TAI CHfNH DOANH NGHIEP ( Sg09 (122)-2013 )
Van de noi com trong cong tdc giam sat cua Sd Giao dich chung khoan hien nay
Can c6 vao Quy^t dinh s6 127/2008/QD-BTC ngiy 31/12/
2008 cua BO TO chinh \k vice ban hanh Quy che giam sat giao dich CK Iren TTCK vd quy che ph6i hpp giua cdc don vi thuOc UBCKNN vcri SGDCK trong vi§c giam sat vi xii 1^ vi ph^m cua cac td chlic, cd nhan tren TTCK ban hanh kem theo Quy8t djnh s6 689/QB-UBCK ngdy 31/8/2012 ciSa Chu tjch UBCKNN, SGDCK chju trdch nhi^m gidm sdt tryc t i ^ ddi v6i ho^t dgng cua ib churc niem y6t, ddng k^ giao djch, c6ug ty chijtng khodn thdnh vien, cdng ty qudn ly quy ni&n yet, quy diu tu chimg khodn d^g d6ng vd nhd ddu tu, nhimg trong ph^m vi bdi viet chi 6k cdp den tinh hinh gidm sdt thdnh vien giao djch vd td chuc nidm y^t, ddng k^ giao dich cua cdc SGDCK.
Ve gidm sdt dot v(h thdnh viSn giao d}ch
Vi^ qudn ly va gidm sdt ddi vdi thanh vien giao djch cua cdc SGDCK dugc thuc hi$n trgn cdc mjt:
- Gidm sdt chip thudn vd huy bo tu cdch thdnh vidn. Tinh d6nh6tthdngl2/2010,SGDCK TP. nb Chi Minh cd 102 thdnh vidn, trong dd co 3 thdnh vien mdi dugc chip thu$n trong ndm, 2/3 cdng ty npp hd so tii ndm 2009; SGDCK Hd N§i co
* Hfc vi$n Tai chinh
102 thdnh vien, trong dd cd 4 thdnh vidn dugc chap thudn trong ndm, 91 cdng ty chiing khodn d6ng thdi Id thdnh vien ciia thi tnidng UPCOM vd 42 cdng ty chiing khodn dong thdi Id thdnh vidn thi trudng trdi phieu nam 2010. So vdi ndm 2009, tiii SGDCK Hd Ngi tdng thdm 23 thdnh vien d cd 3 thi trudng, t?i SGDCK TP. H6 Chi Minh tang them 3 thdnh vidn.
Nhung tinh ddn ngdy 31/12/2012, t»i SGDCK TP. Hd Chi Minh chl cdn cd 98 thdnh vien vd SGDCK Hd N^i cung con 98 thdnh vidn Id do trong ndm 2012 cd hai SGDCK cd 4 thdnh vidn bi huy bd tu cdch thdnh vien. Nhu vdy, ndu so ndm 2012 vdi ndm 2011 thl t«i 3 sdn giao dich chiing khodn Hd N$i tdng thdm 2 thdnh vien d cd 3 thi tnidng trong dd thi trudng niem ydt gidm 4 thdnh vidn, thi trudng UPCOM gidm 3 thdnh vidn nhung thi trudng trdi phiiu l?i tdng them 9 thdnh vidn, cdn t?i SGDCK TR Hd Chi Minh gidm 4 thdnh vidn.
- Gidm sdt d^i di$n giao dich cia thdnh vidn. Trong ndm 2010, cdc SGDCK dd cip thd dji dijn giao dich: Ddi vdi SGDCK TP. nh Chl Minh dd cip 95 thd mdi, thu hhi 7 thd, con ddi vdi SGDCK Hd Ndi dd cip cho 124 thd d^i di$n giao
PGS.TS.Hoing Vdn Qujuh*
dich, thu hM 77 thd vd gia h p cho 196 thd d^i di$n giao dich.
Nhung ndu so vdi ndm 2009 tbi ndm 2010, 56 thd d^i di$n giao dich c4a SGDCK TR flo Chi Minh tdng them 88 the, SGDCK Hd NOi dS tdng thdm 47 thd.
