{"id":32078,"date":"2010-09-17T09:56:17","date_gmt":"2010-09-17T02:56:17","guid":{"rendered":"https:\/\/anvilaw.com\/vi\/?p=32078"},"modified":"2022-07-06T09:58:55","modified_gmt":"2022-07-06T02:58:55","slug":"145-han-che-quyen-giao-dich-cua-ndt-la-sai-luat","status":"publish","type":"post","link":"https:\/\/anvilaw.com\/vi\/145-han-che-quyen-giao-dich-cua-ndt-la-sai-luat\/","title":{"rendered":"145. H\u1ea1n ch\u1ebf quy\u1ec1n giao d\u1ecbch c\u1ee7a N\u0110T l\u00e0 sai lu\u1eadt"},"content":{"rendered":"(\u0110TCK) – B\u00e1o \u0110TCK s\u1ed1 111, ra ng\u00e0y 15\/9\/2010 c\u00f3 b\u00e0i vi\u1ebft: “Ngh\u1ecbch l\u00fd c\u01a1 ch\u1ebf giao d\u1ecbch tr\u00ean TTCK Vi\u1ec7t Nam” v\u00e0 \u0111\u0103ng t\u1ea3i \u00fd ki\u1ebfn c\u1ee7a \u00f4ng Tr\u01b0\u01a1ng Anh Tu\u1ea5n, Ph\u00f3 ch\u1ee7 nhi\u1ec7m \u0110o\u00e0n lu\u1eadt s\u01b0 t\u1ec9nh B\u1eafc Ninh nh\u1eadn \u0111\u1ecbnh, vi\u1ec7c c\u1ea5m c\u00f9ng mua b\u00e1n m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n trong phi\u00ean l\u00e0 vi ph\u1ea1m Lu\u1eadt D\u00e2n s\u1ef1. Ngay sau khi s\u1ed1 b\u00e1o n\u00e0y ph\u00e1t h\u00e0nh, B\u00e1o \u0110TCK \u0111\u00e3 nh\u1eadn \u0111\u01b0\u1ee3c quan \u0111i\u1ec3m \u0111\u1ed3ng t\u00ecnh c\u1ee7a nhi\u1ec1u lu\u1eadt s\u01b0 chuy\u00ean ng\u00e0nh v\u00e0 c\u00e1c N\u0110T.
\n<\/strong><\/p>\n\n\n\n\n
\"\"<\/td>\n<\/tr>\n
Nhi\u1ec1u lu\u1eadt s\u01b0 chuy\u00ean ng\u00e0nh v\u00e0 c\u00e1c N\u0110T \u0111\u1ec1u cho r\u1eb1ng, vi\u1ec7c c\u1ea5m mua b\u00e1n c\u00f9ng m\u1ed9t ch\u1ee9ng kho\u00e1n trong phi\u00ean l\u00e0 sai lu\u1eadt – \u1ea2nh minh h\u1ecda: Ho\u00e0i Nam<\/em><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

B\u00e0 Ng\u00f4 Th\u1ecb Thu H\u00e0<\/em><\/strong><\/p>\n

\u0110o\u00e0n lu\u1eadt s\u01b0 Y\u00ean B\u00e1i<\/em><\/p>\n

T\u00f4i ho\u00e0n to\u00e0n \u1ee7ng h\u1ed9 vi\u1ec7c N\u0110T \u0111\u01b0\u1ee3c c\u00f9ng mua b\u00e1n m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n trong phi\u00ean v\u1edbi quan \u0111i\u1ec3m cho r\u1eb1ng, b\u1ea5t k\u1ef3 m\u1ed9t h\u00e0nh \u0111\u1ed9ng c\u1ea5m \u0111o\u00e1n hay h\u1ea1n ch\u1ebf giao d\u1ecbch c\u1ee7a N\u0110T ngo\u00e0i vi ph\u1ea1m nguy\u00ean t\u1eafc kinh doanh n\u00f3i chung th\u00ec c\u00f2n vi ph\u1ea1m m\u1ed9t trong nh\u1eefng quy \u0111\u1ecbnh chung nh\u1ea5t t\u1ea1i Lu\u1eadt Ch\u1ee9ng kho\u00e1n. Nguy\u00ean t\u1eafc ho\u1ea1t \u0111\u1ed9ng ch\u1ee9ng kho\u00e1n v\u00e0 TTCK t\u1ea1i \u0110i\u1ec1u 4 Lu\u1eadt Ch\u1ee9ng kho\u00e1n \u0111\u00e3 n\u00eau r\u00f5: t\u00f4n tr\u1ecdng quy\u1ec1n t\u1ef1 do mua, b\u00e1n, kinh doanh v\u00e0 d\u1ecbch v\u1ee5 ch\u1ee9ng kho\u00e1n c\u1ee7a t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n; b\u1ea3o v\u1ec7 quy\u1ec1n, l\u1ee3i \u00edch h\u1ee3p ph\u00e1p c\u1ee7a N\u0110T…<\/p>\n

