00e0o th\u00e1ng 4\/2018 xem x\u00e9t \u0111\u1ec3 ho\u00e0n thi\u1ec7n h\u1ed3 s\u01a1 \u0111\u1ec1 xu\u1ea5t Qu\u1ed1c h\u1ed9i \u0111\u01b0a v\u00e0o ch\u01b0\u01a1ng tr\u00ecnh x\u00e2y d\u1ef1ng lu\u1eadt n\u0103m 2019, s\u1ed1 l\u01b0\u1ee3ng ch\u00ednh s\u00e1ch m\u00e0 Ch\u00ednh ph\u1ee7 \u0111\u1ec1 xu\u1ea5t s\u1eeda \u0111\u1ed5i, b\u1ed5 sung trong Lu\u1eadt Ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c n\u00e2ng l\u00ean con s\u1ed1 8.<\/p>\n<p>Trao \u0111\u1ed5i v\u1edbi B\u00e1o \u0110\u1ea7u t\u01b0 Ch\u1ee9ng kho\u00e1n, \u00f4ng V\u0169 Quang Vi\u1ec7t, V\u1ee5 tr\u01b0\u1edfng V\u1ee5 Ph\u00e1p ch\u1ebf, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCK) cho bi\u1ebft, 8 ch\u00ednh s\u00e1ch m\u00e0 Ch\u00ednh ph\u1ee7 \u0111\u1ec1 xu\u1ea5t khi s\u1eeda \u0111\u1ed5i, b\u1ed5 sung Lu\u1eadt Ch\u1ee9ng kho\u00e1n l\u1ea7n n\u00e0y bao g\u1ed3m: H\u00e0ng h\u00f3a tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n; th\u1ecb tr\u01b0\u1eddng giao d\u1ecbch ch\u1ee9ng kho\u00e1n; \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n; thu h\u00fat \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i; qu\u1ea3n tr\u1ecb c\u00f4ng ty; t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n, c\u00f4ng b\u1ed1 th\u00f4ng tin tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n; nhi\u1ec7m v\u1ee5, quy\u1ec1n h\u1ea1n c\u1ee7a UBCK trong gi\u00e1m s\u00e1t, thanh tra, ki\u1ec3m tra, x\u00e1c minh vi ph\u1ea1m.<\/p>\n<p>Th\u1ef1c t\u1ebf trong qu\u00e1 tr\u00ecnh l\u1ea5y \u00fd ki\u1ebfn c\u00e1c b\u1ed9 ng\u00e0nh, c\u00e1c th\u00e0nh vi\u00ean th\u1ecb tr\u01b0\u1eddng cho ho\u00e0n thi\u1ec7n h\u1ed3 s\u01a1 d\u1ef1 \u00e1n lu\u1eadt, ngo\u1ea1i tr\u1eeb hai n\u1ed9i dung l\u00e0 quy\u1ec1n h\u1ea1n c\u1ee7a UBCK trong gi\u00e1m s\u00e1t, thanh tra, x\u00e1c minh vi ph\u1ea1m v\u00e0 thu h\u00fat \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i c\u00f2n c\u00f3 nhi\u1ec1u \u00fd ki\u1ebfn tr\u00e1i chi\u1ec1u th\u00ec c\u00e1c n\u1ed9i dung c\u00f2n l\u1ea1i nhi\u1ec1u \u00fd ki\u1ebfn kh\u00e1 \u0111\u1ed3ng thu\u1eadn v\u1edbi \u0111\u1ec1 xu\u1ea5t c\u1ee7a Ban so\u1ea1n th\u1ea3o. \u0110\u1ea1i di\u1ec7n UBCK cho hay, d\u1ef1 ki\u1ebfn trong th\u00e1ng 7 t\u1edbi, d\u1ef1 th\u1ea3o Lu\u1eadt s\u1ebd \u0111\u01b0\u1ee3c c\u00f4ng khai \u0111\u1ec3 l\u1ea5y \u00fd ki\u1ebfn r\u1ed9ng r\u00e3i c\u00e1c th\u00e0nh vi\u00ean th\u1ecb tr\u01b0\u1eddng.