DAO TAO VE THI TRUdNG CHUfNG KHOAN PHAI SINH
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TANG ClTdNG C O N G T A C OAO TAO TOYEN T R O Y I N
BUdc chuan bi quan trong de chinh thuTc van hanh th| trUdng chufng ichoan phai sinh vao nam 2016
Nhdm nang cao htSn nQa voi tro va v| ttie cua thj tnfdng chiiTng khodn (TTCK) d5i vdi nen kinh te, dong thdi giup cdc to chLfc hoat dpng tren TTCK co thSm cdng cu de phdng ngifa rui ro, ngdy 11/3/2014, Thu ti/dng Chinh phu da ban hdnh Quyet djnh sd 366/QD-ng phg duy^t D 4 dn Xdy dOng vd phdt trl^n thj tradng chCfng khodn phdi sinh (TTCKPS) tai Vi#t Nam. Theo Id trinh, TTCKPS se chinh thifc dUdc difa vdo vdn hdnh tCf ndm 2016. De thiic hien di/dc muc tiSu ndy, thdi gian qua, BQ Tdi chinh, Oy ban ChCfng kliodn Nhd nifdc (UBCKNN) dd vd dang chudn b\ ky iu'dng cdc dieu kidn cdn thi^t cung nhu cdc nen tdng cd ban cho TTCKPS nhif xdy difng khung phdp ly, sdn phdm hdng hda, hg tdng cdng nghg... Trong sd cdc budc di quan trong chudn b\ cho sii ra ddi cua thj trudng bdc cao ndy, cdng tdc tuyen truyen vd ddo tqo ve TTCKPS dd difdc UBCKNN hgt SLfc chu trpng vd dd bdt ddu trien khai tif thdng 4/2015 nham ndng cao nhdn thifc cOc d$i ngu cdn bd, cdng chCfc, vien chifc, nhdn vien trong UBCKNN, cdc Sd Giao djch Chifng khodn (SGDCK), Trung tdm LIAJ ky Chifng khodn (TTLKCK), thdnh vien thj trifdng vd nhd ddu tif. De hieu rd hdn vdn d4 ndy, Tap chi CtiiJfng khodn dd phong vdn TSKH.
Nguyin Thdnh Long - Phd Chu tjch UBCKNN xoay quanh chu de tren.
^ ^ ^ ^ ^ 1 Thua Phd Chli tjch. ddi vdi bit ky thj trudng na o.
^ k ^ ^ H d^ vdn hdnh thdnh cdng va phat tri^n ben vUng
^ ^ r ^ ^ l thi Iti^n thifc va trinh dd ciia nha diu tu. ciia
^ ^ • ^ ^ H thanh vt^n thj trudng ludn giUvj triquan trpng.
^ ^ Odi vdi TTCK Vidt Nam, chifng khoan phai sinh (CKPS) va TTCKPS la linh vifc cdn rit mdi mi. Xin Pho Chd tich cho bi^t. d^ chuin bj vln hinh TTCKPS vlo mm Z016. k^ hoach va Id trinh trl^n khai cdng tic tuydn truyin. dlo tao. phd biln ki^n thilc ve TTCKPS da duoc chii trgng vl se dUtfc trien khai nhu thi nlo?
