??ࡱ?>?? ??????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????? ????bjbj??? *?ËË?R??????????????????????D2\?,??????i"?l?8ceeeeee$$??:?]?/ii//???????////????c//c///????????%?????//O?0,///?/ ////////??////,////????????????????????????????????????????????????????????????????????/////////? ?: B? T?I CH?NH --------C?NG H?A X? H?I CH? NGH(A VI?T NAM ?c l?p - T? do - H?nh ph?c ----------------S?: 180/2015/TT-BTCH? N?i, ng?y 13 th?ng 11 nm 2015?TH?NG T?H??NG D?N V? NG K? GIAO D?CH CH?NG KHO?N TR?N H? TH?NG GIAO D?CH CHO CH?NG KHO?N CH?A NI?M Y?TCn c? Lu?t Ch?ng kho?n ng?y 29 th?ng 06 nm 2006;Cn c? Lu?t s?a ?i, b? sung m?t s? i?u c?a Lu?t Ch?ng kho?n ng?y 24 th?ng 11 nm 2010;Cn c? Lu?t Doanh nghi?p ng?y 26 th?ng 11 nm 2014;Cn c? Ngh? ?nh s? 58/2012/N-CP ng?y 20 th?ng 7 nm 2012 c?a Ch?nh ph? quy ?nh chi ti?t v? h??ng d?n thi h?nh m?t s? i?u c?a Lu?t Ch?ng kho?n v? Lu?t s?a ?i, b? sung m?t s? i?u c?a Lu?t Ch?ng kho?n;Cn c? Ngh? ?nh s? 60/2015/N-CP ng?y 26 th?ng 6 nm 2015 c?a Ch?nh ph? s?a ?i, b? sung m?t s? i?u c?a Ngh? ?nh s? 58/2012/N-CP ng?y 20 th?ng 7 nm 2012 c?a Ch?nh ph? quy ?nh chi ti?t v? h??ng d?n thi h?nh m?t s? i?u c?a Lu?t Ch?ng kho?n v? Lu?t s?a ?i, b? sung m?t s? i?u c?a Lu?t Ch?ng kho?n;Cn c? Ngh? ?nh s? 215/2013/N-CP ng?y 23 th?ng 12 nm 2013 c?a Ch?nh ph? quy ?nh ch?c nng, nhi?m v?, quy?n h?n v? c? c?u t? ch?c c?a B? T?i ch?nh;Theo ? ngh? c?a Ch? t?ch ?y ban Ch?ng kho?n Nh? n??c;B? tr??ng B? T?i ch?nh ban h?nh Th?ng t? h??ng d?n v? ng k? giao d?ch ch?ng kho?n tr?n h? th?ng giao d?ch cho ch?ng kho?n ch?a ni?m y?t.i?u 1. Ph?m vi i?u ch?nh v? ?i t??ng ?p d?ng1. Th?ng t? n?y h??ng d?n v? ?i t??ng, h? s?, th? t?c ng k? giao d?ch ch?ng kho?n c?a c?c c?ng ty ?i ch?ng ch?a ni?m y?t v? h?y ni?m y?t t?i S? giao d?ch ch?ng kho?n.2. Th?ng t? n?y ?p d?ng ?i v?i c?c ?i t??ng sau:a) T? ch?c ph?t h?nh;b) C?ng ty ?i ch?ng;c) S? giao d?ch ch?ng kho?n, Trung t?m l?u k? ch?ng kho?n Vi?t Nam;d) C? quan, t? ch?c, c? nh?n kh?c c? li?n quan.i?u 2. Gi?i th?ch t? ng?Ngo?i c?c thu?t ng? ? ??c gi?i th?ch trong Ngh? ?nh s? 58/2012/N-CP ng?y 20 th?ng 7 nm 2012 c?a Ch?nh ph? quy ?nh chi ti?t v? h??ng d?n thi h?nh m?t s? i?u c?a Lu?t Ch?ng kho?n v? Lu?t s?a ?i, b? sung m?t s? i?u c?a Lu?t Ch?ng kho?n (sau ?y g?i l? Ngh? ?nh s? 58/2012/N-CP) v? Ngh? ?nh s? 60/2015/N-CP ng?y 26 th?ng 6 nm 2015 s?a ?i, b? sung m?t s? i?u c?a Ngh? ?nh s? 58/2012/N-CP (sau ?y g?i l? Ngh? ?nh s? 60/2015/N-CP), trong Th?ng t? n?y, c?c t? ng? d??i ?y ??c hi?u nh? sau:1. H? th?ng giao d?ch cho ch?ng kho?n ch?a ni?m y?t (sau ?y g?i t?t l? h? th?ng giao d?ch Upcom) l? h? th?ng giao d?ch cho ch?ng kho?n ch?a ni?m y?t do S? giao d?ch ch?ng kho?n H? N?i t? ch?c.2. Ch?ng kho?n ng k? giao d?ch l? ch?ng kho?n c?a c?ng ty ?i ch?ng ??c ch?p thu?n ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom.3. ng