{"id":5643,"date":"2006-04-20T20:57:55","date_gmt":"2006-04-20T13:57:55","guid":{"rendered":"https:\/\/anvilaw.com\/vi\/?p=5643"},"modified":"2022-02-11T12:35:13","modified_gmt":"2022-02-11T05:35:13","slug":"72-quy-dinh-ve-co-dong-co-phan-co-phieu-va-von-dieu-le-cua-nhtmcp-cua-nha-nuoc-va-nhan-dan","status":"publish","type":"post","link":"https:\/\/anvilaw.com\/vi\/72-quy-dinh-ve-co-dong-co-phan-co-phieu-va-von-dieu-le-cua-nhtmcp-cua-nha-nuoc-va-nhan-dan\/","title":{"rendered":"72. Quy \u0111\u1ecbnh v\u1ec1 c\u1ed5 \u0111\u00f4ng, c\u1ed5 ph\u1ea7n, c\u1ed5 phi\u1ebfu v\u00e0 v\u1ed1n \u0111i\u1ec1u l\u1ec7 c\u1ee7a NHTMCP c\u1ee7a Nh\u00e0 n\u01b0\u1edbc v\u00e0 nh\u00e2n d\u00e2n."},"content":{"rendered":"(ANVI) – G\u00d3P \u00dd QUY \u0110\u1ecaNH V\u1ec0 T\u1ed4 CH\u00daC V\u00c0 HO\u1ea0T \u0110\u1ed8NG C\u1ee6A H\u0110QT, BKS, TG\u0110 NG\u00c2N H\u00c0NG TH\u01af\u01a0NG M\u1ea0I C\u1ed4 PH\u1ea6N C\u1ee6A NH\u00c0 N\u01af\u1edaC V\u00c0 NH\u00c2N D\u00c2N<\/strong><\/p>\n

Ban h\u00e0nh k\u00e8m theo Quy\u1ebft \u0111\u1ecbnh s\u1ed1 1087\/2001\/Q\u0110-NHNN ng\u00e0y 27\/08\/2001 c\u1ee7a Th\u1ed1ng \u0111\u1ed1c NHNN v\u00e0<\/p>\n

QUY \u0110\u1ecaNH V\u1ec0 C\u1ed4 \u0110\u00d4NG, C\u1ed4 PH\u1ea6N, C\u1ed4 PHI\u1ebeU V\u00c0 V\u1ed0N \u0110I\u1ec0U L\u1ec6 C\u1ee6A NG\u00c2N H\u00c0NG TH\u01af\u01a0NG M\u1ea0I C\u1ed4 PH\u1ea6N C\u1ee6A NH\u00c0 N\u01af\u1edaC V\u00c0 NH\u00c2N D\u00c2N<\/strong><\/p>\n

Ban h\u00e0nh k\u00e8m theo Quy\u1ebft \u0111\u1ecbnh s\u1ed1 1122\/2001\/Q\u0110-NHNN ng\u00e0a 04-9-2001, \u0111\u00e3 \u0111\u01b0\u1ee3c s\u1eeda \u0111\u1ed5i, b\u1ed5 sung theo Quy\u1ebft \u0111\u1ecbnh s\u1ed1 797\/2002\/Q\u0110-NHNN ng\u00e0y 29-7-2002 c\u1ee7a Th\u1ed1ng \u0111\u1ed1c NHNN<\/p>\n

