??ࡱ?>?? ????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????????[? ???Ybjbj???? *nΐΐ????????????????????????|S??q?'''''??d4???????$i? 6???PPP???''?+PPPP?'?'?PP?PPP'?????~??6???PPpA0qPAPAPA?P PPPPPPPP??PPPPqPPPP????????????????????????????????????????????????????????????????????APPPPPPPPP? ?: 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?: 65/2016/TT-BTCH? N?i, ng?y 26 th?ng 4 nm 2016?TH?NG T?QUY ?NH M?C THU, CH? ? THU, N?P, QU?N L? V? S? D?NG PH? HO?T ?NG CH?NG KHO?N ?P D?NG T?I C?C S? GIAO D?CH CH?NG KHO?N V? TRUNG T?M L?U K? CH?NG KHO?N VI?T NAMCn c? Lu?t Ch?ng kho?n ng?y 29 th?ng 6 nm 2006 v? 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? Ph?p l?nh Ph? v? L? ph? ng?y 28 th?ng 8 nm 2001;Cn c? Ngh? ?nh s? 57/2002/N-CP ng?y 03 th?ng 6 nm 2002 v? Ngh? ?nh s? 24/2006/N-CP ng?y 06 th?ng 3 nm 2006 c?a Ch?nh ph? quy ?nh chi ti?t thi h?nh Ph?p l?nh Ph? v? L? ph?;Cn c? Ngh? ?nh s? 58/2012/N-CP ng?y 20 th?ng 7 nm 2012 v? Ngh? ?nh s? 60/2015/N-CP ng?y 26 th?ng 6 nm 2015 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 V? tr??ng V? Ch?nh s?ch Thu?,B? tr??ng B? T?i ch?nh ban h?nh Th?ng t? quy ?nh m?c thu, ch? ? thu, n?p, qu?n l? v? s? d?ng ph? ho?t ?ng ch?ng kho?n ?p d?ng t?i c?c S? giao d?ch ch?ng kho?n v? Trung t?m l?u k? ch?ng kho?n Vi?t Nam nh? sau:i?u 1. Ph?m vi i?u ch?nhTh?ng t? n?y ?p d?ng ?i v?i c?c c?ng vi?c li?n quan ?n tri?n khai ho?t ?ng ch?ng kho?n t?i S? giao d?ch ch?ng kho?n (SGDCK) v? t?i Trung t?m l?u k? ch?ng kho?n Vi?t Nam (VSD).i?u 2. ?i t??ng n?p ph??i t??ng n?p ph? l? t? ch?c, c? nh?n th?c hi?n c?ng vi?c li?n quan ?n c?c nghi?p v? c?a th? tr??ng giao d?ch ch?ng kho?n quy ?nh trong Bi?u ph? ban h?nh k?m theo Th?ng t? n?y, bao g?m c?c c?ng ty ch?ng kho?n; ng?n h?ng th??ng m?i; t? ch?c ng k? ni?m y?t; t? ch?c ni?m y?t; c?ng ty qu?n l? qu? c? ch?ng ch? qu? ni?m y?t; t? ch?c ph?t h?nh; t? ch?c m? t?i Kho?n tr?c ti?p t?i VSD; c? nh?n, t? ch?c th?c hi?n chuy?n quy?n s? h?u ch?ng kho?n kh?ng qua h? th?ng giao d?ch c?a SGDCK.i?u 3. T? ch?c thu ph?T? ch?c thu ph? ho?t ?ng ch?ng kho?n quy ?nh t?i Th?ng t? n?y l? SGDCK, VSD ??c th?nh l?p v? ho?t ?ng t?i Vi?t Nam.i?u 4. Bi?u ph? v? c?ch x?c ?nh s? ph? ph?i n?pM?c thu ph? quy ?nh t?i Bi?u ph? ban h?nh k?m theo Th?ng t? n?y. S? ph? ph?i n?p ?i v?i m?t s? lo?i ph? ??c x?c ?nh c? th? nh? sau:1. Ph? qu?n l? th?nh vi?n giao d?chS? ph? qu?n l? th?nh vi?n giao d?ch ph?i n?p=M?c ph?xTh?i gian t?nh ph? (th?ng)12 th?nga) M?c ph? quy ?nh t?i i?m 1 M?c I Bi?u ph?.b) Th?i gian t?nh ph?- Tr??ng h?p t? ch?c ang l? th?nh vi?n giao d?ch c?a SGDCK v? kh?ng ph?t sinh vi?c ch?m d?t t? c?ch th?nh vi?n trong nm th? th?i gian t?nh ph? l? 12 th?ng.- Tr??ng h?p t? ch?c m?i ??c ch?p thu?n l? th?nh vi?n giao d?ch v? kh?ng ph?t sinh vi?c ch?m d?t t? c?ch th?nh vi?n trong c?ng m?t nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n t? c?ch th?nh vi?n ?n h?t th?ng 12 c?a nm ?.- Tr??ng h?p t? ch?c ang l? th?nh vi?n giao d?ch v? b? SGDCK ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n t? nguy?n ho?c b?t bu?c trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng ?u nm ?n h?t th?ng SGDCK th?c hi?n ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n.- Tr??ng h?p t? ch?c m?i ??c ch?p thu?n l? th?nh vi?n giao d?ch c?a SGDCK v? b? SGDCK ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n t? nguy?n ho?c b?t bu?c trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n t? c?ch th?nh vi?n ?n h?t th?ng SGDCK th?c hi?n ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n.c) Tr??ng h?p th?nh vi?n giao d?ch h?nh th?nh sau h?p nh?t, s?p nh?p, chia, t?ch, chuy?n ?i, mua l?i m? ph?i th?c hi?n c?c th? t?c ng k? th?nh vi?n m?i th? ph?i n?p ph? qu?n l? th?nh vi?n giao d?ch t??ng t? nh? tr??ng h?p ng k? l?m th?nh vi?n m?i.d) Ho?n tr? ph?Tr??ng h?p th?nh vi?n giao d?ch ch?m d?t t? c?ch th?nh vi?n, c?c SGDCK ho?n tr? ph? cho th?nh vi?n giao d?ch ph?n ch?nh l?ch gi?a s? ph? m? th?nh vi?n giao d?ch ? n?p trong nm tr? i s? ph? th?c t? ph?i n?p t?nh theo c?ng th?c v? h??ng d?n t?i i?m a, i?m b Kho?n n?y.2. Ph? ng k? ni?m y?ta) M?c ph? quy ?nh t?i i?m 2 M?c I Bi?u ph?.b) Tr??ng h?p t? ch?c ng k? ni?m y?t ??c ch?p thu?n ni?m y?t v? sau ? b? h?y ni?m y?t b?t bu?c ho?c t? nguy?n th? t? ch?c ni?m y?t, c?ng ty qu?n l? qu? kh?ng ??c ho?n tr? ph? ng k? ni?m y?t.3. Ph? qu?n l? ni?m y?tS? ph? qu?n l? ni?m y?t ph?i n?p=M?c ph?xTh?i gian t?nh ph? (th?ng)12 th?nga) M?c ph?