KV' N I ^ M 13 N A M T H I TRIfdNG CH0NG KHOAN V I S T NAM
Ht T H 6 N G GIAO DICH CHUTNG KHOAN TR^C TUY^N C O A C O N G TY
CHUTNG KHOAN
TS. Do T H A N H PHIJONG
n
HiSn nay dOi ngu nhSn Mc c trinh do chuySn s§u v^ CNTT
Cd sd phap ly quy dinh he thdng giao dich chiAig khoan tnic tuyen De tao cd sd phdp ly cho hoat dong giao dich chflng khoan tnfc tuyen, ngay 16/3/2009, Bo Tai chinh da ban h a n h Thdng tfl 50/2009/TT-BTC (Thong tfl 50) hfldng ddn thflc hien mot so ndi dung cua Nghi d i n h sd 27/2007/NB-CP cda Chinh p h u ve giao dich dien tfl tien TTCK. Noi dung cua Thdng tU 50 quy dinh ve nguydn tac, tiiu tuc td chifc giao dich dien tfl tiong hoat ddng giao dich chflng khoan trut tuyen, boat ddng tiao ddi thong tin didn tfl lien quan ddn hoat ddng chdo b a n chiQig khoan r a cdng chung, Iflu ky chflng k h o a n , n i e m yet chflng
Thuc trang va giai pliap
Giao dkh chimg kho^n tri/c tuyln \i nhOng giao djch JH sfll dOng mang tinh dac thii rieng cua thj truttng chutig khodn (TTCK). Day Id mflt hmh thiirc giao djch dien titCQ chijra dimg nhl^u rOI ro vi giao djch trong mdi truang mang di«n rOng vd intetnet Vi vay, giao djch chumg khodn triK tuy^n doi hdi he thdng cfing ngh§ thftng tin (CNTT) cOa cdc cOng ty chilmg khodn (CtyCK) phdi ddp lirng cdc tieu chudn v^ an todn bdo mdt nhdm gidm thi^u din mtfc thdp nhfit cdc rui ro va 64 bdo ve cdc td chute, nhd ddu tir khi tham gia giao dkh tren TTCK.
khoan; boat ddng qudn ly CtyCK, cdng ty quan ly quy, cong ty ddu tfl chifng khoan; boat ddng cdng b d thdng tin vd ede hoat dong khdc lien q u a n d e n TTCK tiieo quy dinh tai Ludt Chifng khodn. Thong tfl 50 cd hieu Iflc ngdy 03/5/2009 vd ddn thdi diem hien nay, day la van ban phap ly duy nhdt hfldng ddn thflc hien giao dich chflng khodn trflc tuyen lai TTCK Viet Nam.
Ngoai ra, vdi muc tieu tao thuan ldi cho cac CtyCK trong viec xay difng h e thdng CNTT, ngdy a/02/2010, Uy ban chflng khodn Nha nude (UBCKNN) da ra Quyet dflili sd 106/QD-UBCK b a n hdnh quy dinh hfldng dan v e yen can h e tiidng CNTT ciia CtyCK. Day Id van bdn ciia UBCKNN hifdng ddn vd nguyen tac cdc yeu cau ldi thieu cua h e tiidng CNTT cho cdc CtyCK tiidnh lap vd boat ddng tai Viet Nam, Theo quy dinh, cae CtyCK tham gia boat ddng tidn thi trUdng phai dap flng eac yeu can tdi thieu v e h e thdng CNTT d e d a m bdo Icfi ich cua n h a dan tu, dam. bdo tinh an todn va dn dinh cfla thi trfldng.
Ngoai ra, npi dung cua Quydt dinh
so 106 ciing dfldC quy djnh theo hfldng "md" dd p h u hdp vdi sfl da dang vd phong p h u ve cdng ngh&, d a m bao tinh chu ddng vd Ifla chpn cong nghe cua cac CtyCK.
