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Quy Che Giao Dich
Quy Che Giao Dich
CHNG KHON H NI
S: 353 /Q-TTGDHN
QUYT NH
V vic ban hnh Quy ch Giao dch Chng khon
ti Trung tm Giao dch chng khon H Ni
GIM C TRUNG TM GIAO DCH CHNG KHON H NI
Cn c Lut Chng khon s 70/2006/QH11 ngy 29/6/2006;
Cn c Ngh nh s 14/2007/N-CP ngy 19/01/2007 ca Chnh ph quy
nh chi tit thi hnh mt s iu ca Lut Chng khon;
Cn c Quyt nh s 1788/Q-BTC ngy 30 thng 05 nm 2005 ca B
trng B Ti Chnh quy nh chc nng, nhim v, quyn hn v c cu t chc
ca Trung tm Giao dch Chng khon H Ni;
c s chp thun ca y ban Chng khon Nh nc;
GIM C
( k)
Ni nhn:
-
Nh iu 3;
UBCKNN ( bo co);
Cc CTCK Thnh vin;
Cc Cng ty nim yt;
Cc Thnh vin Lu k;
NH ch nh thanh ton;
TTLKCK;
Lu P.HCTH, P.GSGD
Trn Vn Dng
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CHNG I
QUY NH CHUNG
iu 1. Phm vi p dng
Quy ch ny quy nh v hot ng giao dch ti Trung tm giao dch
chng khon H Ni (TTGDCKHN).
iu 2. Gii thch thut ng
1. Thnh vin giao dch ti TTGDCKHN (sau y gi tt l thnh vin) l
cng ty chng khon c TTGDCKHN chp thun tr thnh thnh vin
giao dch.
2. H thng giao dch l h thng my tnh dng cho hot ng giao dch ti
TTGDCKHN.
3. H thng chuyn lnh l h thng thc hin vic chuyn cc lnh giao dch
t thnh vin n TTGDCKHN.
4. Bin dao ng gi l gii hn dao ng gi chng khon quy nh trong
ngy giao dch c tnh theo t l phn trm (%) so vi gi tham chiu.
5. Gi tham chiu l mc gi lm c s cho vic tnh gii hn dao ng gi
chng khon trong ngy giao dch.
6. Gi thc hin l gi chng khon c xc nh t kt qu khp lnh hoc
gi hnh thnh t cc giao dch tha thun.
7. Lnh gii hn l lnh mua hoc bn chng khon do ngi u t a ra
cho ngi mi gii thc hin theo mc gi ch nh hoc tt hn.
8. Trm u cui l cc thit b u vo v u ra dng nhn hoc chuyn
thng tin.
9. i din giao dch ca thnh vin ti TTGDCKHN (sau y gi tt l i
din giao dch) l nhn vin kinh doanh do thnh vin c v c
TTGDCKHN chp thun cp th i din giao dch.
CHNG II
-1-
T CHC V QUN L
GIAO DCH CHNG KHON
iu 3. Quy tc chung
1. TTGDCKHN t chc giao dch i vi cc loi chng khon sau y:
1.1. C phiu;
1.2. Tri phiu;
1.3. Cc loi chng khon khc sau khi c s chp thun ca UBCKNN.
2. Chng khon nim yt ti TTGDCKHN c giao dch trn h thng giao
dch ca TTGDCKHN, ngoi tr cc trng hp sau:
2.1 Giao dch l l;
2.2 u gi bn phn vn nh nc ti t chc nim yt;
2.3 u gi pht hnh thm khng qua h thng giao dch ca TTGDCKHN;
2.4 Giao dch sa li sau giao dch;
2.5 Cho, biu, tng, tha k;
2.6 Cho mua cng khai;
2.7 T chc nim yt mua li c phiu u i ca cn b cng nhn vin lm
c phiu ngn qu khi chm dt hp ng lao ng;
2.8 Chia tch, sp nhp, gp vn bng c phiu thnh lp doanh nghip;
2.9 Giao dch c phiu ca c ng sng lp.
3. Cc giao dch chng khon trn h thng giao dch c thc hin thng qua
thnh vin. TTGDCKHN cp cho mi thnh vin mt s hiu thnh vin giao
dch tin hnh giao dch trn h thng giao dch.
4. Ch i din giao dch ca thnh vin mi c nhp lnh vo h thng giao
dch ca TTGDCKHN. Hot ng ca i din giao dch phi tun th Quy
ch giao dch ny, cc quy trnh v quy nh lin quan ca TTGDCKHN v
i din giao dch.Thnh vin chu trch nhim v vic thc hin nhim v
ca cc i din giao dch ca mnh.
iu 4. Thi gian giao dch
1. TTGDCKHN t chc giao dch t th Hai n th Su hng tun, tr cc
ngy ngh theo quy nh trong B Lut lao ng.
2. Thi gian giao dch c th do Gim c TTGDCKHN qui nh sau khi c
UBCKNN chp thun.
3. TTGDCKHN quyt nh thay i thi gian giao dch trong trng hp cn
thit sau khi c UBCKNN chp thun.
iu 5. Tm ngng hot ng giao dch chng khon
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1. TTGDCKHN tm ngng hot ng giao dch chng khon trong trng hp:
1.1. Giao dch khng th thc hin c nh thng l do h thng giao dch
ca TTGDCKHN c s c;
1.2. Khi c mt phn t (1/4) s thnh vin TTGDCKHN tr ln b s c v
h thng chuyn lnh giao dch.