k? giao d?ch l? vi?c ?a ch?ng kho?n c?ng ty ?i ch?ng v?o giao d?ch tr?n h? th?ng giao d?ch Upcom.4. T? ch?c ng k? giao d?ch l? c?ng ty ?i ch?ng c? ch?ng kho?n ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom.5. C?m t?  c?ng ty ,  doanh nghi?p v?  t? ch?c ??c s? d?ng v?i ngh)a nh? nhau trong Th?ng t? n?y.i?u 3. ?i t??ng v? th?i h?n th?c hi?n ng k? giao d?ch1. ?i t??ng ng k? giao d?cha) C?ng ty ?i ch?ng kh?ng ? i?u ki?n ni?m y?t ph?i ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom;b) C?ng ty ?i ch?ng ? i?u ki?n ni?m y?t nh?ng ch?a ni?m y?t tr?n S? giao d?ch ch?ng kho?n ph?i ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom;c) C?ng ty h?y ni?m y?t ph?i ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom n?u v?n ?p ?ng i?u ki?n l? c?ng ty ?i ch?ng (bao g?m c? tr??ng h?p b? h?y ni?m y?t do c?ng ty h?nh th?nh sau h?p nh?t, s?p nh?p, ho?n ?i kh?ng ?p ?ng i?u ki?n ni?m y?t);d) Doanh nghi?p nh? n??c ? ch?o b?n ch?ng kho?n ra c?ng ch?ng, n?u ch?a ni?m y?t tr?n S? giao d?ch ch?ng kho?n th? ph?i ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom.2. Th?i h?n th?c hi?n ng k? giao d?cha) Trong th?i h?n ba m??i (30) ng?y, k? t? ng?y ?y ban Ch?ng kho?n Nh? n??c c? c?ng vn x?c nh?n ho?n t?t vi?c ng k? c?ng ty ?i ch?ng theo quy ?nh t?i i?u 34 Ngh? ?nh s? 58/2012/N-CP, c?ng ty ?i ch?ng c? tr?ch nhi?m ho?n t?t vi?c ng k? ch?ng kho?n t?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam v? ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom;b) Trong th?i h?n ba m??i (30) ng?y k? t? ng?y k?t th?c ?t ch?o b?n ch?ng kho?n ra c?ng ch?ng, t? ch?c ph?t h?nh ch?a ni?m y?t ch?ng kho?n ph?i ho?n t?t vi?c ng k? ch?ng kho?n t?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam v? ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom;c) Trong v?ng m??i (10) ng?y l?m vi?c k? t? ng?y h?y ni?m y?t c? hi?u l?c, S? giao d?ch ch?ng kho?n c? tr?ch nhi?m ph?i h?p v?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam ng k? giao d?ch ?i v?i c? phi?u c?a c?ng ty b? h?y ni?m y?t l? c?ng ty ?i ch?ng. Quy ?nh n?y ?p d?ng cho ch?ng kho?n b? h?y ni?m y?t bao g?m c? tr??ng h?p h?y ni?m y?t b?t bu?c, h?y ni?m y?t t? nguy?n v? ch?ng kho?n b? h?y ni?m y?t do c?ng ty ni?m y?t sau khi s?p nh?p, ho?c ph?t h?nh c? phi?u ? ho?n ?i kh?ng ?p ?ng i?u ki?n ni?m y?t;d) Trong v?ng s?u (06) th?ng, k? t? ng?y ??c c?p Gi?y ch?ng nh?n ng k? doanh nghi?p, c?ng ty h?p nh?t t? c?c doanh nghi?p trong ? c? c?ng ty ni?m y?t, m? sau h?p nh?t, c?ng ty h?p nh?t kh?ng ?p ?ng i?u ki?n ni?m y?t theo quy ?nh ph?i ho?n t?t th? t?c ng k? giao d?ch.i?u 4. Th? t?c, h? s? ng k? giao d?ch1. ?i v?i c?ng ty ?i ch?ng ? ng k? ch?ng kho?n t?