- M?c ph? quy ?nh t?i i?m 3 M?c I Bi?u ph? ?p d?ng t??ng ?ng v?i t?ng lo?i ch?ng kho?n v? gi? tr? ni?m y?t.- Tr??ng h?p m?t t? ch?c th?c hi?n ni?m y?t nhi?u lo?i ch?ng kho?n tr?n c?ng m?t SGDCK th? ph? qu?n l? ni?m y?t ??c t?nh tr?n t?ng lo?i ch?ng kho?n.b) Th?i gian t?nh ph?- Tr??ng h?p ch?ng kho?n ang ??c ni?m y?t v? kh?ng b? h?y ni?m y?t trong nm th? th?i gian t?nh ph? l? 12 th?ng.- Tr??ng h?p t? ch?c ng k? ni?m y?t l?n ?u v? kh?ng b? h?y ni?m y?t trong nm th? th?i gian t?nh ph? qu?n l? ni?m y?t c?a nm ?u ti?n s? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n ni?m y?t ?n h?t th?ng 12 c?a nm ?.- Tr??ng h?p ch?ng kho?n ang ??c ni?m y?t v? b? h?y ni?m y?t trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng ?u nm ?n h?t th?ng c?a ng?y h?y ni?m y?t c? hi?u l?c.- Tr??ng h?p ch?ng kho?n ni?m y?t l?n ?u v? b? h?y ni?m y?t trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n ni?m y?t ?n h?t th?ng c?a ng?y h?y ni?m y?t c? hi?u l?c.c) Tr??ng h?p t? ch?c ni?m y?t, c?ng ty qu?n l? qu? c? thay ?i ng k? ni?m y?t d?n ?n thay ?i s? ph? qu?n l? ni?m y?t ph?i n?p (kh?ng ?p d?ng ?i v?i Qu? ho?n ?i danh M?c (ETF)) th? ph? qu?n l? ni?m y?t ??c t?nh b?ng t?ng c?a:- Ph? t?nh theo m?c t??ng ?ng v?i lo?i ch?ng kho?n, gi? tr? ni?m y?t ci t? th?ng ?u nm (ho?c t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n ni?m y?t ?i v?i tr??ng h?p ni?m y?t m?i trong nm) ?n h?t th?ng SGDCK ra Quy?t ?nh ch?p thu?n thay ?i ni?m y?t k? ti?p trong nm.- Ph? t?nh theo m?c t??ng ?ng v?i lo?i ch?ng kho?n, gi? tr? ni?m y?t m?i t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n thay ?i ni?m y?t li?n k? tr??c ? trong nm ?n h?t th?ng SGDCK ra Quy?t ?nh ch?p thu?n thay ?i ni?m y?t l?n ti?p theo ho?c ?n h?t th?ng 12 c?a nm ?.d) Ho?n tr? ph? ho?c thu b? sung ph?- Tr??ng h?p ch?ng kho?n b? h?y ni?m y?t trong nm, c?c SGDCK ho?n tr? ph? cho t? ch?c ni?m y?t, c?ng ty qu?n l? qu? c? ch?ng ch? qu? ni?m y?t ph?n ch?nh l?ch gi?a s? ph? ? n?p trong nm tr? i s? ph? th?c t? ph?i n?p t?nh theo c?ng th?c v? h??ng d?n t?i i?m a, i?m b Kho?n n?y.- Tr??ng h?p thay ?i ni?m y?t d?n ?n s? ph? sau khi thay ?i ni?m y?t tng l?n ho?c gi?m xu?ng so v?i s? ph? ? n?p th? c?c SGDCK t?nh to?n l?i ph?n ch?nh l?ch ? thu b? sung ho?c ho?n tr? ph? cho t? ch?c ni?m y?t, c?ng ty qu?n l? qu?.4. Ph? giao d?chS? ph? m?i th?nh vi?n giao d?ch ph?i n?p=M?c ph?xT?ng gi? tr? giao d?ch c?a m?i th?nh vi?n?T?ng gi? tr? giao d?ch c?a m?i th?nh vi?n=Gi? tr? mua ch?ng kho?n+Gi? tr? b?n ch?ng kho?na) M?c ph? quy ?nh t?i i?m 4 M?c I Bi?u ph?.b) Ph? giao d?ch mua b?n l?i tr?i phi?u (repo) ch? t?nh m?t l?n theo gi? tr? giao d?ch l?n ?u.5. Ph? k?t n?i tr?c tuy?nPh? k?t n?i tr?c tuy?n bao g?m ph? k?t n?i l?n ?u v? ph? duy tr? k?t n?i ?nh k?.a) Ph? k?t n?i l?n ?u- M?c ph? k?t n?i l?n ?u quy ?nh t?i i?m 5.1 M?c I Bi?u ph?.- Tr??ng h?p th?nh vi?n giao d?ch tr?c tuy?n h?nh th?nh sau h?p nh?t, s?p nh?p, chia, t?ch, chuy?n ?i, mua l?i th? ph? k?t n?i tr?c tuy?n l?n ?u ??c t?nh nh? sau:+ Thu ph? k?t n?i tr?c tuy?n l?n ?u ?i v?i th?nh vi?n ho?t ?ng kh?ng d?a tr?n nguy?n tr?ng h? t?ng c? s? v?t ch?t, h? th?ng c?ng ngh? th?ng tin v? ph?n m?m giao d?ch c?a m?t trong c?c th?nh vi?n tham gia h?p nh?t, s?p nh?p, chia, t?ch, chuy?n ?i, mua l?i v? c?c SGDCK ph?i th?c hi?n kh?o s?t c? s? v?t ch?t k? thu?t t?i c?ng ty tr??c khi ch?p thu?n th?nh vi?n.+ Kh?ng thu ph? k?t n?i tr?c tuy?n l?n ?u ?i v?i th?nh vi?n ho?t ?ng d?a tr?n nguy?n tr?ng h? t?ng c? s? v?t ch?t, h? th?ng c?ng ngh? th?ng tin v? ph?n m?m giao d?ch c?a m?t trong c?c th?nh vi?n tham gia h?p nh?t, s?p nh?p, chia, t?ch, chuy?n ?i, mua l?i ho?c c? thay ?i nguy?n tr?ng h? t?ng c? s? v?t ch?t, h? th?ng c?ng ngh? th?ng tin v? ph?n m?m giao d?ch nh?ng c?c SGDCK kh?ng ph?i th?c hi?n kh?o s?t c? s? v?t ch?t k? thu?t t?i c?ng ty tr??c khi ch?p thu?n th?nh vi?n.b) Ph? duy tr? k?t n?i ?nh k?S? ph? duy tr? k?t n?i ?nh k? ph?i n?p=M?c ph?xTh?i gian t?nh ph? (th?ng)12 th?ng- M?c ph? quy ?nh t?i i?m 5.2 M?c I Bi?u ph?.- Th?i gian t?nh ph?:+ Tr??ng h?p th?nh vi?n giao d?ch ang l? th?nh vi?n giao d?ch tr?c tuy?n v? kh?ng b? SGDCK ng?ng k?t n?i giao d?ch tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n trong nm th? th?i gian t?nh ph? l? 12 th?ng.