 <\/p>\n

I\/ Chung<\/strong><\/p>\n

    \n
  1. C\u1ea7n \u0111\u1eb7t t\u00ean cho c\u00e1c \u0111i\u1ec1u kho\u1ea3n \u0111\u1ec3 d\u1ec5 theo d\u00f5i, vi\u1ec7n d\u1eabn v\u00e0 n\u00ean h\u1ec7 th\u1ed1ng c\u00e1c \u0111i\u1ec1u kho\u1ea3n theo nh\u00f3m \u0111\u1ec3 d\u1ec5 theo d\u00f5i, v\u00ed d\u1ee5: ph\u1ea7n \u0111\u1ecbnh ngh\u0129a, quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5, c\u00e1ch th\u1ee9c b\u1ea7u, b\u00e3i mi\u1ec5n, mi\u1ec5n nhi\u1ec7m c\u1ee7a m\u1ed9t ch\u1ee9c danh (Ch\u1ee7 t\u1ecbch H\u0110QT, Tr\u01b0\u1edfng ban Ki\u1ec3m so\u00e1t, T\u1ed5ng Gi\u00e1m \u0111\u1ed1c) n\u00ean quy \u0111\u1ecbnh t\u1eadp trung trong m\u1ed9t ch\u01b0\u01a1ng. M\u1ea1c d\u00f9 n\u1ed9i dung c\u00f3 th\u1ec3 d\u00e0i nh\u01b0ng d\u1ec5 n\u1eafm b\u1eaft h\u01a1n.<\/li>\n
  2. C\u1ea7n b\u00e1m s\u00e1t c\u00e1c quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt Doanh nghi\u1ec7p n\u0103m 2005 (thay cho Lu\u1eadt Doanh nghi\u1ec7p n\u0103m 1999). R\u1ea5t nhi\u1ec1u quy \u0111\u1ecbnh kh\u00f4ng c\u00f2n ph\u00f9 h\u1ee3p v\u1edbi Lu\u1eadt Doanh nghi\u1ec7p n\u0103m 1999 (s\u1eafp t\u1edbi l\u00e0 Lu\u1eadt Doanh nghi\u1ec7p n\u0103m 2005), c\u0169ng kh\u00f4ng tr\u00ean c\u01a1 s\u1edf Lu\u1eadt C\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng (nh\u01b0 c\u00e1c \u0111i\u1ec1u 4, 7 v\u00e0 10, 16,\u2026Quy \u0111\u1ecbnh 1122).<\/li>\n
  3. \u0110\u1ed3ng th\u1eddi c\u0169ng ph\u1ea3i thay \u0111\u1ed5i n\u1ed9i dung c\u1ee7a v\u1ec1 m\u1eabu \u0110i\u1ec1u l\u1ec7.<\/li>\n<\/ol>\n