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam:1.1. H? s? ng k? giao d?ch ch?ng kho?n bao g?m:a) Gi?y ? ngh? ng k? giao d?ch ch?ng kho?n theo m?u quy ?nh t?i Ph? l?c s? 01 ban h?nh k?m theo Th?ng t? n?y;b) Th?ng tin t?m t?t v? c?ng ty theo m?u quy ?nh t?i Ph? l?c s? 08 ban h?nh k?m theo Ngh? ?nh s? 58/2012/N-CP;c) B?o c?o t?i ch?nh nm li?n tr??c nm ng k? giao d?ch ? ??c ki?m to?n theo quy ?nh ph?p lu?t v? b?o c?o ki?m to?n v?n (tr??ng h?p c? tng v?n trong nm ng k? giao d?ch);d) B?n sao Gi?y ch?ng nh?n ng k? ch?ng kho?n c?a Trung t?m l?u k? ch?ng kho?n Vi?t Nam v? b?n sao c?ng vn th?ng b?o cho Trung t?m l?u k? ch?ng kho?n Vi?t Nam v? vi?c ng k? ng?y ch?t danh s?ch c? ?ng ? ng k? giao d?ch.1.2. H? s? ng k? giao d?ch ch?ng kho?n t?i i?m 1.1 kho?n 1 i?u n?y ??c l?p th?nh m?t (01) b? b?n g?c k?m theo m?t (01) b?n d? li?u i?n t? (n?u c?), n?p tr?c ti?p ho?c qua ??ng b?u i?n cho S? giao d?ch ch?ng kho?n H? N?i.1.3. Trong v?ng nm (05) ng?y l?m vi?c k? t? ng?y nh?n ??c h? s? ?y ?, h?p l?, S? giao d?ch ch?ng kho?n H? N?i c?p Quy?t ?nh ch?p thu?n ng k? giao d?ch ?ng th?i th?c hi?n c?ng b? th?ng tin ra th? tr??ng. Tr??ng h?p t? ch?i, S? giao d?ch ch?ng kho?n H? N?i ph?i tr? l?i b?ng vn b?n v? n?u r? l? do.2. ?i v?i c?ng ty ?i ch?ng ch?a ng k? ch?ng kho?n t?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam:2.1. H? s? ng k? giao d?ch ch?ng kho?n bao g?m:a) H? s? ng k? ch?ng kho?n t?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam theo quy ?nh ph?p lu?t ch?ng kho?n v? ng k?, l?u k?, b? tr? v? thanh to?n ch?ng kho?n;b) T?i li?u quy ?nh t?i c?c ti?t a, b, c i?m 1.1 kho?n 1 i?u n?y.2.2. T?i li?u quy ?nh t?i ti?t a i?m 2.1 kho?n 2 i?u n?y ??c l?p th?nh m?t (01) b? b?n g?c k?m theo m?t (01) b?n d? li?u i?n t? (n?u c?), n?p tr?c ti?p ho?c qua ??ng b?u i?n cho Trung t?m l?u k? ch?ng kho?n Vi?t Nam. T?i li?u quy ?nh t?i ti?t b i?m 2.1 kho?n 2 i?u n?y ??c l?p th?nh m?t (01) b? b?n g?c k?m theo m?t (01) b?n d? li?u i?n t?, n?p tr?c ti?p ho?c qua ??ng b?u i?n cho S? giao d?ch ch?ng kho?n H? N?i.2.3. Trong v?ng nm (05) ng?y l?m vi?c k? t? ng?y nh?n ??c h? s? ?y ?, h?p l?, Trung t?m l?u k? ch?ng kho?n Vi?t Nam c?p Gi?y ch?ng nh?n ng k? ch?ng kho?n cho t? ch?c ph?t h?nh ?ng th?i g?i gi?y ch?ng nh?n ng k? ch?ng kho?n cho S? giao d?ch ch?ng kho?n H? N?i. Trong v?ng nm (05) ng?y l?m vi?c, k? t? ng?y nh?n ??c Gi?y ch?ng nh?n ng k? ch?ng kho?n v? h? s? ?y ?, h?p l? quy ?nh t?i ti?t b i?m 2.1 kho?n 2 i?u n?y, S? giao d?ch ch?ng kho?n H? N?i c?p Quy?t ?nh ch?p thu?n ng k? giao d?ch ?ng th?i th?c hi?n c?ng b? th?ng tin ra th? tr??ng. Tr??ng h?p t? ch?i, S? giao d?ch ch?ng kho?n H? N?i ph?i tr? l?i b?ng vn b?n v? n?u r? l? do.3. Trong v?ng m??i (10) ng?y k? t? ng?y ban h?nh Quy?t ?nh ch?p thu?n ng k? giao d?ch, c?ng ty ?i ch?ng c? tr?ch nhi?m ?a c? phi?u v?o giao d?ch tr?n h? th?ng giao d?ch Upcom.4. Tr??ng h?p ng k? giao d?ch theo quy ?nh t?i i?m c kho?n 2 i?u 3 Th?ng t? n?y, vi?c ng k? giao d?ch c? phi?u do c?c S? giao d?ch ch?ng kho?n ph?i h?p v?