Chng 4 S giao dch chng khon

Trnh by bi: Ths. Nng Thng

Ni dung
Khi nim, hnh thc s hu v chc nng
T chc hot ng ca S giao dch

Thnh vin S giao dch chng khon

Nim yt chng khon

4.1. Khi nim, hnh thc s hu v chc nng ca SGD 4.1.1. Khi nim S giao dch chng khan l mt th trng trong vic thc hin mua bn chng khan c thc hin ti mt a im tp trung gi l sn giao dch hoc thng qua h thng my tnh.

4.1. Khi nim, hnh thc s hu v chc nng ca SGD 4.1.2. Hnh thc s hu Hnh thc s hu thnh vin - Do cc thnh vin l cc cng ty chng khon s hu - T chc di hnh thc cng ty TNHH - Chi ph thp Hnh thc cng ty c phn - Ngn hng, cng ty ti chnh, bo him, cng ty chng khan thnh vin tham gia vi t cch c ng - Hat ng theo lut cng ty v chy theo li nhun - p dng c, Anh,Hng Kng

4.1. Khi nim, hnh thc s hu v chc nng ca SGD

Hnh thc s hu nh nc - Chnh ph thnh lp, qun l v s hu mt phn hay ton b vn ca SGDCK - Khng chy theo li nhun nn bo v c quyn li ca nh u t

4.1. Khi nim, hnh thc s hu v chc nng ca SGD 4.1.3. Chc nng ca SGDCK
- Lm tng tnh thanh khon v kh mi ca cc chng khan ca t chc pht hnh - Xc nh gi c cng bng thng qua vic so khp lnh mua v bn chng khon - Cng b chnh xc kp thi tnh hnh hat ng ca cc t chc nim yt v cc cng ty chng khon

4.2. T chc ca SGD

ai hoi ong co ong Hoi ong quan tr Ban Tong Giam oc

Giam sat noi bo

Phong T.Vien

Phong Niem yet

Phong Giao dch

Phong Giam sat

Phong NCPT

Phong KTKT

Phong IT

Vn phng

4.2. T chc ca SGD

4.2.1. Hi ng qun tr L cp cao nht ra cc quyt nh v hat ng ca SGDCK, c cc thnh vin i din l nhng ngi c lin quan trc tip hoc gin tip n TTCK 4.2.1.1. Thnh vin HQT Cc i din ca cng ty chng khon thnh vin i din l nhng cng ty nim yt, cc dch v chuyn mn S lng thnh vin HQT ca th trng pht trin thng nhiu hn th trng mi ni

4.2. T chc ca SGD

4.2.1.2. Bu chn thnh vin HQT
HQT c bu hng nm ti i hi thnh vin Mt s thnh vin c chnh ph, B ti chnh,

UBCK b nhim Nhim k ca ch tch v gim c iu hnh l 3-4 nm, cc i din cho cng chng c thi hn ngn hn.

4.2. T chc ca SGD

4.2.1.3. Quyn hn ca HQT
nh ch v rt giy php thnh vin Chp thun, nh ch v hy b nim

yt chng

khan Chp thun k hoch v ngn sch hng nm ca SGD Ban hnh v sa i cc quy ch hot ng ca SGD Gim st hot ng ca thnh vin X pht cc hnh vi, vi phm quy ch ca SGD

4.2. T chc ca SGD

4.2.2. Ban gim c iu hnh

Chu trch nhim v hot ng ca SGDCK Gim st cc hnh vi giao dch ca cc thnh vin D tho cc quy nh v quy ch ca SGDCK

4.2. T chc ca SGD 4.2.3. Cc tiu ban h tr

Cc tiu ban c chc nng t vn, h tr cho HQT V Ban gim c Mt s ban c bit gii quyt cc vn v qun l, t vn hoc x pht

4.2. T chc ca SGD

4.2.4. Cc phng ban ca SGDCK Cc phng chuyn mn + Phng giao dch + Phng nim yt + Phng thnh vin Cc phng ph tr + Phng k hoch v nghin cu + Phng IT + Phng tng hp, i ngoi

Chc nng ca mt s phng, ban chnh: Phng giao dch - Phn tch v bo co v bin ng th trng - m bo duy tr sn giao dch v cc h thng khc ti sn - Thay i thi gian giao dch, bin gi, gi tham chiu - Qun l giao dch cc chng khon (cnh bo, kim tra)

4.2. T chc ca SGD

Phng nim yt - xy dng h thng tiu chun nim yt (ln u, b sung, ti nim yt, tch, gp) - Kim tra, chp thun hoc hy b nim yt chng khan - Nhn v phn tch cc bo co ti chnh ca cc t chc nim yt - Phn loi nim yt theo nhm ngnh - ngh chng khon a vo din cnh bo, kim sat, nh ch hoc hy b nim yt. - Thu ph nim yt ln u v ph qun l nim yt hng nm