Th\u1eadm ch\u00ed, t\u1ea1i \u0110i\u1ec1u 5 c\u1ee7a Lu\u1eadt n\u00e0y v\u1ec1 ch\u00ednh s\u00e1ch ph\u00e1t tri\u1ec3n TTCK c\u0169ng \u0111\u00e3 n\u00eau r\u00f5: Nh\u00e0 n\u01b0\u1edbc c\u00f3 ch\u00ednh s\u00e1ch khuy\u1ebfn kh\u00edch, t\u1ea1o \u0111i\u1ec1u ki\u1ec7n thu\u1eadn l\u1ee3i \u0111\u1ec3 t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n thu\u1ed9c c\u00e1c th\u00e0nh ph\u1ea7n kinh t\u1ebf, c\u00e1c t\u1ea7ng l\u1edbp nh\u00e2n d\u00e2n tham gia \u0111\u1ea7u t\u01b0 v\u00e0 ho\u1ea1t \u0111\u1ed9ng tr\u00ean TTCK nh\u1eb1m huy \u0111\u1ed9ng c\u00e1c ngu\u1ed3n v\u1ed1n trung h\u1ea1n v\u00e0 d\u00e0i h\u1ea1n cho \u0111\u1ea7u t\u01b0 ph\u00e1t tri\u1ec3n. Nh\u01b0 v\u1eady, vi\u1ec7c h\u1ea1n ch\u1ebf tr\u00ean c\u00f3 c\u00f2n l\u00e0 t\u1ea1o \u0111i\u1ec1u ki\u1ec7n \u0111\u1ec3 N\u0110T d\u1ec5 d\u00e0ng tham gia \u0111\u1ea7u t\u01b0 tr\u00ean TTCK hay kh\u00f4ng?<\/p>\n

\u00d4ng Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c<\/em><\/strong><\/p>\n

Gi\u00e1m \u0111\u1ed1c C\u00f4ng ty Lu\u1eadt ANVI<\/i><\/b><\/p>\n

Vi\u1ec7c Lu\u1eadt cho ph\u00e9p nh\u01b0ng Quy ch\u1ebf giao d\u1ecbch c\u1ee7a S\u1edf th\u00ec l\u1ea1i c\u1ea5m, kh\u00f4ng kh\u00e1c n\u00e0o tr\u00ean cho d\u01b0\u1edbi c\u1ea5m, cho th\u1ea5y s\u1ef1 thi\u1ebfu \u0111\u1ed3ng b\u1ed9 trong lu\u1eadt v\u1ec1 giao d\u1ecbch ch\u1ee9ng kho\u00e1n, khi\u1ebfn N\u0110T kh\u00f4ng bi\u1ebft th\u1ebf n\u00e0o m\u00e0 l\u1ea7n. Theo t\u00f4i, v\u1edbi m\u1ee5c ti\u00eau quan tr\u1ecdng nh\u1ea5t l\u00e0 t\u1ea1o ra t\u00ednh thanh kho\u1ea3n c\u1ee7a c\u1ed5 phi\u1ebfu, n\u00ean c\u00f3 h\u01b0\u1edbng d\u1eabn c\u1ee5 th\u1ec3 v\u1ec1 giao d\u1ecbch c\u00f9ng mua b\u00e1n trong phi\u00ean.<\/em><\/strong><\/p>\n