Trong ndm 2011, SGDCK TR Ho Chi Minh da thu h^i 14 thd, gia hjm vd cip 1^ 87 thd, t6ng s6 thd tinh ddn 31/12/2011 Id 409 thd, tdng 73 thd so vdi ndm 2010; SGDCK Hd N$i dd cip mdi 46 the, thu hoi 71 thd vd gia h ^ , cip l^i 175 thd, tdng sd thd tinh din 31/12/2011 Id 777 thd, gidm 25 thd so vdi ndm 2010.
Trong ndm 2012, SGDCK TP.
Hd Chi Minh dd thu hdi 13 thd, gia hjin va cip I^i 83 thd, tdng s6 thd tinh ddn 31/12/2012 Id 479 thd, tdng 70 thd so vdi ndm 2010; SGDCK Hd Ngi dd cip mdi96the,thuhdi84thdvdgi8 h ^ , cip 1^1154 thd, tdng so thd tinh din 31/12/2012 Id 789 thd, tdng 12 thd so vdi ndm 2011.
Cdc trudng hgp hi thu h6i thd neu trdn chii yiu Id do dd xdy ra nhiiu loi vi ph^im trong qud trinh nhdp l^nh, chuydn l$nh vdo h$ thing giao dich vd vi ph^m quy dinh vi dai di§n sdn. Cdn dii vdi cdc trudng hgp dugc gia h ^ thd chu yeu Id do chOmg chi hdnh nghe dd qud b ^ vd dang tiong qud trinh b i sung chiing chi hdnh nghd.
^y Tap chi nghiin cvfu Tdi chinh \i6 toin
(^ SS 09 (122)-2013 ) TAI CHfNH DOANH NGHIEP - Kit qud gidm sdt vd xd I^
vi p h ^ ddi vdi tbdnh vi6n cCia cdc SGDCK.
s l lugt tbdnh vien vi pham vd xii ly vi pb^m doi vdi thanh vien, d^i di$n giao dfeh t^i 2 SGDCK til ndm 2010 din 2012 d bdng sau:
Ndm 2012, cd hai SGDCK ciing cd 984 lugt thanh viSn vi ph^m vd dd xOr 1^ 154 trudng hgp vi pb^m ddi vdi cdc cdng t^
chiing khodn vd d^ di$n giao dich theo quy chl thdnh vien eua SGDCK. Hhih tbiie xu \f cdc bdnh vi vi ph^m nSu tren la cdnh Bdng: Thing k@ vi ph^m, xir 1^ vi ph^m ciia thdnh viSn vk
d9i di^n giao dich t^i 2 SGDCK
Tlli
HSX HNX TP Tang
Nim 2010 S6tu9t vipham CBTT
36 3S
74 Bio
60 148 435 643
Xftl^vipti^m
viSn 30 70
100 SDGD
3 10
83
NSm 2011 Sdlii9t v i p h ^ CBTT
32 112 31 175
Bio cio 90 274 457 821
Xiily vipham H i n h
vien 122 2(
16 164
DD GD 14 3
14
N i n 2012 Sdlutrt vipham CBTT
11 138 23 343
Bio cio 50 393 198 641
X i l y vi p h ^ Hiinh
vi!n 77 56 14 147
DD GD 3 4
7
Trong ndm 2010, cd hai SGDCK da xii ly vi ph»m ddi vdi 100 cdng ty chiing khodn trong dd: tai SGDCK TR Hd Chi Minh cd 30 trudng hgp vi p h ^ cua thdnh vidn vd 3 ttudng hgp vi ph^m cua d^i didn giao dich; t»i SHOCK Hd NOi cd 70 trudng hgp vi ph^m cua thdnh vien vd 80 trudng hgp vi ph^m cua d^ii di?n giao dich vd ndng tdng sd cdc trudng hgp xii ly vi phjm trong ndm 2010 ldn Id 183 trudng hgp. Cdc trudng hgp hi xii 1]^ vi pham trong ndm 2010, chd yiu Id do buy l^nh trong ciing dgt khdp I$nh dinh ky vd giii l$nh khdng hgp 1§.