Thufc trang ve CNTT cua h& thong giao dich chitig khoan bile t u y ^ Thdng ke eua UBCKNN ve hd tiidng CNTT eua 93 CtyCK thd:;
hien cung cap dieh vu chutig khoan trflc tuyen cho cdc n h d dau tfl tren TTCK cho thay: ve cd ban, cac CtyCK da d a u tfl khd manh ti-ong linh vUe flng dung CNTT vao eac boat ddng nghiep vu cua minh.
T h e o dd, UBCKNN dd dfla ra dSnh gid chung v e viec sd dung cdng nghe ddi vdi h e tiidng CNTT cita cac CtyCK nhfl sau:
- Ddi vdi p h a n m e m tiong giao dich chiing k h o d n trflc tuydn:
Khoang 6 5 % ede CtyCK l i ^ chpn cdc edng ty tin hpc trong nfldc (FPT, Navisoft...) d e xay dfltig vd cui^
cdp giSi p h d p p h d n m d m trong giao dich chflng khodn tnJc tuydn. Trong Idu dd sd Ifldng ede CtyCK sfl dui^
p h d n m e m do nfldc ngodi cung c§p chidm t^ le khodng 3 5 % . Didu nay
CHLfNG KHOAN VIET N A M S5 177 - Thang 7/201 3
K V N I | M 13 NAM T H ! TRUdNG C H C T N G KHOAN V l | T NAM
da cho thdy cdc cdng ty tin hpc tiong nfldc d a c h i ^ p h i n Idn thi p h a n trong vide eung cdp cdc giai phap p h a n mdm cho h d thdng giao dich chlJCng khodn trflc tuyen cua cdc CtyCK d o cd cac Icfi the ve n h d n cdng, chi p h i vd khd nang hd tid dieh vu sau bdn hdng.
- Dd'i vdi vide sfl dung h e didu hanh vd ed sd dfl lieu cho may did:
Da p h i n cdc CtyCK deu sfl dung b e didu hdnh Windows Server ciia Hang Microsoft vdi ty le cao - tien 80%, tiong sd ndy chi cd khoang 10% CtyCK sfl dung cd hai h e didu hdnh Windows Server v a h e didu hdnh UNDC hoac LINUX; khoang 20% CtyCK eon lai chi sfl dung mot h e didu hdnh eua cdc hdng khae la UNDC, LINUX va SUN. Tren 5 0 % ede CtyCK sfl dung cd sd dfl lieu ciia Hdng ORACLE tiong cac dug dung CNTT va sau mot tlidi gian sfl dung dd cho tiidy h e cd sd dfl lieu ORA- CLE cd dp tin cay v a on dinh eao.
Cdc h e cd sd dfl lieu SQL, DB2, Infomix dfldc eac CtyCK sfl dung ehi ehiem tbi p h a n 50% con lai.
- Ddi vdi eac thidt bi tiong giao dich chifng khodn trflc tuyen: todn bd mdy ehu cita cdc CtyCK sfl dung deu do cdc hang nfldc ngodi ndi tidng eung cap, tiong dd nhieu nhat la eua Hang IBM chidm ty le 55,7%, tidp theo la HP (33,1%), DELL (6,3%), SUN (1,4%), cdc hang khdc chi chidm ty le rat nhd la 3,4%. Cdc CtyCK cho biet, q u a qud tiinh sfl dung, cdc mdy chu ciia cae hang nfldc ngodi ddu cd dp d n cdy cao, dn dinh vd it xdy r a sfl cd tiong khi van hdnh. Cdc CtyCK sfl dung tren 1.300 loai thidt hi mang phuc vu eho vide ket ndi h e thdng giao dich chflng khodn vdi cae thidt hi m a n g nhfl Router, Switch, Firewall...
- Ddi vdi vide uiig dung chifng thfl sd cho website: De ddm bao a n todn bdo m a t vd ttanh gia m a o
thdng tin trdn website, hdu hdt cdc CtyCK ddu sfl dung ehflng thfl so SSL ciia cdc hang nUde ngoai cho cdc website de cung ca'p dich vu giao (iieb chdng khodn tiflc tuydn.
