NI DUNG GING DY MN TH TRNG CHNG KHON

Ging vin : Dng Ngn H Ni dung S n v hc trnh Gio trnh Ti liu tham kho ST: 0913366681 Email: nganha.duong@gmail.com

Th trng chng khon 16 bui ( 135 pht ) - Th trng chng khon HVNH 2012 - L thuyt tin t ( HVNH) - Nhng kin thc c bn v TTCK ca UBCK NN , Gio trnh TTCK ( H KTQD ), Gio trnh th trng chng khon ( PGS TS L Hong Nga) - Cc vn bn lut CK : , Lut CK sa i b sung 2011, Thng t 74 ban hnh km Lut CK sa i b sung, Lut CK 2007, N 14 , quy ch giao dch ti SGDCK , cc ngh nh, 1hong t 1hon quan - Tp ch u t chng khon, cc bo in t v TTCK ( ssc.gov.vn; hsx.vn; hnx.vn; .) - B quyt thnh cng trn th trng chng khon, NXB ti chnh - Giu t chng khon, NXB tri thc - Hng dn u t vo th trng chng khon, NXB tr. - Chin lc u t vo th trng chng khon ca WarrenBuffett, NXB tr - Bo u t chng khon -

Mc tiu

nh gi

Hiu v nm r cc vn l thuyt lin quan ti TTCK v mi quan h trong TTTC Nm c cc nguyn tc t chc hot ng, chc nng ca th trng chng khon ni chung. Nm c cc vn ca TTCK Vit Nam ( cch thc t chc, hot ng, giao dch ) Bc u thc hin tham gia th trng chng khon. Kim tra gia k : Bi vit hoc tho lun ( 30%) im chuyn cn : 10% (sinh vin ngh 1 bui im danh tr 1 im, bt u tnh t im 9) Thi ht hc phn : 60% Kim tra vit : 10- 30 pht ( trc nghim la chn phng - Thc hin tho lun theo ch ca cc bui hc ( 3 n ) tit) Bi tho lun : Lm theo nhm ( 5 10 ngi ) - Tho lun ln ly im iu kin ( 3-6 tit) o Trnh by : slide trnh by tt, trnh by - Thi ht hc phn : Trc nghim la chn phng n, bi tp tnh hung v bi tp ln. linh hot, khng s dng ti liu c ( 30%) o Ni dung : ( 50 %) o Tr li cu hi : c s tham gia ca tt c cc thnh vin trong nhm ( 20%)

Thi gian 5 bui

Chi tit Ch Tng quan v th trng chng khon Bn cht chc nng ca TTCK Ni dung Chi tit

Ni dung Trao i

Gio trnh

Ti liu tham kho

Bui 1 -2-3

Lch s hnh thnh, cc giai on khng hong, pht trin c im , c cu t chc, chc nng , nguyn tc hot ng ca TTCK

Hng ha trn TTCK

Bui 4

Tho lun Cc ch th tham gia trn th trng

-Nguyn tc cng khai 2hong Nhng vn c tin, u gi, trung gian. bn v TTCK - Cc vn v cng b 2hong UBCK NN, trang tin trn TTCK VN 16-18 - Mi quan h gia th trng s cp, th cp v cc hnh thi ca th trng ( SGDCK, OTC) Chng khon - c im ca CK Nhng vn c C phiu - Quyn, li ch, ri ro m CP bn v TTCK Tri phiu v TP mang li cho NT, UBCK NN, trang Chng ch qu u t TCPH 22-23; 72-114 Chng khon phi sinh - Cc loi CP, TP Cc yu t nh hng ti gi - S khc bit gia c phiu chng khon v chng ch qu u t - Chng khon phi sinh : Chng quyn, quyn mua, quyn chn ( c im, cc thc thc hin,) - Cc yu t nh hng ti gi CK trn TTCK Vit Nam Trnh by cc loi hng ha trn th trng chng khon Vit Nam Nh u t - Cng ty chng khon ( c Nhng vn c T chc pht hnh im, nghip v, cc thc bn v TTCK T tc kinh doanh hot ng trn TTCK) UBCK NN, trang T chc qun l gim st - Qu u t chng khon 244 382 T chc h tr ( c im, phn loi qu u t, cc thc hot ng

ssc.gov.vn; hsx.vn; hnx.vn Bng giao dch trc tuyn Thng t 09/2010 cng b 2hong tin trn TTCK Lut kinh t Lut Chng khon 2007. Lut CK sa i b sung 2011