Ndm 2011, t?i hai SGDCK cd tdi 996 lu0 thdnh vidn vi ph?m che dO bdo edo, cdng bo thdng tin vd dd xii ly 178 trudng hgp vi ph^m doi vdi cdc cdng ty chiing khodn vd d^i di§n giao dich.
edo, nhdc nhd ddi vdi cdc thdnh vien vi ph^m lin dau, ngdt kit nii 3 thdng doi vdi cdc thdnh vidn vi ph^m nhieu ldn.
v i gidm sdt dii vdi t i chiic niem yit, ddng k^ giao dfch
Cong tdc gidm sdt dii vdi cdc td chlic nidm yit vd ddng Ic^
giao dich dugc thuc hidn trdn cdc ngi dung;
- Gidm sdt chip thudn, buy bd niem yit. Doi vdi SGDCK TP. Hd Chi Minh: Theo sd li^u thing kd cho thiy ndm 2010, Sd dd chip thudn nidm yet mdi cbo 82 cdng ty vdi 2.379.916.800 ci phiiu, tri gii hon 23.799 tJ ding. Trong ndm 2010, cd 149 , lan cdc cdng ty ddng ky nidm yet
bd sung tuong umg vdi 2.706.760.537 cd pbidu, tri gid hon 27.067 ti ding, dua khii lugng cd phiiu niem ydt cuii ndm len 17.594.907.158 co phieu, tdng 39,5% so vdi cuoi
ndm 2009. Trong ndm 2010, cd 2 cdng ty huj nidm ydt Id HT2, NKD vdi tong si cd phidu hujt niem yet Id 103.124.213 ci phiiu; Ndm 2011, Sd dd chip thudn niem yet mdi 1.318.761.861 cd phiiu, chip thudn niem yit bd sung 2.027.713.383 cd phieu, huy nidm yit 35,316.292 ci phiiu, ndng khii lugng cd phiiu nidm yit cuii ndm 2011 ldn 20.906.066.110 cd phiiu, tdng 18,8% so vdi ndm 2010; Ndm 2012 chip thudn niem yet mdi 2.124.384.685 cd phiiu, chip thudn niem yit bd sung 2.350.037.253 ci phieu, huS' nidm ydt 105.898.400 ci phiiu, ndng khii lugng co phieu nidm yit cudi ndm 2012 ldn 25.274.589.648 cd phiiu, tdng 20,9% so vdi ndm 2011.
Doi vdi SGDCK Hd NOi:
ndm 2010, Sd dd chip thudn niem yit mdi Uen 1.864.836.659 CO phieu, hu^ nidm yet tren 38.465.713 ci phiiu vd chip thudn niem yit bd sung Id 1.224.406.896 cd phieu, dua ting khii lugng cd phidu nidm yet ndm 2010 ldn 5.041.582.881 ci phiiu, tdng gan 153% so vdi cudi ndm 2009; Ndm 2011, Sd dd chip thudn nidm yit mdi 802.274.193 cd phiiu, buy nidm yit 125.254.479 cd phieu vd chip thudn niem yet bo sung 1.238.389.841 ci phiiu, dua ting khdi lugng nidm yit cuii ndm 2011 ldn 7.778.918.415 ci phiiu, tdng hem 54% so vdi ndm 2010; Ndm 2012 chip thudn niem ydt mdi 171.996.398 ci phiiu, chip thudn nidm yit bi sung 984.456.929 cd phiiu, hujt
Tap chi nghi§n citu Tai chinh \L6 toan o 9
TAI CHI'NH DOANH NGHIEP ( So 09 (122)-2013 )
niem yet 545.623.424 cl philu, dua khdi lugng cd philu niem ylt cudi nam 2012 len 8.389.748.318 cl philu, tdng 7,9% so vdi ndm 2011.
Nlu tinh chung cd 2 SGDCK, quy md niSm ylt cd philu ngay edng gia tang: Ndm 2010 Id 22.636.490.039 cl philu, ndm 2011 Id 28.684.984.525 cl philu va ndm 2012 Id 33.664.337.966 ed philu, nhung sl lugng ed phieu khdng ddm bdo tigu chudn niem ylt phdi hu^ niSm yet ciing ngay cdng nhilu nhu ndm 2010 sd lugng cd philu buj' niSm ylt cd hai SGDCK la 141.589.926 ed philu, ndm 2011 la 160.570.771 cl philu vd ndm 2012 Id 651.521.824 cl philu, cbii ylu la do cac cl pbilu ctia nbChig cdng ty thua Id keo ddi.