+ Tr??ng h?p th?nh vi?n giao d?ch tr?c tuy?n m?i v? kh?ng b? SGDCK ng?ng k?t n?i giao d?ch tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n l?m th?nh vi?n giao d?ch tr?c tuy?n ?n h?t th?ng 12 c?a nm ?.+ Tr??ng h?p th?nh vi?n giao d?ch ang l? th?nh vi?n giao d?ch tr?c tuy?n v? ng?ng k?t n?i giao d?ch tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng ?u nm ?n h?t th?ng SGDCK th?c hi?n ng?ng k?t n?i giao d?ch tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n.+ Tr??ng h?p th?nh vi?n giao d?ch tr?c tuy?n m?i v? ng?ng k?t n?i giao d?ch tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n l?m th?nh vi?n giao d?ch tr?c tuy?n ?n h?t th?ng SGDCK th?c hi?n ng?ng k?t n?i giao d?ch tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n.c) Tr??ng h?p th?nh vi?n giao d?ch h?nh th?nh sau h?p nh?t, s?p nh?p, chia, t?ch, chuy?n ?i, mua l?i m? ph?i th?c hi?n c?c th? t?c ng k? th?nh vi?n giao d?ch tr?c tuy?n m?i th? ph?i n?p ph? duy tr? k?t n?i ?nh k? t??ng t? nh? tr??ng h?p ng k? l?m th?nh vi?n giao d?ch tr?c tuy?n m?i.d) Ho?n tr? ph?Tr??ng h?p th?nh vi?n giao d?ch ng?ng k?t n?i giao d?ch tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n, c?c SGDCK ho?n tr? ph? duy tr? k?t n?i ?nh k? cho th?nh vi?n giao d?ch tr?c tuy?n ph?n ch?nh l?ch gi?a s? ph? m? th?nh vi?n giao d?ch tr?c tuy?n ? n?p trong nm tr? i s? ph? th?c t? ph?i n?p t?nh theo h??ng d?n t?i i?m b Kho?n n?y.6. Ph? s? d?ng thi?t b? ?u cu?iS? ph? s? d?ng thi?t b? ?u cu?i ph?i n?p=M?c ph?xTh?i gian t?nh ph? (th?ng)12 th?nga) M?c ph? quy ?nh t?i i?m 6 M?c I Bi?u ph?.b) Th?i gian t?nh ph?- Tr??ng h?p c?ng ty ch?ng kho?n ang l? th?nh vi?n giao d?ch c?a SGDCK v? kh?ng b? SGDCK ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n t? nguy?n ho?c b?t bu?c trong c?ng m?t nm th? th?i gian t?nh ph? l? 12 th?ng.- Tr??ng h?p t? ch?c m?i ??c ch?p thu?n l? th?nh vi?n giao d?ch v? kh?ng b? SGDCK ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n t? nguy?n ho?c b?t bu?c trong c?ng m?t nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n t? c?ch th?nh vi?n ?n h?t th?ng 12 c?a nm ?.- Tr??ng h?p c?ng ty ch?ng kho?n ang l? th?nh vi?n giao d?ch c?a SGDCK v? b? SGDCK ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n t? nguy?n ho?c b?t bu?c trong c?ng m?t nm th? th?i gian t?nh ph? ??c t?nh t? th?ng ?u nm ?n h?t th?ng SGDCK th?c hi?n ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ?i v?i th?nh vi?n ? ch?m d?t t? c?ch th?nh vi?n.- Tr??ng h?p t? ch?c m?i ??c ch?p thu?n l? th?nh vi?n giao d?ch v? b? SGDCK ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ? ch?m d?t t? c?ch th?nh vi?n t? nguy?n ho?c b?t bu?c trong c?ng m?t nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng SGDCK ra Quy?t ?nh ch?p thu?n t? c?ch th?nh vi?n ?n h?t th?ng SGDCK th?c hi?n ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ?i v?i th?nh vi?n ? ch?m d?t t? c?ch th?nh vi?n.c) Tr??ng h?p th?nh vi?n giao d?ch h?nh th?nh sau h?p nh?t, s?p nh?p, chia, t?ch, chuy?n ?i, mua l?i m? ph?i th?c hi?n c?c th? t?c ng k? th?nh vi?n m?i th? ph?i n?p ph? s? d?ng thi?t b? ?u cu?i t??ng t? nh? tr??ng h?p ng k? l?m th?nh vi?n m?i.d) Ho?n tr? ph?Tr??ng h?p th?nh vi?n giao d?ch ch?m d?t t? c?ch th?nh vi?n, c?c SGDCK ho?n tr? ph? cho th?nh vi?n giao d?ch ph?n ch?nh l?ch cn c? v?o s? ph? m? th?nh vi?n giao d?ch ? n?p trong nm tr? i s? ph? th?c t? ph?i n?p theo h??ng d?n t?i c?ng th?c v? i?m a, i?m b Kho?n n?y.7. Ph? qu?n l? th?nh vi?n l?u k?S? ph? qu?n l? th?nh vi?n l?u k? ph?i n?p=M?c ph?xTh?i gian t?nh ph? (th?ng)12 th?nga) M?c ph? quy ?nh t?i i?m 7 M?c II Bi?u ph?.b) Th?i gian t?nh ph?- Tr??ng h?p t? ch?c ang l? th?nh vi?n l?u k? c?a VSD v? kh?ng b? VSD thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k? trong nm th? th?i gian t?nh ph? l? 12 th?ng.- Tr??ng h?p t? ch?c m?i ??c ch?p thu?n l? th?nh vi?n l?u k? v? kh?ng b? VSD thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k? trong c?ng m?t nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng VSD ra Quy?t ?nh c?p Gi?y ch?ng nh?n th?nh vi?n l?u k? ?n h?t th?ng 12 c?a nm ?.