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V?2????????????6????????????????????????2?4? ?????/? ???????? ? ????/?  ???????? ?????/? ???????? ? ????/?  ???????? ?????/? ???????? ? ????/?  ???????? ?????/? ???????? ? ????/?  ???????? ?????/? ???????? ? ????/?  ????????p?2???????????T??!` ???_AWN1... ?>?>??+???????????????????<.d??L??????"Ln(??? *???????????? ?????? ? ???????????? ??????????????????????? 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?: 102/2021/TT-BTCH? N?i, ng?y 17 th?ng 11 nm 2021?TH?NG T?QUY ?NH GI? D?CH V? TRONG L(NH V?C CH?NG KHO?N ?P D?NG T?I C?C T? CH?C KINH DOANH CH?NG KHO?N, NG?N H?NG TH??NG M?I THAM GIA V?O TH? TR??NG CH?NG KHO?N VI?T NAMCn c? Lu?t ch?ng kho?n ng?y 26 th?ng 11 nm 2019;Cn c? Lu?t ph? v? l? ph? ng?y 25 th?ng 11 nm 2015;Cn c? Lu?t gi? ng?y 20 th?ng 6 nm 2012;Cn c? Ngh? ?nh s? 177/2013/N-CP ng?y 14 th?ng 11 nm 2013 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 gi? v? Ngh? ?nh s? 149/2016/N-CP ng?y 11 th?ng 11 nm 2016 c?a Ch?nh ph? s?a ?i, b? sung m?t s? i?u c?a Ngh? ?nh s? 177/2013/N-CP ng?y 14 th?ng 11 nm 2013;Cn c? Ngh? ?nh s? 155/2020/N-CP ng?y 31 th?ng 12 nm 2020 c?a Ch?nh ph? quy ?nh chi ti?t thi h?nh m?t s? i?u c?a Lu?t ch?ng kho?n;Cn c? Ngh? ?nh s? 158/2020/N-CP ng?y 31 th?ng 12 nm 2020 c?a Ch?nh ph? v? ch?ng kho?n ph?i sinh v? th? tr??ng ch?ng kho?n ph?i sinh;Cn c? Ngh? ?nh s? 87/2017/N-CP ng?y 26 th?ng 7 nm 2017 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 C?c tr??ng C?c Qu?n l? gi? v? 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? quy ?nh gi? d?ch v? trong l)nh v?c ch?ng kho?n ?p d?ng t?i c?c t? ch?c kinh doanh ch?ng kho?n, ng?n h?ng th??ng m?i tham gia v?o th? tr??ng ch?ng kho?n Vi?t Nam.i?u 1. Ph?m vi i?u ch?nhTh?ng t? n?y quy ?nh gi? d?ch v? trong l)nh v?c ch?ng kho?n ?p d?ng t?i c?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n tham gia v?o th? tr??ng ch?ng kho?n Vi?t Nam.i?u 2. ?i t??ng ?p d?ng1. T? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n ?p d?ng t?i Th?ng t? n?y bao g?m: c?c t? ch?c kinh doanh ch?ng kho?n (c?ng ty ch?ng kho?n, c?ng ty qu?n l? qu? ?u t? ch?ng kho?n, chi nh?nh c?ng ty ch?ng kho?n n??c ngo?i t?i Vi?t Nam, chi nh?nh c?ng ty qu?n l? qu? n??c ngo?i t?i Vi?t Nam), ng?n h?ng th??ng m?i, chi nh?nh ng?n h?ng n??c ngo?i, Trung t?m d?ch v?, doanh nghi?p ?u gi? t?i s?n theo quy ?nh c?a ph?p lu?t v? ?u gi? t?i s?n tham gia v?o th? tr??ng ch?ng kho?n Vi?t Nam theo quy ?nh c?a ph?p lu?t (sau ?y g?i chung l? c?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n).2. T? ch?c, c? nh?n s? d?ng d?ch v? trong l)nh v?c ch?ng kho?n ??c cung c?p b?i t? ch?c cung c?p d?ch v? ch?ng kho?n n?u t?i kho?n 1 i?u n?y.3. T? ch?c, c? nh?n kh?c c? li?n quan.i?u 3. Gi? d?ch v? trong l)nh v?c ch?ng kho?n1. Gi? d?ch v? ?p d?ng t?i c?