<\/p>\n<p><strong>T\u0103ng quy\u1ec1n cho UBCK: S\u1ebd r\u00e0 so\u00e1t k\u1ef9<\/strong><\/p>\n<p>Qua t\u1ed5ng k\u1ebft thi h\u00e0nh Lu\u1eadt Ch\u1ee9ng kho\u00e1n, B\u1ed9 T\u00e0i ch\u00ednh nh\u1eadn th\u1ea5y quy \u0111\u1ecbnh v\u1ec1 th\u1ea9m quy\u1ec1n c\u1ee7a UBCK trong thanh tra, ki\u1ec3m tra, x\u00e1c minh vi ph\u1ea1m v\u1ec1 ho\u1ea1t \u0111\u1ed9ng ch\u1ee9ng kho\u00e1n c\u00f2n ch\u01b0a \u0111\u1ea7y \u0111\u1ee7. V\u1edbi quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh, khi ph\u00e1t hi\u1ec7n v\u1ee5 vi\u1ec7c c\u00f3 d\u1ea5u hi\u1ec7u thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n ho\u1eb7c giao d\u1ecbch c\u00f3 s\u1eed d\u1ee5ng th\u00f4ng tin n\u1ed9i b\u1ed9, UBCK ch\u1ec9 c\u00f3 th\u1ec3 th\u1ef1c hi\u1ec7n quy\u1ec1n khi ti\u1ebfn h\u00e0nh thanh tra g\u1ed3m: Y\u00eau c\u1ea7u \u0111\u1ed1i t\u01b0\u1ee3ng nghi v\u1ea5n cung c\u1ea5p th\u00f4ng tin, t\u00e0i li\u1ec7u, m\u1eddi \u0111\u1ed1i t\u01b0\u1ee3ng \u0111\u1ebfn l\u00e0m vi\u1ec7c, gi\u1ea3i tr\u00ecnh.<\/p>\n<p>UBCK kh\u00f4ng c\u00f3 quy\u1ec1n bu\u1ed9c \u0111\u1ed1i t\u01b0\u1ee3ng \u0111\u1ebfn l\u00e0m vi\u1ec7c \u0111\u1ec3 \u0111\u1ed1i ch\u1ea5t; kh\u00f4ng c\u00f3 th\u1ea9m quy\u1ec1n y\u00eau c\u1ea7u c\u00e1c c\u01a1 quan li\u00ean quan nh\u01b0 ng\u00e2n h\u00e0ng, b\u01b0u \u0111i\u1ec7n, c\u01a1 quan kh\u00e1c cung c\u1ea5p c\u00e1c th\u00f4ng tin v\u1ec1 d\u00f2ng ti\u1ec1n gi\u1eefa c\u00e1c t\u00e0i kho\u1ea3n nghi v\u1ea5n, v\u1ec1 th\u00f4ng tin trao \u0111\u1ed5i gi\u1eefa \u0111\u1ed1i t\u01b0\u1ee3ng nghi v\u1ea5n, v\u1ec1 danh t\u00ednh, nh\u00e2n th\u00e2n \u0111\u1ed1i t\u01b0\u1ee3ng \u0111\u1ec3 x\u00e1c minh, l\u00e0m r\u00f5 m\u1ed1i li\u00ean h\u1ec7 gi\u1eefa c\u00e1c \u0111\u1ed1i t\u01b0\u1ee3ng, s\u1ef1 m\u00f3c n\u1ed1i, th\u00f4ng \u0111\u1ed3ng gi\u1eefa c\u00e1c \u0111\u1ed1i t\u01b0\u1ee3ng trong th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m\u2026<\/p>\n<p>Th\u1ef1c ti\u1ec5n cho th\u1ea5y, vi\u1ec7c UBCK ch\u01b0a c\u00f3 th\u1ea9m quy\u1ec1n n\u00e0y trong ki\u1ec3m tra, thanh tra, x\u1eed l\u00fd vi ph\u1ea1m \u0111\u00e3 l\u00e0m cho vi\u1ec7c ph\u00e1t hi\u1ec7n, x\u1eed l\u00fd vi ph\u1ea1m r\u1ea5t kh\u00f3 kh\u0103n do thi\u1ebfu th\u00f4ng tin, thi\u1ebfu b\u1eb1ng ch\u1ee9ng x\u00e1c th\u1ef1c, l\u00e0m gi\u1ea3m \u0111\u00e1ng k\u1ec3 hi\u1ec7u qu\u1ea3 thanh tra, gi\u00e1m s\u00e1t, ki\u1ec3m tra, x\u1eed l\u00fd c\u00e1c h\u00e0nh vi vi ph\u1ea1m, nh\u1ea5t l\u00e0 h\u00e0nh vi thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n v\u00e0 s\u1eed d\u1ee5ng th\u00f4ng tin n\u1ed9i b\u1ed9 \u0111\u1ec3 mua b\u00e1n ch\u1ee9ng kho\u00e1n, \u0111\u1eb7c bi\u1ec7t trong b\u1ed1i c\u1ea3nh c\u00e1c h\u00e0nh vi vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ng\u00e0y c\u00e0ng ph\u1ee9c t\u1ea1p, tinh vi h\u01a1n&#8230;<\/p>\n<p>T\u1eeb th\u1ef1c t\u1ebf tr\u00ean, ban so\u1ea1n th\u1ea3o \u0111\u1ec1 xu\u1ea5t xu\u1ea5t b\u1ed5 sung th\u1ea9m quy\u1ec1n cho UBCK trong thanh tra, ki\u1ec3m