    II\/ Quy \u0111\u1ecbnh 1087:<\/strong><\/p>\n

      \n
    1. \u0110i\u1ec1u 11, kho\u1ea3n 1: \u0110\u1ec1 ngh\u1ecb quy \u0111\u1ecbnh Ch\u1ee7 t\u1ecbch H\u0110QT ph\u1ea3i tri\u1ec7u t\u1eadp cu\u1ed9c h\u1ecdp theo c\u00e1c tr\u01b0\u1eddng h\u1ee3p quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m 1, kho\u1ea3n 4, \u0110i\u1ec1u 112 Lu\u1eadt Doanh nghi\u1ec7p, t\u0103ng th\u1ea9m quy\u1ec1n v\u00e0 t\u1ea1o s\u1ef1 ch\u1ee7 \u0111\u1ed9ng h\u01a1n cho T\u1ed5ng Gi\u00e1m \u0111\u1ed1c (Gi\u00e1m \u0111\u1ed1c);<\/li>\n
    2. \u0110i\u1ec1u 11, kho\u1ea3n 3: Quy \u0111\u1ecbnh r\u00f5 Ch\u1ee7 t\u1ecbch H\u0110QT ph\u1ea3i g\u1eedi th\u00f4ng b\u00e1o tri\u1ec7u t\u1eadp m\u1eddi h\u1ecdp v\u00e0 t\u00e0i li\u1ec7u k\u00e8m theo cho c\u1ea3 Ban Ki\u1ec3m so\u00e1t v\u00e0 T\u1ed5ng Gi\u00e1m \u0111\u1ed1c nh\u01b0 \u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean H\u0110QT v\u00ec Lu\u1eadt Doanh nghi\u1ec7p cho ph\u00e9p nh\u01b0 v\u1eady.<\/li>\n
    3. \u0110i\u1ec1u 9, kh\u00f4ng n\u00ean quy \u0111\u1ecbnh Ch\u1ee7 t\u1ecbch H\u0110QT l\u00e0 ng\u01b0\u1eddi \u0111\u1ea1i di\u1ec7n theo ph\u00e1p lu\u1eadt, m\u00e0 quy \u0111\u1ecbnh nh\u01b0 Lu\u1eadt Doanh nghi\u1ec7p l\u00e0 T\u1ed5ng Gi\u00e1m \u0111\u1ed1c l\u00e0 ng\u01b0\u1eddi \u0111\u1ea1i di\u1ec7n theo Ph\u00e1p lu\u1eadt c\u1ee7a Ng\u00e2n h\u00e0ng n\u1ebfu \u0110i\u1ec1u l\u1ec7 kh\u00f4ng quy \u0111\u1ecbnh kh\u00e1c. Quy \u0111\u1ecbnh hi\u1ec7n nay tr\u00e1i v\u1edbi kho\u1ea3n 1, \u0110i\u1ec1u 31, Ngh\u1ecb \u0111\u1ecbnh s\u1ed1 146\/2005\/N\u0110-CP ng\u00e0y 23-11-2005 c\u1ee7a Ch\u00ednh ph\u1ee7 v\u1ec1 Ch\u1ebf \u0111\u1ed9 t\u00e0i ch\u00ednh \u0111\u1ed1i v\u1edbi c\u00e1c t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng (tr\u01b0\u1edbc \u0111\u00e2y l\u00e0 Ngh\u1ecb \u0111\u1ecbnh s\u1ed1 166\/1999).<\/li>\n
    4. Kho\u1ea3n 2, \u0110i\u1ec1u 10 v\u1ec1 Nhi\u1ec7m k\u1ef3 c\u1ee7a th\u00e0nh vi\u00ean H\u0110QT, n\u00ean quy \u0111\u1ecbnh theo h\u01b0\u1edbng thay \u0111\u1ed5i \u00bd s\u1ed1 th\u00e0nh vi\u00ean i\u1eefa nhi\u1ec7m k\u1ef3 \u0111\u1ec3 b\u1ea3o \u0111\u1ea3m t\u00ednh \u1ed5n \u0111\u1ecbnh v\u00e0 k\u1ebf th\u1eeba li\u00ean t\u1ee5c.<\/li>\n
    5. Kho\u1ea3n 4, \u0110i\u1ec1u 10 c\u1ea7n quy \u0111\u1ecbnh \u201cth\u00e0nh vi\u00ean H\u0110QT kh\u00f4ng \u0111\u01b0\u1ee3c u\u1ef7 quy\u1ec1n cho nh\u1eefng ng\u01b0\u1eddi kh\u00f4ng ph\u1ea3i l\u00e0 th\u00e0nh vi\u00ean H\u0110QT th\u1ef1c hi\u1ec7n nhi\u1ec7m v\u1ee5, quy\u1ec1n h\u1ea1n c\u1ee7a m\u00ecnh\u201d. Tuy nhi\u00ean c\u1ea7n ch\u1ec9 r\u00f5 \u0111\u01b0\u1ee3c u\u1ef7 quy\u1ec1n \u0111\u1ec3 l\u00e0m nh\u1eefng c\u00f4ng vi\u1ec7c kh\u00e1c trong ng\u00e2n h\u00e0ng kh\u00f4ng ph\u1ea3i l\u00e0 lo\u1ea1i vi\u1ec7c ch\u1ec9 thu\u1ed9c v\u1ec1 th\u00e0nh vi\u00ean H\u0110QT.<\/li>\n<\/ol>\n