- Tr??ng h?p t? ch?c ang l? th?nh vi?n l?u k? c?a VSD v? b? VSD thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k? trong nm th? th?i gian t?nh ph? ??c t?nh t? th?ng ?u nm ?n h?t th?ng VSD ra Quy?t ?nh thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k?.- Tr??ng h?p t? ch?c m?i ??c ch?p thu?n l? th?nh vi?n l?u k? v? b? VSD thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k? trong c?ng m?t nm th? th?i gian t?nh ph? ??c t?nh t? th?ng sau li?n k? th?ng VSD ra Quy?t ?nh c?p Gi?y ch?ng nh?n Th?nh vi?n l?u k? ?n h?t th?ng VSD ra Quy?t ?nh thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k?.c) Th?nh vi?n l?u k? h?nh th?nh sau h?p nh?t, s?p nh?p, chia, t?ch, chuy?n ?i, mua l?i m? ph?i l?m c?c th? t?c ng k? th?nh vi?n l?u k? v?i VSD th? th?c hi?n n?p ph? qu?n l? th?nh vi?n l?u k? nh? c?c tr??ng h?p ng k? l?m th?nh vi?n l?u k? m?i.d) Ho?n tr? ph?Tr??ng h?p th?nh vi?n l?u k? b? thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k?, VSD ho?n tr? ph? cho th?nh vi?n l?u k? ph?n ch?nh l?ch cn c? v?o s? ph? m? th?nh vi?n l?u k? ? n?p trong nm tr? i s? ph? th?c t? ph?i n?p t?nh theo c?ng th?c v? h??ng d?n t?i i?m a, i?m b Kho?n n?y.8. Ph? ng k? ch?ng kho?nM?c ph? quy ?nh t?i i?m 8 M?c II Bi?u ph?.9. Ph? l?u k? ch?ng kho?nS? ph? l?u k? ch?ng kho?n ph?i n?p=M?c ph?xSVi30a) M?c ph? quy ?nh t?i i?m 9 M?c II Bi?u ph?.b) C?ch t?nh SViVi l? s? l??ng ch?ng kho?n l?u k? c?a ng?y i ??c x?c ?nh b?ng c?ch c?ng d?n s? d? ch?ng kho?n l?u k? tr?n t?t c? c?c t?i Kho?n l?u k? ch?ng kho?n c?a ho?t ?ng m?i gi?i cing nh? t? doanh ?i v?i ch?ng kho?n.i = 1->n l? c?c ng?y trong th?ng ph?t sinh s? d? ch?ng kho?n l?u k?.S? d? ch?ng kho?n l?u k? h?ng ng?y ??c t?nh v?o th?i i?m cu?i ng?y tr?n c? s? ch?ng t? ? ??c VSD x?c nh?n hi?u l?c.10. Ph? chuy?n Kho?n ch?ng kho?na) Ph? chuy?n Kho?n ch?ng kho?n gi?a c?c t?i Kho?n c?a nh? ?u t? t?i c?c th?nh vi?n l?u k? kh?c nhau:S? ph? ph?i n?p trong th?ng b?ng t?ng s? ph? chuy?n Kho?n ng?y i(i = 1->n l? c?c ng?y trong th?ng ph?t sinh giao d?ch chuy?n Kho?n gi?a c?c t?i Kho?n c?a nh? ?u t? t?i c?c th?nh vi?n l?u k? kh?c nhau)S? ph? chuy?n Kho?n ng?y i = S(M?c ph? x Vj)Trong ?:- M?c ph? quy ?nh t?i i?m 10.1 M?c II Bi?u ph?.- Vj l? t?ng s? ch?ng kho?n m? j tr?n m?i t?i Kho?n l?u k? ch?ng kho?n theo y?u c?u chuy?n Kho?n ch?ng kho?n ng?y i c?a th?nh vi?n b?n chuy?n Kho?n ? ??c VSD x?c nh?n ng?y hi?u l?c chuy?n Kho?n (j = 1->m l? c?c m? ch?ng kho?n c? ph?t sinh giao d?ch chuy?n Kho?n gi?a c?c t?i Kho?n c?a nh? ?u t? t?i c?c th?nh vi?n l?u k? kh?c nhau t?i ng?y i).b) Ph? chuy?n Kho?n ch?ng kho?n ? th?c hi?n thanh to?nS? ph? ph?i n?p trong th?ng b?ng t?ng s? ph? chuy?n Kho?n thanh to?n ng?y i(i =1 ->n l? c?c ng?y trong th?ng ph?t sinh giao d?ch chuy?n Kho?n thanh to?n cho c?c giao d?ch b?n ch?ng kho?n)S? ph? chuy?n Kho?n thanh to?n ng?y i = S(M?c ph? x Pj)Trong ?:- M?c ph? quy ?nh t?i i?m 10.2 M?c II Bi?u ph?.- Pj l? t?ng s? ch?ng kho?n m? j (j = 1 ->m l? c?c m? ch?ng kho?n b?n ph?t sinh trong giao d?ch chuy?n Kho?n thanh to?n t?i ng?y i) b?n ph?t sinh trong giao d?ch chuy?n Kho?n thanh to?n t?i ng?y i theo Th?ng b?o k?t qu? giao d?ch c?a VSD.11. Ph? th?c hi?n quy?na) M?c ph? quy ?nh t?i i?m 11 M?c II Bi?u ph?.b) Ph? th?c hi?n quy?n ??c t?nh theo s? l??ng c? ?ng (bao g?m c? c? ?ng ? l?u k? v? c? ?ng ch?a l?u k?) tr?n Danh s?ch t?ng h?p ng??i s? h?u ch?ng kho?n do VSD l?p theo t?ng l?n th?ng b?o ng?y ng k? cu?i c?ng.12. Ph? x? l? l?i sau giao d?chPh? x? l? l?i sau giao d?ch bao g?m ph? s?a l?i sau giao d?ch v? ph? x? l? giao d?ch b? l?i th?i h?n thanh to?n.a) Ph? s?a l?i sau giao d?ch:S? ph? s?a l?i sau giao d?ch ph?i n?p = M?c ph? x n - M?c ph? quy ?nh t?i i?m 12.1 M?c II Bi?u ph?.- n l? s? giao d?ch l?i ? ??c VSD ch?p thu?n x? l?b) Ph? x? l? giao d?ch b? l?i th?i h?n thanh to?n:S? ph? x? l? giao d?ch b? l?i th?i h?n thanh to?n ph?i n?p= M?c ph? x n- M?c ph? quy ?nh t?i i?m 12.2 M?c II Bi?u ph?.- n l? s? giao d?ch b? l?i th?i h?n thanh to?n ? ??c VSD ch?p thu?n x? l?.c) Tr??ng h?p l?i giao d?ch x?y ra do s? c? k? thu?t b?t kh? kh?ng th? t?y theo t?ng s? c? ? t?nh s? ph? x? l? l?i sau giao d?ch theo i?m a v?, ho?c i?m b Kho?n n.0????  6 > N P ? ?     2 6 ~ ? ? ? ? ? ? ?   6 8 ? ? :>`dtvxz?? @B??&(04HLln????Z\vx???? nrvz????????????????????????????????????????????????????????????????????????????????????? h?1p6?]