- Ket qud gidm sdt va xii Iy vi pb^m che do bdo eao va cdng bo thdng tin ddi vdi t l chxtc niem ylt, ddng k^ giao djch.
Nam 2010, t^i SGDCK TP. Hd Cbi Minh cd 58 tl cbiic niSm ylt vi pbam vi^c cdng bd thdng tin vd 194 tl chiic niem ylt vi pb^m chl dg bao edo, dua tong sd trudng bgp vi ph^m vl chl do bao edo ciia cdc tl cbiic niem ylt tai SGDCK TP. Hd Chi Mmh ea nam 2010 len 252 hudng bgp.
Tgi SGDCK Ha NOi cd 882 lugt td chlic ni6m yet vi phgm cdng bd thdng tm vd 493 lugt tl cbiic niem yet vi pham chl dO bao cao, dua ting sl lugt cac tl cbiie niem ylt vi pham tgi SGDCK Ha Npi nam 2010 Id 1.375 lugt hudng bgp vi phgm, cbilm gdn 85% tdng so vi phgm tren cd hai SGDCK ndm 2010. Trong ndm
2010, dd xu Iy 56 td chux; ni€m ylt vi phgm chl dp bdo cao va cdng bd tbdng tin, trong dd:
SGDCK TR Hd Chi Mmh Id 16 tl chlic, SGDCK Hd N0i Id 40 t l churc vd ciing dd xii ly 703 trudng hgp vi phgm ciia cl ddng ldn, co ddng n$i bp vd^
ngudi lien quan, trong dd SGDCK TP. Hd Chl Mmh la 226 trudng hgp, SGDCK Ha Ngi Id 477 trudng hgp.
Trong ndm 2011, tgi 2 SGDCK ed tdi 3.102 lugt to chlic nidm ylt vi phgm chl dg bao edo vd cdng bd thdng tin, tdng bon 90% so vdi ndm 2010, trong dd tgi SGDCK TR Hd Chi Mmh Id 725, tgi SGDCK Ha NOi Id 2.377 lugt tl chiic niem ylt vi pham. Ddng thdi trong ndm 2011, cac SGDCK dd xii 1^
736 tnidng hgp vi phgm, trong dd cd 83 trudng bgp vi phgm cita td chlic niem ylt, 653 trudng hgp vi pham eiia ed ddng ldn, CO ddng n^i bO vd ngudi lien quan.
Trong ndm 2012, tgi 2 SGDCK dd ed 1.865 lugt td chlic niSm ylt vi phgm chl dO bao edo vd cdng bl tbdng tin, trong dd SGDCK TP. Hd Chi Mmh Id 483 vd SGDCK Ha NOi Id 1.382 lugt td chuc niSm yet vi phgm vd da xii ly 616 trudng hop vi phgm, trong do 77 trudng hgp vi pham cda td cbiie niSm yet vd 539 trudng hgp vi phgm ciia cd ddng ldn, cd ddng nOi bg va ngudi lien quan. Ngoai nh&ng vi phgm vl che dg bdo cao vd cdng bo tbdng tm ciia cdc tbanb vi€n giao dich, cua cdc td chiic niem ylt, trong ndm 2012 tren TTCK Vi?t Nam cdn nay sinh
hdnh vi vi phgm ciing mua ciing bdn mOt logi chumg khodn trong phiSn giao dich Id khd phi biln vd cd tdi 11.965 trudng hgp vi phgm hdnh vi nay. Chinb hdnh vi ciing mua ciing bdn mOt logi chumg khodn trong phiSn giao
^djcb dang gay ra nhiing rui ro tiem tdng ve tinh thanh khodn, thih mmh bgch vd sg bit ^n djnh cda tbi trudng chiing khodn.
Cdc trudng hgp bj xii ly vi phgm trong nbCbig ndm viia qua, phdn ldn Id hanh vi vi phgm che do bdo cao va edng bd tbdng tin ciia eac thdnh vi€n, cac tl chiic ni8m yet va ciia cd ddng ldn, co ddng ngi bp va ngudi lien quan.