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam t? th?c hi?n.5. Doanh nghi?p nh? n??c c? ph?n h?a d??i h?nh th?c ch?o b?n c? phi?u ra c?ng ch?ng theo quy ?nh ph?p lu?t v? c? ph?n h?a, ph?i ho?n t?t ngh)a v? b?o c?o, c?ng b? th?ng tin v? k?t qu? ?t ch?o b?n, ng k? ch?ng kho?n v? ng k? giao d?ch theo tr?nh t? sau:a) Trong th?i h?n 10 ng?y k? t? ng?y k?t th?c ?t ch?o b?n, doanh nghi?p c? tr?ch nhi?m b?o c?o ?y ban Ch?ng kho?n Nh? n??c v? c?ng b? th?ng tin v? k?t qu? ch?o b?n k?m theo x?c nh?n c?a ng?n h?ng th??ng m?i n?i m? t?i kho?n phong t?a v? s? ti?n thu ??c t? ?t ch?o b?n;b) Trong th?i h?n 03 ng?y l?m vi?c k? t? ng?y nh?n ??c b?o c?o k?t qu? ch?o b?n, ?y ban Ch?ng kho?n Nh? n??c g?i th?ng b?o x?c nh?n k?t qu? ch?o b?n cho doanh nghi?p, S? Giao d?ch ch?ng kho?n v? Trung t?m l?u k? ch?ng kho?n Vi?t Nam;c) Trong v?ng s?u m??i (60) ng?y k? t? ng?y nh?n ??c th?ng b?o x?c nh?n k?t qu? ch?o b?n c?a ?y ban Ch?ng kho?n Nh? n??c, doanh nghi?p ph?i ho?n t?t th? t?c ng k? ch?ng kho?n t?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam v? ng k? giao d?ch theo quy ?nh t?i kho?n 2 i?u n?y.i?u 5. Thay ?i ng k? giao d?ch1. C?c tr??ng h?p thay ?i ng k? giao d?ch bao g?m:a) T? ch?c ng k? giao d?ch th?c hi?n t?ch, g?p c? phi?u, ph?t h?nh th?m c? phi?u ? tr? c? t?c ho?c c? phi?u th??ng ho?c ch?o b?n quy?n mua c? ph?n cho c? ?ng hi?n h?u ? tng v?n i?u l?;b) T? ch?c ng k? giao d?ch b? t?ch ho?c nh?n s?p nh?p doanh nghi?p.2. H? s?, th? t?c thay ?i ng k? giao d?cha) C?ng ty ?i ch?ng c? tr?ch nhi?m ho?n t?t th? t?c thay ?i ng k? giao d?ch ?i v?i c? phi?u ph?t h?nh trong c?c ?t ch?o b?n ra c?ng ch?ng v? ch?o b?n ri?ng l? trong th?i h?n ba m??i (30) ng?y, k? t? ng?y ho?n t?t ?t ch?o b?n;b) H? s? thay ?i ng k? giao d?ch bao g?m:- Gi?y ? ngh? thay ?i ng k? giao d?ch theo m?u quy ?nh t?i Ph? l?c 02 ban h?nh k?m theo Th?ng t? n?y;- B?n sao Gi?y ch?ng nh?n ng k? ch?ng kho?n ? ??c i?u ch?nh do Trung t?m l?u k? ch?ng kho?n Vi?t Nam c?p;- C?c t?i li?u li?n quan ?n vi?c thay ?i s? l??ng ch?ng kho?n ng k? giao d?ch.d) Trong v?ng nm (05) ng?y l?m vi?c k? t? ng?y nh?n ??c h? s? ?y ? v? h?p l?, S? giao d?ch ch?ng kho?n H? N?i c?p Quy?t ?nh ch?p thu?n thay ?i ng k? giao d?ch ?ng th?i th?c hi?n c?ng b? th?ng tin ra th? tr??ng. Tr??ng h?p t? ch?i, S? giao d?ch ch?ng kho?n H? N?i tr? l?i c?ng ty ?i ch?ng b?ng vn b?n v? n?u r? l? do.i?u 6. H?y ng k? giao d?ch1. Ch?ng kho?n b? h?y *,????????   $ & 6 8 @ P  x z * , ? ? ? ? ? ? h l ? ? ? ? ? ? ,.RV????????TX????????????(*4>????8<>@?????????????????????????????????????????????????????????????????????????????????????h?0\6?]?mH*sH* h?0\6?]?h?0\mH*sH*h?0\h?0\5?\?mH*sH* h?0\5?\?R,???: ??n?c $?x$Ifa$?kd$$If??????????????????0??