?h?1p6?]?mH*sH*h?1pmH*sH*h?1ph?1p5?\?mH*sH* h?1p5?\?R0???8 ??n?c $?x$Ifa$?kd$$If??????????????????0??? ,"????????????????????????????????? t??0???????????????????????????????????6?????????????????????????????????????2?2? l4?a?p????? $?x$Ifa$8 : > P ? ?  z????R?L|???????????????? $?x?\$a$?x?\$_kd?$$If?0??? ,"????????????????????????????????? t??6?????????????????????????????????????2?2? l4?a?p???????PR????JLz|jl??TV????&(????????<>JLvx????? ? 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,"??????????????????? ???????????????? t??0???????????????????????????????????6?????????????????????????????????????2?2? l4?a?p??????x$If ?y nh?ng t?ng s? ph? th?nh vi?n l?u k? ph?i n?p kh?ng v??t qu? 100 tri?u ?ng/th?nh vi?n/s? c?.13. Ph? chuy?n quy?n s? h?u ch?ng kho?n kh?ng qua h? th?ng giao d?ch c?a SGDCK.S? ph? chuy?n quy?n s? h?u ch?ng kho?n ph?i n?p=M?c ph?xGi? tr? giao d?ch ch?ng kho?n?Gi? tr? giao d?ch ch?ng kho?n=S? l??ng ch?ng kho?n chuy?n quy?n s? h?uxGi? ch?ng kho?na) M?c ph? ??c quy ?nh t?i i?m 13 M?c II Bi?u ph?.b) Gi? ch?ng kho?n ? t?nh gi? tr? chuy?n quy?n s? h?u ??c x?c ?nh nh? sau:- ?i v?i ch?ng kho?n ang ni?m y?t ho?c ng k? giao d?ch:+ Tr??ng h?p chuy?n nh??ng th? gi? ch?ng kho?n t?nh theo gi? ghi tr?n h?p ?ng chuy?n nh??ng nh?ng kh?ng th?p h?n m?c gi? tham chi?u c?a ch?ng kho?n v?o ng?y VSD th?c hi?n chuy?n quy?n s? h?u.+ Tr??ng h?p bi?u, t?ng, cho, th?a k? ho?c h?p ?ng kh?ng c? gi? chuy?n nh??ng ho?c kh?ng c? h?p ?ng chuy?n nh??ng th? gi? ch?ng kho?n t?nh theo gi? tham chi?u c?a ch?ng kho?n v?o ng?y VSD th?c hi?n chuy?n quy?n s? h?u.+ Tr??ng h?p kh?ng c? gi? tham chi?u c?a tr?i phi?u th? gi? ch?ng kho?n t?nh theo m?nh gi? tr?i phi?u.+ Tr??ng h?p chuy?n quy?n s? h?u do b?n ?u gi? th? gi? ch?ng kho?n ??c l?y theo gi? ?u th?nh c?ng c?a nh? ?u t?.- ?i v?i ch?ng kho?n ch?a ni?m y?t ho?c ch?a ng k? giao d?ch th? gi? ch?ng kho?n t?nh theo m?nh gi? ch?ng kho?n.c) Ph? chuy?n quy?n s? h?u ch?ng kho?n ??c c?c b?n th?c hi?n chuy?n quy?n s? h?u (t?i i?m 13.1, i?m 13.3 Bi?u ph?) ho?c b?n nh?n chuy?n quy?n s? h?u (i?m 13.2, i?m 13.4 Bi?u ph?) ho?c nh? ?u t? th?c hi?n ho?n ?i (mua, b?n l?i ch?ng ch? qu? ETF) v?i qu? ETF (i?m 13.5 Bi?u ph?) n?p th?ng qua th?nh vi?n l?u k? n?i c?c b?n th?c hi?n chuy?n quy?n s? h?u m? t?i Kho?n l?u k? ch?ng kho?n ?i v?i ch?ng kho?n ? l?u k? ho?c n?p th?ng qua t? ch?c ph?t h?nh ?i v?i ch?ng kho?n ch?a l?u k?.i?u 5. Ch? ? thu, n?p ph?1. Tr??ng h?p t? ch?c ng k? l?i t? c?ch th?nh vi?n giao d?ch th? n?p ph? qu?n l? th?nh vi?n giao d?ch, ph? duy tr? k?t n?i ?nh k?, ph? s? d?ng thi?t b? ?u cu?i nh? c?c tr??ng h?p ng k? l?m th?nh vi?n m?i.2. Tr??ng h?p c?c th?nh vi?n giao d?ch b? ng?ng giao d?ch ho?c ?nh ch? ho?t ?ng giao d?ch ho?c ng?ng k?t n?i tr?c tuy?n k?o d?i sang nm ti?p theo m? kh?ng b? ch?m d?t t? c?ch th?nh vi?n th? th?nh vi?n giao d?ch v?n ph?i n?p ? ph? qu?n l? th?nh vi?n giao d?ch, ph? duy tr? k?t n?i ?nh k?, ph? s? d?ng thi?t b? ?u cu?i nm ti?p theo.3. Tr??ng h?p c?c th?nh vi?n giao d?ch ? ng?ng giao d?ch ho?c b? ?nh ch? ho?t ?ng giao d?ch ho?c ng?ng k?t n?i tr?c tuy?n ? ch?m d?t t? c?ch th?nh vi?n trong nm ? th? kh?ng ph?i n?p ph? qu?n l? th?nh vi?n giao d?ch, ph? duy tr? k?t n?i ?nh k?, ph? s? d?ng thi?t b? ?u cu?i trong c?c nm ti?p theo.i?u 6. Th?i gian thu, n?p, ho?n tr? ph?1. C?c t? ch?c ang l? th?nh vi?n c?a SGDCK, VSD, c?c t? ch?c ang ni?m y?t t?i c?c SGDCK n?p ph? qu?n l? th?nh vi?n giao d?ch, ph? qu?n l? th?nh vi?n l?u k?, ph? qu?n l? ni?m y?t, ph? duy tr? k?t n?i tr?c tuy?n ?nh k?, ph? s? d?ng thi?t b? ?u cu?i tr??c ng?y 31 th?ng 01 h?ng nm cho SGDCK, VSD.2. C?c t? ch?c m?i ng k? l?m th?nh vi?n c?a SGDCK, VSD v? m?i ng k? ni?m y?t n?p ph? qu?n l? th?nh vi?n giao d?ch, ph? qu?n l? th?nh vi?n l?u k?, ph? qu?n l? ni?m y?t, ph? duy tr? k?t n?i tr?c tuy?n ?nh k?, ph? s? d?ng thi?t b? ?u cu?i trong v?ng 05 ng?y l?m vi?c k? t? ng?y SGDCK ra Quy?t ?nh ch?p thu?n t? c?ch th?nh vi?n, Quy?t ?nh ch?p thu?n ni?m y?t, VSD ra Quy?t ?nh c?p Gi?y ch?ng nh?n th?nh vi?n l?u k?.3. SGDCK, VSD ho?n tr? ph? qu?n l? th?nh vi?n giao d?ch, ph? qu?n l? th?nh vi?n l?u k? cho th?nh vi?n giao d?ch, th?nh vi?n l?u k? trong v?ng 05 ng?y l?m vi?c k? t? ng?y SGDCK ra Quy?t ?nh ch?m d?t t? c?ch th?nh vi?n, VSD ra Quy?t ?nh thu h?i