KY N | £ M 13 N i M TH! TRl/dNG C H O N G KHOAN VlfT NAM
HOAN T H I | N KHUNG PHAP LY v i GIAM SAT HOAT D0NG C O A SGDCK VA TTLKCK
chinh liifd
Q
ua hdn 4 n a m ti'idn kliai dp dung T h o n g tif so' 151/2009/TT-BTC ngay 27/3/2009 ciia Bp Tdi nifdng dan cdng tac giam sat ciia LJy ban Chifng klioan N h a nUdc (UBCKNN) ddi vdi hoat ddng trong linh vifc chifng khoan cua Sd Giao dich Chifng khoan (SGDCK) va Trimg tam Lifu ky Chifng khoan [TTLKCK) (Thdng tU 151), cdng tdc giam sat tuan tliu cua UBCKNN ddi vdi hoat dong trong linh vUc chdng k h o a n cua SGDCK va TTLKCK da bUdc dau d a p icng dUdc m u c dich, yen can dat ra.
Tuy nhien, qua cdc giai doan phat trien cua thi trUdng, h a t i n g ky thuat cua thi trUdng ciing nhU khung khd p h a p ly dieu chinh cac linh \'ifc cua thi trUdng chiing khoan (TTCK) d a n dUdc hoan thi&n, nhieu van ban mdi da difdc ban h a n h nhif: Luat sifa ddi, bd sung mot sd dieu ciia Luat Chifng khoan, Nghi dinh sd 58/2012/ND- CP ngay 20/7/2012 cua Chinh p h u quy dinh chi tie't va hudng dan thi h a n h mot sd dieu cua Luat Chifng khoan; Nghi dinh sd 85/2010/ND- CP ngay 02/8/2010 eua Chfnh p h u vd xd phat vi p h a m b d n h ehfnJi trong linh vUe chifng khoan va TTCK va cac thong tU hudng dan thi h a n h ; Thong tU sd 13/2013/TT- BTC ngay 25/01/2013 c u a Bo tnfdng Bd Tai chinh ve giam sat giao dich chdng k h o a n tren TTCK..,, Thdng tu 151 d a bdc Id
vy GIAM SAT
UBCKNN iiien dang xay dLing du thSo ThSng tu thay th^ ThOng tu 151 Anh:ST
mdt sd h a n che, Cu t h e la:
- Trach nhiem, quyen h a n cua UBCKNN trong cdng tdc gidm sat tuan t h u dd'i vdi SGDCK, TTLKCK chifa dUdc quy dinh cu tlie. Thdng tu 151 quy dinh UBCKNN giam sal cac SGDCK, TTLKCK trong viec b a n h a n h va thifc hien cac quy c h d nghiep vu lien quan d e n boat dong trong linh vifc chifng khoan; gidm sat viec tuan thu cac quy dinh p h a p luat cua cac t h a n h vien giao dich, t h a n h vidn lifu ky. Tuy nhien. Thong tif chUa dd cdp ddn nghia v u vd q u y e n h a n c u a SGDCK. TTLKCK trong viec tuan thu cac quy dinh ciia p h a p ludt vd chifng klioan vd TTCK; viec quan tri rui ro (QTRR) cua eac SGDCK, TTLKCK trong qua trinh td chdc, quan ly, giam sat cac hoat ddng trong linh vifc chifng k h o a n trong p h a m vi q u y d n h a n c u a cdc SGDCK, TTLKCK cung nhil boat
ddng kiem soat ndi bd cua SGDCK, i TTLKCK ddi vdi cac hoat dong
nghiep vu do cdc ddn vi nay thifc
; hidn; quan ly gidm sat ddi vdi cac ddi tfldng cd nghia vu bdo cao, cdng b d thdng tin khi thUe hidn giao dich thudc p h a m vi quan ly,
• giam sdt cua SGDCK, TTLKCK, - Mot so m a u bidu bao cdo quy d i n h tai Thdng tfl 151 cdn cd sif trimg lap vdi mdt sd quy dinh tai cdc van b a n khac, d a n ddn tinh trang cdc SGDCK, TTLKCK thUdng : xuydn bao cao UBCKNN cung mdt ndi dung tdi n h i e u d d n vi khac n h a u v a cdc thdi diem khdc nhau.