Thi phdn eung cdp dich v u chifng
Vi&c sfl dung CNTT ciia cdc CtyCK da cho thay x u hfldng chung la cac CtyCK luia chon cdc thidt bi cung nhif cdng nghe d e u dijn tien nen tdng cdng nghe hien dai cua ede hang ndi tidng tren thd gidi. Cde
Jh6ng ke cua UBCKNN ni giao dien tn,K; luy^n
1 2012 cho th^y giao dich bSng Inlernet chiem t^ le 58,3% t6ng giS tri Anh: ST
thfl sd cita cac hang nhfl sau: ddn d a n la h a i Hdng Verisign va CiobalSign ehidm thi p h a n ngang nhau (moi cdng ty chiem 31,64%), tiep theo Id Geotnist chiem 12,65%, DigiCert chidm 7,59%, 3 Hang Entrust, Go Dady v a Cong ty TNHH phdn m e m Ky nguyen sd deu cd ty le 3,79%, con lai cac Hang Irmotech, Symantec, Thawte va VDC chi chidm ty le 5,06%
- Ddi ngu nhdn life vdn hdnh h e tiidng CNTT: khoang 400 can bd tin hpc tham gia van h a n h h e thdng CNTT d eac CtyCK, tiong do cd tiinh dp tien dai hpc la 3,72%, dai hoc 84,57%. cao ddng la 10,9%, trung cap 0,8%. Nhin chung. ede CtyCK cd dpi ngd nhan Iflc cd flinh do chuyen sau vd CNTT, nhieu cdn bd ed cdc chflng chi eua cdc hang CNTT ndi tidng tidn t h d gidi n h u MCSA, MCP, MCSE cua Microsoft;
CCNA, CCNP cua Cisco; Chflng chi Oracle...
cdng ty tin hpc tiong nfldc ciing chi difa vao cac ndn tang edng nghe hien dai nay de xay dflng v a phdt trien cac phdn mdm flng dung CNTT vdo cdc hoat dong cua ClyCK. Ngoai ra, hien nay. h e tiidng CNTT cda cae CtvClK it cd nhifng thay ddi Idn ve m a t cdng nghe. Cac thay ddi hang n a m cua cac CtyCK chu ydu tap trung vao cdc noi dmig nlifl: ndng cap, bo siuig cae tiiidt bi mang, firewall, may chii, tiiidt bi Iflu dien, nang cap RAM mdy chu; nang cap p h a n mem nghiep vu dap ifng y e u cau eiia cdc Sd: m u a phan mem chflng thfl sd, hdp tac vdi cdc ddn \'i tridn khai chd ky sd; xdy dflng h e thdng dfl phdng dfl lieu data center.
Tinh hinh giao dich chiAig khoan tnfc tuyen cfia CtyCK
Cd the ndi H e thdng giao dich ehflng klioan trflc tuyen d a gdp p h a n quan trong va khdng the ihidu
So 177 - Thang 7/2013 CHUMG KHOAN VIET NAM
r e am
KY N | £ M 13 NAM T H ! T R U d N G C H U T N G KHOAN V l | T N A Mdfldc trong cdc boat ddng cua CtyCK. Vl vdy, viec flng dung CNTT tiong cdc boat ddng eua ClyCK hien nay Id xu hfldng phal tridn ehung dUde eac ClyCK dac bidt quan tdm.