CKPS va TTCKPS diing I& linti vUc con rat , mdi me d n\Sdc ta va dSy cung la thi trUcfng kha 1 phiJc tap. Y thiJc difdc dieu nay n6n UBCKNN da chli trong cflng tac tuyfln tuyen, dao tao, phd cap kie'n thilc v^ TTCKPS ngay tuf dau, trtfdc khi bat | tay tri^n khai cac cfing vi^c khac nhif xay ddng • khung phap ly cho hoat dfing cua thi tritdng. Ke j hoach tuygn truyen difdc xSy diJng chi tiet theo tling quy, tCfng nfii dung va giao cho tiing ddn vi j
chu tri, trien khai bao gom 3 mang chinh. Tbd nhdt la tuyen truyen, phfi' bifi'n kie'n thiic ve CKPS va TTCKPS til ddn gian dfi'n philc tgp nhii: cac khai nifim, cac san ph^m nhu hdp dong tUdng lai (HDTL), hdp d6ng quyen chgn, each sii dung cac san pham trong phong ngiia rui ro... Thit hai la tuyen truyen ve qua trinh xay ddng v^ phat trien TTCKPS vh cac van ban phap ly nhim giup cfing chiing diu td va thanh vifin thi trddng dinh hinh ro dddc ^ nghia, trie't ly quan ly cdc noi dung quy dinh dd kifi'n ve CKPS va TTCKPS. Den nay, cac noi dung ve khung phdp 1;^ ve TTCKPS da dddc phd bifi'n qua 5 cuoc hoi th^o quy mo rong rai tai Ha Nfil v^ Tp. Hd Chi Minh Thd ba la thong tin, tuyen truyin ve cd chd giao dich va cdch thiic van hanh TTCKPS de thanh vien thi trddng hieu dddc ve cd che, each thiic van hanh va td chdc cua TTCKPS. De'n nay, cdc SGDCK va TTLKCK cung da v^ dang rd't tich ci/c gidi thifiu, tuyen truydn
S^ 198 - Thang4/2015 C H O N C KHOAN Vl^T NA\
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DAO TAG VE THI TRadNG CHUfNG KHOAN PHAI SINH
vl vd'n dd nay.
Theo ke hoach, cdc nfii dung luyen truyin, phd bifi'n kien thiic ve CKPS va TTCKPS se tiep tuc dddc trifi'n khai toin dien trong nam 2015 vdi nhidu hinh thiic khac nhau nhif qua cdng thong tin difin tu: c-da UBCKNN, qua cdc a'n phd'm da dddc xuSTt ban, qua cac kenh truyen hinh... va cung vdi cdc chddng trinh dao tao chuyfin sdu. Cfing tac dao tao ngiidi hanh nghl dddc trien khai tren n i n tang gido trinh mdi ke td thang 4/2015.
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TTCKPS la mdt thi trudng bic cao, co mile dd phii'c tap hon nhilu so vdi TTCK cor sd. d i e b i l t i l v l n d i lOI ro. V l y . cdng t i c t u y i n truyin, dao tao v l b i n c h i t , ca c h l v l n hanh cila TTCKPS c l n t i p trung v l o nhdng v l n d l cu t h i n l o thua Phd Chd tjch?TTCKPS la mot cd'u phan quan trong trong tfi'ng thd thi trddng tdi chinh ndi chung va hfi trd quan trgng cho TTCK cd sd. Ndi diing hdn thi thi trddng cd sd nham muc dich kifi^n tao Idi nhuan cho nha d i u td, cdn TTCKPS thi chii yfi'u nham muc dich phong ngda rui ro, bao ve cac khoan ldi nhuan tao ra tren TTCK cd sd. Tuy nhifin, CKPS lai phiic tap hdn so vdi chiing khodn cd sd, dac bifit do cd chfi' hoat dong cua san phdm nay dda trfin nguyen t^c d5n hiy tdi chlnh, vi vdy, chung se tao rili ro cho nha dau td su! dung CKPS ma chda hidu thS'u dao vl c^u triic va cd chfi* hoat dfing thanh todn cua sdn ph^m nay. Do v^y, chiing ta
se xdy ddng va dita ra thi trddng cdc san pham CKPS tif ddn gian dfi'n philc tap, bao ddm phil hdp vdi nhu cau va kha ndng quan tri rui ro cua thi trddng. Vi vay. cong tdc tuyfin truyin ciing se tap trung vao cac ngi dung dd cfing chiing diu td, thanh vien thi trddng hilu dddc ddc tinh cd bdn ciia CKPS, trddc mit tdp trung vao cdc san phd'm se dda ra trddc nhd HDTL chi so' cd phie'u, HDTL trdi phifi'u.