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n ??c quy ?nh chi ti?t t?i Bi?u gi? d?ch v? ban h?nh k?m theo Th?ng t? n?y.Cn c? quy ?nh ph?p lu?t v? gi?, ph?p lu?t c? li?n quan, m?c gi? t?i a, khung gi? quy ?nh t?i Bi?u gi? d?ch v? ban h?nh k?m theo Th?ng t? n?y, c?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n quy?t ?nh m?c gi? c? th? ph? h?p v?i th?c t? cung ?ng d?ch v?.2. Gi? d?ch v? trong l)nh v?c ch?ng kho?n quy ?nh t?i Th?ng t? n?y l? gi? kh?ng ch?u thu? gi? tr? gia tng theo quy ?nh t?i Lu?t thu? gi? tr? gia tng v? vn b?n s?a ?i, b? sung (n?u c?).3. Khi thu ti?n d?ch v?, c?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n s? d?ng h?a ?n theo quy ?nh c?a ph?p lu?t.4. Ngu?n thu t? cung c?p d?ch v?, sau khi th?c hi?n ngh)a v? v?i ng?n s?ch nh? n??c theo quy ?nh c?a ph?p lu?t th? ph?n c?n l?i t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n qu?n l?, s? d?ng theo quy ?nh c?a ph?p lu?t.5. ?i v?i c?c d?ch v? kh?c kh?ng quy ?nh t?i Bi?u gi?, c?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n ??c t? ?nh gi? v? ch?u tr?ch nhi?m v? m?c gi? d?ch v? do m?nh cung ?ng ph? h?p v?i th?c t? cung ?ng d?ch v?, quy ?nh c?a ph?p lu?t v? gi?, ph?p lu?t v? ch?ng kho?n, ph?p lu?t c? li?n quan.6. C?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n ph?i th?c hi?n ni?m y?t gi?, c?ng khai gi?, ch?p h?nh theo quy ?nh c?a ph?p lu?t v? gi?, ph?p lu?t v? ch?ng kho?n v? vn b?n h??ng d?n c? li?n quan.i?u 4. 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 2022 v? thay th? Th?ng t? s? 128/2018/TT-BTC ng?y 27 th?ng 12 nm 2018 c?a B? tr??ng B? T?i ch?nh quy ?nh gi? d?ch v? trong l)nh v?c ch?ng kho?n ?p d?ng t?i c?c t? ch?c kinh doanh ch?ng kho?n, ng?n h?ng th??ng m?i tham gia v?o th? tr??ng ch?ng kho?n Vi?t Nam.2. ?i v?i c?c h?p ?ng cung c?p d?ch v? trong l)nh v?c ch?ng kho?n ? ??c k? k?t tr??c ng?y Th?ng t? n?y c? hi?u l?c th? ti?p t?c th?c hi?n theo quy ?nh t?i Th?ng t? s? 128/2018/TT-BTC ng?y 27 th?ng 12 nm 2018 c?a B? tr??ng B? T?i ch?nh quy ?nh gi? d?ch v? trong l)nh v?c ch?ng kho?n ?p d?ng t?i c?c t? ch?c kinh doanh ch?ng kho?n, ng?n h?ng th??ng m?i tham gia v?o th? tr??ng ch?ng kho?n Vi?t Nam cho ?n khi k?t th?c h?p ?ng.3. Trong qu? tr?nh th?c hi?n, n?u c? v??ng m?c ? ngh? c?c t? ch?c, c? nh?n ph?n ?nh k?p th?i v? B? T?i ch?nh ? nghi?n c?u, h??ng d?n b? sung./.? N?i nh?n: - Th? t??ng Ch?nh ph?, c?c Ph? th? t??ng Ch?nh ph?; - Vn ph?ng Ch?nh ph?; - Vn ph?ng Trung ??ng ?ng; - Vn ph?ng T?ng B? th?; - Vn ph?ng Qu?c h?i; - Vn ph?ng Ch? t?ch n??c; - Vi?n