Lut Chng khon 2007 - chng VI VII , Q 27/2007 quy ch hot ng ca CTCK, Q

Bui 5

Tho lun

ca cc loi qu, gii thiu 1 126/2008 b sung s qu u t VN) - Cng ty qun l qu, Cng ty u t chng khon Cc ni dung tho lun c sp xp xen k, nu s dng bi tho lun ln phn ni dung no th iu chnh s tit ging ph hp vi ni dung . S hnh thnh v pht trin TTCK VN Cc loi hng ha trn th trng Cc ch th tham gia ( phn tch hot ng ca cc cng ty chng khon, qu u t chng khon VN) Cc nguyn tc hot ng ca th trng chng khon. Mt s t chc pht hnh cc loi chng khon Cc hot ng ca cng ty chng khon, qu u t chng khon Pht hnh ln u, b sung, ring l, cng chng,
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Bi tp tnh hung

Lut CK 2006, Lut CK sa i b sung 2011, Lut Doanh Nghip Q 27, Q 126

4 bui Bui 6

Th trng s cp Nghip v pht hnh

Nhng vn c bn v TTCK UBCK NN, trang 115-121;133-160

N14 Chng 2 Lut CK 2007 Chng 2 Lut CK sa i b sung 2011

Phng thc pht hnh

Trao i Bui 7 Nghip v pht hnh c phiu

T cho bn - Bo lnh pht hnh VN Nhng vn c bn v TTCK Bo lnh pht hnh ( thc trng bo lnh pht UBCK NN, trang hnh) u gi ( Kiu H Lan, Kiu 125-132 - u gi c phn, u thu M, kt hp u thu c tnh tri phiu ( Cc tnh hung cnh tranh v khng c tnh thc t ) cnh tranh ) Mt s v vic lien quan ti vn vi phm quy ch pht hnh ln u v b sung trn TTCK VN Pht hnh c phiu mi thu tin ( quyn mua CP) Tng vn t qu d tr Pht hnh TPC Thc t vic pht hnh, thc hin quyn mua, hin tng pha long gia c phiu?

(Tho lun v cc phng thc pht hnh)

Bui 8

Nghip v pht hnh tri phiu Trao i, tho lun

Bi tp tnh hung

Kim tra 5 bui Bui 10 Th trng th cp S giao dch chng khon

quyn ca nh c ng ti ngy giao dch khng hng quyn - Cc vn v t l chuyn i, gi chuyn i, gi cp ca cng ty pht hnh TPC - 3 phng thc hon tr tri phiu - Thc t p dng phng thc no? - Tnh ton cc mc gi giao dch ( tham chiu, trn, sn) trong cc ngy giao dch khng hng quyn? Vic thc hin quyn VN? - Ty vo ni dung nu trao i c th gim bt s tit ging - Cho bn chng khon ra cng chng, cho bn ring l - Lut CK 2006 - Pht hnh c phiu ( IPO) thng qua u gi c phn, bo lnh pht - Lut CK sa i b sung 2011 hnh - Thng t 74 km Lut CK sa - Pht hnh thm c phiu ( pht hnh quyn mua c phn, thng i c phiu, chi tr c tc bng c phiu, tri phiu chuyn i) - N 14 Kim tra vit Trc nghim chn phng n khng gii thch 20 cu 20 pht

Khi nim, c cu t chc, chc nng, vai tr, thnh vin ca SGDCK Nim yt chng khon trn SGDCK -

S khc bit 1 s SGDCK trn th gii Qu trnh nim yt nc ngoi ca 1 s cng ty VN Phng thc giao dch ca cc SGDCK VN, UPCoM M TK, t lnh Cc loi lnh c s dng ph bin VN Khp lnh nh k

Nhng vn c bn v TTCK UBCK NN, trang 207-243

Bui 11

Quy trnh giao dch ti SGDCK

-

Bui 1213

Quy trnh giao dch chng khon ti SGDCK (Tho lun v cch thc giao dch CK) Lnh v khp lnh (Tho lun v giao dch chng khon ti SGD)