Do vdy, viec quy djnh lai cac mau bieu bdo cdo la vide can thidt ddi vdi cd quan qudn ly trong thifc thi trdcb n h i e m cua m i n h va thuan tien cho dd'i tfldng giam sdt trong trien khai nghia vu bdo cdo vdi cd q u a n quan ly.
Thong tfl 151 chfla dd cdp
:HLfNG K H O A N V I 6 T N A M SO 1 77 - Thane 7/2013
K V N | £ M 13 NAM T H I TRUdNG CHUTNG KHOAN Vl|T NAM
vide gidm sat cua UBCKNN ddi vdi cdc thi trfldng, san p h d m mdi dUde giao dich, cung cdp dich vu dang ky, lifu ky, bii trif va t h a n h todn chlMg khodn.
Oinh hiicfng hoan Ihidn UBCKNN hien dang xay difng dif thao Thdng tfl thay the Thdng tu 151 do ndi dung sifa ddi trong Thdng tif tfldng ddi nhieu, loan bo mSu bidu cu dUdc tliay the bang cae m i u bidu mdi mang tinh thdng ke. Du thdo Thdng tfl mdi tren cd sd ke thfla cdc quy dinh tai Thdng tfl 151va tdp trung sifa ddi, bd sung cdc noi dung sau:
Mof id, bd sung trach nhiem, quyen b a n eiia UBCKNN trong cdng tac giam sat tuan thu ddi vdi SGDCK, TTLKCK. Npi dung nay ehUa dUde dd cap cu the Uong Thdng tu 151.
Theo dd, UBCKNN cd quyen:
Chu tri, phd'i hdp vdi cac cd quan, ddn vi hen quan xay diflig, sda ddi cdc van ban quy p h a m p h a p luat lien quan den giam sat viec tuan thu phap luat ve chifng khoan va TTCK trinh cap cd tham quyen ban hanh; Chap thuan cae van ban lidn quan den viec td chifc thUc hien cac boat ddng nghiep vu do SGDCK. TTLKCK ban hanh, Kiem tra viec ludn thu cac quy dinh ve chiing khodn va TTCK cua SGDCK, TTLKCK...
Ddng didi, UBCKNN cd trach nhiem: Xay dUng, b a n hanh quy dinh ve npi dung, phfldng thdc giam sat viec tuan thu cac quy dinh eua p h a p luat ve chflng khoan vd TTCK eiia SGDCK, TTLKCK. Giam sdt, phat hidn viec vi pham cdc quy dinh eua p h a p luat ve chflng khodn vd TTCK eua SGDCK, TTLKCK trong U^en khai cae hoat ddng nghiep vu d e kip thdi canh bdo v a chdn chinh; Xay dflng vd thifc Men k d hoach gidm
sat hdng nam; Dinh ky hoac theo ydu c i u bdo cdo Bd Tdi chfnh kdt qua thifc hien cdng tdc giam sdt theo nhidm vu dUdc giao,
Hai la, Idm ro hdn noi dimg quy dinh ve quyen h a n va nghia vu cua SGDCK. TTLKCK,
Theo dd, cae SGDCK, TTLKCK cd trdch nhiem; DUdido, ban hanh cae quy che dieu chinh boat ddng nghiep vu sau khi dfldc UBCICNN chap thuan; Xay difng cae quy trinh trien khai cac quy chd sau i khi dfldc UBCKNN chap lliiian; ' Ciam sat viec tuan thu cae quy dinh ve chflng khodn va TTCK , theo chflc nang, nhiem vu dfldc | giao: Kien nghj, de xuat UBCKNN chap thuan viec sda ddi, bd sung cac van ban dieu chinh hoat ddng i
V/ec~Z>aii iianh
^^hdng tu m6i thay the f^ThOng~§i 151 s^i§o
hen nidtkhunglihd phdply-cdp nh$tva Zpdng bdj:ho coquan -^quan l£jhuc hien gidm
^sat g[aadjch tren
nghiep vu cua SGDCK, TTLKCK.