Ki?m s?t nh?n d?n t?i cao; - T?a ?n nh?n d?n t?i cao; - Ki?m to?n Nh? n??c; - C?c B?, c? quan ngang B?, c? quan thu?c Ch?nh ph?; - HND, UBND c?c t?nh, th?nh ph? tr?c thu?c TW; - C? quan Trung ??ng c?a c?c o?n th?; - C?ng b?o; - S? T?i ch?nh, C?c Thu?, Kho b?c Nh? n??c c?c t?nh, th?nh ph? tr?c thu?c Trung ??ng; - C?c ki?m tra vn b?n (B? T? ph?p); - C?c ?n v? thu?c B? T?i ch?nh; - Ph?ng Th??ng m?i v? C?ng nghi?p Vi?t Nam; - Website Ch?nh ph?; - Website BTC; - L?u: VT, QLGKT. B? TR??NG TH? TR??NG T? Anh Tu?n?BI?U GI? D?CH V? TRONG L(NH V?C CH?NG KHO?N ?P D?NG T?I C?C T? CH?C KINH DOANH CH?NG KHO?N, NG?N H?NG TH??NG M?I THAM GIA TH? TR??NG CH?NG KHO?N VI?T NAM(Ban h?nh k?m theo Th?ng t? s? 102/2021/TT-BTC ng?y 17 th?ng 11 nm 2021 c?a B? tr??ng B? T?i ch?nh) A. GI? D?CH V? ?P D?NG T?I TH? TR??NG CH?NG KHO?N C? S?STTT?N GI? D?CH V?M?C GI?T? CH?C CUNG C?P D?CH V? TRONG L(NH V?C CH?NG KHO?N?I T??NG TR?1Gi? d?ch v? b?o l?nh ph?t h?nh khi th?c hi?n c? ph?n h?a doanh nghi?p nh? n??cT? 0,5% ?n 2% t?ng gi? tr? b?o l?nh ph?t h?nh ?i v?i c? phi?uT? ch?c th?c hi?n b?o l?nh ph?t h?nhT? ch?c ph?t h?nh2Gi? d?ch v? m?i gi?i mua, b?n c? phi?u, ch?ng ch? qu?, ch?ng quy?n c? b?o ?m???a)Gi? d?ch v? m?i gi?i mua, b?n c? phi?u, ch?ng ch? qu?, ch?ng quy?n c? b?o ?m (?p d?ng cho ch?ng kho?n ni?m y?t v? ch?ng kho?n ng k? giao d?ch)T?i a 0,45% gi? tr? giao d?chC?ng ty ch?ng kho?nKh?ch h?ngb)Gi? d?ch v? m?i gi?i mua, b?n c? phi?u, ch?ng ch? qu? ni?m y?t/ng k? giao d?ch, ch?ng quy?n c? b?o ?m trong tr??ng h?p b?n (tho?i) ph?n v?n nh? n??c v? v?n c?a doanh nghi?p nh? n??c ?u t? v?o doanh nghi?p kh?c (bao g?m vi?c chuy?n nh??ng ngo?i h? th?ng giao d?ch c?a S? giao d?ch ch?ng kho?n)T?i a 0,03% gi? tr? giao d?ch v? t?i a kh?ng qu? 3 t? ?ng/01 l?n giao d?ch/01 t? ch?c b?n (tho?i) v?n, m?c gi? tr?n ch?a bao g?m kho?n ti?n m? c?ng ty ch?ng kho?n n?p cho S? giao d?ch ch?ng kho?n v? T?ng c?ng ty l?u k? v? b? tr? ch?ng kho?n Vi?t Nam theo quy ?nh (n?u c?). Tr??ng h?p ?c bi?t m? chi ph? cung c?p d?ch v? v??t m?c t?i a, c?c ?n v? b?o c?o B? tr??ng B? T?i ch?nh xem x?t, quy?t ?nh theo quy ?nh c?a ph?p lu?t v? gi? v? ph?p lu?t li?n quan.3Gi? d?ch v? qu?n l? qu? ?u t? ch?ng kho?n ?i ch?ng, c?ng ty ?u t? ch?ng kho?n ?i ch?ngT?i a 2%/gi? tr? t?i s?n r?ng c?a qu? (NAV) ho?c gi? tr? t?i s?n r?ng c?a danh m?c/nmC?ng ty qu?n l? qu? ?u t? ch?ng kho?nQu? ?u t? ch?ng kho?n ?i ch?ng, c?ng ty ?u t? ch?ng kho?n ?i ch?ng4Gi? d?ch v? gi?m s?t t?i s?n c?a qu? ?ng, c?ng ty ?u t? ch?ng kho?n ?i ch?ngT?i a 0,15% gi? tr? t?i s?n gi?m s?tNg?n h?ng gi?m s?tQu? ?ng, c?ng ty ?u t? ch?ng kho?n ?i ch?ng5Gi? d?ch v? ?i di?n ng??i s? h?u tr?i phi?uT?i a 0,1% t?ng