Theo tiidng kd cua UBCKNN vd tinh hinh giao dich chifng khcDdn trflc tuyen eiia ClyCK tiong ndm 2012 dd eho thay tdng gia ti-i giao dich tiflc (uydn eua 82 ClyCK Id gan 370 nghin ty ddng vdi cdc phifdng thflc giao dich e h u ydu qua inter- net, didn thoai vd email. Trong dd, thflc hidn giao dich bdng internet chiem ty Id 58,3% tdng gid tii giao dieh tiflc tuydn, tidp theo giao dich thflc hien bang dien thoai chidm ty le 40,5% tdng gia tii giao dieh trflc tuyen, giao dich thflc hidn bdng email ehi chidm ty le 1.2% long gid tri giao dieh trilc tuyen va khong cd thflc hien giao dich qua tin nhdn SMS. Chi tidt cde giao dich nhfl sau:
- Giao dich bang internet: ed sd Ifldng tdi khoan hdn 0,677 tiieu tdi khoan tien long s d h d n 1,1 tiieu tai khoan dang ky giao dich tnfc tuyen (chiem 60,83%); gSn 9 tiieu lenh tien tdng sd hdn 125 trieu lenh thflc hien bang internet (chiem 7,09%);
hdn 12 ty cd phidu giao dich bang m t e m e t tten tdng sd hdn 20 ty cd p h i e u (chie'm 59,7%). Mdt s d CtyCK cd sd Ifldng tai khoan giao dich bang internet k h a Idn nhfl:
CtyCK FPT ed 76.804 tai khoan;
CtyCK NHTM cd p h a n Ngoai tiifldng cd 52.316 lai khoan; CtyCK Phu Hflng cd 48 383 tai khodn;
ClyCK Ngan hang Sai Gdn Thfldng tin cd 31.530 tai khoan; CtyCK Tan Vidt cd 31.513 lai khoan; CtyCK Ngan hdng Nong nghiep va Phdt tiien Nong ihon Viet Nam cd 31.144 lai khodn.
- Giao dich bang dien tiioai: cd sd Ifldng tdi khoan tien 0,597 trieu tai khodn bang dien thoai tien tdng h d n 1,1 tiieu tai khoan ddng ky
giao dich tiiJe tiiydn (chidm 53,7%);
hdn 116 tii^u Idnh tidn tdng s d h d n 125 tiidu Idnh giao dich trflc tuydn (ehidm 92,9%); gdn B t>' cd phidu dfldc klidp tidn tdng sd hdn 20 t J ed phidu giao djch tiflc tuydn (chidm 39,6'Ji>). Mdt sd CtyCK cd s d Ifldng tdi khodn giao dich bdng di^n thoai kha idn gdm: CtyCK Phu Hflng ed 48.383 tdi khoan; CtyC;K NHTM ed phan Ngoai thfldng ed 44.944 tdi kliodn; CtyCK ngdn hdng Ddu tfl v a Phat tridn Vidt Nam cd 34.121 tdi khodn; ClyCK Bdo Vi6t cd 32.078 tai khodn; CtyCK Tdn Vidt ed 31.774 ldi khodn.
ty c6 tdi khodn ddng k y giao dii bSng SMS nhflng 1 ^ khdng cd dich Id CtyCK Dd NSng.
Sd lidu thdng kg vd cdc phi thflc giao dich chiiig khodn tiu&l tuydn dd cho thdy tinh tidn ldi vd xu hfldng phdt tridn cda cdc phifitog • thflt ndy. Cdc CtyCK d a cd xu hfldng thay t h d phfldng thufc giao dieh thu cdng truydn thdng l^ing phfldng thifc giao dich trifC<uy&
I hidn dai tiidng qua h ^ thdng CNTT.
j Ddy la phfldng thiiC giao dich | I chflng khoan c u a tfldng lai, c6 f
nghia quydt dinh d ^ sfl phat tridii cua TTCK.
GG V70C ling dicing cmr trong cdc ho^t d^ng cua CtyCK hi^n nay Id xu hudng phdt tridn chung vd dut?c cdc CtyCK d$c hidt quan tdm. CJCj
- Giao dich bang email: cd 16 tai khodn tren tdng sd hdn 1,1 tiieu tai khoan dang ky giao dicii trflc tuydn (chidm 0,0014%); hdn 0,01 trieu lenh giao dich bang email tien tdng s d h d n 125 tiieu Idnh giao dieh trflc tuydn (chidm 0.01%); gan 0.057 ty cd phidu giao dich bdiig email tren tdng sd h d n 20 tj' cd phieu giao dich tiflc tuydn (chidm ty le 0,7%).
Chf cd duy nhat 01 CtyCK tiiflc hien giao dich bang email la ClyCK Tam Nhin.