B\u00e0 D\u01b0\u01a1ng Th\u1ecb Thu H\u01b0\u01a1ng<\/em><\/strong><\/p>\n

C\u00f4ng ty Lu\u1eadt h\u1ee3p danh Lu\u1eadt Vi\u1ec7t<\/em><\/p>\n

N\u1ebfu Lu\u1eadt Ch\u1ee9ng kho\u00e1n kh\u00f4ng c\u1ea5m v\u00e0 ngo\u00e0i ra c\u0169ng kh\u00f4ng c\u00f3 c\u00f4ng v\u0103n h\u01b0\u1edbng d\u1eabn hay nh\u1eafc nh\u1edf n\u00e0o c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh hay \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCK) c\u1ea5m vi\u1ec7c n\u00e0y th\u00ec m\u1ecdi h\u00e0nh vi c\u1ea5m \u0111o\u00e1n giao d\u1ecbch \u0111\u1ec1u l\u00e0 sai ph\u1ea1m. Trong khi ch\u1edd m\u1ed9t th\u00f4ng t\u01b0 h\u01b0\u1edbng d\u1eabn chi ti\u1ebft v\u1ec1 giao d\u1ecbch n\u00e0y, trong khi th\u1ecb tr\u01b0\u1eddng c\u00f2n ch\u01b0a r\u00f5 kh\u00e1i ni\u1ec7m tr\u00ean, kh\u00f4ng bi\u1ebft \u0111\u00e3 c\u00f3 CTCK n\u00e0o l\u00ean ti\u1ebfng th\u00f4ng qua vi\u1ec7c g\u1eedi c\u00f4ng v\u0103n h\u1ecfi \u00fd ki\u1ebfn UBCK \u0111\u1ec3 \u0111\u01b0\u1ee3c gi\u1ea3i th\u00edch r\u00f5 h\u01a1n v\u1ec1 n\u1ed9i dung n\u00e0y hay ch\u01b0a. N\u1ebfu ch\u01b0a th\u00ec theo t\u00f4i, CTCK, v\u1edbi t\u01b0 c\u00e1ch l\u00e0 nh\u00e0 t\u01b0 v\u1ea5n, n\u01a1i N\u0110T m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ph\u1ea3i l\u00ean ti\u1ebfng th\u00f4ng qua vi\u1ec7c g\u1eedi c\u00f4ng v\u0103n h\u1ecfi \u00fd ki\u1ebfn c\u01a1 quan qu\u1ea3n l\u00fd \u0111\u1ec3 c\u00f3 c\u00e1ch hi\u1ec3u \u0111\u00fang v\u1ec1 giao d\u1ecbch n\u00e0y.<\/p>\n

\u00d4ng L\u00ea Vinh S\u01a1n<\/em><\/strong><\/p>\n

V\u0103n ph\u00f2ng lu\u1eadt s\u01b0 Ch\u01b0\u01a1ng D\u01b0\u01a1ng<\/em><\/p>\n

Theo ch\u00fang t\u00f4i, B\u1ed9 T\u00e0i ch\u00ednh v\u1edbi t\u01b0 c\u00e1ch l\u00e0 \u0111\u01a1n v\u1ecb ch\u1ecbu tr\u00e1ch nhi\u1ec7m tr\u01b0\u1edbc Ch\u00ednh ph\u1ee7 th\u1ef1c hi\u1ec7n qu\u1ea3n l\u00fd nh\u00e0 n\u01b0\u1edbc v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 TTCK n\u00ean s\u1edbm ban h\u00e0nh th\u00f4ng t\u01b0 h\u01b0\u1edbng d\u1eabn v\u1ec1 giao d\u1ecbch n\u00e0y c\u0169ng nh\u01b0 ban h\u00e0nh theo th\u1ea9m quy\u1ec1n c\u00e1c v\u0103n b\u1ea3n quy ph\u1ea1m ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 TTCK. Ngo\u00e0i ra, n\u00ean ban h\u00e0nh m\u1ed9t b\u1ed9 lu\u1eadt b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i c\u1ee7a N\u0110T. Quy \u0111\u1ecbnh c\u1ea5m mua b\u00e1n c\u00f9ng m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n trong phi\u00ean d\u00f9 \u0111\u01b0\u1ee3c ban h\u00e0nh theo s\u1ef1 h\u01b0\u1edbng d\u1eabn v\u00e0 ch\u1ea5p thu\u1eadn c\u1ee7a c\u01a1 quan n\u00e0o th\u00ec do tr\u00e1i lu\u1eadt n\u00ean kh\u00f4ng th\u1ec3 xem l\u00e0 c\u00f3 hi\u1ec7u l\u1ef1c th\u1ef1c thi.<\/p>\n