Ddng thdi. cac SGDCK, TTLKCK cd nghia vu: ThUc hien day dil cac nghia vu theo quy dinh ciia Luat Chifng khoan va eac van ban hfldiig dan Luat Chflng klioan, cae van ban cd lien quan; Tuan thii day du, chfnh xdc cae quy dinh tai Dieu le, quy che, quy trinh va eac van bdn khac do SGDCK, TTLKCK ban hanh; ThUc hien che do bdo cao, cung cap thdng tin ddy du theo quy dinh; Giai trinh cdc van d e theo yeu cau ciia UBCKNN va khac phuc cac sai sot n e u cd: LUu gifl ho sd, tai h e n theo quy dinh.
Ba Id, lam ro hdn cdc ndi dung can giam sal tuan thu.
Theo quy dinh tai Thdng tfl 151, ndi dimg UBCKNN giam sat ddi vdi SGDCK, TTLKCK mdi chi d e cap ddn cdc boat ddng nghiep vu ma cdc SGDCK, TTLKCK can trien khai gidm sdt tuan thu theo quy dmh.
Dif diao mdi quy dinh cu the:
ddi vdi mdi boat ddng nghiep vu SGDCK, TTLKCK c i n cd quy trmh thifc hien difa tren cac quy che, quy dinh do cdc SGDCK. TTLKCK ban hanh sau klii co sU cha'p thuan ciia UBCKNN, Thong qua eac quy che, quy dinh, quy trinh nghidp vu cua SGDCK, TTLKCK, UBCKNN tien hanh giam sat, kiem tra ^aec tuan thu cua cac dd'i tUdng nay theo quy dinh hien hanh,
Bon la, bd sung cdc quy dinh chung dieu chinh viec giam sat ciia UBCICNN ddi vdi cae thi tnfdng, san p h a m mdi dUdc giao dich, cung cap dich TO dang ky, Iflu ky. bu trd va Uianh loan chiftig khoan.
Nam la, bo simg cong tac giam sat viec QTRR cua cac SCDCK, TTLKCK trong qua fl-inh td chflc, quan ly, giam sat cac hoat ddng trong linh vUc chdng khoan trong p h a m vi quyen b a n ciia cac SGDCK, TTLKCK,
Sdu Id, thay ddi chd dp bao cao va quy dinh vd he tlidng mdu bieu bao cdo,
Vd che do bao cdo, tlieo quy dinh tai Thdng tfl 151' SGDCK cd trach nhiem bao cao UBCKNN ket qua cdng lac giam sat tuan thu dinh ky thang, nam; TTLKCK cd trach nhiem bao cdo UBCKNN ket qua giam sat tuan thu dinh ky thang, quy va nam; UBCKNN cd trach nhiem bao cao Bp Tai chinh ket qua giam sat tuan thd dinh ky 06 diang vd 01 n a m
Dif thao Thdng tfl mdi quy dinh cac ddi tfldng nay ehi bao cao
So 177 - Thang 7/2013 CHUNG KHOAN VIET NAM
KY N I E M 13 NAM T H I T R l / d N G C H O N G KHOAN V | £ T NAM
HUdNG Tdl M O T TTCK ''XANH"
VA BiN VUTNG
Vy H0P T A C Q U 6 C Ti.