tra, x\u00e1c minh vi ph\u1ea1m. Theo \u0111\u00f3, khi ti\u1ebfn h\u00e0nh thanh tra, ki\u1ec3m tra, x\u00e1c minh vi ph\u1ea1m, UBCK c\u00f3 quy\u1ec1n y\u00eau c\u1ea7u c\u01a1 quan, t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n cung c\u1ea5p th\u00f4ng tin, t\u00e0i li\u1ec7u li\u00ean quan \u0111\u1ebfn \u0111\u1ed1i t\u01b0\u1ee3ng c\u00f3 d\u1ea5u hi\u1ec7u vi ph\u1ea1m; y\u00eau c\u1ea7u c\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng cung c\u1ea5p th\u00f4ng tin v\u1ec1 giao d\u1ecbch t\u00e0i kho\u1ea3n ng\u00e2n h\u00e0ng c\u1ee7a \u0111\u1ed1i t\u01b0\u1ee3ng c\u00f3 d\u1ea5u hi\u1ec7u vi ph\u1ea1m; tri\u1ec7u t\u1eadp t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n c\u00f3 li\u00ean quan \u0111\u1ebfn l\u00e0m vi\u1ec7c \u0111\u1ec3 l\u00e0m r\u00f5 h\u00e0nh vi vi ph\u1ea1m. \u0110\u1ed3ng th\u1eddi, quy \u0111\u1ecbnh r\u00f5 tr\u00e1ch nhi\u1ec7m c\u1ee7a c\u00e1c c\u01a1 quan li\u00ean quan nh\u01b0 ng\u00e2n h\u00e0ng, thu\u1ebf, c\u00f4ng an&#8230; trong ph\u1ed1i h\u1ee3p th\u1ef1c hi\u1ec7n.<\/p>\n<p>Theo g\u00f3p \u00fd c\u1ee7a B\u1ed9 C\u00f4ng an, v\u1edbi \u0111\u1ec1 xu\u1ea5t b\u1ed5 sung th\u1ea9m quy\u1ec1n cho UBCK \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u c\u01a1 quan, t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n cung c\u1ea5p th\u00f4ng tin, t\u00e0i li\u1ec7u v\u1ec1 giao d\u1ecbch t\u00e0i kho\u1ea3n ng\u00e2n h\u00e0ng; y\u00eau c\u1ea7u t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n \u0111\u1ebfn l\u00e0m vi\u1ec7c \u0111\u1ec3 l\u00e0m r\u00f5 h\u00e0nh vi vi ph\u1ea1m\u2026, c\u1ea7n b\u1ed5 sung n\u1ed9i dung \u0111\u00e1nh gi\u00e1 v\u1ec1 s\u1ef1 ph\u00f9 h\u1ee3p c\u1ee7a gi\u1ea3i ph\u00e1p n\u00e0y v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u1ec1 c\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng, ph\u00e1p lu\u1eadt v\u1ec1 x\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh, ph\u00e1p lu\u1eadt v\u1ec1 t\u1ed1 t\u1ee5ng h\u00ecnh s\u1ef1 v\u00e0 quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt kh\u00e1c c\u00f3 li\u00ean quan.<\/p>\n<p>Cho r\u1eb1ng \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ho\u1ea1t \u0111\u1ed9ng c\u00f4ng b\u1eb1ng, hi\u1ec7u qu\u1ea3 v\u00e0 minh b\u1ea1ch, b\u1ea3o v\u1ec7 quy\u1ec1n v\u00e0 l\u1ee3i \u00edch h\u1ee3p ph\u00e1p c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0, theo B\u1ed9 T\u01b0 ph\u00e1p, vi\u1ec7c b\u1ed5 sung th\u1ea9m quy\u1ec1n b\u1ea3o \u0111\u1ea3m cho UBCK c\u00f3 \u0111\u1ee7 quy\u1ec1n l\u1ef1c \u0111\u1ec3 th\u1ef1c thi t\u1ed1t c\u00e1c ch\u1ee9c n\u0103ng qu\u1ea3n l\u00fd, gi\u00e1m s\u00e1t, thanh tra v\u00e0 c\u01b0\u1ee1ng ch\u1ebf th\u1ef1c thi, k\u1ecbp th\u1eddi ph\u00e1t hi\u1ec7n, x\u1eed l\u00fd vi ph\u1ea1m trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n l\u00e0 c\u1ea7n thi\u1ebft.