4.2. T chc ca SGD

Phng thnh vin - Chp thun, nh ch v min t cch thnh vin - Phn loi cc thnh vin - Qun l thu ph thnh vin v cc qu khc - Phn tch nh gi hot ng ca thnh vin Phng k hoch nghin cu - Lp k hoch - Nghin cu - Quan h quc t

4.2. T chc ca SGD

Phng IT - Lp k hoch pht trin h thng IT - Qun l, vn hnh h thng IT - Qun l mng Internet, bng in t... Vn phng - Ti liu lu tr, in n - Cc vn lin quan n ngi lao ng, lng - K ton , qun l vn, thu - Mua sm thit b, ti sn..

4.3. Thnh vin SGDCK

4.3.1. Phn loi thnh vin

4.3.1.1. Phn loi theo quyn ca thnh vin

- Thnh vin chnh

- Thnh vin c bit

4.3. Thnh vin SGDCK

4.3.1.2. Phn loi theo chc nng (cc TT pht trin) - Cc chuyn gia th trng - Cc nh mi gii cc cng ty thnh vin

- Cc nh mi gii c lp
- Cc nh to lp th trng cnh tranh

- Cc nh giao dch cnh tranh

4.3. Thnh vin SGDCK

4.3.2. Tiu chun thnh vin - Yu cu v ti chnh - Yu cu v nhn s - Yu cu v c s vt cht k thut 4.3.3. Th tc kt np thnh vin Tho lun Np n xin kt np Thm tra Chp thun ca HQT Thanh ton ph Kt np

4.3. Thnh vin SGDCK

4.3.4. Quyn v ngha v ca thnh vin 4.3.4.1. Quyn ca thnh vin Thnh vin thng thng v thnh vin c bit 4.3.4.2. Ngha v ca thnh vin - Bo co - nh k, tng tnh cng khai - Thanh ton cc khon ph - Ph hng nm, ph gia nhp

4.4. Nim yt chng khon

4.4.1.Khi nim L th tc cho php mt chng khon c php giao dch trn SGDCK 4.4.2. Mc tiu ca vic nim yt H tr th trng hot ng n nh 4.4.3. u nhc im ca vic nim yt u im - D huy ng vn - Tc ng n cng chng - Nng cao tnh thanh khon - u i v thu

4.4. Nim yt chng khon

Hn ch - C ngha v bo co thng xuyn - Tr ngi trong vic thu tm hay sp nhp 4.4.4. Phn loi nim yt chng khon - Nim yt ln u - Nim yt b sung - Thay i nim yt - Nim yt li - Nim yt ca sau - Nim yt tng phn v nim yt ton phn

4.4. Nim yt chng khon

4.4.5. Tiu chun nim yt 4.4.5.1. Tiu chun nh lng - Thi gian hot ng ca cng ty - Quy m v c cu s hu c phn ca cng ty - Li sut thu c t vn c phn - T l n - S phn b c ng 4.4.5.2. Tiu chun nh tnh - Trin vng cng ty - Phng n kh thi s dng vn pht hnh - kin kim ton v ti chnh

4.4. Nim yt chng khon

4.4.5.3. Quy nh nim yt trong trng hp c bit 4.4.6. Th tc nim yt SGD thm nh s b Np bn ng k ln UBCK Cho bn ra cng chng Xin php nim yt Thm tra nim yt chnh thc Nim yt 4.4.7. Qun l nim yt 4.4.7.1. Quy nh bo co ginh cho vic qun l cc c phiu nim yt - Ngha v cng b thng tin - Np bn bo co cho SGDCK ng thi hn

4.4. Nim yt chng khon

4.4.7.2. Tiu chun thuyn chuyn, chng khon b kim sot, hu b nim yt Tiu chun thuyn chuyn - Vic chi tr c tc thp - T l n/ vn cao - Phn b vn khng hp l - Khng np y bo co theo hn nh - Gi tr ti sn thun b m - nh ch hot ng kinh doanh

4.4. Nim yt chng khon

Chng khon b kim sot Khng p ng c tiu chun duy tr nim yt nhng cha n mc phi hu b Hu b nim yt

4.4. Nim yt chng khon

4.4.8. Ngng giao dch - Cng ty nim yt thuc din b thuyn chuyn hay hu b nim yt - Pht hin c s gi mo c phiu - Cng ty yu cu cc c ng phi trnh cc chng ch c phn nhm mc ch chia nh hay gp c phiu - S GDCK thy rng cn phi bo v quyn li ca nh u t

4.4. Nim yt chng khon

4.4.9. Ph nim yt L ph m cng ty nim yt phi tr duy tr nim yt v giao dch chng khon ca mnh

Kt thc chng 4