Huy <\/em><\/strong><\/p>\n

(dc_huy56@yahoo.com)<\/em><\/p>\n

Lu\u1eadt Th\u01b0\u01a1ng m\u1ea1i quy \u0111\u1ecbnh, giao d\u1ecbch h\u00e0ng h\u00f3a th\u00f4ng qua S\u1edf giao d\u1ecbch h\u00e0ng h\u00f3a kh\u00f4ng b\u1ecb c\u1ea5m c\u00f9ng mua v\u00e0 b\u00e1n trong phi\u00ean. Trong Lu\u1eadt Ch\u1ee9ng kho\u00e1n, kh\u00f4ng c\u00f3 n\u1ed9i dung n\u00e0o c\u1ea5m N\u0110T c\u00f9ng mua v\u00e0 b\u00e1n m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n trong phi\u00ean. C\u00e1c quy \u0111\u1ecbnh ph\u00e1p l\u00fd hi\u1ec7n nay c\u0169ng kh\u00f4ng c\u00f3 m\u1ed9t ch\u1ebf t\u00e0i hay c\u0103n c\u1ee9 n\u00e0o \u0111\u1ec3 x\u1eed ph\u1ea1t N\u0110T \u0111\u1eb7t l\u1ec7nh mua v\u00e0 b\u00e1n c\u00f9ng m\u1ed9t lo\u1ea1i ch\u1ee9ng kho\u00e1n trong phi\u00ean. V\u1eady nh\u01b0ng, tr\u00ean th\u1ef1c t\u1ebf, S\u1edf l\u1ea1i c\u00f3 v\u0103n b\u1ea3n c\u1ea5m. Quy \u0111\u1ecbnh n\u00e0y t\u00e1c \u0111\u1ed9ng x\u1ea5u \u0111\u1ebfn cung – c\u1ea7u tr\u00ean th\u1ecb tr\u01b0\u1eddng, l\u00e0m sai l\u1ec7ch gi\u00e1 tr\u1ecb c\u1ee7a ch\u1ee9ng kho\u00e1n. H\u1ea1n ch\u1ebf quy\u1ec1n t\u1ef1 do b\u00e1n m\u1ed9t t\u00e0i s\u1ea3n \u0111\u00e3 thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a N\u0110T, theo t\u00f4i, \u0111\u00f3 l\u00e0 vi\u1ec7c l\u00e0m vi ph\u1ea1m ph\u00e1p lu\u1eadt. Mu\u1ed1n cho TTCK Vi\u1ec7t Nam h\u1ed9i nh\u1eadp v\u00e0 ph\u00e1t tri\u1ec3n, l\u00e0 n\u01a1i huy \u0111\u1ed9ng v\u1ed1n t\u1ed1t nh\u1ea5t cho n\u1ec1n kinh t\u1ebf th\u00ec b\u1ea3n th\u00e2n c\u01a1 quan qu\u1ea3n l\u00fd tr\u01b0\u1edbc h\u1ebft ph\u1ea3i ki\u1ec3m \u0111i\u1ec3m l\u1ea1i, ph\u1ea3i \u0111\u01b0\u1ee3c x\u1eed l\u00fd nghi\u00eam tr\u01b0\u1edbc ph\u00e1p lu\u1eadt n\u1ebfu c\u1ed1 t\u00ecnh l\u00e0m tr\u00e1i ph\u00e1p lu\u1eadt, b\u1ea5t k\u1ec3 l\u00fd do g\u00ec.<\/p>\n

Nguy\u1ec5n \u0110\u1ee9c Tu\u1ea5n <\/em><\/strong><\/p>\n

(Josepttuan yahoo@ mail.com)<\/em><\/p>\n

Cho ph\u00e9p hay kh\u00f4ng ch\u1eb3ng c\u00f3 gi\u00e1 tr\u1ecb, t\u1eeb l\u00e2u N\u0110T \u0111\u00e3 d\u00f9ng nhi\u1ec1u t\u00e0i kho\u1ea3n. C\u00e1c nh\u00e0 qu\u1ea3n l\u00fd n\u00f3i m\u00e3i v\u1ec1 vi\u1ec7c s\u1ebd cho ph\u00e9p th\u1ef1c hi\u1ec7n m\u1ed9t s\u1ed1 nghi\u1ec7p v\u1ee5 m\u1edbi, nh\u01b0 b\u00e1n ch\u1ee9ng kho\u00e1n ng\u00e0y T+2, m\u00e0 m\u00e3i ch\u1eb3ng th\u1ea5y. Ph\u1ea3i n\u00f3i th\u1eb3ng, c\u01a1 quan qu\u1ea3n l\u00fd TTCK y\u1ebfu qu\u00e1. N\u0110T \u0111ang tr\u00f4ng ch\u1edd v\u00e0o Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1eeda \u0111\u1ed5i.<\/p>\n