T
inh ben vifng eiia cdc td chifc niem ydl trdn Sd Giao dich ChiOig klioan (SGDCK) Uong thifi gian g i n day thfldng dfldc do cap d e n thdng qua viec difle liipn cac nghia vu ddi vdi mdi trfldng, cac ehinh sach xa hoi loan dien va cd can quan tri nhdm giam tliieu riii ro va bien ddng, ddng thdi gidp Cling cd nliifng tac ddng U'eh cflc trong dai b a n tdi boat ddng san xua't kinli doanh.Nhilng n a m g i n day, nhieu tap doaji kinh te cd trach nhiem vdi cdng chung d a u tfl, Chinh p h u v a xa hdi d a bat d i u chu trong den cac
vd'n dd ddm bdo tinh bdn vCfng trong cdi;
hoat ddng sdn xuat kinh d o a n h , chudi cung ifng va cdc quyet dinh d i u tfl c u a minh. Tai eac buoi tlido ludn
cua Lien hidp qudc, cdc qud'c gia trong n h d m Td chifc Hdp tdc vd Phat trien Kinh te (OECD) va G20 da thd bien sU ddng Oman mang tinh qudc td cao rdng: d e tang
I cfldng t i n h d n d i n h tdi chinh vd I p h d t t r i e n k i n h t e d a i h a n c i n 1 n h a n h c h d n g e a i t h i e n cac hoat d d n g v e Q u a n tri T r a c h . n h i e m vdi Mdi trUdng vd Xa " ^
(tiep theo trang 23)
UBCKNN ket qua cong tac giam sal tuan thu dinh ky thang, nam. T h e o dd, UBCKNN cd trach nhiem lap bao cao cong tac giam sat tuan thu dinh ky n a m gid Bd Tdi chinh.
TrUdng hdp phat hien SGDCK, TTLKCK vi p h a m cdc quy dinh ciia p h a p luat vd chifng khoan va TTCK, UBCKNN UiUe hien e h e dp bao cao ba't thUdng gifi Bd Tai chinh,
v d h e thdng m a n bieu bao cao:
Mdt sd m a u bieu quy dinh tai Thdng tfl 151 qud chi tidt (qudn ly theo so' Ifldng); mdt so m a u bieu d a d e cap ddn thdi gian x d ly cac boat ddng nghiep vu, cd c h u tbieb ve viec " n e u rd nguyen n h a n " cua viec x d ly hd sd q u a thdi gian quy dmh, Viec quy dinh m a n bidu nay se de ddn den sif hieu lam cac fhcaig
tin e i n cung cap trong bao cdo, khd khan cho ddi tUcftig phai thflc hien bao cao va cd quan quan ly - UBCKNN trong viec tdng hdp bdo cdo gidm sal tuan thu eda SGDCK, TTLKCK d e lap bdo cdo Bd Tdi chinh.
Cac m a u bieu quy dinh tai dif thao Thdng tfl mdi dfldc xay dflng n h a m gidm sat long tlie cdc boat dong n g h i e p v u d o SGDCK, TTLKCK trien kliai, klidng qud chi tiet, UBCKNN qudn iy, gidm sat d u a t r e n n g u y e n t i c SGDCK, TTLKCK x d ly cd dung cdc quy dinh hien h a n h h a y khdng; Neu vi p h a m thi vi p h a m nhfl t h e ndo;
SGDCK, TTLKCK d d xfl ly b a o n h i e u trifdng h d p trong t h d m quydn, bao nhi&u hnidng h d p bdo cao UBCKNN,.,
Dfla tren thdng tin tif cdc m i u bidu bdo cdo, UBCKNN cd c d sd
d a n h gia todn dien viec tuan thu cdc quy dinh ciia SGDCK nhan biet dUdc hoal ddng nghiep vu nao cua cdc SGDCK. TTLKCK con vfldng m i c c i n thao gd; thav dfldc noi dung trong t a m khi tien hanh cac ddt Idem tra dinh ky theo quy dinh.
Cimg vdi viec b a n hanh Thong tfl s d 13/2013/TT-BTC ngay 25/01/2013 cua Bp tiafdng Bo Tdl chfnh v e gidm sdt giao dich chifng j khodn trdn TTCK, viec b a n hanh i Thdng tfl mdi thay t h d Thdng hi '' 151/2009/TT-BTC s e tao ndn mdt
khung k h d p h a p ly cdp nhdt va , ddng b p cho c d quan qudn 1^ -
UBCKNN thflc hidn gidm sat giao dich trgn TTCK ciing nhfl ddm bdo tinh toan didn c u a cong tdc gidm sdt tuan t h u quy dinh ciia phdp ludt vd chljftig k h o d n v d TTCK cfia SGDCK v d TTLKCK. ®
CHLfNG KHOAN Vlf T NAM So 1 77 - Th5ng 7/201 3
