Tài liệu Quy chế tổ chức và hoạt động công ty chứng khoán pdf

Thanh Hương - UBCKNN - 2007
Thanh Hương - UBCKNN - 2007
1
1














 !
 !
"#$%&!'#(
"#$%&!'#(
Thanh Hương - UBCKNN -
2007
2
)$*"++,-
)$*"++,-
.
.
/
#$%#(

#$%#(
/
+0*
+0*
/
1+#2
1+#2
/
+2#3
+2#3
45
45


/
6"7","88
6"7","88
Thanh Hương - UBCKNN -
2007
3
)$*"++,-
)$*"++,-
.
.


/
#(9&:
#(9&:
/

+0*
+0*
/
&!'#(;<
&!'#(;<
/
&=>?@=A
&=>?@=A
/
&45
&45
Thanh Hương - UBCKNN -
2007
4
)$*"++,-
)$*"++,-
.
.
/
8 !"#$%.
8 !"#$%.




?B$+C+D*
?B$+C+D*
Thanh Hương - UBCKNN -
2007
5

+5E(B27
+5E(B27
/
8 !3(FC+D*"5G#+4
8 !3(FC+D*"5G#+4
5"#$%9088
5"#$%9088
/
8 !3(F'(H?+0=#$
8 !3(F'(H?+0=#$
%"88
%"88
Thanh Hương - UBCKNN -
2007
6
0I#$%"
0I#$%"
88
88
/
8&9J=,K2#*3(36"2
8&9J=,K2#*3(36"2
"7. !3(F
"7. !3(F
/
&L3&'+3*+$
&L3&'+3*+$
/
M>#"D=,3?E+NEBB(B.8
M>#"D=,3?E+NEBB(B.8

/
8K9(+D*",9.+9#
8K9(+D*",9.+9#
/
8F.=.B(B?
8F.=.B(B?
Thanh Hương - UBCKNN -
2007
7
8O
8O
Kinh doanh CK
Kinh doanh CK
/


P&++G+
P&++G+
/
8K2#
8K2#
/
M)
M)
/
85"Q45
85"Q45
/
5'@
5'@

/
>?@=A45
>?@=A45
/
>?@6P8
>?@6P8
Thanh Hương - UBCKNN -
2007
8
8O
8O
/
Môi giới CK
Môi giới CK
?"+D?*9+
?"+D?*9+
*3(#
*3(#
/
Tự doanh CK
Tự doanh CK
?"+D*#R(
?"+D*#R(
#N*S
#N*S
/
BLPHCK
BLPHCK
?"+D !M)*'K
?"+D !M)*'K

+D.795G#(3*
+D.795G#(3*
T(?$+#R*55EBF
T(?$+#R*55EBF
B+#RU9E8)BFB+9
B+#RU9E8)BFB+9
&:
&:


Thanh Hương - UBCKNN -
2007
9
8O
8O
/
Tổ chức BLPH
Tổ chức BLPH
?5EM)"
?5EM)"
8P5EQBM)9(+B+
8P5EQBM)9(+B+
/
TCPH
TCPH
? !K+D)9&
? !K+D)9&
:
:
/

Tư vấn đầu tư CK
Tư vấn đầu tư CK
?"+DQB
?"+DQB
'=>BFN3&(#(#BFN
'=>BFN3&(#(#BFN
"'?+0=
"'?+0=


Thanh Hương - UBCKNN -
2007
10
8O
8O
/
Lưu ký CK
Lưu ký CK
?"+DV+>#=>3T
?"+DV+>#=>3T
+##3+:BK+D=,
+##3+:BK+D=,
?+0=WO
?+0=WO
/
Đăng ký CK
Đăng ký CK
?"+D+=,WO"
?"+D+=,WO"
(=,'(.5X+WO

(=,'(.5X+WO
Thanh Hương - UBCKNN -
2007
11
5X+H?+0=
5X+H?+0=
/
3&+3*Y3*Y&+3"E3Z3#3
3&+3*Y3*Y&+3"E3Z3#3
#&+33[*9%.(F
#&+33[*9%.(F
/
8 !H(F?F"+03
8 !H(F?F"+03
181.WO\] B+?5
181.WO\] B+?5
H=,+T=
H=,+T=
/
8C838CM'+T*#(31813
8C838CM'+T*#(31813
)1)81"(!2=>?@'(
)1)81"(!2=>?@'(


Thanh Hương - UBCKNN -
2007
12
5X+H?+0=
5X+H?+0=

/
5X+*9#*+=D"G+5X+'(
5X+*9#*+=D"G+5X+'(
9K+B3+(+B'+T*#(#R'+T*#(
9K+B3+(+B'+T*#(#R'+T*#(
W+5X+H#R^"G+5X+H
W+5X+H#R^"G+5X+H
*%K'+T*#(
*%K'+T*#(
/
&*Y3&#
&*Y3&#
/
D9#H*%5X+?$+2+D
D9#H*%5X+?$+2+D
#5X+'+
#5X+'+
Thanh Hương - UBCKNN -
2007
13
8O
8O
/
Cty CK
Cty CK
? !H5(B(BF6
? !H5(B(BF6
35
35

P13863M)38C8
P13863M)38C8
/
Tổ chức kinh doanh CK là
Tổ chức kinh doanh CK là
3
3
=?=
=?=
,
,
=?@8_38K+D639`
=?@8_38K+D639`
a\P13863M)38C836P3
a\P13863M)38C836P3