~ ,"? ????????????????????????????????? t??0???????????????????????????????????6?????????????????????????????????????2?2? l4?a?p????? $?x$Ifa$: < @ R  z , ? .??*@??\????????????????? $?x?\$a$?x?\$_kd?$$If?0??~ ,"? ????????????????????????????????? t??6?????????????????????????????????????2?2? l4?a?p???????Z\????:<???? (,???????\d?DFL\bpt???FHRTZfj|*,248DJNRd??LN????X Z r!t!~!?!""" "$"*">"?????????????????????????????????????????????????????????????????????????????????? h?0\5?\? h?0\6?]?h?0\6?]?mH*sH*h?0\5?\?mH*sH*h?0\mH*sH*h?0\R??<???FT,?N?Z ?!z#?$%?'*?-(0z081?1?2d3?4?6?????????????????????????????x?\$>"D"x#z#$$?$?$%%~%?%?'?'?'?'?)*?-?-&0(0x0z06181?1?1~2?2b3d3?4?4?6?6?6?6X8Z8?9?9:: :$:?:?:~;?;?;?;$=&=?=?=@?D?AA?A?A?B?B?C?C?C?C(D,D6DI@I?I?I?I?I(J*JNJ????????????????????????????????????????????????????????????????????????????????????????????h?0\5?\?mH*sH*h?0\mH*sH*h?0\\?6Z8?:?;?;&=?=A(F?G@IFKfMqss8t>t?t?tvvPvRv?w?w?????????????????????????????????????????????????????????????????????????????????????????Uh?0\5?\?mH*sH*h?0\mH*sH*h?0\Yng k? giao d?ch trong c?c tr??ng h?p sau:a) T? ch?c ng k? giao d?ch kh?ng c?n ?p ?ng i?u ki?n l? c?ng ty ?i ch?ng theo th?ng b?o h?y ng k? c?ng ty ?i ch?ng c?a ?y ban Ch?ng kho?n Nh? n??c;b) T? ch?c ng k? giao d?ch ch?m d?t s? t?n t?i do b? s?p nh?p, h?p nh?t, chia, gi?i th? ho?c ph? s?n;c) T? ch?c ng k? giao d?ch b? thu h?i gi?y ch?ng nh?n ng k? doanh nghi?p ho?c gi?y ph?p th?nh l?p v? ho?t ?ng trong l)nh v?c chuy?n ng?nh;d) T? ch?c ng k? giao d?ch ??c ch?p thu?n ni?m y?t t?i S? giao d?ch ch?ng kho?n.2. S? giao d?ch ch?ng kho?n H? N?i ban h?nh Quy?t ?nh h?y ng k? giao d?ch v? c?ng b? th?ng tin ra th? tr??ng.i?u 7. i?u kho?n thi h?nh1. Th?ng t? n?y c? hi?u l?c thi h?nh k? t? ng?y 01 th?ng 01 nm 2016 thay th? cho Th?ng t? s? 01/2015/TT-BTC ng?y 05 th?ng 01 nm 2015 c?a B? tr??ng B? T?i ch?nh h??ng d?n ng k? giao d?ch ch?ng kho?n c?a c?ng ty ?i ch?ng ch?a ni?m y?t.2. Trong v?ng m?t (01) nm k? t? ng?y Th?ng t? c? hi?u l?c, c?ng ty ? l? c?ng ty ?i ch?ng v? c?ng ty ?i ch?ng ? h?y ni?m y?t tr??c th?i i?m Th?ng t? n?y c? hi?u l?c ph?i ho?n t?t th? t?c ng k? giao d?ch tr?n h? th?ng giao d?ch Upcom.3. Tr?n c? s? quy ?nh t?i Th?ng t? n?y, S? giao d?ch ch?ng kho?n H? N?i ban h?nh quy ch? ho?t ?ng nghi?p v? sau khi ??c s? ch?p thu?n c?a ?y ban Ch?ng kho?n Nh? n??c.4. C?c S? giao d?ch ch?ng kho?n, Trung t?m l?u k? ch?ng kho?n Vi?t Nam v? c?c c? quan, t? ch?c, c? nh?n li?n quan c? tr?ch nhi?m th?c hi?n Th?ng t? n?y.??N?i nh?n: - Vn ph?ng Ch?nh ph?; - Vn ph?ng T?ng b? th?; - Vn ph?ng Trung ??ng v? c?c Ban c?a ?ng; - Vn ph?ng Qu?c h?i; - Vn ph?ng Ch? t?ch n??c; - Vn ph?ng Ban ch? ?o TW v? ph?ng ch?ng tham nhing; - C?c B?, c? quan ngang B?, c? quan thu?c Ch?nh ph?; - C? quan Trung ??ng c?a c?c o?n th?; - HND, UBND c?c t?nh, th?nh ph? tr?c thu?c Trung ??ng; - Vi?n KSNDTC, T?a ?n NDTC; - Ki?m to?n Nh? n??c; - C?ng