Gi?y ch?ng nh?n th?nh vi?n l?u k?.4. SGDCK thu b? sung ho?c ho?n tr? ph? cho t? ch?c ni?m y?t, c?ng ty qu?n l? qu? trong v?ng 05 ng?y l?m vi?c k? t? ng?y SGDCK ra Quy?t ?nh ch?p thu?n thay ?i ni?m y?t ?i v?i tr??ng h?p thay ?i ni?m y?t ho?c ng?y h?y ni?m y?t c? hi?u l?c ?i v?i tr??ng h?p h?y ni?m y?t.5. Tr??ng h?p ng k? b? sung ch?ng ch? qu? ETF, c?ng ty qu?n l? qu? n?p ph? ng k? ch?ng kho?n b? sung ch?m nh?t v?o ng?y 15 c?a th?ng ti?p theo th?ng ??c VSD th?ng b?o i?u ch?nh Gi?y ch?ng nh?n ng k? ch?ng kho?n.i?u 7. Qu?n l? v? s? d?ng ph?1. Ph? trong l)nh v?c ch?ng kho?n quy ?nh t?i Th?ng t? n?y l? Kho?n thu kh?ng thu?c ng?n s?ch nh? n??c. ?n v? thu ph? c? ngh)a v? n?p thu? theo quy ?nh c?a ph?p lu?t ?i v?i s? ph? thu ??c v? c? quy?n qu?n l?, s? d?ng s? ti?n thu ph? sau khi ? n?p thu? theo quy ?nh c?a ph?p lu?t.2. C?c quy ?nh kh?c v? thu, n?p, qu?n l?, s? d?ng, ch?ng t? thu, c?ng khai ch? ? thu ph? ??c th?c hi?n theo h??ng d?n t?i Th?ng t? 156/2013/TT-BTC ng?y 06/11/2013 c?a B? tr??ng B? T?i ch?nh h??ng d?n thi h?nh m?t s? i?u c?a Lu?t qu?n l? Thu?, Lu?t s?a ?i, b? sung m?t s? i?u c?a Lu?t qu?n l? Thu? v? Ngh? ?nh s? 83/2013/N-CP ng?y 22/7/2013 c?a Ch?nh ph?.3. S? ph? thu ??c t? giao d?ch chuy?n nh??ng ch?ng kho?n quy ?nh t?i i?m 13 (tr? i?m 13.1c v? 13.5) Bi?u ph? ban h?nh k?m theo Th?ng t? n?y ??c ph?n chia cho SGDCK theo t? l? 50% s? ph? thu ??c ?i v?i c?c tr??ng h?p chuy?n quy?n s? h?u ch?ng kho?n ni?m y?t ho?c ng k? giao d?ch tr?n SGDCK.4. C?c t? ch?c, c? nh?n kh?ng n?p ph? ?ng h?n ho?c kh?ng n?p ? s? ti?n ph? th? c?c SGDCK, VSD c?n nh?c t?ng tr??ng h?p ? gia h?n th?i gian n?p ph? ho?c x? l? theo quy ?nh t?i c?c quy ch? nghi?p v? do SGDCK, VSD ban h?nh.5. Ph? ho?t ?ng ch?ng kho?n thu b?ng ?ng Vi?t Nam. Tr??ng h?p ph? giao d?ch tr?i phi?u Ch?nh ph? thu b?ng ngo?i t? ??c t?nh b?ng ?ng Vi?t Nam theo t? gi? trung t?m do Ng?n h?ng Nh? n??c Vi?t Nam c?ng b? v?o ng?y giao d?ch.i?u 8. i?u Kho?n thi h?nh1. Th?ng t? n?y c? hi?u l?c thi h?nh k? t? ng?y 10 th?ng 6 nm 2016 v? thay th? Th?ng t? s? 27/2010/TT-BTC ng?y 26/2/2010 c?a B? tr??ng B? T?i ch?nh quy ?nh m?c thu, ch? ? thu n?p, qu?n l? v? s? d?ng ph? ho?t ?ng ch?ng kho?n ?p d?ng t?i S? giao d?ch ch?ng kho?n v? Trung t?m l?u k? ch?ng kho?n Vi?t Nam v? Th?ng t? s? 02/2013/TT-BTC ng?y 08/01/2013 c?a B? tr??ng B? T?i ch?nh s?a ?i, b? sung Th?ng t? s? 27/2010/TT-BTC ng?y 26/2/2010 c?a B? tr??ng B? T?i ch?nh quy ?nh m?c thu, ch? ? thu n?p, qu?n l? v? s? d?ng ph? ho?t ?ng ch?ng kho?n ?p d?ng t?i c?c S? giao d?ch ch?ng kho?n v? Trung t?m l?u k? ch?ng kho?n Vi?t Nam.2. Tr??ng h?p c?c t? ch?c, c? nh?n ? n?p c?c Kho?n ph? tr??c th?i i?m Th?ng t? n?y c? hi?u l?c v? c? s? ch?nh l?ch v?i s? ph? ph?i n?p theo quy ?nh t?i Th?ng t? n?y th? SGDCK v? VSD kh?ng ho?n tr? l?i ho?c kh?ng thu th?m s? ph? ch?nh l?ch ph?t sinh. ?i v?i ph? qu?n l? th?nh vi?n giao d?ch, ph? qu?n l? ni?m y?t, ph? duy tr? k?t n?i ?nh k?, ph? s? d?ng thi?t b? ?u cu?i, ph? qu?n l? th?nh vi?n l?u k? m? th?nh vi?n giao d?ch, th?nh vi?n l?u k? ? n?p t? ?u nm 2016 th? m?c ph? ? t?nh s? ph? ho?n tr? ??c t?nh theo m?c ph? m? th?nh vi?n giao d?ch, th?nh vi?n l?u k? ? n?p t? ?u nm 2016.3. B?i b? m?c ph? chuy?n nh??ng ch?ng kho?n cho c?c giao d?ch ho?n ?i ch?ng ch? qu? ETF t?i i?m g Kho?n 1 i?u 22 Th?ng t? s? 229/2012/TT-BTC ng?y 27/12/2012 c?a B? tr??ng T?i ch?nh h??ng d?n th?nh l?p v? qu?n l? qu? ho?n ?i danh M?c.4. 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: - 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; - To? ?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?; - Vn ph?ng BC ph?ng ch?ng tham nhing Trung ??ng; - Ki?m to?n Nh? n??c; - C? quan Trung ??ng c?a c?c o?n th?; - C?ng b?o; - ?y ban nh?n d?n, 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; - Website Ch?nh ph?; - Website BTC; - L?u: VT, CST.