- Ciao dich bdng SMS: cd sd Ifltftig lai khoan Id 150 tdi khodn tien tdng so h d n 1,1 trieu tdi khoan dang ky giao dich trflc t u y e n (chie'm i j le 0,01%); tuy nhien khdng cd cdc giao dich b a n g phfldng thflc SMS. Chi cd 01 c d i ^
M ^ s6 gidi phap trong quin fjf vh phM t r i ^ giao dich clittig Idiote tnfc tuydn
Tbd nhdt, hodn thi$n vdn bdn pbdp luat trong quan ly he thdng CNTT cm CtyCK
Sau h d n bdn n a m dp dung, Thdng tfl 50 d a bdc Id mdt sd didm khong cdn p h u hcfp ddi vdi hd didng CNTT cda cac CtyCK nhfl:
chfla cd cac quy dinh hfldng dan ve dp dung chflng thfl sd SSL trong website cua CtyCK. sfl dung chflng thfl so cdng eong tiong giao dich cua n h a d a u tfl khi t h a m gia Q:en TTCK; quy dinh gidm sat va kiem tra ve CNTT dd'i vdi h e thdng giao dich chifng khodn trflc tuydn tai cac CtyCK, Sd Giao dich Chflng khoan (SGDCK)... Vi vdy. d a u ndm 2013, dd viec thflC liien giao dich chflUg khoan trflc tuyen tidn TTCX ddm bdo a n todn bao mat vd dat hieu qua cao, UBCKNN d a nghidn cflu b a n h a n h Thdng tif thay thd Thdng tfl 50 hfldng d d n chi tidt cdc quy dinh vd dang ky chdp thuan cung cap dich v u giao dich chflng khoan trflc tuydn, npi dung dp dung chflng thfl sd, cdc quy dinh vd kidm tra gidm sat ddi vdi cdc CtyCK... de vide thfle h i e n giao dich chiill:^
khodn trflt t u y & trgn TTCK dSm
CHLfNG KHOAN V l f T N A M So 1 77 - Thang 7/2013
K^ NIEM 13 N A M T H I TRUdNG C H U T N G KHOAN V I S T NAM
Hl?n nay, hf ttifing CMTT cQa c&c CtyCK it c6 nhCing thay 3di Bn vg m&t cOng nghe. Anh: Oil BSdi
bao an todn bao m a t va dat hieu qud cao. Den ngay 28/6/2013, Bp Tai chinh b a n h a n h Thdng tfl so' 87/2013/TT-BTC hfldng ddn giao dich dien tfl tren TTCK. Thdng tfl ndy cd hieu Iflc thi h d n h k e tfl ngay 15/8/2013 vd tiiay the Thong tfl sd 50. Ngodi ra, d e dam bdo tinh dong bd, UBCKNN cung can b a n h a n h Quydt rljnh thay thd Quyet dinh so' 106/QD-UBCK b a n h a n h quy dinh hfldng ddn ve ydu edu h e thdng CNTT eua CtyCK. Quy dinh nay se hfldng d i n ede yen can ky thuat cua h e thdng CNTT eho cac CtyCK thanh Idp vd hoat ddng tai Viet Nam p h u hcfp vdi quy dinh eua Thdng tif 87.
Thd hai, xdy diHig cdc tieu chuan dS ddnh gid bB thdng CNTT Dd dam bao ldi ich cua nhd ddu tfl, ddm bao tinh a n loan bdo m a t vd dn dinh eua TTCK, UBCKNN cdn xay dung bd tieu chudn d e ddnh gia tdng quan cac h e thdng giao dich chifng khoan trflc tuydn cho cdc CtyCK nhfl: cde tieu chudn dd d a n h gid mflc do a n toan bdo
mdt thdng tin, cdc tidu chudn d d ddnh gia hidu qud sfl dung h e tiidng giao dich chflng khoan true tuydn, cdc tidu chudn tiong Iflu trfl va backup dfl heu, cdc tieu chuan ve nhdn sfl van hdnh h e thdng... Trdn cd sd bp tieu chudn, hdng n a m UBCKNN phdi hdp vdi cde SGDCK to chdc ddnh gid, phdn loai va xdp hang cdc CtyCK tiong viec ifng dung CNTT cd hieu qua cao. Hoal ddng ndy khong nhflng giup cho cd quan quan ly TTCK ddnh gid tdng tlie ve he thd'ng CNTT cua cac CtyCK m a eon giup cho n h a ddu tfl ed nhifng quydt dinh ddng dan dd Ifla chon cdc CtyCK cung cap dieh vu giao dich chifng khodn trflc tuydn tdt nhdt. Qua dd tao sfl canh tianh lanh m a n h tiong vide hodn thien va phal tiien he thong CNTT cua cdc CtyCK.