<\/p>\n<p>Tuy nhi\u00ean, ch\u00ednh s\u00e1ch n\u00e0y c\u00f3 \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn quy\u1ec1n ri\u00eang t\u01b0 c\u1ee7a c\u00e1 nh\u00e2n l\u00e0 \u0111\u1ed1i t\u01b0\u1ee3ng nghi v\u1ea5n vi ph\u1ea1m ph\u00e1p lu\u1eadt t\u1eeb ho\u1ea1t \u0111\u1ed9ng thu th\u1eadp th\u00f4ng tin li\u00ean quan \u0111\u1ebfn nh\u00e2n th\u00e2n, giao d\u1ecbch, m\u1ed1i quan h\u1ec7 gi\u1eefa c\u00e1c c\u00e1 nh\u00e2n\u2026<\/p>\n<p>Do \u0111\u00f3, \u0111\u1ec1 ngh\u1ecb c\u01a1 quan ch\u1ee7 tr\u00ec so\u1ea1n th\u1ea3o x\u00e2y d\u1ef1ng ch\u00ednh s\u00e1ch theo h\u01b0\u1edbng \u0111\u1ea3m b\u1ea3o t\u1ed1i \u0111a th\u00f4ng tin v\u1ec1 \u0111\u1eddi s\u1ed1ng ri\u00eang t\u01b0, b\u00ed m\u1eadt c\u00e1 nh\u00e2n, quy \u0111\u1ecbnh r\u00f5 ti\u00eau ch\u00ed, tr\u01b0\u1eddng h\u1ee3p \u00e1p d\u1ee5ng, th\u1ea9m quy\u1ec1n c\u1ee7a c\u01a1 quan th\u1ef1c thi c\u0169ng nh\u01b0 th\u1ea9m quy\u1ec1n c\u1ee7a c\u01a1 quan thanh tra, gi\u00e1m s\u00e1t.<\/p>\n<p>Trong khi \u0111\u00f3, Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc \u0111\u1ec1 ngh\u1ecb Ban so\u1ea1n th\u1ea3o c\u00e2n nh\u1eafc c\u00e1c gi\u1ea3i ph\u00e1p th\u1ef1c hi\u1ec7n \u0111\u1ec3 ph\u00f9 h\u1ee3p v\u1edbi Lu\u1eadt Thanh tra, b\u1ea3o \u0111\u1ea3m t\u00ednh \u0111\u1ed3ng b\u1ed9, th\u1ed1ng nh\u1ea5t gi\u1eefa c\u00e1c lu\u1eadt. V\u1edbi gi\u1ea3i ph\u00e1p b\u1ed5 sung th\u1ea9m quy\u1ec1n cho UBCK y\u00eau c\u1ea7u c\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng cung c\u1ea5p th\u00f4ng tin v\u1ec1 giao d\u1ecbch t\u00e0i kho\u1ea3n ng\u00e2n h\u00e0ng c\u1ee7a \u0111\u1ed1i t\u01b0\u1ee3ng c\u00f3 d\u1ea5u hi\u1ec7u vi ph\u1ea1m, Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc \u0111\u1ec1 ngh\u1ecb Ban so\u1ea1n th\u1ea3o nghi\u00ean c\u1ee9u b\u1ed5 sung c\u00e1c quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 v\u1ec1 tr\u01b0\u1eddng h\u1ee3p \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u cung c\u1ea5p th\u00f4ng tin, ph\u1ea1m vi cung c\u1ea5p v\u00e0 vi\u1ec7c th\u1ef1c hi\u1ec7n cung c\u1ea5p th\u00f4ng tin ph\u1ea3i theo ch\u1ebf \u0111\u1ed9 &#8220;m\u1eadt\u201d, \u0111\u1ea3m b\u1ea3o kh\u00f4ng m\u00e2u thu\u1eabn v\u1edbi quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh v\u00e0 b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i kh\u00e1ch h\u00e0ng c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng&#8230;<\/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 c\u00e1c vi ph\u1ea1m tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n c\u00f3 t\u00ednh chuy\u00ean m\u00f4n