(350)KT. B? TR??NG TH? TR??NG Vi Th? Mai?BI?U PH? HO?T ?NG CH?NG KHO?N ?P D?NG T?I S? GIAO D?CH CH?NG KHO?N V? TRUNG T?M L?U K? CH?NG KHO?N VI?T NAM(Ban h?nh k?m theo Th?ng t? s? 65/2016/TT-BTC ng?y 26/4/2016)STTT?N PH?M?C THU?I T??NG N?PTH?I GIAN N?PPH?M VI ?P D?NGIPH? ?P D?NG T?I S? GIAO D?CH CH?NG KHO?N1Ph? qu?n l? th?nh vi?n giao d?ch20 tri?u ?ng/nmTh?nh vi?n giao d?ch (c?ng ty ch?ng kho?n, ng?n h?ng th??ng m?i)H?ng nm?p d?ng m?c ph? chung cho th?nh vi?n t?t c? c?c lo?i th? tr??ng v? kh?ng thu theo t? c?ch th?nh vi?n c?a t?ng lo?i th? tr??ng ri?ng bi?t (c? phi?u, tr?i phi?u, UPCOM)2Ph? ng k? ni?m y?t????2.1Ph? ng k? ni?m y?t l?n ?u10 tri?u ?ngT? ch?c ng k? ni?m y?t (t? ch?c ph?t h?nh ang th?c hi?n th? t?c ng k? ni?m y?t l?n ?u)Trong v?ng 05 ng?y l?m vi?c k? t? ng?y SGDCK ra Quy?t ?nh ch?p thu?n ni?m y?t (thu m?t l?n duy nh?t)Kh?ng ?p d?ng ?i v?i tr?i phi?u Ch?nh ph?, tr?i phi?u ??c Ch?nh ph? b?o l?nh, tr?i phi?u ch?nh quy?n ?a ph??ng v? c?c t? ch?c ng k? giao d?ch tr?n UPCOM2.2Ph? thay ?i ng k? ni?m y?t5 tri?u ?ng/l?n thay ?i ng k? ni?m y?tT? ch?c ni?m y?t; C?ng ty qu?n l? qu? c? ch?ng ch? qu? ni?m y?tTrong v?ng 05 ng?y l?m vi?c k? t? ng?y SGDCK ra Quy?t ?nh ch?p thu?n thay ?i ni?m y?tKh?ng ?p d?ng ?i v?i tr?i phi?u Ch?nh ph?, tr?i phi?u ??c Ch?nh ph? b?o l?nh, tr?i phi?u ch?nh quy?n ?a ph??ng, c?c t? ch?c ng k? giao d?ch tr?n UPCOM v? tr??ng h?p thay ?i do th?c hi?n giao d?ch ho?n ?i ch?ng ch? qu? ETF3Ph? qu?n l? ni?m y?t????3.1?i v?i c? phi?u (gi? tr? ni?m y?t theo m?nh gi?)?T? ch?c ni?m y?tH?ng nm?aGi? tr? ni?m y?t d??i 100 t? ?ng15 tri?u ?ngbGi? tr? ni?m y?t t? 100 t? ?n d??i 500 t? ?ng20 tri?u ?ngcGi? tr? ni?m y?t t? 500 t? ?ng tr? l?n20 tri?u ?ng + 0,001% gi? tr? ni?m y?t nh?ng kh?ng v??t qu? 50 tri?u ?ng3.2?i v?i tr?i phi?u, ch?ng ch? qu? ?u t? (kh?ng bao g?m ETF) (gi? tr? ni?m y?t theo m?nh gi?)?T? ch?c ni?m y?t; C?ng ty qu?n l? qu? c? ch?ng ch? qu? ni?m y?tH?ng nmKh?ng ?p d?ng ?i v?i tr?i phi?u Ch?nh ph?, tr?i phi?u ??c Ch?nh ph? b?o l?nh, tr?i phi?u ch?nh quy?n ?a ph??ng ni?m y?t t?i SGDCK.aGi? tr? ni?m y?t d??i 80 t? ?ng15 tri?u ?ngbGi? tr? ni?m y?t t? 80 t? ?n d??i 200 t? ?ng20 tri?u ?ngcGi? tr? ni?m y?t t? 200 t? ?ng tr? l?n20 tri?u ?ng + 0,001% gi? tr? ni?m y?t nh?ng kh?ng v??t qu? 50 tri?u ?ng3.3?i v?i ETF30 tri?u ?ng/nmC?ng ty qu?n l? qu? c? ch?ng ch? qu? ni?m y?tH?ng nm?4Ph? giao d?ch????4.1Ph? giao d?ch th?ng th??ng????aC? phi?u, ch?ng ch? qu? ?u t? ni?m y?t (kh?ng bao g?m ETF)0,03% gi? tr? giao d?ch???bETF ni?m y?t0,02% gi? tr? giao d?chTh?nh vi?n giao d?ch (c?ng ty ch?ng kho?n, ng?n h?ng th??ng m?i)H?ng th?ng v? tr??c ng?y 15 c?a th?ng ti?p theoKh?ng ?p d?ng ?i v?i c?c t? ch?c t?o l?p th? tr??ng th?c hi?n giao d?ch ?i v?i lo?i ETF m? c?c t? ch?c ? ng k? t?o l?p th? tr??ng.cTr?i phi?u (bao g?m tr?i phi?u doanh nghi?p, Tr?i phi?u Ch?nh ph?, t?n phi?u kho b?c, tr?i phi?u ??c Ch?nh ph? b?o l?nh, tr?i phi?u ch?nh quy?n ?a ph??ng)0,0075% gi? tr? giao d?ch?dC? phi?u, ch?ng ch? qu? ng k? giao d?ch (UPCOM)0,02% gi? tr? giao d?ch?4.2Ph? giao d?ch mua b?n l?i (giao d?ch repo) tr?i phi?u??aK? h?n ?n 2 ng?y0,0005% gi? tr? giao d?ch?bK? h?n 3 ?n 14 ng?y0,004% gi? tr? giao d?ch?cK? h?n tr?n 14 ng?y0,0075% gi? tr? giao d?ch?5Ph? k?t n?i tr?c tuy?n????5.1Ph? k?t n?i l?n ?u150 tri?u ?ng/th?nh vi?nTh?nh vi?n giao d?ch (c?ng ty ch?ng kho?n, ng?n h?ng th??ng m?i)Trong v?ng 05 ng?y l?m vi?c k? t? ng?y SGDCK ra Quy?t ?nh ch?p thu?n l?m th?nh vi?n giao d?ch tr?c tuy?n (thu m?t l?n duy nh?t)?5.2Ph? duy tr? k?t n?i ?nh k?50 tri?u ?ng/th?nh vi?n/nmH?ng nm?6Ph? s? d?ng thi?t b? ?u cu?i20 tri?u ?ng/nmTh?nh vi?n giao d?ch (c?ng ty ch?ng kho?n, ng?n h?ng th??ng m?i)H?ng nm?IIPH? ?P D?NG T?I TRUNG T?M L?U K? CH?NG KHO?N7Ph? qu?n l? th?nh vi?n l?u k?20 tri?u ?ng/ nmTh?nh vi?n l?u k? (c?ng ty ch?ng kho?n, ng?n h?ng th??ng m?i)H?ng nm?8Ph? ng k? ch?ng kho?n????8.1Ph? ng k? ch?ng kho?n l?n ?u?T? ch?c ph?t h?nhTrong v?ng 05 ng?y l?m vi?c k? t? ng?y VSD c?p Gi?y ch?ng nh?n ng k? ch?ng kho?n l?n ?uKh?ng ?p d?ng ?i v?i tr?i phi?u Ch?nh ph?, tr?i phi?u ??c Ch?nh ph? b?o l?nh, tr?i phi?u ch?nh quy?n ?a ph??ng.aGi? tr? ng k? ch?ng kho?n d??i 80 t? ?ng10 tri?u ?ngbGi? tr? ng k? ch?ng kho?n t? 80 t? ?n d??i 200 t? ?ng15 tri?u ?ngcGi? tr? ng k? ch?ng kho?n t? 200 t? ?ng tr? l?n20 tri?u ?ng8.2Ph? ng k? ch?ng kho?n b? sung??Kh?ng ?p d?ng ?i v?i tr?i phi?u Ch?nh ph?, tr?i phi?u ??c Ch?nh ph? b?o l?nh, tr?i phi?u ch?nh quy?n ?a ph??ng.aC? phi?u, tr?i phi?u doanh nghi?p, ch?ng ch? qu? ?u t? (kh?ng bao g?m ETF)5 tri?u ?ng/l?n ng k? ch?ng kho?n b? sungTrong v?ng 05 ng?y l?m vi?c k? t? ng?y VSD c?p Gi?y ch?ng nh?n ng k? ch?ng kho?n ? ??c i?u ch?nhbCh?ng ch? qu? ETF500.000 ?ng/l?n ng k? ch?ng kho?n b? sungH?ng th?ng v? tr??c ng?y 15 c?a th?ng ti?p theo9Ph? l?u k? ch?ng kho?n????9.1C? phi?u, ch?ng ch? qu?0,4 ?ng/c? phi?u, ch?ng ch? qu?