Hi\u1ebfu Ph\u1ea1m<\/em><\/strong><\/p>\n

\u00a0(hp0889@yahoo.com.vn)<\/em><\/p>\n

Th\u1eadt b\u1ea5t c\u00f4ng khi N\u0110T l\u1edbn \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng ph\u01b0\u01a1ng th\u1ee9c thanh to\u00e1n ch\u1ee9ng kho\u00e1n T+1 \u0111\u1ed1i v\u1edbi c\u00e1c giao d\u1ecbch th\u1ecfa thu\u1eadn t\u1eeb 100.000 c\u1ed5 phi\u1ebfu tr\u1edf l\u00ean, trong khi N\u0110T nh\u1ecf l\u1ebb ch\u1ecbu thi\u1ec7t v\u1edbi th\u1eddi h\u1ea1n T+4. Ti\u1ebfp sau ph\u1ea3n \u00e1nh v\u1ec1 vi\u1ec7c c\u1ea5m mua b\u00e1n ch\u1ee9ng kho\u00e1n trong phi\u00ean, \u0111\u1ec1 ngh\u1ecb B\u00e1o \u0110TCK vi\u1ebft m\u1ed9t lo\u1ea1i b\u00e0i v\u1ec1 nh\u1eefng b\u1ea5t c\u1eadp nh\u01b0 v\u1eady \u0111\u1ec3 l\u00e0m minh b\u1ea1ch h\u00f3a th\u1ecb tr\u01b0\u1eddng v\u00e0 \u0111em l\u1ea1i quy\u1ec1n l\u1ee3i cho N\u0110T nh\u1ecf l\u1ebb. L\u00e0nh m\u1ea1nh h\u00f3a th\u1ecb tr\u01b0\u1eddng l\u00e0 c\u00e1ch ph\u00e1t tri\u1ec3n TTCK l\u00e2u d\u00e0i v\u00e0 \u0111em l\u1ea1i l\u1ee3i \u00edch cho t\u1ea5t c\u1ea3 c\u00e1c b\u00ean.<\/p>\n

Cao T\u00f4n Ph\u01b0\u01a1ng<\/em><\/strong><\/p>\n

\u00a0(caotonphuong@yahoo.com)<\/em><\/p>\n

Vi\u1ec7c c\u1ea5m mua – b\u00e1n c\u00f9ng lo\u1ea1i ch\u1ee9ng kho\u00e1n trong m\u1ed9t phi\u00ean giao d\u1ecbch th\u00ec ai c\u0169ng bi\u1ebft. \u0110\u00e2y l\u00e0 m\u1ed9t ngh\u1ecbch l\u00fd, l\u00e0 \u0111i\u1ec1u vi ph\u1ea1m quy\u1ec1n t\u1ef1 do mua b\u00e1n c\u1ee7a c\u00f4ng d\u00e2n. Tuy nhi\u00ean, vi\u1ec7c n\u00e0y t\u1ed3n t\u1ea1i l\u00e2u r\u1ed3i. S\u1ebd c\u00f2n nhi\u1ec1u \u0111i\u1ec1u ngh\u1ecbch l\u00fd n\u1eefa n\u1ebfu nh\u01b0 c\u00e1c quan ch\u1ee9c \u0111i\u1ec1u h\u00e0nh ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam ch\u01b0a h\u1ecdc \u0111\u01b0\u1ee3c v\u0103n h\u00f3a t\u1eeb ch\u1ee9c c\u1ee7a c\u00e1c n\u01b0\u1edbc b\u1ea1n. N\u1ebfu kh\u00f4ng l\u00e0m \u0111\u01b0\u1ee3c \u0111i\u1ec1u c\u00f3 l\u1ee3i cho d\u00e2n, cho n\u01b0\u1edbc th\u00ec n\u00ean th\u1eb3ng th\u1eafn nh\u1eadn tr\u00e1ch nhi\u1ec7m v\u00e0 t\u1eeb ch\u1ee9c. \u0110\u00f3 l\u00e0 \u0111i\u1ec1u t\u00f4i mu\u1ed1n g\u1eedi g\u1eafm \u0111\u1ebfn nh\u1eefng nh\u00e0 ho\u1ea1ch \u0111\u1ecbnh ch\u00ednh s\u00e1ch v\u00e0 \u0111i\u1ec1u h\u00e0nh ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam.<\/p>\n

Di\u1ec7u Trang – B\u00ecnh Duy th\u1ef1c hi\u1ec7n<\/strong><\/p>\n

———————————————<\/p>\n

\u0110\u1ea7u t\u01b0 Ch\u1ee9ng kho\u00e1n 17-9-2010<\/em><\/strong>","protected":false},"excerpt":{"rendered":"

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