b?o; Website Ch?nh ph?; - C?c ki?m tra vn b?n - B? T? ph?p; - C?c ?n v? thu?c B? T?i ch?nh; - Website B? T?i ch?nh; - L?u: VT, UBCK.KT. B? TR??NG TH? TR??NG Tr?n Xu?n H??PH? L?C 01M?U GI?Y ? NGH? NG K? GIAO D?CH (Ban h?nh k?m theo Th?ng t? s? 180/2015/TT-BTC ng?y 13 th?ng 11 nm 2015 c?a B? T?i ch?nh h??ng d?n v? ng k? giao d?ch ch?ng kho?n tr?n h? th?ng giao d?ch cho ch?ng kho?n ch?a ni?m y?t)C?NG H?A X? H?I CH? NGH(A VI?T NAM ?c l?p - T? do - H?nh ph?c --------------?GI?Y ? NGH? NG K? GIAO D?CHCh?ng kho?n:........(t?n ch?ng kho?n)K?nh g?i: S? Giao d?ch Ch?ng kho?n H? N?iI. Gi?i thi?u v? c?ng ty ?i ch?ng ? ngh? ng k? giao d?ch:1. T?n t? ch?c ? ngh? ng k? giao d?ch (?y ?):......................................................2. T?n Ti?ng Anh (n?u c?):........................................................................................... 3. T?n vi?t t?t (n?u c?):................................................................................................. 4. V?n i?u l? ng k?:................................................................................................. 5. V?n i?u l? th?c g?p:............................................................................................... 6. ?a ch? tr? s? ch?nh:.................................................................................................. 7. i?n tho?i:.....................................................Fax:.....................................................8. N?i m? t?i kho?n:....................................S? hi?u t?i kho?n:.....................................9. Cn c? ph?p l? ho?t ?ng kinh doanh:Gi?y ch?ng nh?n ng k? doanh nghi?p s?:...................do.............c?p ng?y................ho?c Gi?y ph?p th?nh l?p v? ho?t ?ng s?:....................do....................c?p ng?y.........- Ng?nh ngh? kinh doanh ch? y?u:..................................M? s?:....................................- S?n ph?m/d?ch v? ch?nh:............................................................................................. II. Ch?ng kho?n ng k? giao d?ch:1. T?n ch?ng kho?n:..................................................................................................... 2. Lo?i ch?ng kho?n:.................................................................................................... 3. M? ch?ng kho?n:..................................................................................................... 4. M?nh gi? ch?ng kho?n:.................................................?ng5. S? l??ng ch?ng kho?n ng k? giao d?ch:..........................................ch?ng kho?n6. Th?i gian d? ki?n giao d?ch:...................................................................................... 