Cdc hinh tbuic xii If vi phgm chd ylu la nhdc nhd, cdnh edo, tgm ngung giao djch va phgt hanh cbinh. Trong ndm 2012, UBCKNN da tiln hanh xii phgt hdnh chinh 56 trudng bgp vi phgm chl dg bdo cao vd cdng bl thdng tin. Nam 2012 la 64 trudng bgp, tdng 8 trudng hgp, tucmg ducmg 14% so vdi ndm 2011.
Tii th\ic trgng ciia cdng tdc gidm sat va xu \f vi phgm dii vdi cdc thdnh vien giao dich vd td chue niem ylt trfin 2 SGDCK trong nhQng ndm qua, cbo thay:
M$t id, tinh trgng vi phgm che dg bdo cao vd cdng bl thdng tin cua cac tbanb vien giao djch tgi 2 SGDCK hong nhihig ndm qua khdng nhiing la khd phi biln md cdn tdi diln vi phgm trdn Ian, dang gdy mdt nilm tin cOa nhd dku ta dii vdi thj trudng nbu: Ndm 2010 Id 717 lugt, ndm 2011 Id 996 lugt vd ndm 2012 Id 820 lugt thanh vien vi phgm,
Tap clii ngliidn ciifu Tai chinli ic^ todn
(^ So 09 (122)-2013 ^ TAI CHINH DOANH NGHIEP
binh qudn mOt tbanb vien trln mdi sd giao dich chiing khoan hong ndm 2010 vi phgm 3,5 Idn;
ndm 2011 la 4,9 lin vd ndm 2012 Id 4 ldn vi phsun; nam 2010, cdng ty chiing khodn Bdo Vi^t vi pham quy che cdng bo thdng tin 3 ldn va vi phgm che dO bdo cao 7 Ian; edng ty cbiing khoan Sai Gdn, edng ty cbiing khodn pho Wall va cdng ty ehiing khoan Kim Eng VN vi pham ebl do bao edo 5 Idn; cdng ty chiing khoan Mekong, cdng ty cbiing khodn Dau Khi, cdng ty cbiing khodn An Thanh vd cdng ty chiing khodn Trudng Son vi pbam chl dO bdo edo 4 ldn; cdng ty cbiing khodn Sacombank vi pbam chl dO bao cao 23 ldn v.v...
Hai Id, sd lugng ede thdnh vien vi phgm qud nhieu nhung s l vu vifc bj xii \f vi phgm Igi qua it, cbilm ty 1? nhd so vdi tdng s l trudng bgp vi phgm. Cy thl: nam 2010, ty l? xd ly vi phgm eiia eac thdnh vien chi ehilm 13,9%, ndm 20II cbilm 16,5% va ndm 2012 ehilm 17,9% tren tdng sd vy vifc vi phgm trong ndm.
Ba Id, hanh vi vi phgm chg dg bao cao vd edng bd tbdng tin giao dich ciia c l ddng ldn, cd ddng ngi bg vd ngudi lien quan diln ra tbudng xuyen va phd biln nhu: ndm 2010 da xd ly 703 trudng bgp, ndm 2011 Id 653 hudng bgp vanam 2012 xii ly 539 hudng bgp vi phgm eua cd ddng ldn, c l ddng nOi bO vd ngudi cd liln quan, hong dd chu yeu la hanb vi vi phgm chl dO cdng b l tbdng tm cbilm tdi 90%
tdng s l vi phgm bj xii 1^ doi vdi
cae e l ddng Idn, cd ddng nOi bO va ngudi cd liSn quan.