Muc tieu quan trgng nhd't Id giiip nha dau td hieu va bifi^t each sii dyng chiing nhd mot cong cd hfi trd va quan ly riii ro trong giao dich chiing khoan cd s6. Muc tifiu kfi' tidp la cho nha d i u td thd'y cdc riii ro tilm an neu sii dung chiing nhd mdt cdng cu dau cd, kidn tao ldi nhuSn do tinh ch^t don bdy tdi chinh Clia cac san phdm nay. Do v§y, nha dau td phai n^m ro chifi'n Iddc dau td, phong ngifa rui ro cila
minh khi tham gia giao dich CKPS dfi' thdc hifin diing vi thfi" giao dich. Tie'p theo, cfing tac tuyfin truyin cung se t^p trung cu the ve cd chfi' giao dich td bddc dau td ky quy bdo dam thanh todn, kf quy ban dau, k^ quy duy tri, vi the giao dich... dd nhd dau td nam ro khi tham gia giao dich. Dd'i vdi cac thanh vifin thi trddng. cfing tdc tap hud'n, dao tao se tdp trung vao xay ddng, tfi' chdc bfi phan qudn ly, kiem sodt riii ro trong diu td, giao dich CKPS;
tap hud^n vd qudn ly tai san ky quy, kiem sodt rui ro tlf he thdng tai khodn ciia khdch hang, nham phdt hifin vd xil ly kip thdi nfi'u khdch hang mat kha nang thanh toan; trao ddi kinh nghifim vdi chuyfin gia qufi'c tfi' vl cd chfi' van hanh he thdng tai khoan tai cac thanh vifin giao dich, bii trtf.
Nhln chung, trong thdi gian tdi UBCKNN se phdi hdp vdi cac SGDCK, TTLKCK vd cdc td chdc tai chinh qud'c tfi' de trien khai dinh ky cac cufic hfii thao, tdp hud'n, cac chddng trinh sd ki^n vl CKPS va TTCKPS dddi t^t ca cdc gdc dfi, nhd ve sdn phdm, vl ha tdng vd he thfi'ng cdng nghfi, vl khung phdp ly, qudn ly va dinh hddng phdt tridn, vl cd chfi' qudn ly rui ro cac cap do khac nhau (ca'p dfi nhd dau td, cdp dd thdnh vifin giao dich, thanh vien bil trif, cd'p dfi trung tdm thanh todn bu trd - CCP...) vd danh cho cac dd'i tddng tham gia khdc nhau nhit nhd d i u td, thdnh vifin thi trddng, SGDCK, TTLKCK...
Muc tieu quan trong nhat cua cong tac tuyen truyin, dao tao ve CKPS va TTCKPS la giup ntia dau tit ttieu va biet cacti sCt dung CKPS ntiLf mot cong cu hS trd va quan iy rui ro trong giao djcti ctiCfng lct)oan cd sd.
Tiep den la giup ntia dau tu ntian ttiay cac rui ro tiem dn neu sit dung CKPS ntiU mot cong cu dau cd, Icie'n tgo idi nhugn do tfnh chdt don bdy tai chinh cua cdc san phdm nay.
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Kinh nghiim quic t l cho t h i y d l t r i l n khai TTCKPS t h l n h clng, c l n g t i c tuyin truyin. dao tao cho tdng Chung d i u t u CO vj tri r i t quan trgng. Xin Phd Chd tjch chia s l mdt s l kinh nghiim cda clc nulc v l clng t i c tuyin t r u y i n p h i b i l n v l TTCKPS ma UBCKNN da tham k h i o va du dinh I p d u n g ?Do'i vdi cdc nddc cd thi trddng tai chinh phdt trifi'n Idu ndm thi nha dau td da am hidu khd ro ddi vdi cac CKPS cd ban. Tuy nhien, ddi vdi cac sdn phdm CKPS mdi, phiic tap thi ho cung tdp trung phd bifi'n kifi'n thdc thddng xuyen dd nha d i u td hieu vd y thilc dddc nhflng Flii ro khi tham gia giao dich. Cdc hinh thdc, phddng thilc tuyfin truyin, dao tao ve CKPS tai cdc nddc khd da d^ng. Thit nhdt.
cdc cd quan qudn ly Ugn ^ ^ ^ j ^ g- phdi hdp vdi cdc^hii p hfii, (hanh vifin thi trddng de cung xdy ddng cdc chddng trinh ddo taio, (,. -.n
CHLfNG KHOAN V l f T N A M S6 198 - Ttiang4/2015
DAO TAO VE THI TRl/dNG CHUfNG KHOAN PHAI SINH
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I Pho Chu trch NguySn Thanh Long phSt bi^u l?i HCi thio Khung phfip ly v..
le[Vi$tNam
truyin vdi nfii dung, each thdc phu hdp vdi dfi'i tddng nhd ddu td. Thd hai, hinh thdc tuyen truyen.