7. T? l? s? c? ph?n ng k? giao d?ch tr?n t?ng s? c? ph?n ? ph?t h?nh:...................................................................................................................................................... III. H? s? k?m theo:1. B?n sao Gi?y ch?ng nh?n ng k? ch?ng kho?n do Trung t?m L?u k? Ch?ng kho?n Vi?t Nam c?p.2. Th?ng tin t?m t?t (theo m?u s? 08 Ph? l?c ban h?nh k?m theo Ngh? ?nh 58/2012/N-CP c?a Ch?nh ph? quy ?nh chi ti?t v? h??ng d?n thi h?nh m?t s? i?u c?a Lu?t Ch?ng kho?n v? Lu?t s?a ?i, b? sung m?t s? i?u c?a Lu?t Ch?ng kho?n).3. C?c t?i li?u kh?c (n?u c?).??.........., ng?y........th?ng......nm..... ?I DI?N THEO PH?P LU?T C?A T? CH?C KGD (K?, ghi r? h? t?n v? ?ng d?u)?PH? L?C 02M?U GI?Y ? NGH? THAY ?I NG K? GIAO D?CH (Ban h?nh k?m theo Th?ng t? s? 180/2015/TT-BTC ng?y 13 th?ng 11 nm 2015 c?a B? T?i ch?nh h??ng d?n v? ng k? giao d?ch ch?ng kho?n tr?n h? th?ng giao d?ch cho ch?ng kho?n ch?a ni?m y?t)C?NG H?A X? H?I CH? NGH(A VI?T NAM ?c l?p - T? do - H?nh ph?c --------------?GI?Y ? NGH? THAY ?I NG K? GIAO D?CHCh?ng kho?n:..........(t?n ch?ng kho?n)K?nh g?i: S? Giao d?ch Ch?ng kho?n H? N?iI. Gi?i thi?u v? t? ch?c ng k? giao d?ch1. T?n t? ch?c ng k? giao d?ch (?y ?):.................................................................... 2. T?n giao d?ch:.......................................................................................................... 3. V?n i?u l? hi?n t?i:.................................................................................................. 4. ?a ch? tr? s? ch?nh:.................................................................................................. 5. i?n tho?i:...................................................Fax:...................................................... 6. N?i m? t?i kho?n:.......................................S? hi?u t?i kho?n:................................... 7. Cn c? ph?p l? ho?t ?ng kinh doanh- Gi?y ch?ng nh?n ng k? doanh nghi?p s?..............ng?y.... th?ng ... nm.......... (s?a ?i l?n th? .............. ng?y............)- Ng?nh ngh? kinh doanh ch? y?u:................................. M? s?:.................................... - S?n ph?m/d?ch v? ch?nh:............................................................................................. II. Ch?ng kho?n thay ?i ng k? giao d?ch:1. T?n ch?ng kho?n:..................................................................................................... 2. Lo?i ch?ng kho?n:.................................................................................................... 3. M? ch?ng kho?n:..................................................................................................... 