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Tổng quan về thị trường Chứng khoán

Tổng quan về thị trường Chứng khoán

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Published by: api-19821385 on Nov 30, 2009
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03/18/2014

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T\u1ed5ng quan v\u1ec1 th\u1ecb tr\u01b0\u1eddng Ch\u1ee9ng kho\u00e1n

Th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n trong \u0111i\u1ec1u ki\u1ec7n c\u1ee7a n\u1ec1n kinh t\u1ebf hi\u1ec7n \u0111\u1ea1i, \u0111\u01b0\u1ee3c quan ni\u1ec7m l\u00e0 n\u01a1i di\u1ec5n ra
c\u00e1c ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch mua b\u00e1n ch\u1ee9ng kho\u00e1n trung v\u00e0 d\u00e0i h\u1ea1n. Vi\u1ec7c mua b\u00e1n n\u00e0y \u0111\u01b0\u1ee3c ti\u1ebfn
h\u00e0nh \u1edf th\u1ecb tr\u01b0\u1eddng s\u01a1 c\u1ea5p khi ng\u01b0\u1eddi mua mua \u0111\u01b0\u1ee3c ch\u1ee9ng kho\u00e1n l\u1ea7n \u0111\u1ea7u t\u1eeb nh\u1eefng ng\u01b0\u1eddi ph\u00e1t
h\u00e0nh, v\u00e0 \u1edf nh\u1eefng th\u1ecb tr\u01b0\u1eddng th\u1ee9 c\u1ea5p khi c\u00f3 s\u1ef1 mua \u0111i b\u00e1n l\u1ea1i c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u01b0\u1ee3c ph\u00e1t
h\u00e0nh \u1edf th\u1ecb tr\u01b0\u1eddng s\u01a1 c\u1ea5p.
Nh\u01b0 v\u1eady, x\u00e9t v\u1ec1 m\u1eb7t h\u00ecnh th\u1ee9c, th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ch\u1ec9 l\u00e0 n\u01a1i di\u1ec5n ra c\u00e1c ho\u1ea1t \u0111\u1ed9ng trao \u0111\u1ed5i,
mua b\u00e1n, chuy\u1ec3n nh\u01b0\u1ee3ng c\u00e1c lo\u1ea1i ch\u1ee9ng kho\u00e1n, qua \u0111\u00f3 thay \u0111\u1ed5i ch\u1ee7 th\u1ec3 n\u1eafm gi\u1eef ch\u1ee9ng kho\u00e1n.
Th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n c\u00f3 nh\u1eefng ch\u1ee9c n\u0103ng c\u01a1 b\u1ea3n sau:
1. Ch\u1ee9c n\u0103ng c\u01a1 b\u1ea3n c\u1ee7a th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n
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Huy \u0111\u1ed9ng v\u1ed1n \u0111\u1ea7u t\u01b0 cho n\u1ec1n kinh t\u1ebf
-
Cung c\u1ea5p m\u00f4i tr\u01b0\u1eddng \u0111\u1ea7u t\u01b0 cho c\u00f4ng ch\u00fang
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T\u1ea1o t\u00ednh thanh kho\u1ea3n cho c\u00e1c ch\u1ee9ng kho\u00e1n
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\u0110\u00e1nh gi\u00e1 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a doanh nghi\u1ec7p
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T\u1ea1o m\u00f4i tr\u01b0\u1eddng gi\u00fap Ch\u00ednh ph\u1ee7 th\u1ef1c hi\u1ec7n c\u00e1c ch\u00ednh s\u00e1ch v\u0129 m\u00f4
2. C\u00e1c ch\u1ee7 th\u1ec3 tham gia th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n
C\u00e1c t\u1ed5 ch\u1ee9c v\u00e0 c\u00e1 nh\u00e2n tham gia th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n c\u00f3 th\u1ec3 \u0111\u01b0\u1ee3c chia th\u00e0nh c\u00e1c nh\u00f3m sau:
nh\u00e0 ph\u00e1t h\u00e0nh, nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c c\u00f3 li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n.
a) Nh\u00e0 ph\u00e1t h\u00e0nh
Nh\u00e0 ph\u00e1t h\u00e0nh l\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n huy \u0111\u1ed9ng v\u1ed1n th\u00f4ng qua th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. Nh\u00e0
ph\u00e1t h\u00e0nh l\u00e0 ng\u01b0\u1eddi cung c\u1ea5p c\u00e1c ch\u1ee9ng kho\u00e1n - h\u00e0ng ho\u00e1 c\u1ee7a th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.
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Ch\u00ednh ph\u1ee7 v\u00e0 ch\u00ednh quy\u1ec1n \u0111\u1ecba ph\u01b0\u01a1ng l\u00e0 nh\u00e0 ph\u00e1t h\u00e0nh c\u00e1c tr\u00e1i phi\u1ebfu Ch\u00ednh ph\u1ee7 v\u00e0 tr\u00e1i
phi\u1ebfu \u0111\u1ecba ph\u01b0\u01a1ng.
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C\u00f4ng ty l\u00e0 nh\u00e0 ph\u00e1t h\u00e0nh c\u00e1c c\u1ed5 phi\u1ebfu v\u00e0 tr\u00e1i phi\u1ebfu c\u00f4ng ty.
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C\u00e1c t\u1ed5 ch\u1ee9c t\u00e0i ch\u00ednh l\u00e0 nh\u00e0 ph\u00e1t h\u00e0nh c\u00e1c c\u00f4ng c\u1ee5 t\u00e0i ch\u00ednh nh\u01b0 c\u00e1c tr\u00e1i phi\u1ebfu, ch\u1ee9ng ch\u1ec9
th\u1ee5 h\u01b0\u1edfng... ph\u1ee5c v\u1ee5 cho ho\u1ea1t \u0111\u1ed9ng c\u1ee7a h\u1ecd.
b) Nh\u00e0 \u0111\u1ea7u t\u01b0
Nh\u00e0 \u0111\u1ea7u t\u01b0 l\u00e0 nh\u1eefng ng\u01b0\u1eddi th\u1ef1c s\u1ef1 mua v\u00e0 b\u00e1n ch\u1ee9ng kho\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. Nh\u00e0
\u0111\u1ea7u t\u01b0 c\u00f3 th\u1ec3 \u0111\u01b0\u1ee3c chia th\u00e0nh 2 lo\u1ea1i: nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00e1 nh\u00e2n v\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 t\u1ed5 ch\u1ee9c.
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C\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00e1 nh\u00e2n
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C\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 t\u1ed5 ch\u1ee9c
c) C\u00e1c t\u1ed5 ch\u1ee9c kinh doanh tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n
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C\u00f4ng ty ch\u1ee9ng kho\u00e1n
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Qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n
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C\u00e1c trung gian t\u00e0i ch\u00ednh
d) C\u00e1c t\u1ed5 ch\u1ee9c c\u00f3 li\u00ean quan \u0111\u1ebfn th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n
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C\u01a1 quan qu\u1ea3n l\u00fd Nh\u00e0 n\u01b0\u1edbc
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S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n
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Hi\u1ec7p h\u1ed9i c\u00e1c nh\u00e0 kinh doanh ch\u1ee9ng kho\u00e1n
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T\u1ed5 ch\u1ee9c l\u01b0u k\u00fd v\u00e0 thanh to\u00e1n b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n

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