Thii ba, tdng cifdng cong tdc qudn ly gidm sdt viec cung cdp dich vu giao dich cbuhg khodn trUt tuyen
Hien nay, viec giam sal cdc CtyCK dfldc thflc hien c h u yeu thdng qua cdc bao cdo dinh ky hdng nam ve h e thdng giao dich chflng khodn trflc mydn. Thdng qua bdo cdo, UBCKNN d a quan !y v a thdng ke dUdc tinh hinh thfle hidn giao dich chifng khodn trflc tuyen cua cdc CtyCK; thd'ng ke dfldc cde sd Heu lien quan ddn cac phfldng tliflc giao dieh chflng klioan trflc tuyen tren thi tiudng trong nam, eiing nhfl cdc van de ve h e thdng an ninh bao mat, nhdn sfl quan iy va eac thay ddi cita h e thdng giao dich trflc tuydn tiong nam,.. Qua dd, c6 thd ddnh gid dfldc tinh hinh vd tdc do phdt tridn cua h e thd'ng giao dich trflc tuydn eiing nhfl thflc tiang giao dich chflng khoan tiflc tuydn eua nhd ddu tfl hien nay. Tuy nhien, dd nang cao h d n nOa edng tdc gidm sdt, UBCKNN can tang eUdng cdng tdc qudn ly gidm sdt v a kiem tra
viec eung c a p dich vu giao dieh ehflng khodn cho n h a d a u tfl cua cac CtyCK bang cdch td ehfle eac doan kiem tia tiflc tidp cdc hoat dong ve giao dich chflng khoan trflc tuydn dd cd nhflhg didu ehinh kip thdi khi cd nhflng bidn ddng, phdt suih mdi tiong cdng tdc qudn ly giao djch chflng khodn trflC tuyen ddi vdi cdc CtyCK.
Thd tif, hd trd cho viec phdt trien CNTT cua cdc CtyCK
Do CNTT la mpl nganh dac thu vi ludn ludn cd sfl thay ddi rat n h a n h ve cong nghe, Vi vay, UBCKNN can td chflc cdc hdi nghi, hoi thao dd tao dien d a n cho cdc CtyCK trao ddi ede van de mdi lien quan den hd thdng CNTT nhfl: dam bdo an loan bao mdt cho h e thdng, flng dung chiing thfl so, xay dflng phdn mdm ulig dung,.. Ngoai ra, d e cdc CtyCK cd the tiep can vdi CNTT ciia cac nUdc tren t h e gidi, can td chflc cdc hoat ddng khao sdt dd cde ClyCK cd t h e nghidn eflu, hpc hdi kinh nghiem xay difng va phal tiien h e thong CNTT cua cac CtyCK tien the gidi. Qua do rut ra bdi hoc kinh nghiem cho sfl phdt trien CNTT eho cac Ctj'CK trong nfldc.
De cd the xay dflng va phdt tridn CNTT tai cac CtyCK ndi rieng va toan nganh chifng khoan ndi chung, ngoai viec xay dflng chie'n IflOC, dinh hifdng CNTT cua toan nganh can phai ed sfl phdi hdp chat d i e , ddng bd ciia cde cd quan ehfle nang va sfl no Iflc cua cac CtyCK de xay dflng mdt h e thdng CNTT hoan chinh gidp cho TTCK Viet Nam phat tiien. ®
Tai ti$u lliam kii^o:
1. Bao cao tinh hinh giao djcfi chifng khoan tryc tuyen nam 2012 cua cac CtyCK, Cue CNIT - UBCKNN.
2 Thdng kg hg thSnp CNTT ciia cac CtyCK, Cue C N H - UBCKNN
S6 177 - Thang 7/2013 C H C / N C KHOAN VIET N A M