s\u00e2u, m\u1eb7t kh\u00e1c th\u00f4ng l\u1ec7 qu\u1ed1c t\u1ebf c\u0169ng trao th\u1ea9m quy\u1ec1n \u0111i\u1ec1u tra cho c\u01a1 quan qu\u1ea3n l\u00fd th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, n\u00ean trao th\u1ea9m quy\u1ec1n \u0111i\u1ec1u tra cho UBCK l\u00e0 h\u1ee3p l\u00fd. \u0110i\u1ec1u n\u00e0y s\u1ebd gi\u00fap cho c\u01a1 quan qu\u1ea3n l\u00fd th\u1ecb tr\u01b0\u1eddng ch\u1ee7 \u0111\u1ed9ng v\u00e0 hi\u1ec7u qu\u1ea3 h\u01a1n trong \u0111\u1ea5u tranh ng\u0103n ch\u1eb7n c\u00e1c tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m&#8230;<\/em><\/p>\n<p>C\u01a1 quan so\u1ea1n th\u1ea3o nh\u1ea5t tr\u00ed v\u1edbi g\u00f3p \u00fd tr\u00ean c\u1ee7a c\u00e1c b\u1ed9 ng\u00e0nh \u0111\u1ec3 trong qu\u00e1 tr\u00ecnh ho\u00e0n thi\u1ec7n d\u1ef1 th\u1ea3o \u0111\u1ea3m b\u1ea3o ph\u00f9 h\u1ee3p, \u0111\u1ed3ng b\u1ed9, th\u1ed1ng nh\u1ea5t v\u1edbi c\u00e1c lu\u1eadt c\u00f3 li\u00ean quan nh\u01b0 B\u1ed9 lu\u1eadt T\u1ed1 t\u1ee5ng h\u00ecnh s\u1ef1, Lu\u1eadt X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh, Lu\u1eadt Thanh tra, Lu\u1eadt C\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng\u2026<\/p>\n<p>\u0110\u1eb7c bi\u1ec7t, s\u1ebd quy \u0111\u1ecbnh r\u00f5 v\u1ec1 tr\u01b0\u1eddng h\u1ee3p \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u cung c\u1ea5p th\u00f4ng tin, ph\u1ea1m vi cung c\u1ea5p th\u00f4ng tin v\u00e0 vi\u1ec7c th\u1ef1c hi\u1ec7n cung c\u1ea5p th\u00f4ng tin ph\u1ea3i \u0111\u1ea3m b\u1ea3o quy \u0111\u1ecbnh v\u1ec1 b\u1ea3o m\u1eadt th\u00f4ng tin, b\u1ea3o \u0111\u1ea3m quy\u1ec1n ri\u00eang t\u01b0 c\u1ee7a kh\u00e1ch h\u00e0ng.<\/p>\n<p>Trong qu\u00e1 tr\u00ecnh \u0111\u00e1nh gi\u00e1 t\u00e1c \u0111\u1ed9ng c\u1ee7a ch\u00ednh s\u00e1ch, c\u01a1 quan so\u1ea1n th\u1ea3o \u0111\u00e3 xem x\u00e9t v\u1ea5n \u0111\u1ec1 v\u1ec1 quy\u1ec1n ri\u00eang t\u01b0 v\u00e0 b\u1ea3o m\u1eadt th\u00f4ng tin c\u1ee7a \u0111\u1ed1i t\u01b0\u1ee3ng vi ph\u1ea1m v\u00e0 \u0111\u00e1nh gi\u00e1 s\u1ef1 c\u1ea7n thi\u1ebft c\u1ee7a vi\u1ec7c b\u1ed5 sung c\u00e1c quy \u0111\u1ecbnh li\u00ean quan t\u1edbi ho\u1ea1t \u0111\u1ed9ng thanh tra, gi\u00e1m s\u00e1t, x\u1eed l\u00fd vi ph\u1ea1m\u2026<\/p>\n<p><strong>N\u1edbi room cho kh\u1ed1i ngo\u1ea1i: Ph\u00f9 h\u1ee3p v\u1edbi Lu\u1eadt \u0110\u1ea7u t\u01b0<\/strong><\/p>\n<p>Theo B\u1ed9 T\u00e0i ch\u00ednh, Ngh\u1ecb \u0111\u1ecbnh 60\/2015 h\u01b0\u1edbng d\u1eabn thi h\u00e0nh Lu\u1eadt Ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh v\u1ec1 t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam. Hi\u1ec7n \u0111a s\u1ed1 c\u00e1c c\u00f4ng ty \u0111\u1ea1i ch\u00fang \u0111\u1ec1u \u0111\u0103ng k\u00fd r\u1ea5t nhi\u1ec1u ng\u00e0nh ngh\u1ec1 kinh doanh, trong \u0111\u00f3 c\u00f3 nh\u1eefng ng\u00e0nh, ngh\u1ec1 kinh doanh c\u00f3 \u0111i\u1ec1u ki\u1ec7n theo quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt \u0110\u1ea7u t\u01b0 2014.