Thanh Hương - UBCKNN -
2007
14
8O
8O
/
Người HNCK
Người HNCK
?5X+?*"+D$+"9N
?5X+?*"+D$+"9N
0*&9#"H
0*&9#"H

/
Vốn khả dụng
Vốn khả dụng
?"L+,"8_
?"L+,"8_
T+,9#b
T+,9#b
Thanh Hương - UBCKNN -
2007
15
("+Q*
("+Q*
/
1+?3?`>#3$#2K88++Kc
1+?3?`>#3$#2K88++Kc
H88+4+
H88+4+


F+T4*+0*9J
F+T4*+0*9J


>5W#(9&:3
>5W#(9&:3
d3163634532"7","
d3163634532"7","
88
88
/

M88+?DL*?&+'e#3f:++7*3
M88+?DL*?&+'e#3f:++7*3
(#RM88'&'BX+3'&4
(#RM88'&'BX+3'&4
.(%
.(%


?G+(
?G+(


Thanh Hương - UBCKNN -
2007
16
("+Q*
("+Q*
/
_V2788+%+%T*3(3+?%3
_V2788+%+%T*3(3+?%3
QB88+%+%#R5"Q*3(
QB88+%+%#R5"Q*3(
/
8&Z*3($#34+>
8&Z*3($#34+>
$#
$#
/
16L(Q'3?&+'e#?+07
16L(Q'3?&+'e#?+07

*(#:+(
*(#:+(
Thanh Hương - UBCKNN -
2007
17
8?B"#$%
8?B"#$%
/
S!B(B?@g3)[#
S!B(B?@g3)[#
6h
6h
/
iMQB1+QBeB?B"#$
iMQB1+QBeB?B"#$
%
%
/
1+QBeBZX+?16
1+QBeBZX+?16
Thanh Hương - UBCKNN -
2007
18
+DB"7'+2#
+DB"7'+2#
/
P&++G+
P&++G+
/
8K2#

8K2#
/
M)
M)
/
85"Q45
85"Q45
/
5'@
5'@
j-5EBeBK+DM)'+H86
j-5EBeBK+DM)'+H86
j5E
j5E


QB
QB


8C8"2"7+N'(
8C8"2"7+N'(
Thanh Hương - UBCKNN -
2007
19
+,'+DQB1+QBeB
+,'+DQB1+QBeB
/
H97W3H93+B7"76
H97W3H93+B7"76

/
+"G++DB"7M)"8C8a\
+"G++DB"7M)"8C8a\
'&4'
'&4'


93+
93+
/
H."B(B
H."B(B
/
1+(*;81<"F"+0
1+(*;81<"F"+0


6B>+H
6B>+H




Thanh Hương - UBCKNN -
2007
20
+,'+DQB1+QBeB
+,'+DQB1+QBeB
/
_8C_?

_8C_?
cá nhân
cá nhân
B>+
B>+


HC6_
HC6_
4.3'&^#R8#Q*
4.3'&^#R8#Q*
,6
,6
/


_8C_?
_8C_?
pháp nhân
pháp nhân


B>+
B>+


#$
#$
%EBB(B"H.k?K
%EBB(B"H.k?K

+NHB
+NHB
"
"
/


_8C_B>+2^".*STHB
_8C_B>+2^".*STHB
Thanh Hương - UBCKNN -
2007
21
d04",97W
d04",97W
j,V2797W*%k*32+DN
j,V2797W*%k*32+DN


16++Th
16++Th
*
*
j_CZ*
j_CZ*


GD,
GD,

+"kBl38
+"kBl38
*(N3B4*,*163988++DV3
*(N3B4*,*163988++DV3
>+M883D'#3'e>#=>
>+M883D'#3'e>#=>
3+
3+
,
,
3?59O+?+D"m`16+"G+
3?59O+?+D"m`16+"G+
HP1386
HP1386
jDBl(O(
jDBl(O(
jD+3>#"D
jD+3>#"D
Thanh Hương - UBCKNN -
2007
22
CB(B
CB(B
/
P1ghnC6
P1ghnC6
/
8K2#gnC6
8K2#gnC6
/

M)ghnC6
M)ghnC6
/
85"Q45gnC6
85"Q45gnC6
/
5'@g
5'@g
Thanh Hương - UBCKNN -
2007
23
CHB
CHB
/
8 !3(F_
8 !3(F_
\
\
]")"HB
]")"HB
H=,+T=.*%"5X+
H=,+T=.*%"5X+
H?+0=-5EWO
H?+0=-5EWO
o
o
h])"
h])"
HBH=,+T=.'(
HBH=,+T=.'(

/
-2^".*S3'&2^".
-2^".*S3'&2^".
(45
(45
/
)>+P+Z"
)>+P+Z"
Thanh Hương - UBCKNN -
2007
24
(F
(F


/
1HB"
1HB"
\
\
h]"+,?DB>+
h]"+,?DB>+
!*+8_L+,3#R8_
!*+8_L+,3#R8_
'(
'(
/
8_L+,908a\#'08
8_L+,908a\#'08
/

8_La\#R8)f(
8_La\#R8)f(




/
8_'(a\ !+(
8_'(a\ !+(
Thanh Hương - UBCKNN -
2007
25
)(BF
)(BF
/
#$%EBB(B
#$%EBB(B
/
C._;9`452+$<>*>#.
C._;9`452+$<>*>#.
HB"
HB"
/
8_I$pEI$
8_I$pEI$
\
\
CHB
CHB
/

M8'+T*#(
M8'+T*#(