1.3. UBCKNN yu cu TTGDCKHN ngng giao dch bo v li ch ca
nh u t hoc bo v nn kinh t quc dn.
1.4. Cc trng hp bt kh khng nh thin tai, ho hon hay cc s c
khch quan khc.
2. Hot ng giao dch c tip tc ngay sau khi cc s kin trn c khc
phc. Trng hp khng th phc hi th phin giao dch c coi l kt thc
ln khp lnh trc .
3. TTGDCKHN c th cn c vo tnh hnh c th quyt nh v thng bo
thay i thi gian giao dch cho ph hp.
4. TTGDCKHN thc hin bo co UBCKNN v vic tm ngng v thay i
thi gian giao dch nu trn trc khi chnh thc cng b.
iu 6. Phng thc giao dch
1. TTGDCKHN t chc giao dch tt c cc loi chng khon nim yt trn
TTGDCKHN thng qua h thng giao dch theo 2 phng thc:
1.1. Phng thc khp lnh lin tc l phng thc giao dch c h thng
giao dch thc hin trn c s so khp cc lnh mua v lnh bn chng khon
ngay khi lnh c nhp vo h thng giao dch.
1.2. Phng thc tho thun l phng thc giao dch trong cc thnh
vin t tho thun vi nhau v cc iu kin giao dch v c i din giao
dch ca thnh vin nhp thng tin vo h thng giao dch xc nhn giao
dch ny.
2. Trong trng hp cn thit, TTGDCKHN quyt nh thay i phng thc
giao dch i vi tng loi chng khon sau khi c UBCKNN chp thun.
iu 7. Nguyn tc khp lnh giao dch
1. H thng giao dch thc hin so khp cc lnh mua v lnh bn chng khon
theo nguyn tc th t u tin v gi v thi gian, c th nh sau:
1.1 u tin v gi:
i. Lnh mua c mc gi cao hn c u tin thc hin trc;
ii. Lnh bn c mc gi thp hn c u tin thc hin trc.
1.2 u tin v thi gian:
Trng hp cc lnh mua hoc lnh bn c cng mc gi th lnh nhp vo h
thng giao dch trc s c u tin thc hin trc.
-3-
-5-
iu 13. n v yt gi
1. n v yt gi quy nh i vi c phiu l 100 ng.
2. Khng quy nh n v yt gi i vi giao dch tha thun.
iu 14. Gii hn dao ng gi
1. Bin dao ng gi i vi c phiu trong ngy giao dch do Gim c
TTGDCKHN quy nh sau khi c UBCKNN chp thun.
2. Gii hn dao ng gi i vi c phiu c xc nh nh sau:
Gi ti a (Gi trn)
-6-
-7-
K hiu lnh
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2. Khng quy nh n v giao dch i vi giao dch tho thun tri phiu. Khi
lng giao dch ti thiu i vi giao dch tho thun tri phiu l 1000 tri
phiu.
3. Giao dch tri phiu c khi lng t 1 n 99 tri phiu (l l) c thc
hin trc tip gia ngi u t vi thnh vin theo nguyn tc tho thun v
gi. Khi c yu cu ca nh u t, thnh vin c trch nhim mua li v ch
c php thc hin mua li tri phiu l l ca nh u t.
Hng thng thnh vin c trch nhim bo co TTGDCKHN v kt qu thc
hin vic mua li tri phiu l l ca nh u t trong thng.
4. TTGDCKHN quyt nh thay i l giao dch khi cn thit sau khi c
UBCKNN chp thun.
iu 27. n v yt gi
Khng quy nh n v yt gi i vi giao dch tri phiu
iu 28. Gii hn dao ng gi
Khng quy nh gii hn dao ng gi i vi giao dch tri phiu.
- 11 -
iu 31. Giao dch c phiu ca thnh vin Hi ng qun tr, Ban Gim
c, K ton trng, thnh vin Ban Kim sot ca t chc nim yt v
ngi c lin quan
1. Thnh vin Hi ng qun tr, Ban Gim c, K ton trng, thnh vin
Ban Kim sot ca t chc nim yt v ngi c lin quan c nh giao dch
c phiu ca chnh cng ty nim yt phi thc hin ngha v v cng b thng
tin theo quy nh ca php lut.
2. Ngi thc hin giao dch nu ti Khon 1 iu ny phi thc hin ngha v
cng b thng tin v bo co v kt qu thc hin giao dch nu trn theo quy
nh ca php lut.
iu 32. Giao dch c phiu ca c ng ln
C ng ln ca cc cng ty nim yt ti TTGDCKHN phi tun th cc quy
nh ti iu 29 Lut chng khon lin quan n c ng ln.
iu 33. Giao dch cho mua cng khai
T chc, c nhn cho mua cng khai c phiu nim yt ti TTGDCKHN phi
tun th cc quy nh ti iu 32 Lut Chng khon v thc hin cng b thng
tin theo quy nh ca php lut.
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GIM C
( k)
Trn Vn Dng
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