<\/p>\n<p>Tuy nhi\u00ean, \u0111\u1ed1i v\u1edbi nhi\u1ec1u ng\u00e0nh, ngh\u1ec1 kinh doanh c\u00f3 \u0111i\u1ec1u ki\u1ec7n, ph\u00e1p lu\u1eadt chuy\u00ean ng\u00e0nh hi\u1ec7n ch\u01b0a quy \u0111\u1ecbnh ho\u1eb7c kh\u00f4ng quy \u0111\u1ecbnh t\u1ef7 l\u1ec7 s\u1edf h\u1eefu c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i. Trong tr\u01b0\u1eddng h\u1ee3p n\u00e0y, ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh m\u1ed9t t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i c\u1ee5 th\u1ec3 (t\u1ed1i \u0111a l\u00e0 49% theo Ngh\u1ecb \u0111\u1ecbnh s\u1ed1 60\/2015\/N\u0110-CP) l\u00e0 kh\u00f3 ch\u00ednh x\u00e1c, ch\u01b0a th\u1ef1c s\u1ef1 ph\u00f9 h\u1ee3p.<\/p>\n<p>M\u1eb7t kh\u00e1c, theo quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt \u0110\u1ea7u t\u01b0 n\u0103m 2014, khi tr\u1edf th\u00e0nh t\u1ed5 ch\u1ee9c c\u00f3 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i t\u1eeb 51% v\u1ed1n \u0111i\u1ec1u l\u1ec7 tr\u1edf l\u00ean, doanh nghi\u1ec7p ph\u1ea3i \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n v\u00e0 th\u1ef1c hi\u1ec7n th\u1ee7 t\u1ee5c \u0111\u1ea7u t\u01b0 theo quy \u0111\u1ecbnh \u0111\u1ed1i v\u1edbi nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i khi \u0111\u1ea7u t\u01b0 th\u00e0nh l\u1eadp t\u1ed5 ch\u1ee9c kinh t\u1ebf; \u0111\u1ea7u t\u01b0 g\u00f3p v\u1ed1n, mua c\u1ed5 ph\u1ea7n, ph\u1ea7n v\u1ed1n g\u00f3p c\u1ee7a t\u1ed5 ch\u1ee9c kinh t\u1ebf.<\/p>\n<p>Do v\u1eady, doanh nghi\u1ec7p ch\u01b0a m\u1eb7n m\u00e0 v\u1edbi ch\u00ednh s\u00e1ch t\u0103ng t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n, th\u1eadm ch\u00ed c\u00f3 doanh nghi\u1ec7p kh\u00f4ng b\u1ecb gi\u1edbi h\u1ea1n t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i, nh\u01b0ng t\u1ef1 \u1ea5n \u0111\u1ecbnh m\u1ed9t t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i th\u1ea5p h\u01a1n t\u1ea1i \u0110i\u1ec1u l\u1ec7 c\u00f4ng ty\u2026<\/p>\n<p>V\u1ea5n \u0111\u1ec1 n\u1edbi room cho kh\u1ed1i ngo\u1ea1i \u0111ang c\u00f3 nhi\u1ec1u \u00fd ki\u1ebfn tr\u00e1i chi\u1ec1u t\u1eeb ph\u00eda th\u1ecb tr\u01b0\u1eddng, c\u0169ng nh\u01b0 c\u00e1c b\u1ed9 ng\u00e0nh. B\u00ean c\u1ea1nh nh\u1eefng \u00fd ki\u1ebfn \u0111\u1ec1 xu\u1ea5t c\u1ea7n m\u1edf r\u1ed9ng c\u00e1c l\u0129nh v\u1ef1c m\u00e0 Nh\u00e0 n\u01b0\u1edbc kh\u00f4ng c\u1ea7n n\u1eafm c\u1ed5 ph\u1ea7n \u0111\u1ec3 n\u1edbi room \u0111\u1ebfn 100% cho nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i th\u00ec c\u00f3 nh\u1eefng \u00fd ki\u1ebfn cho r\u1eb1ng vi\u1ec7c