N 14/2007 Q 326ca HNX - Q 03 Quy ch thnh vin Q 124 v quy ch giao dch ti SGDCK

Th trng OTC Tho lun Bi tp tnh hung

Khp lnh lin tc Khi nim, c cu, t chc qun l, S khc bit gia chc nng ca OTC SGDCK v OTC Thc hnh giao dch chng khon trn lp sv nm c cch thc khp lnh ( m hnh giao dch trn SGDCK ) Tho lun v cc thc giao dch chng khon trn cc SGDCK v th trng OTC Nim yt chng khon ti SGDCK HCM, HN, giao dch chng - Lut CK 2006 khon trn UPCoM - N 14 Giao dch chng khon trn th trng qua ti khon ( ph mi gii, - Q 124, 326 giao dch k qu, ng trc tin bn chng khon) Khi nim, bn cht, cc bc Khi nim, bn cht Mt s ng ch bo MA, MACD, Bollinger band, RSI nh gi c phiu ( DDM) nh gi tri phiu Cc vn cn quan tm khi tin hnh PTCB Phn tch 1 m CK trn th Cc bo co phn tch ca cc CTCK

2 bui Bui 14

Phn tch chng khon Phn tch c bn Phn thut tch

k -

Bui 15

nh gi chng khon -

1 bui

Trao i, tho lun Bi tp tnh hung Gii p thc mc -

Cch thc chit khu cc dng tin pht sinh ca cc chng khon khc nhau. Phn tch tng quan 1 vi m chng khon ( phn tch c bn, k thut, gi nh nh gi CK ) Phn tch v nh gi c phiu 5hong qua phn tch c bn v phn tch k thut Bui hc cui cng, gii p thc mc cc vn lien quan ti bi tp,l thuyt. Yu cu sinh vin chun b bi tp trc khi hi.

Tho lun ln : A. M hnh giao dch trn SGDCK

Mc ch : Sinh vin nm c vn lin quan ti giao dch chng khon trn th trng chng khon VN thng qua vic t chc lp hc thnh th trng chng khon thu nh vi s tham gia ca 3 nhm i tng : SGDCK, CTCK v nh u t i tng tham gia: Sinh vin c chia thnh cc nhm nh ( 4-7 sinh vin/nhm) Phn b nhim v : S dng phng n chn la hoc bc thm chn nhm 2 nhm ng vai tr 2 SGDCK HN v HCM c th t chc thm UPCoM 3-4 nhm : Cng ty chng khon S nhm cn li l cc nhm nh u t Phng thc giao dch : t chc giao dch trong vng 5 tit ( 1 phin nh k m ca, 2 phin lin tc, 1 phin nh k ng ca) Cng vic c th: Yu cu kin thc : Sinh vin nm c cc quy tc giao dch trn 2 SGDCK ca VN, Cch thc t lnh mua bn, hy, sa; Khp lnh nh k v khp lnh lin tc; tnh ton danh mc u t, ( hc xong chng Th trng th cp) o SGDCK : Yu cu : nm c cc quy tc giao dch ti cc SGDCK m mnh m nhn, a ra 2 m CK tng ng vi mi SGDCK( gi trn, sn v TC ca ngy giao dch) Cc nhm s tin hnh nhn lnh t cc CTCK v tin hnh nhp vo s lnh vi cc lnh ph hp v tha mn cc iu kin giao dch Phi kim tra c lnh v kim tra thi gian i chiu khi tin hnh khp lnh Khp lnh trn bng giao dch Tr kt qu v cho cng ty chng khon theo tng nhm vi cng ty, khng quan tm ti lnh ca tng khch hng. Thng bo li gi trung bnh ( HNX) v gi khp vi ( HOSE) o Cng ty chng khon : Yu cu: Chun b cc phiu lnh tng ng vi cng ty chng khon ca mnh.Thng bo bng tnh ph mi gii cho nh u t m ti khon ti cng ty chng khon ca mnh. Ch s dng nghip v mi gii nhn lnh, thng bo khp, khng s dng cc nghip v khc. Nhn lnh t nh u t, kim tra lnh xem c hp l hay khng sau c nhn vin chuyn lnh ti SGDCK. Lnh chuyn theo lin th 1 ca phiu lnh. Nhn kt qu t SGDCK v tch lnh tr kt qu cho nh u t. Tnh ton li s d trn ti khon ca nh u t m bo cho phin giao dch sau s d giao dch chng khon. Cui ngy np li bo co ( phiu lnh gc, bo co s d u ngy v cui ngy ca mi nhm nh u t) o Nh u t: Yu cu : u t danh mc phi sinh li c cp 1 lng tin v CK nht nh ( 300-500 triu v 2000 cp mi loi) Tin hnh t lnh trn phiu lnh theo tng phin. Gi li lin 2 sau khi t lnh i chiu khi xy ra sai xt. Thng k danh mc u t sau mi ln khp lnh ( s d chng khon, tin mt u v cui phin giao dch) Cui bui np li bo co danh mc c th ( s chng khon quy ra tin mt theo gi khp cui phin ca HOSE v gi trung bnh ca HNX) v lin 2 ca phiu lnh.