4. M?nh gi? ch?ng kho?n:............................................?ng5. S? l??ng ch?ng kho?n thay ?i ng k? giao d?ch:..................................................6. S? l??ng ch?ng kho?n ng k? giao d?ch sau khi thay ?i ng k? giao d?ch: .....................................................ch?ng kho?n.7. L? do thay ?i ng k? giao d?ch:............................................................................. 8. Th?i gian d? ki?n ng k? giao d?ch:......................................................................... III. C?c b?n li?n quan (n?u c?):1. T? ch?c t? v?n:........................................................................................................ - ?a ch? tr? s? ch?nh:.................................................................................................... - i?n tho?i:.............................................................Fax:................................................- Website:.................................................................................................................... 2. C?ng ty ki?m to?n:................................................................................................... - ?a ch? tr? s? ch?nh:.................................................................................................... - i?n tho?i:........................................................Fax:.....................................................- Website:.................................................................................................................... 3. C?c b?n li?n quan kh?c:- ?a ch? tr? s? ch?nh:.................................................................................................... - i?n tho?i:...........................................................Fax:..................................................- Website: ................................................................................................................... IV. Cam k?t c?a t? ch?c ng k? giao d?ch:Ch?ng t?i xin ?m b?o r?ng nh?ng s? li?u trong h? s? n?y l? ?y ? v? ?ng s? th?t, kh?ng ph?i l? s? li?u gi? ho?c thi?u c? th? l?m cho ng??i mua ch?ng kho?n ch?u thi?t h?i. Ch?ng t?i cam k?t nghi?n c?u ?y ? v? th?c hi?n nghi?m ch?nh c?c vn b?n ph?p lu?t v? ch?ng kho?n v? th? tr??ng ch?ng kho?n v? ch?u m?i h?nh th?c x? l? n?u vi ph?m cam k?t n?u tr?n.V. H? s? k?m theo:1. B?n sao Gi?y ch?ng nh?n ng k? ch?ng kho?n i?u ch?nh do Trung t?m L?u k? Ch?ng kho?n Vi?t Nam c?p;2. Quy?t ?nh v? vi?c t?ch, s?p nh?p t? ch?c ng k? giao d?ch (tr??ng h?p t? ch?c ng k? giao d?ch t?ch ho?c nh?n s?p nh?p);3. B?n sao h?p l? Gi?y ch?ng nh?n ng k? doanh nghi?p c?a t? ch?c ng k? giao d?ch s?p nh?p (tr??ng h?p nh?n s?p nh?p), t? ch?c ng k? giao d?ch b? t?ch (tr??ng h?p t?ch t? ch?c ng k? giao d?ch);4. C?c t?i li?u kh?c li?n quan ?n vi?c thay ?i s? l??ng ch?ng kho?n ng k? giao d?ch (n?u c?).??.........., ng?y........th?ng......nm..... ?I DI?N THEO PH?P LU?T C?A T? 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