n\u1edbi room l\u00ean t\u1ed1i \u0111a c\u1ea7n th\u1eadn tr\u1ecdng v\u00ec s\u1ebd \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn doanh nghi\u1ec7p n\u00f3i ri\u00eang v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n n\u00f3i chung, \u0111\u1eb7c bi\u1ec7t trong b\u1ed1i c\u1ea3nh c\u00e1c ch\u00ednh s\u00e1ch c\u00f3 li\u00ean quan kh\u00e1c c\u1ee7a ph\u00e1p lu\u1eadt chuy\u00ean ng\u00e0nh ki\u1ec3m so\u00e1t ho\u1ea1t \u0111\u1ed9ng \u0111\u1ea7u t\u01b0 ch\u01b0a \u0111\u01b0\u1ee3c ho\u00e0n thi\u1ec7n v\u00e0 \u0111\u1ed3ng b\u1ed9.<\/p>\n<p>C\u01a1 quan so\u1ea1n th\u1ea3o nh\u1ea5t tr\u00ed quan \u0111i\u1ec3m c\u1ee7a c\u00e1c b\u1ed9, ng\u00e0nh v\u1ec1 vi\u1ec7c \u0111i\u1ec1u ch\u1ec9nh v\u1ea5n \u0111\u1ec1 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i c\u1ea7n ph\u00f9 h\u1ee3p v\u1edbi Lu\u1eadt \u0110\u1ea7u t\u01b0. Tuy nhi\u00ean, Lu\u1eadt \u0110\u1ea7u t\u01b0 c\u00f2n c\u00f3 nh\u1eefng v\u1ea5n \u0111\u1ec1 ch\u01b0a r\u00f5 (nh\u01b0 ch\u01b0a ph\u00e2n \u0111\u1ecbnh r\u00f5 \u0111\u1ea7u t\u01b0 tr\u1ef1c ti\u1ebfp, \u0111\u1ea7u t\u01b0 gi\u00e1n ti\u1ebfp, ch\u01b0a \u0111\u01b0a ra danh m\u1ee5c h\u1ea1n ch\u1ebf \u0111\u1ea7u t\u01b0 \u0111\u1ed1i v\u1edbi nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i\u2026).<\/p>\n<p>V\u00ec v\u1eady, c\u1ea7n c\u00f3 s\u1ef1 th\u1ed1ng nh\u1ea5t quan \u0111i\u1ec3m v\u1ec1 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i trong c\u00e1c ng\u00e0nh ngh\u1ec1 kinh doanh c\u00f3 \u0111i\u1ec1u ki\u1ec7n. V\u1edbi nh\u1eefng ng\u00e0nh ngh\u1ec1 kinh doanh c\u00f3 \u0111i\u1ec1u ki\u1ec7n ch\u01b0a cam k\u1ebft v\u1ec1 t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i, ho\u1eb7c kh\u00f4ng \u0111\u01b0a v\u00e0o Bi\u1ec3u cam k\u1ebft c\u1ee7a Vi\u1ec7t Nam trong WTO v\u00e0 c\u00e1c \u0111i\u1ec1u \u01b0\u1edbc qu\u1ed1c t\u1ebf kh\u00e1c th\u00ec ch\u1ec9 n\u00e2ng t\u1ef7 l\u1ec7 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i l\u00ean 100% trong tr\u01b0\u1eddng h\u1ee3p c\u00e1c v\u0103n b\u1ea3n quy ph\u1ea1m ph\u00e1p lu\u1eadt chuy\u00ean ng\u00e0nh kh\u00f4ng h\u1ea1n ch\u1ebf s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i&#8230;<\/p>\n<p><strong>S\u1edbm ho\u00e0n thi\u1ec7n d\u1ef1 th\u1ea3o lu\u1eadt \u0111\u1ec3 c\u00f4ng khai l\u1ea5y \u00fd ki\u1ebfn r\u1ed9ng r\u00e3i&#8230;<\/strong><\/p>\n<p>Sau khi Qu\u1ed1c h\u1ed9i \u0111\u01b0a d\u1ef1 \u00e1n Lu\u1eadt Ch\u1ee9ng kho\u00e1n v\u00e0o ch\u01b0\u01a1ng tr\u00ecnh x\u00e2y d\u1ef1ng lu\u1eadt n\u0103m 2019, Ban so\u1ea1n th\u1ea3o, t\u1ed5 bi\u00ean t\u1eadp d\u1ef1 \u00e1n lu\u1eadt (\u0111\u00e3 \u0111\u01b0\u1ee3c B\u1ed9 T\u00e0i ch\u00ednh th\u00e0nh l\u1eadp) s\u1ebd ti\u1ebfn h\u00e0nh h\u1ecdp \u0111\u1ec3 cho \u00fd ki\u1ebfn v\u00e0 th\u1ed1ng nh\u1ea5t \u0111\u1ec1 c\u01b0\u01a1ng chi ti\u1ebft c\u1ee7a d\u1ef1 \u00e1n lu\u1eadt. Tr\u00ean c\u01a1 s\u1edf \u0111\u00f3 \u0111\u1ec3 c\u00f3 \u0111\u1ecbnh h\u01b0\u1edbng x\u00e2y d\u1ef1ng c\u00e1c n\u1ed9i dung c\u1ee5 th\u1ec3 c\u1ee7a d\u1ef1 \u00e1n lu\u1eadt.