B. Bo co v TTCK Mc ch: Sinh vin nm bt c cc vn v th trng chng khon. i tng tham gia: Sinh vin chia theo nhm 5- 10 ngi Thi gian thc hin : 1 thng 30 ngy ( bt u t bui 2) Yu cu : Sinh vin nm c cc kin thc c bn v TTCK v giao dch chng khon. Bi tho lun c trnh by di dng ti liu nh my hoc vit tay, c ch thch r rng v s tham gia ca cc thnh vin trong nhm. Ni dung: o La chn 1 cng ty chng khon bt k trn TTCK VN. Trnh by ngn gn ( 1 trang A4) v cng ty CK ( Nm thnh lp, hot ng, nghip v,) o M ti khon giao dch ti CTCK . ( TK giao dch c nhn, mi nhm ti thiu c 1 ti khon giao dch) o Phn tch TTCK VN thi im hin ti u t ( Bi phn tch ngn gn, nu ra cc vn c bn ca th trng) o Giao dch chng khon trn th trng trong 30 ngy ( t lnh mua bn chng khon c th giao dch trn cc phn mm o ca cc CTCK cung cp ) o La chn 1 m chng khon ( trong s cc c phiu u t) c k hoch tng vn trong vng 1 nm tr li hoc trong thi gian u t. Tnh ton s iu chnh gi tham chiu ti ngy giao dch khng hng quyn. o Phn tch k thut 1 trong s cc c phiu u t trong danh mc Bi np o Trnh by di dng tp ti liu hoc ng quyn A4 ( nh my hoc vit tay) Gii thiu tm tt v CTCK ( ti a 1 trang A4) Hp ng m ti khon v cc giy t lin quan ( trnh by cc bc m ti khon, cc mu giy t c th s dng bn photo hoc bn gc yu cu c y thng tin ca ch ti khon l thnh vin ca nhm). Phn tch TTCK VN, la chn cc c phiu s u t. ( 2-4 trang) Giao dch trn th trng Nhm sinh vin c th la chn 1 trong 2 phng n : o Giao dch tht trn th trng bng tin mt. S lng tin c th giao ng, ti thiu mc 100.000 ng/ ti khon/ nhm. o Giao dch o thng qua cc phn mm ti cc CTCK ni m TK, hoc t theo di qu trnh u t theo gi nh ca mnh. Trng hp sinh vin t gi nh u t, s tin c cp l 10 triu ng/tk/nhm.

 Phiu lnh ( mua, bn, hy, sa c in y thng tin, mi loi 1 phiu lnh) Nu giao dch trc tuyn s in phn mn hnh t lnh ( np km cc phiu lnh ca CTCK) Qu trnh u t ( bin ng danh mc u t trong 30 ngy). Sinh vin trnh by di dng k khai s d ti khon, pht sinh tng gim ck v tin theo cc ngy. Lu : i vi nhm sinh vin u t ti cc CTCK c th yu cu cng ty in sao k chi tit tin mt, chng khon trong thi gian . Tt ton ti khon : thng k s d u v cui k bng tin. Lu : C th trnh by ngn gn thm ( c minh ha) v cc nghip v khc nh lu k, ng trc tin bn, t trc lnh mua bn, margin, o Vi cc nhm sinh vin u t c li s c u tin cng t 1-2 im ca bi tho lun. K hoch tng vn. La chn 1 m c phiu ang u t c k hoch tng vn trong thi gian 1 nm tr li ( nu ngy giao dch khng hng quyn nm trong 30 ngy u t l tt nht). Thng bo k hoch tng vn ( trch nguyn vn thng bo ca CT trn phng tin thng tin i chng trang web ca cc SGDCK) Trch thng tin v gi gi c phiu trc v trong ngy giao dch khng hng quyn ( trang web ca 2 SGDCK) Tnh ton s iu chnh gi tham chiu ti ngy giao dch khng hng quyn v i chiu li vi nhng thng tin c. Phn tch k thut ( theo 4 ch bo c gii hn trong chng trnh). La chn 1 trong s cc m chng khon ang u t. Phn tch v nhn nh xu hng trong thi gian ti. ( ti a 1 trang A4). Sinh vin c th np bi ngay trong qu trnh hc. Hn cht np bi vo bui 14 ca t hc. Nhng bi np sm trc tun 11 s c cng im.