/th?ngTh?nh vi?n l?u k?, t? ch?c m? t?i Kho?n tr?c ti?p t?i VSDH?ng th?ng v? tr??c ng?y 15 c?a th?ng ti?p theoKh?ng ?p d?ng ?i v?i ch?ng kho?n l?u k? tr?n t?i Kho?n t? doanh c?a NHNN9.2Tr?i phi?u0,2 ?ng/tr?i phi?u/th?ng10Ph? chuy?n Kho?n ch?ng kho?n????10.1Ph? chuy?n Kho?n ch?ng kho?n gi?a c?c t?i Kho?n c?a nh? ?u t? t?i c?c Th?nh vi?n l?u k? kh?c nhau0,5 ?ng/1 ch?ng kho?n/1 l?n chuy?n Kho?n/1 m? ch?ng kho?n (t?i a kh?ng qu? 500.000 ?ng/1 ch?ng kho?n/1 l?n/1 m? ch?ng kho?n)Th?nh vi?n l?u k?, t? ch?c m? t?i Kho?n tr?c ti?p t?i VSDH?ng th?ng v? tr??c ng?y 15 c?a th?ng ti?p theoKh?ng ?p d?ng ?i v?i chuy?n Kho?n gi?y t? c? gi? ? ph?c v? c?c nghi?p v? th? tr??ng ti?n t? v?i Ng?n h?ng Nh? n??c10.2Ph? chuy?n Kho?n ch?ng kho?n ? th?c hi?n thanh to?n0,5 ?ng/1 ch?ng kho?n/1 l?n chuy?n Kho?n/1 m? ch?ng kho?n (t?i a kh?ng qu? 500.000 ?ng/1 ch?ng kho?n/1 l?n/1 m? ch?ng kho?n?11Ph? th?c hi?n quy?n????11.1D??i 500 c? ?ng5 tri?u ?ng/1 l?n th?c hi?n quy?nT? ch?c ph?t h?nhThu ngay theo t?ng l?n trong v?ng 05 ng?y l?m vi?c k? t? ng?y VSD l?p danh s?ch ng??i s? h?u th?c hi?n quy?n cho t? ch?c ph?t h?nhKh?ng ?p d?ng ?i v?i tr?i phi?u Ch?nh ph?, tr?i phi?u ??c Ch?nh ph? b?o l?nh v? tr?i phi?u ch?nh quy?n ?a ph??ng.11.2T? 500 c? ?ng ?n d??i 1.000 c? ?ng10 tri?u ?ng/1 l?n th?c hi?n quy?n11.3T? 1.000 c? ?ng ?n 5.000 c? ?ng15 tri?u ?ng/1 l?n th?c hi?n quy?n11.4Tr?n 5.000 c? ?ng20 tri?u ?ng/1 l?n th?c hi?n quy?n12Ph? x? l? l?i sau giao d?ch????12.1S?a l?i sau giao d?ch500.000 ?ng/1 giao d?ch s?a l?iTh?nh vi?n l?u k? c?a VSD m?c c?c l?i n?u t?i Kho?n 1 i?u 38, l?i th?i h?n thanh to?n theo Kho?n 1 i?u 44 Th?ng t? 05/2015/TT-BTC ng?y 15/01/2015 c?a B? tr??ng B? T?i ch?nh h??ng d?n ho?t ?ng ng k?, l?u k?, b? tr? v? thanh to?n giao d?ch ch?ng kho?nH?ng th?ng v? tr??c ng?y 15 c?a th?ng ti?p theo?12.2X? l? giao d?ch b? l?i th?i h?n thanh to?n1.000.000 ?ng/1 giao d?ch l?i thanh to?n13Ph? chuy?n quy?n s? h?u ch?ng kho?n kh?ng qua h? th?ng giao d?ch c?a S? giao d?ch ch?ng kho?n????13.1Chuy?n nh??ng ch?ng kho?n???Kh?ng ?p d?ng ?i v?i chuy?n nh??ng gi?y t? c? gi? t? c?c nghi?p v? th? tr??ng ti?n t? c?a Ng?n h?ng Nh? n??caC? ?ng s?ng l?p ang trong th?i gian h?n ch? chuy?n nh??ng theo quy ?nh c?a ph?p lu?t0,1% gi? tr? chuy?n quy?n s? h?u ?i v?i c? phi?u, ch?ng ch? qu?C?c b?n th?c hi?n chuy?n quy?n s? h?uTrong v?ng 05 ng?y l?m vi?c k? t? ng?y VSD x?c nh?n chuy?n quy?n s? h?u ch?ng kho?nbChuy?n nh??ng ch?ng kho?n ? ni?m y?t/ng k? giao d?ch do UBCKNN ch?p thu?n+ 0,1% gi? tr? chuy?n quy?n s? h?u ?i v?i c? phi?u, ch?ng ch? qu?+ 0,005% gi? tr? chuy?n quy?n s? h?u ?i v?i tr?i phi?ucChuy?n nh??ng ch?ng kho?n c?a c?ng ty ?i ch?ng ? ng k? ch?ng kho?n t?i VSD nh?ng ch?a, kh?ng ni?m y?t/ng k? giao d?ch tr?n SGDCK+ 0,1% gi? tr? chuy?n quy?n s? h?u ?i v?i c? phi?u, ch?ng ch? qu?+ 0,005% gi? tr? chuy?n quy?n s? h?u ?i v?i tr?i phi?u13.2Bi?u, t?ng, cho, th?a k? ch?ng kho?n, tr? c?c tr??ng h?p bi?u, t?ng, cho, th?a k? gi?a v? v?i ch?ng, gi?a cha ?, m? ? v?i con ?, cha nu?i, m? nu?i v?i con nu?i, gi?a cha ch?ng, m? ch?ng v?i con d?u, gi?a cha v?, m? v? v?i con r?, gi?a ?ng n?i, b? n?i v?i ch?u n?i, gi?a ?ng ngo?i, b? ngo?i v?i ch?u ngo?i, gi?a anh, ch?, em ru?t v?i nhau+ 0,1% gi? tr? chuy?n quy?n s? h?u ?i v?i c? phi?u, ch?ng ch? qu?+ 0,005% gi? tr? chuy?n quy?n s? h?u ?i v?i tr?i phi?uB?n nh?n chuy?n quy?n s? h?u.Trong v?ng 05 ng?y l?m vi?c k? t? ng?y VSD x?c nh?n chuy?n quy?n s? h?u ch?ng kho?n13.3Chuy?n quy?n s? h?u do th?c hi?n ch?o mua c?ng khai+ 0,03 % gi? tr? chuy?n quy?n s? h?u ?i v?i c? phi?u, ch?ng ch? qu?C?c b?n th?c hi?n chuy?n quy?n s? h?uTrong v?ng 05 ng?y l?m vi?c k? t? ng?y VSD x?c nh?n chuy?n quy?n s? h?u ch?ng kho?n13.4Chuy?n quy?n s? h?u do b?n ?u gi? ph?n v?n nh? n??c t?i c?c c?ng ty c? ph?n+ 0,03 % gi? tr? chuy?n quy?n s? h?u ?i v?i c? phi?u, ch?ng ch? qu?+ 0,005% gi? tr? chuy?n quy?n s? h?u ?i v?i tr?i phi?uB?n nh?n chuy?n quy?n s? h?uTrong v?ng 05 ng?y l?m vi?c k? t? ng?y VSD x?c nh?n chuy?n quy?n s? h?u ch?ng kho?n13.5Chuy?n quy?n s? h?u ch?ng kho?n trong giao d?ch ho?n ?i ch?ng ch? qu? 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