<\/p>\n<p>Trong qu\u00e1 tr\u00ecnh n\u00e0y, Ban so\u1ea1n th\u1ea3o s\u1ebd tranh th\u1ee7 tham v\u1ea5n \u00fd ki\u1ebfn c\u1ee7a c\u00e1c chuy\u00ean gia qu\u1ed1c t\u1ebf. Ti\u1ebfp \u0111\u00f3 Ban so\u1ea1n th\u1ea3o s\u1ebd th\u00f4ng qua n\u1ed9i dung d\u1ef1 th\u1ea3o tr\u01b0\u1edbc khi c\u00f4ng khai l\u1ea5y \u00fd ki\u1ebfn r\u1ed9ng r\u00e3i c\u00e1c th\u00e0nh vi\u00ean th\u1ecb tr\u01b0\u1eddng, gi\u1edbi chuy\u00ean gia trong v\u00e0 ngo\u00e0i n\u01b0\u1edbc trong th\u1eddi gian t\u1edbi.<\/p>\n<p>Sau khi ti\u1ebfp thu \u00fd ki\u1ebfn c\u00e1c th\u00e0nh vi\u00ean th\u1ecb tr\u01b0\u1eddng, d\u1ef1 \u00e1n lu\u1eadt s\u1ebd \u0111\u01b0\u1ee3c ho\u00e0n thi\u1ec7n \u0111\u1ec3 l\u1ea5y \u00fd ki\u1ebfn c\u00e1c b\u1ed9 ng\u00e0nh tr\u01b0\u1edbc khi ho\u00e0n thi\u1ec7n \u0111\u1ec3 tr\u00ecnh Ch\u00ednh ph\u1ee7 cho \u00fd ki\u1ebfn tr\u01b0\u1edbc khi ho\u00e0n thi\u1ec7n v\u00e0 tr\u00ecnh ra Qu\u1ed1c h\u1ed9i t\u1ea1i k\u1ef3 h\u1ecdp \u0111\u1ea7u n\u0103m t\u1edbi.<\/p>\n<p><strong>Nguy\u1ec5n H\u1eefu<\/strong><\/p>\n<p>&#8212;&#8212;&#8212;&#8212;&#8211;<\/p>\n<p><strong><em>\u0110\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n (Ch\u1ee9ng kho\u00e1n) 13-6-2018:<\/em><\/strong><\/p>\n<p><a href=\"http:\/\/tinnhanhchungkhoan.vn\/chung-khoan\/quoc-hoi-chot-sua-luat-chung-khoan-trong-nam-2019-232209.html\"><em>http:\/\/tinnhanhchungkhoan.vn\/chung-khoan\/quoc-hoi-chot-sua-luat-chung-khoan-trong-nam-2019-232209.html<\/em><\/a><\/p>\n<p><em>\u00a0(89\/2.346)<\/em>","protected":false},"excerpt":{"rendered":"<p>(\u0110TCK) &#8211; Theo Ch\u01b0\u01a1ng tr\u00ecnh x\u00e2y d\u1ef1ng lu\u1eadt n\u0103m 2019 v\u1eeba \u0111\u01b0\u1ee3c Qu\u1ed1c h\u1ed9i th\u00f4ng qua v\u1edbi \u0111a s\u1ed1 phi\u1ebfu t\u00e1n th\u00e0nh,\u00a0Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i s\u1ebd \u0111\u01b0\u1ee3c tr\u00ecnh Qu\u1ed1c h\u1ed9i kh\u00f3a XIV cho \u00fd ki\u1ebfn t\u1ea1i k\u1ef3 h\u1ecdp th\u1ee9 7 (th\u00e1ng 5\/2019)\u00a0v\u00e0 th\u00f4ng qua t\u1ea1i k\u1ef3 h\u1ecdp th\u1ee9 8 (th\u00e1ng 10\/2019). S\u1eeda \u0111\u1ed5i 8 [&hellip;]<\/p>\n","protected":false},"author":3,"featured_media":27455,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[17,26],"tags":[],"class_list":["post-27446","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>1.845. 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