dao tao cd the dddc thdc hien qua viec to chile cac khda dao tao trdc tiep, xdy ddng cdc an phd'm, dia CD, ddo tao trdc tuyfi'n, hfii thao, truyen hinh.
dang tdi tren website, cac cuoc thi... Ngoai ra, cac chddng trinh dao tao ve CKPS va TTCKPS cflng dddc ldng ghdp vao chddng trinh ddo tao tai cdc trddng dai hoc... Can ddy, mdt sd' cac qufi'c gia da di xa hdn (vi du nhd Han Quoc kd td nam nay), thi chi cho phep nha diu td da tham gia hoc va da vddt qua mdt sfi' ky thi sdt hach mdi dddc md tai khoan giao djch CKPS.
CKPS. hi thing giam sat va clng bl thing tin duoc triin khai dindlu?
Nham tridn khai De dn xay ddng va phat trien TTCKPS tai Vidt Nam da dddc Thu tddng Chinh phu phfi duyfit tai Quyfi't dinh so' 366/QD-TTg ngay 11/3/2014 theo diing lo trinh, cho dfi'n nay cfing tac chud'n bi da dddc gap riit tridn khai. Ve khung phap ly, dd thao Nghj dinh vl CKPS va TTCKPS dd dddc hoan thien trlnh Chinh phu dd ban hdnh trong thdi gian tdi Song song vdi qua trinh xdy ddng Nghi dinh vl CKPS va TTCKPS, UBCKNN cung da tifi'n hanh dong thdi xay ddng Thfing td nham hddng din Nghi dinh. Cac noi dung ciia dd thao thdng td da dddc chud'n bi khd cfing phu vdi nhieu nfii dung cu thd nham bdo dam tinh tdng thfi' va g^n ket cac noi dung khi tridn khai. Cac noi dung trong dd thao thfing td vl CKPS va TTCKPS deu dda trfin cd sd tham khdo kinh nghifim cdc nddc cd thi trddng phdt trien va trong khu vdc vdi cac thfing le dddc chap nhan phd bidn.
De bdo dam dda vao vdn hdnh TTCKPS theo kd hoach, UBCKNN cung phd'i hdp va chi dao cac SGDCK, TTLKCK nghien cilu xay ddng cac phddng An ve he tho'ng, ha ting ky thudt phu hdp nham bao dam tien dd trifi'n khai cung nhd hieu qud, an toan.
CKPS va TTCKPS Anh: PV
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Xin Pho Chd tjch cho bilt din thdi dilm nay.cdng tac chuin bj cho TTCKPS nhu xly dung khung phap ly. hoan thien co sl ha ting bao gdm hi thing giao djch. thanh toan bU tri
Xin dm on Phd Chd tich!
ThuHlfmgthifc hien
UBCKNN T 5 CHdC KHOA OAO TAO VE CHdNG KHOAN PHAI SINH VA THj TRl/dNG CHdNG KHOAN PHAI SINH
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gay 09/4/2015 tai Ha Noi, Uy ban Chiing khoan Nha nddc (UBCKNN) da to chdc khoa dao tao dau tien ve chiing khoan phai sinh va thi trddng chdng khoan phai sinh (TTCKPS) cho cac can bg chu chdt tat cac ddn vi thuoc va trdc thuoc Uy ban, cac giang vien kiem chdc cua Oy ban va cac giang vien tiem nang tai Trung tam Nghien cdu Khoa hoc va Oao tao Chdng khoan (NCKH&OTCK). IVIuc dich cua khoa hoc nay la nham cung cap cac kien thilc ve chiing khodn phai sinh va TTCKPS mpt each tong quan, cd he thdng va toan dien cho doi ngu can bo cong chdc, vien chdc chu chot cua UBCKNN, ddng thdi dap dng yeu cau cong tac trong giai doan tdi. Giang vien la cac can bfi thudc To phai sinh cua UBCKNN trUc tiep tham gia soan thao giao trinh "Chdng khoan phai sinh va TTCKPS".Sau khoa hoc nay, UBCKNN se td chdc khoa dao tao tiep theo ve chdng khoan phai sinh va TTCKPS tai Trung tam NCKH&DTCK d^nh cho cac cong chdc, vien chdc ciia UBCKNN.
PV
So 198 - Thang4/2015 CHLfNG KHOAN VIET NAM