      III\/Quy \u0111\u1ecbnh 1122:<\/strong><\/p>\n

        \n
      1. \u0110i\u1ec1u 2: Kh\u00f4ng n\u00ean \u0111\u1ecbnh ngh\u0129a v\u00e0 nh\u1eafc l\u1ea1i nh\u1eefng v\u1ea5n \u0111\u1ec1 \u0111\u00e3 \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh r\u00f5 trong Lu\u1eadt Doanh nghi\u1ec7p nh\u01b0: V\u1ed1n ph\u00e1p \u0111\u1ecbnh, V\u1ed1n \u0111i\u1ec1u l\u1ec7, C\u1ed5 ph\u1ea7n, c\u1ed5 phi\u1ebfu, c\u1ed5 \u0111\u00f4ng, \u0110\u1ea1i h\u1ed9i \u0111\u1ed3ng c\u1ed5 \u0111\u00f4ng,\u2026.<\/li>\n
      2. Kh\u00f4ng n\u00ean quy \u0111\u1ecbnh th\u00e0nh 3 ch\u01b0\u01a1ng (quy \u0111\u1ecbnh chung, quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 v\u00e0 \u0111i\u1ec1u kho\u1ea3n thi h\u00e0nh), v\u00ec kh\u00f4ng c\u00f3 \u00fd ngh\u0129a t\u00e1c d\u1ee5ng g\u00ec. N\u1ebfu chia th\u00e0nh ch\u01b0\u01a1ng th\u00ec \u00edt nh\u1ea5t ph\u1ea3i th\u00e0nh 4 ch\u01b0\u01a1ng (m\u1ed7i M\u1ee5c c\u1ee7a Ch\u01b0\u01a1ng II s\u1ebd tr\u1edf th\u00e0nh 1 Ch\u01b0\u01a1ng).<\/li>\n
      3. Kho\u1ea3n 5, \u0110i\u1ec1u 9 quy \u0111\u1ecbnh C\u1ed5 \u0111\u00f4ng \u201cKh\u00f4ng \u0111\u01b0\u1ee3c r\u00fat v\u1ed1n c\u1ed5 ph\u1ea7n d\u01b0\u1edbi b\u1ea5t c\u1ee9 h\u00ecnh th\u1ee9c n\u00e0o\u201d l\u00e0 m\u00e2u thu\u1eabn v\u1edbi quy \u0111\u1ecbnh c\u1ed5 \u0111\u00f4ng \u0111\u01b0\u1ee3c t\u1ef1 do chuy\u1ec3n nh\u01b0\u1ee3ng c\u1ed5 ph\u1ea7n c\u1ee7a Lu\u1eadt.<\/li>\n
      4. B\u1ecf quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1, \u0110i\u1ec1u 14 \u201cT\u1ed5ng m\u1ee9c chuy\u1ec3n nh\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu c\u00f3 ghi t\u00ean (k\u1ec3 t\u1eeb l\u1ea7n chuy\u1ec3n nh\u01b0\u1ee3ng g\u1ea7n nh\u1ea5t \u0111\u01b0\u1ee3c \u0111\u0103ng k\u00fd t\u1ea1i Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc) v\u01b0\u1ee3t qu\u00e1 20% v\u1ed1n \u0111i\u1ec1u l\u1ec7 ph\u1ea3i \u0111\u01b0\u1ee3c Ng\u00e2n h\u00e0ng Nh\u00e0 n\u01b0\u1edbc ch\u1ea5p thu\u1eadn\u201d.<\/li>\n
      5. Kho\u1ea3n 2.2, \u0110i\u1ec1u 22, c\u1ea7n b\u1ecf kh\u00e1i ni\u1ec7m ph\u00e2n bi\u1ec7t gi\u1eefa \u201c\u0110\u1ea1i h\u1ed9i \u0111\u1ed3ng c\u1ed5 \u0111\u00f4ng b\u1ea5t th\u01b0\u1eddng\u201d v\u00e0 \u201c\u0110\u1ea1i h\u1ed9i \u0111\u1ed3ng c\u1ed5 \u0111\u00f4ng th\u01b0\u1eddng ni\u00ean\u201d, v\u00ec Lu\u1eadt Doanh nghi\u1ec7p kh\u00f4ng ph\u00e2n bi\u1ec7t th\u1ee7 t\u1ee5c, \u00fd ngh\u0129a c\u1ee7a c\u00e1c cu\u1ed9c h\u1ecdp n\u00e0y.<\/li>\n
      6. \u0110i\u1ec1u 27, v\u1ec1 nhi\u1ec7m v\u1ee5, quy\u1ec1n h\u1ea1n c\u1ee7a \u0110\u1ea1i h\u1ed9i \u0111\u1ed3ng c\u1ed5 \u0111\u00f4ng c\u00f2n m\u1ed9t s\u1ed1 n\u1ed9i dung ch\u01b0a r\u00f5 ho\u1eb7c c\u1ea7n giao cho H\u0110QT, nh\u01b0: Quy\u1ebft \u0111\u1ecbnh Quy ch\u1ebf nh\u00e2n vi\u00ean; Quy\u1ebft \u0111\u1ecbnh \u0111\u1ec1 \u00e1n ho\u1ea1t \u0111\u1ed9ng \u0111\u1ed1i ngo\u1ea1i; Quy\u1ebft \u0111\u1ecbnh ph\u01b0\u01a1ng \u00e1n x\u00e2y d\u1ef1ng c\u01a1 s\u1edf v\u1eadt ch\u1ea5t v\u00e0 trang b\u1ecb k\u1ef9 thu\u1eadt; Th\u00f4ng qua ph\u01b0\u01a1ng \u00e1n g\u00f3p v\u1ed1n, mua c\u1ed5 ph\u1ea7n c\u1ee7a doanh nghi\u1ec7p, T\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng kh\u00e1c;<\/li>\n<\/ol>\n