Bon Id, blnh thuc xii Iy vi phgm doi vdi cac tbanb vi@n, cdc to chlic niem ylt, cdc cd ddng ldn, cd ddng ngi bO vd ngudi Ii€n quan qua nh$ vd khdng phii bgp dan den khdng dii siic ran de. Cdc binh thuc xir \f vi pbgra bifn nay eua cae SGDCK cbii ygu Id nhdc nhd, cdnh edo, tgm ngdng giao d)eb, chi tru trudng bgp cdc tbdnh vien, cdc td chue nigm ygt, cdc cd ddng ldn eo tinh vi phgm tin UBCKNN mdi xii phgt bdnh chinh theo ludt dinh, cytbenbundm201I edtdi 3.102 lugt t l cbiie nigm ylt, c l ddng ldn vi phgm, nhung cbi xii ly 736 trudng hgp vi phgm trong dd chi ed 56 hudng bgp xii phgt hdnh cbinb cdn Igi 680 trudng hgp Id nhdc nhd, cdnh cao vd edn 2.366 trudng bgp cd vi phgm khdng bi xii Iy vi phgm, tuong b ; ndm 2012 cd 1.865 lugt vi phgm nhung cbi cd 616 trudng bgp xit ly vi phgm trong dd cd 64 trudng bgp xii I;^ vi phgm hdnh chinb va 552 trudng bgp xii ly vi phgm bdng blnh tbiic nhdc nhd cdnh edo vd cdn 1.249 lugt vi phgm nhung khdng bi xii \f vi phgm, dieu nay dang Id 16 hdng de cdc thdnh vign ciia Sd, cdc t l chtic niem ylt, c l ddng ldn, e l ddng nOi bg lgm dyng c l tmb vi phgm vd ciing la vdn d l bdt cap, bdi dd khdng dinh cd vi phgm tbi phdi cd binh tinic xut ly vi phgm theo miic dg vi phgm.
Xudt phat td nhiing vdn de dang ndi cgm neu trgn, chdng tdi cho rdng: Cdn phdi cd sg tdng cudng va ndng cao bifu lyc
cdng tac gidm sdt ciia cdc SGDCK va cd thl tiiyc bifn cdc gidi phdp sau:
M§t Id, cdn cd co chl cbo p h ^ ede SGDCK ehii dOng dp dyng nhiing bifn phdp, e b l tai xii phgt nghigm kbdc d i i vdi cac hanh vi vi pham ctia cdc t l ebdc, eac cd nhdn tren thi trudng cbiing khoan, dgc bift Id nhQng vi phgm cua cdc tbdnh vign thi trudng, cua c l ddng ldn, cd ddng ndi bO va ed the duge tbyc bifn theo budng da cd vi phgm phdi cd binh tbiic xii I^ vi phgm theo mue dg vi phgm. Hinh thiic xii ly vi phgm phdi dii siic rdn de. Cd nhu vdy, mdi tranh dugc tinh trgng "dua nhau" vi phgm, tdi vi phgm han Ian nhu bifn nay vd mdi tgo duge nilm tm cbo ede nhd ddu tu trgn tbi trudng.
Hai Id, cdc SGDCK cdn phdi thyc hifn mOt each quylt lift vd trift de trong vifc xii ly ede tbdnh vign ciia Sd, cdc cdng ty nigm ylt, eac c l ddng ldn, eac ed ddng ngi bO vi phgm chg dO bdo edo vd vi phgm quy djnh cdng b l thdng tin bdng vifc su dyng ede bifn phdp xur Iy vi phgm mOt cdch trift de vd nghigm kbdc, nhdm dam bdo tinh tudn tbii, ngan ngiia vi phgm vd tdi phgm.
Ba Id, ede SGDCK cdn tdng cudng edng tac giam sat vifc cdng bo thdng tin eiia cdc edng ty chung khodn thanh vign, cdc td chlic niem yet dam bao tinh edng bdng, cdng kbai, minh bgch hen TTCK. Ddng tiidi chu dgng phdi hgp vdi cdc vy thuOc UBCKNN nbu vy gidm sdt, vy phdt triln tbi trudng, tbanb ha
Tap clii nghidn cuTu Tai chinh Ic^ toan ^ p
TAI CHINH DOANH NGHIfP ( SS 09 (122)-2013 ) chiing khodn dua ra cdc canh
bdo ddi vdi cac cdng ty chiing khoan cd nguy ca mdt kha ndng tbanb todn nhdm dam bdo an todn bf tiidng giao dich, trdnh nii ro cbo nha ddu tu.
Bon Id, tdng cudng nhan sg vd ndng cda chit lugng nhdn su cbo phdng gidm sdt cua SGDCK. Bdi trude mdt nhan sy mdi chi du dap ung vl nhu cdu edng vifc hifn tgi, nhung ve Idu ddi nhdn su khdng ddp itog duge yeu edu cdng vifc ngdy cdng Idn vd ddi bdi chat lugng cdng viec gidm sdt ngay edng cao.