gi? tr? tr?i phi?u ph?t h?nh?i di?n ng??i s? h?u tr?i phi?u theo quy ?nh c?a ph?p lu?tT? ch?c ph?t h?nh tr?i phi?u6Gi? d?ch v? ph?t h?nh ch?ng ch? qu? ?ng, c? phi?u c?a c?ng ty ?u t? ch?ng kho?n ?i ch?ng???a)T?ng gi? tr? ch?ng ch? qu?, c? phi?u ch?o b?n d??i 500 t? ?ng2%/v?n huy ?ng/?t ph?t h?nh ch?ng ch? qu?, c? phi?uC?ng ty qu?n l? qu? ?u t? ch?ng kho?nQu? ?ng, c?ng ty ?u t? ch?ng kho?n ?i ch?ngb)T?ng gi? tr? ch?ng ch? qu?, c? phi?u ch?o b?n tr?n 500 t? ?ng ?n d??i 1000 t? ?ng1,5%/v?n huy ?ng/?t ph?t h?nh ch?ng ch? qu?, c? phi?uc)T?ng gi? tr? ch?ng ch? qu?, c? phi?u ch?o b?n t? 1000 t? ?ng tr? l?n1%/v?n huy ?ng/?t ph?t h?nh ch?ng ch? qu?, c? phi?u7Gi? d?ch v? ph?t h?nh, mua l?i, chuy?n ?i ch?ng ch? qu? m????a)Gi? d?ch v? ph?t h?nh ch?ng ch? qu? m?T?i a 5%/gi? tr? giao d?chC?ng ty qu?n l? qu? ?u t? ch?ng kho?nKh?ch h?ngb)Gi? d?ch v? mua l?i, chuy?n ?i ch?ng ch? qu? m?T?i a 3%/gi? tr? giao d?chC?ng ty qu?n l? qu? ?u t? ch?ng kho?nKh?ch h?ng8Gi? d?ch v? ph?t h?nh, mua l?i ch?ng ch? qu? ETF???a)Gi? d?ch v? ph?t h?nh, mua l?i ch?ng ch? qu? ETF ?p d?ng ?i v?i nh? ?u t?T?i a 1%/gi? tr? giao d?ch C?ng ty qu?n l? quy ?u t? ch?ng kho?nKh?ch h?ng (nh? ?u t?)b)Gi? d?ch v? ph?t h?nh, mua l?i ch?ng ch? qu? ETF ?p d?ng ?i v?i th?nh vi?n l?p qu?T?i a 0,5%/ gi? tr? giao d?ch C?ng ty qu?n l? qu? ?u t? ch?ng kho?nKh?ch h?ng (th?nh vi?n l?p qu?)9Gi? d?ch v? thanh to?n b? tr? ti?n giao d?ch ch?ng kho?n???a)C? phi?u, ch?ng ch? qu?, ch?ng quy?n c? b?o ?m (kh?ng bao g?m ch?ng ch? qu? m?)0,01% gi? tr? thanh to?n c?a t?ng th?nh vi?n/ph??ng th?c thanh to?n/ng?y thanh to?n, nh?ng t?i thi?u kh?ng th?p h?n 5.000 ?ng/ng?y/th?nh vi?n, t?i a 300.000 ?ng/ng?y/th?nh vi?nNg?n h?ng thanh to?nTh?nh vi?n l?u k?, t? ch?c m? t?i kho?n tr?c ti?p, th?nh vi?n b? tr? sau 12 th?ng k? t? ng?y ch?nh th?c tri?n khai c? ch? ?i t?c b? tr? trung t?mb)Tr?i phi?u doanh nghi?p0,001% gi? tr? thanh to?n c?a t?ng th?nh vi?n/ph??ng th?c thanh to?n/ng?y thanh to?n, nh?ng t?i thi?u kh?ng th?p h?n 5.000 ?ng/ng?y/th?nh vi?n, t?i a 300.000 ?ng/ng?y/th?nh vi?n10Gi? d?ch v? ?u gi?T? 20 tri?u ?ng/1 cu?c b?n ?u gi? c? ph?n/m?i lo?i ch?ng kho?n ?n 0,15% tr?n t?ng gi? tr? c? ph?n v? c?c lo?i ch?ng kho?n th?c t? b?n ??c, t?i a l? 150 tri?u ?ng/1 cu?c b?n ?u gi?C?c t? ch?c cung c?p d?ch v? trong l)nh v?c ch?ng kho?n ??c ph?p t? ch?c b?n ?u gi? c? ph?n v? c?c lo?i ch?ng kho?n theo quy ?nh c?a ph?p lu?tC?c doanh nghi?p, t? ch?c, c? nh?n c? c? ph?n v? c?c lo?i ch?ng kho?n ??c b?n ?u gi? theo quy ?nh c?a ph?p lu?tB. GI? D?CH V? ?P D?NG T?I TH? TR??NG CH?NG KHO?N PH?I SINHSTTT?N GI? D?CH V?M?C GI?T? CH?C CUNG C?P D?CH V? 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