        \u2014\u2014\u2014\u2014\u2014\u2014\u2014\u2014\u2014\u2013<\/em><\/p>\n

        B\u00e0i \u0111\u01b0\u1ee3c l\u01b0u \u1edf \u0111\u00e2y:<\/em><\/strong><\/p>\n

        \u0110C:\u00a0<\/em>C\u00f4ng ty Lu\u1eadt\u00a0<\/em>ANVI, t\u1ea7ng 2, T\u00f2a nh\u00e0 Savina, s\u1ed1 1 \u0110inh L\u1ec5, ph\u1ed1 Tr\u00e0ng Ti\u1ec1n, qu\u1eadn Ho\u00e0n Ki\u1ebfm,\u00a0<\/em>HN<\/em><\/p>\n

        FB: Tr\u01b0\u01a1ng Thanh \u0110\u1ee9c (www.facebook.com\/LSTruongThanhDuc)<\/em><\/p>\n

        E-mail: duc.tt\u00a0@anvilaw.com<\/em><\/p>\n

        Web: www.anvilaw.com<\/em><\/p>\n

        \u0110T: 090.345.9070<\/em>","protected":false},"excerpt":{"rendered":"

        (ANVI) – G\u00d3P \u00dd QUY \u0110\u1ecaNH V\u1ec0 T\u1ed4 CH\u00daC V\u00c0 HO\u1ea0T \u0110\u1ed8NG C\u1ee6A H\u0110QT, BKS, TG\u0110 NG\u00c2N H\u00c0NG TH\u01af\u01a0NG M\u1ea0I C\u1ed4 PH\u1ea6N C\u1ee6A NH\u00c0 N\u01af\u1edaC V\u00c0 NH\u00c2N D\u00c2N Ban h\u00e0nh k\u00e8m theo Quy\u1ebft \u0111\u1ecbnh s\u1ed1 1087\/2001\/Q\u0110-NHNN ng\u00e0y 27\/08\/2001 c\u1ee7a Th\u1ed1ng \u0111\u1ed1c NHNN v\u00e0 QUY \u0110\u1ecaNH V\u1ec0 C\u1ed4 \u0110\u00d4NG, C\u1ed4 PH\u1ea6N, C\u1ed4 PHI\u1ebeU V\u00c0 V\u1ed0N \u0110I\u1ec0U […]<\/p>\n","protected":false},"author":7,"featured_media":5644,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[18,26],"tags":[],"class_list":["post-5643","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-bao-chi-phong-van","category-legal-media"],"acf":[],"yoast_head":"\n72. Quy \u0111\u1ecbnh v\u1ec1 c\u1ed5 \u0111\u00f4ng, c\u1ed5 ph\u1ea7n, c\u1ed5 phi\u1ebfu v\u00e0 v\u1ed1n \u0111i\u1ec1u l\u1ec7 c\u1ee7a NHTMCP c\u1ee7a Nh\u00e0 n\u01b0\u1edbc v\u00e0 nh\u00e2n d\u00e2n. - 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\/vi\/72-quy-dinh-ve-co-dong-co-phan-co-phieu-va-von-dieu-le-cua-nhtmcp-cua-nha-nuoc-va-nhan-dan\/\" \/>\n<meta property=\"og:locale\" content=\"vi_VN\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"[:vi]72. 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