Ndm Id, dinh kjr tl cbiic hgi nghi tap budn cdng tdc gidm sdt tudn thu vd gidm sdt giao dich, cbo can bO nhdn vign phdng gidm sat eua SGDCK vl cdc ngi dung lien quan din vdn ban phdp quy, ca ebl phdi bgp giam sdt giiia SGDCK vdi cdc dan vi trong UBCK2^.
Sdu id, ddng bO hod cdc bf thing giao dich nhdm ddm bdo vife eung cdp ddy dti tbdng tin cbo vifc gidm sdt ciia cdc SGDCK. Hifn nay trung tdm luu ky cbiing khodn dd cd bf thdng cdng nghf thdng tin mdi va bien dai, nang cao dang ke
hifu qua thvc hifn dang k^, luu k^ vd thanh toan bii trii, cung cdp thong tin phyc vy cho cdng tdc gidm sdt. Do v$y, hong thdi gian tdi vifc ddng bO boa cdc hf tiling giao dich phii hgp vdi hf thing ddng k^, Ixm ky va thanh toan bu tdt mdi la cdn thiet nhdm ddm bdo cho vifc tdng cudng cdng tac gidm sat ciia cac SGDCK.
Bdy Id, cdc SGDCK cdn chu dOng trong cdng tdc tuygn truyin, pbl biln cdc kiln tbiic, quy dinh cua phdp Iuat vl cbiing khodn, TTCK, ede quy dinh vl giao dich chiing khodn va nghta vy ciia cdc tbanb vign giao dich, cua cdng ty nigm ylt. Ddng thdi ciing e ^ phai tdng cudng edng tdc hudng ddn eho cdc tbdnh vien, cdc cdng ty nigm yet hong vifc tbyc bifn cdc quy dinh vl bao edo, vl cdng bl tbdng tin.
Ben cgnh nhiing giai phdp trgn, cihig can thyc hifn ddng bO vdi vifc hoan thifn che tdi xur phgt cdc bdnh vi vi phgm phdp lu^t vl ehiing khoan va TTCK;
pbli bgp ch^t cbS vdi ca quan Cdng an dl xii ly trift dl cdc vy vifc vi phgm nghiem hgng quy dinh ciia phdp lu$t vl giao dich
c h ^ g khoan; nang cao dgo diic nghe nghifp ddi vdi c6ng ty chteg khoan thdnh vign vd cd nhdn vign dgi difn giao djch cua cdng ty chiing khodn tbdnh vign tgi cdc SGDCK.
TM li(U tham Idido:
Ddnh gid tinh hinh ^TCK ndm 2012, gi&i phdp phdt triin thf tru&ng ndm 2013. UBKNN.
Quyit dfnh sd 252/QD-TTg cda Tku tu&ng Chinh phd, phe duypt Chiin luprc phdt triin TTCK Vipt Nam giai dogn 2011- 2020
Bdo cao cong tdc gidm sdt cua UBCKNN ddi v&i hogt dpng trong tinh vuc chimg khodn cua 2 SGDCK nam 2010 tkeo thong tu 151/2009/Tr-BTC.
Bdo cao cong tdc gidm sdt cua UBCKNN ddi v&i hogt dpng trong linh vuc chung khodn cua 2 SGDCK ndm 2011 theo thong tu 151/2009/TT'BTC.
Bdo edo cong tdc gidm sdt cua UBCKNN ddi v&i hogt dpng trong linh vuc chung khodn cua 2 SGDCK ndm 2012 theo thong tu 151/2009/TT-BTC.
Khdng cln phai giai thich Mpt ngud"! tSm si/ wi/\ bgn:
- Thd-i bu6i nSy, ldm ngh^ gl cOng khd, chl c6 l^m nghl b^n thu6ctSyldd§thdi!
- Sao v$y?
- VI m5l khi bdn thu6c cW cln ndi vd-l khdch hdng: "Xin dQc ky hu-dng dSn tru-dc khi dDng'. th6 Id xong!
Tap chi nghidn ciiru lk\ chinh Ic^ toan